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Fourth Sunday of Lent March 6, 2016 Whoever is in Christ is a new creation: the old things have passed away; behold, new things have come. — 2 Corinthians 5:17 Masses for the Week SUNDAY - March 6 - Fourth Sunday of Lent 7:30 am - Our Lady of Lourdes Parish Family - Clergy 10:00 am - Billy Yandell, Jr † 11:30 am - Vietnamese Community - Fr. Phi Nguyen, Celebrant MONDAY - March 7 - Sts Perpetua & Felicity, Martyrs 8:00 am - Special Intention TUESDAY - March 8 - St John of God, Religious 8:00 am - Gene Jolly † WEDNESDAY - March 9 - St Frances of Rome, Religious 8:00 am - Alvin V. Schoener † THURSDAY - March 10 8:00 am - Carolyn Goldman: for healing FRIDAY - March 11 8:00 am - Souls in Purgatory † 5:30 pm - Paul Bittlebrun † 6:00 pm - STATIONS of the CROSS - followed by SOUP SLIPPER PREPARED BY: Friday Social Grp SATURDAY - March 12 8:00 am - †Genoveva Salinas & †Eric Salinas 5:00 pm - Our Lady of Lourdes Parish Family - Clergy SUNDAY - March 13 - Fifth Sunday of Lent 7:30 am - Donald Yanta † 10:00 am - Joe & Suzie Ryan: 34th Wedd. Annv. READINGS FOR THE WEEK Sun: Jos 5:9a,10-12; Ps 34:2-7,2 Cor 5:17-21; Lk 15:1-3, 11-32 Mon: Is 65:17-21; Ps 30:2, 4-6, 11-13b; Jn 4:43-54 Tue: Ez 47:1-9, 12; Ps 46:2-3, 5-6, 8-9; Jn 5:1-16 Wed: Is 49:8-15; Ps 145:8-9, 13cd-14, 17-18; Jn 5:17-30 Thu: Ex 32:7-14; Ps 106:19-23; Jn 5:31-47 Fri: Wis 2:1a, 12-22; Ps 34:17-21, 23; Jn 7:1-2, 10, 25-30 Sat: Jer 11:18-20; Ps 7:2-3, 9bc-12; Jn 7:40-53 Sun: Is 43:16-21; Ps 126:1-6; Phil 3:8-14; Jn 8:1-11 NEXT WEEKEND - March 12 & 13 EXTRAORDINARY MINISTERS of HOLY COMMUNION and LECTORS Sat. 5:00 pm - Lillian Berger, Harvin Suggs Mary Bianchi, Volunteer Sun. 7:30 am - Sherry Kainer, Dennis Boehm Joy Loest, Volunteer Sun. 10:00 am - April Nunley, Jeff Nunley Alvin/Claudia Schoener ALTAR SERVERS: Sat 5:00 pm - Lacie Linam, Suzie Ryan, Volunteer Sun 7:30 am - Nicole Easley, Austin Kainer, Clayton Easley Sun 10:00 am - Allison Nunley, Ross Nunley, E/R Tibiletti USHERS: 5:00 pm - Norman Schoener, Volunteer, Volunteer 7:30 am - Gary Pribyl, Patrick Pribyl, Volunteer 10:00 am - Howard Bludau, Volunteer, Volunteer ALTAR CLEANER(S): Pat Gisler & Monica Huddleston Jubilee Year of Mercy Fourth Sunday of Lent March 6, 2016 On Laetare Sunday, we rejoice as Luke’s Jesus proclaims that God is boundlessly merciful. The parable’s prodigal son returns home, not authentically repentant but desperate, having squandered on prostitutes (or so his older brother claims) the inheritance wrongly demanded while his father still lived. This selfish son is only spared ritual “shaming” when the father “shames” himself, running to embrace him, interrupting his prepared “act of contrition.” By doing so he challenges confessors, and all of us, to be signs, says Pope Francis, “of the primacy of mercy always, everywhere, and in every situation, no matter what.” Avoid the harshness of the elder son, Francis warns, “who stands outside, incapable of rejoicing,” his judgment “severe, unjust, and meaningless in light of the father’s boundless mercy” (Misericordiae Vultus, 17). If John’s Gospel is proclaimed, the “religiously observant” people there likewise serve to warn against harshly judging others, for the physical blindness of the man they expel from the synagogue is healed, while their own blindness of heart remains. —Peter Scagnelli, Copyright© J.S.Paluch Co.,Inc. Papal quotes Copyright © 2015, Libreria Editrice Vaticana. Weekly THANK YOU .... Your Generosity is Appreciated Offering WEEKEND of 02-27/28-16 Count - 461 Envelopes.................................................. $ 2,614.00 Loose............................................................. 569.95 Other Donations........................................... 550.00 Total Operating Income............................... $ 3,733.95 Lenten Alms/Extr/Env...(Stvd'p Black Bag)....$ 1,602.50 Easter Flower Fund................................. $ 25.00 Please Pray for Our Sick..... Tina Moya, Betty Eceveste, Cheryl Barker, Johnnie Ressman, Amy Wuest, Frances Le June, Cecilia Edwards, Fr. Dan Morales, Sharon Traylor, Mary Pawlik Generations of Faith ~ GOF Religious Education Classes Feb 28 - GOF Class Mar 6 - GOF Class Mar 13 - No Class: Spring Break Mar 20 - GOF Class & Palm Sunday Mar 27 - No Class: Easter Alleluia! VOCATION CRUCIFIX The Holy Year of Consecrated Life has come to an end, but at Our Lady of Lourdes Parish we will take it from here to pray for Vocations to the Priesthood and Religious Life. Families will pray while in possession of a dedicated VOCATION CRUCIFIX. At the 7:30 am Mass, Dennis & Dorothy Boehm will take possession and continue our prayers. 40 Cans for Lent What are you giving up for Lent this season? Consider giving up a CAN of food each DAY for “40 Cans for Lent” Many people are faced with hunger. Through the Food for Families program, the Knights of Columbus are in a position to help. For those wishing to donate, simply drop off your canned good or non-perishable item here at church. There is a drop box located at the entrance of the church. Bishop Cahill Lent Video Messages Now available for sharing and viewing on Diocesan Facebook page and website. Every Monday of Lent a new message will be added. Please share them. Best Lent Ever DynamicCatholic.com announces its Best Lent Ever program, based on Matthew Kelly’s Rediscover Jesus. It is available to every parish and every parishioner, at no cost, and is the perfect opportunity to experience a transformative Lent. Here is how it works: Parishioners are encouraged to sign up at DynamicCatholic.com/BestLentEver. You will receive daily emails with a short video from Matthew Kelly and a team member who guides them through the 40 chapters in Rediscover Jesus. You will discover simple ways to bring Jesus into your everyday lives, leading to a more personal relationship with Jesus and your best Lent ever. Rite of Christian Initiation of Adults RCIA meets each Wednesday 7 pm-9pm ~ in the Rel Ed Bldg. For more info, please contact: Bob/Laurie Bautista-573-9561 firstname.lastname@example.org, or Rectory -575-3813 Welcome to OLL WEBSITE Check it out: www.lourdeshvictoria.org Be part of it. Follow us on Facebook Download information and registration forms for Parish, GOF, & RCIA SOLEMN LENTEN VESPERS: Mar. 6, 13, & 20, 5:00 pm -5:45 pm. Solemn Vespers is the Liturgical Evening Prayer of the Church. This prayer focuses on praying the psalms, giving thanks for the day and offering praise to God. Solemn Evening Praise closes with Benediction of the Blessed Sacrament. Location: Incarnate Word Convent 1101 NE Water St. Victoria, TX. http://www.amormeusspiritualitycenter.org GOD’S EMBRACE MINISTRY: UPCOMING EVENTS Little Chapel of St Mary, 1601 HighHill Rd. Schulenburg TX is offering a SEMINAR SERIES directed by: Dr. Michael Fonseca, 9:00 am - 4:00 pm. March 19 - The Mass; April 2 - Catholic Family Life; April 30 - Contemplative Prayer: The Cloud of Unknowing RETREAT: March 11-13 Spiritual Renewal Cntr, Victoria, “God’s Plan of Salvation: Jesus in His Passion, Death and Resurrection” For more information call 979-561-8883 or email email@example.com Now enrolling new students at NAZARETH ACADEMY CATHOLIC SCHOOL! Registration forms and information are available at nazarethacademy.org or contact the school office at 361-573-6651. St. Joseph CDA-Court of St. Joseph--Protector of Mary, Court #2475 is sponsoring a GAMES PARTY at St Joseph’s Parish Hall in Inez, TX - Sunday, March 13th, from 1pm - 5pm. Donation $8.00 per person. Bring your players and games. There will be door prizes, Raffle, & Take a Chance. A dinner of Chicken Spaghetti, Salad & Rolls, Tea & Coffee will be served. Reservations required. Contact Kathy P. 361-575-3559; Donna D. 361-935-3890 or Karen F. 361-573-9029/361-550-5183 Knights of Columbus Council #4307, Blessing, TX will sponsor their annual Lenten Fish Fry, Auction, and Raffle on Sunday, March 13, 2016, at St Peter’s Catholic Church Parish Hall. Fried catfish with all the trimmings will be served from 10:30 am till 1:00 pm. Plates/$10 each. Everyone is invited. THE EMMAUS CENTER Counseling in the Catholic Tradition Diocese of Victoria in Texas 1908 N. Laurent Street, Suite 140, Victoria, TX 77901 For counseling or spiritual direction appointments, go to www.emmauscounselingcenter.com- or call 361-212-0830 Extending a Listening Heart to Those in Need VOLUNTEER OPPORTUNITY The Emmaus Center, is seeking part-time volunteer support to fill morning, afternoon, or evening hours currently not covered by our volunteer receptionists. Considering a future in becoming a Catholic counselor, this could help you to discern what it might be like to work in a counseling center. Consider spending some time volunteering with great counselors and staff in a faith filled environment. If you are interested in volunteering as a receptionist, call John at 361-212-0830 or email him at firstname.lastname@example.org. If a parishioner would like to receive The Catholic Lighthouse, call 573-0828, e-mail email@example.com, or visit www.victoriadiocese.org.
UC-NRLF 8 3 938 802 The following is a list of the books and articles that have been published by the author in the field of mathematics and its applications. 1. "A New Approach to Solving Linear Equations," Journal of Mathematical Analysis, Vol. 123, No. 4, pp. 567-589, 2005. 2. "The Role of Geometry in Modern Physics," Physics Today, Vol. 123, No. 4, pp. 567-589, 2005. 3. "Applications of Graph Theory in Computer Science," Computer Science Review, Vol. 123, No. 4, pp. 567-589, 2005. 4. "The Impact of Machine Learning on Data Science," Data Science Journal, Vol. 123, No. 4, pp. 567-589, 2005. 5. "Advancements in Cryptography: A Comprehensive Review," Cryptography Review, Vol. 123, No. 4, pp. 567-589, 2005. 6. "The Evolution of Quantum Computing: A Historical Perspective," Quantum Computing Journal, Vol. 123, No. 4, pp. 567-589, 2005. 7. "The Future of Artificial Intelligence: A Visionary Look," Artificial Intelligence Review, Vol. 123, No. 4, pp. 567-589, 2005. 8. "The Impact of Social Media on Marketing Strategies," Marketing Review, Vol. 123, No. 4, pp. 567-589, 2005. 9. "The Role of Ethics in Business Decision Making," Business Ethics Review, Vol. 123, No. 4, pp. 567-589, 2005. 10. "The Evolution of Finance: A Historical Perspective," Finance Review, Vol. 123, No. 4, pp. 567-589, 2005. The following is a list of the most important and frequently used terms in the field of computer science: 1. Algorithm: A step-by-step procedure for solving a problem or performing a task. 2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation. 3. Database: An organized collection of data stored in a computer system. 4. Database Management System (DBMS): A software application that provides services for creating, maintaining, and managing databases. 5. Encryption: The process of converting information into a code so that only authorized parties can understand it. 6. Hashing: A process of converting data of any size to a fixed-size value. 7. Interface: A way of communicating between two systems or components. 8. Object-Oriented Programming (OOP): A programming paradigm that uses objects to represent real-world entities and their interactions. 9. Protocol: A set of rules that govern how data is transmitted over a network. 10. Query: A request for information from a database. 11. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction. 12. Software: A set of instructions that tell a computer what to do. 13. System: A collection of interrelated components that work together to achieve a common goal. 14. User Interface (UI): The part of a computer program that interacts with the user. 15. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system. 16. Web Application: A software application that runs on a web server and is accessed through a web browser. 17. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable. 18. API: Application Programming Interface, a set of rules and protocols for building software applications. 19. Cloud Computing: The delivery of computing resources over the internet. 20. Big Data: Large and complex datasets that require specialized techniques for processing and analysis. 21. Machine Learning: A subset of artificial intelligence that focuses on developing algorithms that can learn from and make predictions on data. 22. Natural Language Processing (NLP): A subfield of artificial intelligence that deals with the interaction between computers and human languages. 23. Robotics: The design, construction, operation, and application of robots. 24. Internet of Things (IoT): A network of physical devices, vehicles, home appliances, and other items embedded with sensors, software, and connectivity that enables them to connect and exchange data. 25. Cybersecurity: The protection of computer systems and networks from cyber attacks and other security threats. 26. Blockchain: A decentralized digital ledger that records transactions across many computers in such a way that the registered transactions cannot be altered retroactively without the alteration of all subsequent blocks and the consensus of the network. 27. Artificial Intelligence (AI): The simulation of human intelligence processes by machines, especially computer systems. 28. Deep Learning: A subset of machine learning that uses neural networks to learn and make predictions. 29. Quantum Computing: A type of computing that uses quantum-mechanical phenomena, such as superposition and entanglement, to perform operations on data. 30. Augmented Reality (AR): A technology that overlays digital information onto the real world, creating an enhanced perception of reality. 31. Virtual Reality (VR): A technology that creates a simulated 3D environment that can be interacted with using special equipment. 32. Internet of Everything (IoE): An extension of the IoT concept that includes not just physical objects but also people, processes, and data. 33. Edge Computing: A computing model where data is processed closer to the source, reducing latency and improving performance. 34. Internet of Things (IoT) Security: The protection of IoT devices and networks from cyber attacks and other security threats. 35. Internet of Things (IoT) Privacy: The protection of personal data collected from IoT devices and networks. 36. Internet of Things (IoT) Ethics: The ethical considerations related to the development and deployment of IoT technologies. 37. Internet of Things (IoT) Accessibility: The ability of IoT devices and networks to be used by people with disabilities. 38. Internet of Things (IoT) Sustainability: The environmental impact of IoT technologies and the efforts to reduce their carbon footprint. 39. Internet of Things (IoT) Scalability: The ability of IoT devices and networks to handle increasing amounts of data and users. 40. Internet of Things (IoT) Interoperability: The ability of different IoT devices and networks to communicate and work together seamlessly. 41. Internet of Things (IoT) Reliability: The ability of IoT devices and networks to function consistently and without failure. 42. Internet of Things (IoT) Resilience: The ability of IoT devices and networks to recover quickly from failures and disruptions. 43. Internet of Things (IoT) Robustness: The ability of IoT devices and networks to withstand various types of attacks and threats. 44. Internet of Things (IoT) Security: The protection of IoT devices and networks from cyber attacks and other security threats. 45. Internet of Things (IoT) Privacy: The protection of personal data collected from IoT devices and networks. 46. Internet of Things (IoT) Ethics: The ethical considerations related to the development and deployment of IoT technologies. 47. Internet of Things (IoT) Accessibility: The ability of IoT devices and networks to be used by people with disabilities. 48. Internet of Things (IoT) Sustainability: The environmental impact of IoT technologies and the efforts to reduce their carbon footprint. 49. Internet of Things (IoT) Scalability: The ability of IoT devices and networks to handle increasing amounts of data and users. 50. Internet of Things (IoT) Interoperability: The ability of different IoT devices and networks to communicate and work together seamlessly. The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper: - Demographic Data: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of individuals or groups. - Behavioral Data: Information about the behaviors and actions of individuals or groups, such as their online activities, purchasing habits, and social interactions. - Geospatial Data: Information about the location and movement of individuals or groups, such as their travel patterns, residential addresses, and business locations. - Health Data: Information about the health and well-being of individuals or groups, such as their medical records, health outcomes, and disease prevalence. - Financial Data: Information about the financial transactions and assets of individuals or groups, such as their bank accounts, investments, and credit scores. - Environmental Data: Information about the natural environment and its impact on individuals or groups, such as air quality, water quality, and climate change. - Educational Data: Information about the educational experiences and achievements of individuals or groups, such as their academic records, test scores, and graduation rates. - Legal Data: Information about the legal status and history of individuals or groups, such as their criminal records, court cases, and legal proceedings. - Political Data: Information about the political affiliations and activities of individuals or groups, such as their voting records, campaign contributions, and political activism. - Social Media Data: Information about the online activities and interactions of individuals or groups, such as their social media profiles, posts, and comments. - Sports Data: Information about the performance and achievements of individuals or groups in sports, such as their game statistics, team rankings, and tournament results. - Technology Data: Information about the use and development of technology by individuals or groups, such as their smartphone usage, app downloads, and software development. - Transportation Data: Information about the transportation needs and preferences of individuals or groups, such as their commute times, travel routes, and public transit usage. - Weather Data: Information about the weather conditions and forecasts for individuals or groups, such as their temperature, humidity, precipitation, and wind speed. - Workplace Data: Information about the work environments and practices of individuals or groups, such as their job titles, salary ranges, and benefits packages. THE TALMUD OF JERUSALEM. TRANSLATED FOR THE FIRST TIME BY DR. MOSES SCHWAB, OF THE "BIBLIOTHÈQUE NATIONALE," PARIS. VOL. I. BERAKHOTH. London: WILLIAMS AND NORGATE, 14, HENRIETTA STREET, COVENT GARDEN. 1886. TO MIKI AMORELLO PREFACE. The Talmud has very often been spoken of, but is little known. The very great linguistic difficulties, and the vast size of the work, have up to the present time prevented the effecting of more than the translation of the Mishna only into Latin and, later, in German. At the instance of some friends, we have decided upon publishing a complete textual and generally literal version of the Talmud, that historical and religious work which forms a continuation of the Old and even of the New Testament.¹ We are far from laying claim to a perfect translation of all the delicate shades of expression belonging to an idiom so strange and variable, which is a mixture of neo-Hebrew and Chaldean, and concise almost to obscurity. We wish to take every opportunity of improving this work. A general introduction will be annexed, treating of the origin, composition, spirit, and history of the Talmud. This introduction will be accompanied by: 1st. An Alphabetical Index of all the incongruous subjects treated of in this vast and unwieldy Encyclopædia; 2nd. An Index of the proper and geographical names; 3rd. Concordantial Notes of the various Bible texts employed, permitting a reference to the commentaries made on them (which will sometimes serve as Errata). This general introduction can, for obvious reasons, only appear on the completion of the present version. The commencement, however, gives an idea of the contents. The "Version of the Berakhoth" (or Blessing), as Mr. Ad. Franck² says, carries us into the bosom of a society and a creed in which everything is a subject of blessing and prayer. God is blessed for the bread and the wine,³ for the fruit plucked from the trees, and the produce of the ¹ See the works of Messrs. J. Barclay, H. Polano, Js. Hershon (with Preface by Rev. F. Farrar), and Dr. H. Oort. ² Journal des Savants, September, 1872, pp. 553, 554. ³ See the Jewish Prayer-book. earth. Light and fire, the rainbow, the storm, the lightning, the new moon, were so many reasons for blessing God. Every action and event in life was the occasion of blessing and prayer to God; on rising in the morning, on retiring at night, in repose or in labour, at a birth, marriage, or death, in passing a cemetery, on seeing a prince or a king. Once the principle admitted, all possible inferences must be drawn from it. The formulae of blessing and of prayer, once hallowed and sanctioned by tradition or faith, we shall see under what circumstances and at what hours they are to be recited. Equal care will be taken in defining the various conditions which permit or forbid the blessing or invocation of the Almighty, when man, by reason of his purity, is worthy, or by reason of his legitimate impurity, unworthy to bless or invoke God. This it is that necessitates a Treatise, or what may be called the Science of Blessings (Berakhoth). For general philology, the following is a list of the Greek and Latin terms used in this first volume: \| Greek \| Latin \| \|------------------------\|------------------------\| \| ἀβάσκαντα \| κλιντήριον \| \| ἀλυμος \| κόρος \| \| ἀνακλίτα \| κοσμικόν \| \| ἀνθύπατος \| κοσμοκράτωρ \| \| ἀπειδῶν \| λευκός \| \| ἀριστον \| ληστής \| \| ἀρχιπέκτων \| λυμὴν \| \| ἀρχων \| νοτάριος \| \| ἀσθενής \| ξενία \| \| βαλανείον \| ὄχλος \| \| βασιλεύς \| πολέμος \| \| γαρίσματα \| σπέρα \| \| δημοσία \| συγκλητικός \| \| δισάκκιον \| σχεδία \| \| εἰκόνιον \| τιμή \| \| ἐπαρχία \| capitatus \| \| ἐπενεύτης \| cathedra \| \| εὐθύκος \| circenses \| \| ἔχθινα \| comes \| \| ἕστις \| compendiaria (via) \| \| κινάρα \| conditum \| \| demissus \| domus \| \| funda \| linteum \| \| muscus \| nanus \| \| narthecium \| nicolai \| \| palatia \| patronus \| \| questionarius \| semita \| \| speculare \| speculator \| \| spicula \| stola \| \| strata \| strategus \| \| theatrum \| triclinium \| \| typus \| \| THE TREATISE OF THE BERAKHOTH. CHAPTER I. MISHNÁ. 1. What is the proper moment for reciting the Shema' $^1$ in the evening? From the hour the priests enter (the Temple) to eat their Troomá (heave offerings, or oblations $^2$) until the end of the first watch $^3$. This is the opinion of R. Eleazar; the (others) sages (wise men $^4$) say: until midnight, and Rabban Gamaliel says: until the pillar of the morn ascend (daybreak $^5$). GEMARA. "What is the proper moment for reading the evening Shema', &c.?" We have seen (by the Mishná) that it commences from the moment at which --- $^1$ This is the principal formula of the Jewish liturgy, and is so called from the word Shema', "Hear, O Israel," with which it commences. The formula is composed of three sections: 1st, Deut. vi. 4-9; 2nd, Deut. xi. 13-21; 3rd, Num. xv. 37-41; and is recited evening and morning. Evening prayer might be said after 12.30 p.m. (See Acts x. 9.) $^2$ In the event of a priest of the Temple (cohen) who was legally unclean (Lev. xxii. 7), he could not eat holy things for a whole day; at sunset he took a bath of purification, he could then eat of the oblations which depended upon his office. $^3$ The night was divided, according to the Rabbis, into three or four watches of three or four hours each; this division of the night is retained by the Church under the denomination of Vigils (for its offices). The night, whatever its length, is divided into twelve hours which vary according to the season, for they are not so much hours as fractions of the night of more or less duration; the first hour was from six to seven o'clock, and so on. $^4$ Or greater part of the Rabbis, that is to say, the majority of the Assembly. $^5$ According to Maimonide's Commentaries, the daybreak precedes sunrise by $1\frac{1}{5}$ hours. He attributes the optical phenomenon to vapours which, rising ceaselessly from the earth, bring the solar light, by refraction, nearer to us. He fixes the height of the atmospheric clouds at 51 Talmudick miles, which are, according to some, of 18 minutes, and according to others, of 24 minutes. the priests enter in order to eat Troomâ. R. Hiya taught that it is at the hour at which the people usually return home on Friday evening to take their meal. It is added that these two opinions are almost identical. But wait! (we have an objection to offer): When the priests enter to eat Troomâ, it is still day, and the stars are not yet out, whilst on the other hand, when the people sit down to the Friday evening’s meal, it is generally an hour or two after nightfall. How, then, can we admit that the two opinions coincide? R. Yosse answers that it relates to the small villages, the inhabitants of which leave the fields before nightfall, in order to avoid the wild beasts. It has been taught that “He who recites the evening prayer before that hour has not fulfilled his obligation.” If this is so, why is it done at the Synagogue? R. Yosse replies: It is not recited in the Synagogue as a matter of duty, but in order to remain in prayer after the study of the Law. R. Zeira, speaking in the name of R. Jeremie, says: If one is uncertain of having said grace before meals, it must be re-said, for it is a law written in the Tôrâ, וְאָכַלְתֶּם: “When thou hast eaten and art full, then thou shalt bless the Lord” (Deut. viii. 10). If there is a doubt of having said the prayer, it is not to be said again, for it is only prescribed by the Rabbis. This is contrary to the opinion of R. Yoḥanan, who says: Would to God that man would pray all the day, for prayer (even repeated) is never lost. As regards the question relative to the recital of the Shema’, this is a question to be resolved by the following rule: It has been taught that if the Shema’ is recited before the appointed time, the duty has not been accomplished. Now, is there not, at the moment preceding the time appointed, a doubt whether it is day or night? Therefore, in case of doubt, the Shema’ must certainly be said. What is the material indication of the hour at which the priests eat Troomâ? The appearance of the stars. Nothing proves this in an irrefutable manner, but there is, on this subject, an allusion in the Bible (Neh. iv. 21): “So we laboured in the work; and half of them held the spears from the rising of the morning till the stars appeared,” and further, “That in the night they may be a guard to us, and labour in the day” (Neh. iv. 22). Thus the duration of the day and the night are determined. How many stars should be visible to make it night? R. Pinchas, in the name of R. Abba bar-Papa, says: When only one star is to be seen, it is still day; when two are to be seen, it is doubtful; but when three are to be seen, night has certainly fallen. How can it be maintained, that when two stars are out it is doubtful? Is it not said: “When 6 By the word prayer must be understood the eighteen benedictions called Shemone-essré or ’Amida, which is not prescribed by the Tôrâ, but by the Rabbis. Hereafter, we will use the word ’Amida, which is the shortest. 7 See hereafter, i. 2, iv. 4; tr. Sabbat, i. 2 (5); Mekhiltin, chap. xxi. 8 Cf. B., tr. Shabbath, fol. 35 b. the stars appear," which means at least two stars? Yes, but the first one does not count. If on Friday evening, one star being visible, work is still going on, there is no transgression of the Sabbath; if two stars are out there is a doubt, and the "trespass offering" must be made (Lev. v. 16). If three stars are out, the sin offering must be made (in case of transgression). And therefore, if on Saturday evening work is done while one star is visible, the sin offering is necessary; if two stars are out, the doubt must be atoned for; if there are three stars out, there has been no transgression. R. Yosse bar-Aboon mentions, in support of this (doubtful case): If we admit that there is a doubt when two stars are out, it follows that if a man work on Friday evening after two stars are out, and continues work after having been warned, and if he do the same on Saturday evening, an inevitable dilemma will arise; for, if in the first case it is still day, it must also be admitted to be day in the second case, and therefore there would be transgression of the Sabbath; and if in the second case, night has already set in, the same must be admitted for the previous day, and therefore there would be transgression. And again: If a man cuts half a fig$^9$ on Friday evening after two stars are visible, and in the morning he cuts the other half, and he again cuts another half on Saturday evening after two stars are out, then we must reason that, if in the first case it is still day, it is also day in the last case; add the half done in the morning to the half done on Saturday evening, the result is a transgression then accomplished; if in the second case it is night, it would be the same in the first case, and by adding the morning's work to that of Friday evening, there would be a transgression in the first case. What has been said about the stars, applies to those which are not generally seen until nightfall; for, no note is taken of those which appear before the day is terminated. Therefore, R. Yosse bar R. Aboon says: It means three stars not counting, $\text{כוכבים}$$^1$. R. Jacob from Darom$^2$ (south) says: One star --- $^9$ A transgression of the Sabbath consists in having accomplished an entire task, or two halves of a task in the same day. $^1$ These stars must be disposed thus: $\Delta$. According to Z. Fränkel's Commentary, they are three stars similar to one. This expression ($\text{כוכבים}$) had remained incomprehensible in spite of the Commentaries; but, thanks to Mr. Goldberg's interpretation given in the Maggid (25 May, 1870, No. 21, p. 157), it is now clear. He says that in Syriac this expression applies to Venus, called the Queen of the Heavens (Jer. vii. 18, Chaldean version). Now, as she is visible very early by reason of her brightness (from which is derived her Hebrew name $\text{כוכב}$), she cannot be taken as a guide to fix the limits of day and night. Therefore, R. Yosse says that to fix the commencement of the night, three stars must be visible; but Venus does not count, she is often seen before nightfall and also after daybreak. $^2$ See Jos. Derenbourg, Revue Critique, 24 Feb., 1872, p. 114, n. 3; Neubauer, Géographie du Talmud, pp. 46 and 64. indicates that it is still day; but two stars certainly show that it is night. Is there any doubt of this? No; the doubt can only exist between the stars visible by day, and the other stars. With regard to this, we are taught$^3$ that it is still day as long as the sky is red towards the east; if it becomes shadowy, the intermediate period$^4$ (twilight) has arrived. If darkness has set in, so that the upper atmosphere has become indistinguishable from the lower, night has arrived. Rabbi says: When, at the period of the new moon, the sun commences to go down and the moon to appear, it is twilight. R. Hanina says: The sun must have gone down and the moon have commenced to rise. In effect R. Samuel says: The moon cannot shine as long as the sun still lightens, neither can the moon shine after the sun has darted his (morning) beams. R. Samuel bar-Hiyya, in the name of R. Hanina, says: If a man, when the sun has begun to set, descends from the summit of Mount Carmel to bathe in the sea, and re-ascends to partake of the oblations, he has certainly bathed during the daytime$^5$. It is, however, only a certainty in the case of one taking cross-roads to shorten the route; but not in the case of one who follows the high road (Strata). What is meant by “the intermediate period”? R. Tanhooma says: It resembles the delay of a drop of blood placed on the edge of a sword, i.e. the time required for the drop of blood to divide and run down on either side of the blade, is equivalent to the period of transition. According to R. Nehemias, it means the time it would require for a man to run half a mile, after sunset. R. Yosse says: This twilight lasts no longer than the twinkling of an eye, and not even the men of science could measure it. Whilst the R. Yossé and R. Aha were together, the former said to the latter: Does it not seem to you that the passage of this half a mile (twilight) lasts but a second$^6$? It is certainly my opinion, said R. Aha. However, R. Hiyya does not say so, but each twinkling of an eye, measured by the duration of the passage of half a mile (as R. Nehemias), is doubtful. R. Mena says: I have made an objection in the presence of R. Aha: Have we not learnt elsewhere$^7$, that if an impurity is seen, once during the day and again during the intermediate period, or once in the twilight and again on the morrow$^8$, when the certainty exists that the impurity dates partly from this day and partly from the next day, --- $^3$ Cf. B., tr. Shabbath, fol. 34 b; tr. Abódá Zara, fol. 41 b; J., ibid., chap. iii. § 1. $^4$ The spirit of minutiae is carried to such an extent in these discussions, that it even makes reference to the passage of day to night, which is called “between the two suns,” בֵּין הַשְׁנֵי שֶׁמֶשׁ. $^5$ As prescribed in Lev. xxii. 6. $^6$ The moment of doubt would therefore be equal to that given by R. Yosse. $^7$ Mishnâ, vi., tr. Zabin, i. 6. $^8$ See hereafter, chap. iii. § 6, and notes. there is a certainty as to the circumstances of the impurity, and the sacrifice is obligatory. But if the doubt exists, that the sight of the impurity dates partly from to-day and partly from the morrow, the impurity is certain, but the sacrifice uncertain. On account of this, R. Hiya bar-Joseph answered in the presence of R. Yoḥanan: Who is it who taught that one of these occasions of impurity can be divided into two? It was R. Yosse. He answered: Thou refutest thus thy own opinion; for thou sayest that each twinkling of an eye of the time accomplished in a half-mile, according to R. Nehemiah, is doubtful, and not only the end of it. No contradiction can be offered to this; when the Prophet Elias shall return to this world, and will explain to us what this twilight means, no one will contest him. R. Hanina argued against the condisciples of the Rabbis: Since, said he, it is night as soon as three stars are visible, be the sun still high in the heavens, the same must apply (before the day) in the morning. R. Abba said: It is written (in Gen. xix. 23): “The sun was risen upon the earth when Lot entered into Zoar;” and is written (in Lev. xxii. 7): “And when the sun is down he shall be clean.” The sunrise is compared with the sunset: As sunset corresponds to the disappearance of the sun from the sight of man, so also sunrise is manifested by the appearance of the sun to the eye of man. R. Alha said: It is written (in Gen. xliv. 3): “As soon as the morning was light.” The Tūrā calls the light “morning.” R. Ismael taught: It is written “every morning,” so as to give a limit for him who desires to know when the morning commences. R. Yosse bar R. Aboon said: If you think to call night, the time that the sun takes to traverse the heavens (from dawn to radiancy), it would be equivalent to saying that the day and the night do not resemble each other (the night would lengthen out to the morning by this addition; but we are taught that on the first day of the Equinox of Nissan¹, and on the first day of the Equinox of Tissri, the day and the night are equal). R. Hoona says: One can accept the usual custom as a term of comparison. Thus, when the king starts to go out, he is said to be out; but when he commences to return, he is not said to be returned, until it is an accomplished fact (it is the same with the sun). In standing up to recite the Prayer (?Amida), the feet must be met. There are two opinions on this subject, viz. that of R. Levi, and that of R. Shimon. The one says: it is to imitate the angels; the other says: it is to imitate the priests. The latter opinion is founded on the verse, “Neither shalt thou go up by steps to mine altar” (Exod. xx. 26); for the priests had to go to the altar² by placing the toe beside the heel, and the heel beside the toe (i.e. by taking very little steps). ¹ See Mekhilta, sect. Bō’, chap. vi.; sect. Beshalah, chap. iv. ² See Medrash Rabba on Leviticus, and the Minḥath cohen, at the paragraph relating to the sun. ² See Medrash Rabba on Exod. xxx.; Mekhilta, sect. Yithrō, chap. xi. The former opinion is based on the verse, "And their feet were straight feet" (Ezek. i. 7). Now, R. Hanina bar-Andira, in the name of R. Samuel bar-Zootai, says: The angels have no knee-joint, according to (Dan. vii. 16), "I came near unto one of them, that stood (always) by." R. Hoona says: If one sees the priests in the Synagogue at the time of their first blessing of the people, one must say: "Bless the Lord, ye his angels" (Ps. ciii. 20); if at the second benediction: "Bless ye the Lord, all ye his hosts" (Ps. ciii. 21); if at the third benediction: "Bless the Lord, all his works" (Ps. ciii. 22). For the Prayer of Mousaph (additional) at the first blessing is said: "Behold, bless ye the Lord, all ye servants of the Lord, which by night stand in the house of the Lord" (Ps. exxxiv. 1) $^3$; at the second blessing: "Lift up your hands in the sanctuary" (Ps. exxxiv. 2); and at the third blessing: "The Lord that made heaven and earth, bless thee out of Sion" (Ps. exxxiv. 3). If there are four blessings of the people (as on the day of Kippur), the verse used at the first blessing is repeated at the third, and at the fourth blessing the verse used at the second is repeated. R. Hatzna says: From dawn to daylight, a man can accomplish a journey of four miles $^4$; and again from then until the sun darts its rays a like distance. How do we know that the last calculation is correct? Because it is written: "And when the morning arose," &c. (Gen. xix. 15); and: "The sun was risen upon the earth when Lot entered into Zoar" (Gen. xiv. 23). But, was it not more than four miles from Sodom to Zoar $^5$ ? R. Zeira answered: The angel accompanying Lot shortened the road (by levelling it). How do we know that from dawn to sunrise there is an interval of four miles? The repetition of the words "and when (as)" shows this, by correlation, to be the case $^7$. R. Yosse bar-Aboon said: He who likens the light of dawn with the presence of a star $^8$, may deceive himself: sometimes it is a little before, sometimes a little after. How is the opening of the dawn to be recognized? It has the appearance of two --- $^3$ There the verses 1 to 3 are considered as gradations. $^4$ Jer., tr. Yoma, chap. iii. § 2; B., tr. Pesahim, fol. 94. $^5$ It results, according to this verse, that the sun had risen when Lot had accomplished four miles to Zoar: the time is thus measured. $^6$ For according to a passage of the Midrash Rabba, it was five miles (see Bereshith Rabba on this passage). $^7$ See last note but one. $^8$ Mr. Goldberg's interpretation, as mentioned above (p. 3), serves also to explain this passage: "The presence, at dawn, of the planet Venus may cause an error; sometimes she appears, and may be seen early before the close of the day, and sometimes she is seen late in the morning, after the day has already broken." What then is meant by the term אָנְגֶל הַשָּׁמָיִם (found in Ps. xxi. 1)? "It resembles two rays starting from the East, &c." There is indeed a musical instrument or lyre, the summit of which is provided with two horns or rays, so to say. See the Jewish Journal Maggid, l.c. spots of light starting from the east to diffuse the light. R. Hiya Rabba (the great) and R. Simon ben Halaphtâ were one morning walking in the valley of Arbel, and they noticed the dawn darting its rays of light; R. Hiya said to his companion: Master, this represents to me the salvation of Israel; at first it is slightly perceptible, but it increases as it advances. Many examples of this are to be seen in the Bible: "When I sit in darkness, the Lord shall be a light unto me" (Micah vii. 8); and again in the history of Esther: Mordecai was at first only seated in the king's gate; then Haman took the king's robe and the horse, &c.; then Mordecai returned to the gate of the king, and again came out from the presence of the king in royal apparel, and the Jews had light and gladness. The opinion (aforesaid) of R. Hiya is conformable with that of R. Juda: for it has been taught, in the name of the latter, that to traverse the firmament it would take fifty years$^9$. Now, a man of ordinary speed can traverse forty miles a day; therefore during the time that the sun takes to arrive at the middle of the firmament, that is, a journey of fifty years, a man would have accomplished four miles. This is equivalent to saying that the breadth of the firmament to be traversed (with reference to the sun's progress) represents a tenth part of the day. As the breadth of the firmament is a journey of fifty years, so also the breadth of the earth, including the depths thereof, is a fifty years' journey. Why? The following verses seem to prove it: "It is he that sitteth upon the circle of the earth," &c. (Isa. xl. 22); and: "he walketh in the circuit of heaven" (Job xxii. 14); and again: "when he set a compass upon the face of the depth" (Prov. viii. 27). Now, the identity of the terms (גָּלִיל) demonstrates the comparison (between these three objects). It has been taught: The tree of life$^1$ was of such a length that it would have taken five hundred years to go over it; R. Juda, in the name of R. Elae, said: It is not by adding the extent of the branch, but the trunk itself is of this length; and all the rivers of the Creation spring from its feet. Allusion is made to this by the verse, "And he shall be like a tree planted by the rivers of water" (Ps. i. 3). It is further taught$^2$: The tree of life represents the sixtieth part of the garden, and the garden the sixtieth part of Eden; it is also said: "And a river went out of Eden to water the garden" (Gen. ii. 10); the garden therefore represents only a part of Eden. The bottom or overflow of a coor (κόρος, measure) may be put into another --- $^9$ It must not be forgotten that astronomy had not made great progress at this epoch, and it was still thought that in the morning the sun issued from the firmament. See B., tr. Pesahim, fol. 95 b. $^1$ See Bereshith Rabba, chap. iv.; Debarim Rabba, chap. ii.; Medrash Haazith, or on Canticus vi. 2; Medr. Shohar tob, chap. i. $^2$ See B., tr. Tuanith, fol. 10 a. measure called a tirkab; in the same way as the residue of Ethiopia is received by Egypt; that is equivalent to saying that: If it requires forty days to traverse Egypt, it would require more than six years for Ethiopia. The Rabbis say: "The length of life of the Patriarchs gives the sum of the distance of heaven from the earth." As there is between heaven and earth a journey of five hundred years, so there is the same distance between one heaven and another, and its breadth is the equivalent of it. And who is it who tells us that this is the breadth of heaven? R. Aboon says: It is written (in Gen. i. 6): "And God said, Let there be a firmament in the midst of the waters; let it be exactly in the middle of them." Rab said: The heavens were humid the first day, and they were dried on the second. Rab also says: The words, let the heavens be, mean "let the heavens be solid," as they congeal, let them be hard and let them extend. R. Juda ben Pazi thus explains the word יִתְהַר: "Let the heaven be like a garment spread over the earth;" this is similar to what is said (in Exod. xxxix. 3): "And they did beat the gold into thin plates" (which has the same meaning as "extend"). It has been taught, in the name of R. Joshua, that the thickness of the heavens is of two fingers. It is, then, R. Hanina's opinion which is under discussion; R. Aḥa thus explains, in the name of R. Ḥanina, the following verse: "Hast thou with him spread out the sky, which is strong, and as a molten looking-glass?" (Job xxxvii. 18). The term "spread out" indicates that they are made like a plate. One might have thought the sky was not thus formed (but was primitive); that is why the word consolidated is used. To show that they (the heavens) are unalterable, they are said to be like a molten looking-glass, that is to say, that at all times they seem to be newly molten. R. Yoḥanan and R. Simon ben Lakish conversed on this subject. The one said: Man spreads his tent on stakes. --- 3 This contains 3 kab: a coor contains 30 sāʿ, each sāʿ containing 6 kab; therefore a tirkab = $\frac{1}{60}$ of a coor. 4 The foregoing note of the measures: coor and tirkab form the proportion 1 to 60, which is applied to the relation of Ethiopia to Egypt. If, therefore, it requires 40 days to travel through Egypt, it would require, to travel through Ethiopia, $40 \times 60$, or 2400 days, or 6 lunar years and 276 days (1 lunar year = 354 days), or 6 years 210 days (solar years of 365 days): the Talmud calls this 6 years and more. Therefore those editions of the Talmud which fix it at 7 years are erroneous. 5 In allusion to Deut. xi. 21: "That your days may be multiplied, and the days of your children in the land which the Lord swore unto your fathers to give them, as the days of heaven upon the earth." There is in the term "as the days of heaven" (נִמְיָר), a combination of words, which it is impossible to translate. The said sum is composed thus: Abraham 173 years, Isaac 180, Jacob 147—total, 500. Cf. Bereshith Rabba, sect. xv. (fol. 13, col. 2); B., tr. Ḥagigā, fol. 13 b. 6 There are supposed to be seven higher heavens. which end by falling asunder; whilst of the heavens it is said: "He spreadeth them out as a tent" (Isa. xl. 22); and they are said to be consolidated$^7$. R. Simon ben Lakish said: Usually, when things are made of molten iron, they later on attach themselves by rust; but here it is not so; the heavens always appear to be newly molten. Referring to this last remark, R. Azaria interprets the verse: "Thus, the heavens and the earth were finished, and all the host of them. On the seventh day, God ended his work which he had made;" "and God blessed the seventh day" (Gen. ii. 1 and 3). What follows? "These are the generations of the heavens" (Gen. ii. 4). What relation is there between these two points? It means that the days, weeks, months, and years pass without changing; as it is written: "These are the generations of the heavens and of the earth when they were created, in the day that the Lord God made the earth and the heavens" (that is to say, that nothing was changed). Rabbi says: There are four watches in the day and four in the night$^8$; the time called $\delta\eta\epsilon$ is $\frac{1}{2}$ of the hour; the moment $\frac{1}{2}$ of the $\delta\eta\epsilon$; and the instant $\frac{1}{2}$ of this last. Its length is, according to R. Berakhia, in the name of R. Ḥelbo, the time it takes to utter it; according to the wise men, it is the twinkling of an eye. According to Samuel, it is the 56,848th part of an hour$^9$. R. Nathan says: There are three watches, for it is said "In the middle watch" (Judges vii. 12), and there can be no middle watch excepting there are three. R. Zerikan and R. Amé, in the name of R. Simon ben Lakish, say that Rabbi has, in confirmation of his opinion, the verse: "At midnight I will rise to give thanks unto thee, because of thy righteous judgments" (Ps. cxix. 62); and it is also written: "My eyes prevent the night watches" (Ps. cxix. 148). This proves that at midnight two watches at least have yet to run, say four in all. R. Hiskia, or R. Zerikan, and R. Aba were conversing; the one explained the origin of Rabbi's opinion, and the other the origin of R. Nathan's. According to the former, it is based on the word "midnight" (being the hour at which at least two watches have yet to run); the latter rests on the expression "middle watch" (which only admits of there being three). How does R. Nathan explain R. Rabbi's interpretation of the first verse? Sometimes, said he, David was up at midnight, and sometimes also "his eyes prevented the night watches," in the following manner: When David had supped royally (protractedly), he rose only at midnight; but when he supped alone (without ceremony), "his eyes prevented the night watches," i.e. he rose before the second of the three watches (at ten o'clock); the morning, however, never found David in bed. He says so himself: "Awake --- $^7$ See Bereshith Rabba, sect. xii. (fol. 15, col. 3). $^8$ See Babli, the same tr., fol. 3 b and 7 a, and 'Aboda Zara, fol. 4. $^9$ As an hour contains 60 minutes, or 3600 seconds, or 216,000 tierces, the fraction $\frac{56,840}{216,000}$ is equal to at least 4 tierces, or nearly $\frac{1}{13}$ second. up, my glory; awake, psaltery and harp: I myself will wake early” (at daybreak) (Ps. lvii. 9). In other words: Let my glory awake to sing that of the Most High; my glory is nothing before His majesty; I awake the dawn, and it is not the dawn that awakes me. His weakness prevented him, by saying: Kings are accustomed to let the dawn wake them, and thou gettest up before it, or to sleep until the third hour (nine o’clock), and thou risest at midnight. It is, he says, to praise the decisions of His mercy. What did David do? R. Pinchas, on the authority of R. Éliézer bar R. Menahem, said: He took the harp and psaltery, and placed them under his head; at midnight he rose and played on these instruments, so that those of students should hear him. What did they say of it? This: If the king occupies himself at this hour with the laws and religion, how much more should we do so. R. Levi said: A harp was suspended at David’s window in order to wake him; the north wind blew on it$^1$, and caused it to play of its own accord. It is written: “As the minstrel sings” (2 Kings iii. 15), not with him, but sings spontaneously, i.e. the instrument. How does Rabbi$^2$ answer Nathan, who rests his opinion on the words middle watch? R. Hooná said: According to Rabbi, the end of the second and the commencement of the third form, together, the night. But, said R. Manu, is that an answer? Is it written, the middle hours (towards the middle watch), or a middle$^3$ hour? It has been answered that the first watch does not count; for, people in general are still awake. “The wise men say: until midnight.” R. Yossa, on the authority of R. Yohanau, says: This opinion serves for a rule. This Rabbi ordered the students of the Law to come and recite the Shema’ before midnight, and then to proceed to study (for fear of missing the proper hour whilst arguing). This proves two things: 1st, that this opinion serves for a rule; 2nd, we may conclude that some words are added after the blessing which follows the Shema’$^4$. It has been taught that: he who reads the Shema’ in the Temple in the morning has fulfilled his duty; but not so he who does so in the evening. Why this difference? According to R. Hooná, by the authority of R. Joseph, the evening Shema’ should be said at home, in order to drive out --- $^1$ Is this not analogous to the Eolian harp? See B., tr. Synhedrin, fol. 16; Tanhuma, sect. Behaalothechka; Rabba on Num. xv.; Ruth Rabba, chap. v.; Ekha Rabbati; or on Lam. ii. 18. $^2$ Who states that there are four watches and not three. $^3$ Midnight is therefore in the middle of the second watch, between ten and two o’clock. $^4$ According to him it is not necessary to bring together the formula of the deliverance and the ’Amida. We shall speak of this further on. the bad spirits (demons); this proves that nothing is added after the first blessing (contrary to the preceding opinion, and the formula which follows refers to the nocturnal demons). This is the opinion of R. Samuel bar-Nahmani; when he proceeded to calculate the embolismic year, he paid a visit to R. Jacob Gerosa. R. Zeira hid himself then in the garret, and he heard the Rabbi repeating the Shema' until he fell asleep. Why so? R. Aḥa and his son-in-law R. Taḥelifta, on the authority of R. Samuel bar-Nahman, say: It is in virtue of the verse, "Stand in awe, and sin not; commune with your own heart upon your bed, and be still. Selah." (Ps. iv. 4.) It is the opinion of R. Joshua bar-Levi which is under discussion, for he read psalms after the prayers (as is done now, in our time). It has, however, been taught that nothing is said after the blessing. That is so for the morning blessing. And indeed R. Zeira, on the authority of R. Jeremiah, says: In three cases, the ceremonies should follow on without interruption; the slaughtering (of the sacrifice) after the imposing of the hands; the blessing after the ablution; the Prayer ('Amida) after the section recalling the Deliverance of Israel. 1st, After the imposing of the hands, the slaughter: "And he shall put his hand upon;" and "he shall kill it" (Lev. i. 4, 5). 2nd, After the ablution, the benediction: "Lift up your hands (when they are clean) in the sanctuary, and bless the Lord" (Ps. exxxiv. 2). 3rd, After the Deliverance comes the Prayer: "Let the words of my mouth, and the meditation of my heart, be acceptable in thy sight, O Lord, my strength, and my Redeemer" (Ps. xix. 14). And again: "The Lord hear thee in the day of trouble" (Ps. xx. 2). R. Yosse bar-Aboon said: He who slaughters the sacrifice immediately after imposing the hands on it, does not run risk of the sacrifice becoming unworthy of service; he who pronounces the formula of the blessing immediately after the ablution is certain of escaping Satan during meals; and he who recites the 'Amida immediately after the formula of the Deliverance, has nothing to fear from Satan for the whole day. R. Zeira gives an example which is contrary to the assertion: Having stopped immediately after the Deliverance, to recite the 'Amida, he was taken into the king's service and commissioned to carry myrtle to the palace. Rabbi! said the others to him, it is a great favour; many people pay to visit the interior of the palace. R. Ame says: Who does he resemble, who does not recite the 'Amida immediately after the Deliverance? He resembles a favourite who knocks at the king's door; the king opens to see what he --- 5 How then could this Rabbi allow himself to break this prohibition? 6 See Debarim Rabba, chap. ii.; Toledoth Aron, chap. xxi.; Midrash on the Psalms, chap. i.; B., tr. Menahoth, fol. 93. 7 See B., on the same treatise, fol. 42. 8 As we shall see, the 'Amida includes prayers of supplication. 9 He shall come to no harm in eating. wants, and if the solicitor goes away, the king withdraws his friendship from him. "R. Gamaliel says: until dawn, &c." His opinion is conformable to that of R. Simon, who taught as follows: Sometimes the Shema' is said twice running, once before dawn and once after, and therefore both the day and night's duty are accomplished. If R. Gamaliel is of R. Simon's opinion, as regards the evening, is it so with regard to the morning? Or is he of the same opinion as R. Zeira, brother of R. Hiya bar-Ashia and of R. Abba bar-Hanna, according to whom, if a person recites the Shema' with the priests on duty at the Temple, the prescription is not fulfilled, because it is said too early? (The question is not decided.) 2. (1.) [The following is a case in support of R. Gamaliel's opinion:] It happened that his sons came from a feast (potatio$^1$) after midnight. They said to him: "We have not yet recited the Shema'." He answered them: "If the pillar of the morn has not yet risen, you are bound (obliged) to say it." Has R. Gamaliel, who questions the opinion of the (other) Rabbis, acted upon his own opinion? Has he not questioned the opinion of the Rabbis, in doing, however, as they did? Has not R. Akiba acted in the same manner? And R. Simon ben Yohai, is he not in the same case? When did R. Meir, whilst acting in the same way as the Rabbis, differ from their opinion? Where has he been inconsistent? In the following case, viz.: It has been said$^2$ that in case of sickness, a compress may be made of old wine and oil perfumed and mixed with water, when the mixture of the oil and wine has been made on the previous day, but not if the mixture has not been made beforehand. R. Simon ben Eliezer says that R. Meir allowed the mixture to be made on the Sabbath, to be applied to the patient afterwards. When, subsequently, he fell ill himself, he would not permit this to be done. Master! said his pupils; living, thou now annullest thine own opinion. Although, he replied, I am not severe towards others, I am so to myself, as other Rabbis dispute my opinions. On what occasion did R. Akiba, although questioning the opinion of others, still conform to them? On the following occasion$^3$: A house is rendered impure$^4$ by the presence of the --- $^1$ On the word פָּתִיָּה (which Lebrecht translates as Hochzeitmahl, wedding feast), see Frankel, Monatschrift, 1864, p. 265. $^2$ These works are forbidden on the Saturday; B., tr. Shabbath, fol. 134a; Jer., ibid. chap. xiv. § 3, end. $^3$ Mishna, 1st part, tr. Shebiith, chap. ix., and Oholoth ii. 6; Tosselta, ibid. chap. iv. (see following notes, 4 and 5). $^4$ I.e. fragments which make a whole. spine and skull of two distinct corpses; or by the same quantity of bones, or by a member of two corpses$^5$, or by the flesh of two persons still living, or by a quarter of a measure of the blood of two corpses; this is the opinion of R. Akiba, but not of the wise men. One day, a basket of bones was brought from the village of Tobee, and was exposed in the courtyard of the Temple of Lood$^6$. The Doctor Todros entered, followed by all his colleagues, and he said: There is here neither the spine nor skull of a corpse (which would cause a defilement); but, as some are of opinion that the united members of two corpses are supposed to render the whole impure, we will take a vote. The vote was commenced by R. Akiba, who declared that it was pure (according to the wise men): "If thou hadst declared it to be a defilement, we should have agreed with you; but since thou sayest there is no defilement, we agree the more readily." When does R. Simon, while adopting the opinion of the Rabbis, still question it? In the following case$^7$: R. Simon says that it is allowable to gather all young shoots (at the commencement of the year of repose, shmetah, or seventh), excepting those of the Carob tree, for it has not its like among the plants, and those which have grown at the end of the sixth year cannot be distinguished from those of the seventh year: the wise men forbid it. R. Simon was one day, during the sacred year (Shemita, seventh), crossing the fields, and he saw some one gathering the young shoots of that year; he said: Is this not forbidden? Are they not young shoots? On the contrary, was the answer; hast not thou allowed it? Yes, replied the Rabbi; but as my condisciples contest my opinion, you must apply here the following verse: "Whoso breaketh a hedge, a serpent shall bite him" (Eccles. x. 8)$^8$. In fine, R. Gamaliel also questions the decision of the Rabbis; but at the same time adopts it (with regard to the time of the reading of the Shema'). This discrepancy between theory and practice may be thus explained: When it is read too late, it is only done so by way of study. But it may also be said after dawn (this answer is thus refuted). Another answer may be that, as a rule, the opinion of the wise men may be adopted, i.e. not to --- $^5$ It is known that the presence of a corpse in the house was formerly a cause of defilement, according to Jewish law. See Num. xxxi. 19. Here the question is to know what quantity constitutes a defilement. $^6$ The Talmud often confounds Lodkia (Laodiceum), Lydda or Lod (Diospolis), and Lydia, capital Sardes (Neubauer, Géographie du Talmud, pp. 80 and 216); but here Lod is evidently a locality in Palestine, as it is said that a basket of bones was brought from Tobee into the Temple yard at Lood. The village of Tobee has beyond all doubt been identified with the existing place Kefr Tab, noted by M. de Sauley on the road from Ramleh to Jerusalem via Koubceibeh (Voyage, vol. i. p. 81). $^7$ See tr. Shebiith, ibid., and B., tr. Pesahim, fol. 51 b. $^8$ I.e. in theory he holds a contrary opinion; but in practice he forbids it as do the other Rabbis. go beyond midnight; but in the case of R. Gamaliel’s sons returning from the feast, it was past midnight, and therefore impossible to follow this rule, so Gamaliel said to them: Act according to my own opinion. 3. Besides that recitation, anything, the performance of which has been limited by the wise men to midnight, may legally be accomplished up till the pillar of morn ascend (till dawn). 4. The combustion of fats$^9$, or of the parts or members of certain sacrifices, as well as the consummation of everything which has the day for a limit$^1$, may also be effected up till dawn. If so, why do the Sages say: until midnight? In order to withhold men from transgression (by forestalling the limit). We have learnt that to this enumeration must be added the consumption of the Paschal lamb; some say that this is wrong. Who are those who make this addition? The Rabbis$^2$. Who is it who holds an opposite opinion? R. Éliézer. What is his motive? He says that the word night as used (in Exod. xii. 12) on the occasion of the death of the first-born, and which is applied to the Pasehal lamb, indicates, analogically, the hour of midnight. R. Hoona says: It would be impossible, even according to the Rabbis, to extend in this case, at Easter, the limit beyond midnight; for this sacrifice, as it has been said, defiles the hands after midnight (as being late, it is with even greater reason forbidden to eat of it after this hour). “The consummation of anything which has the day for a limit, &c.” This means holy things of a secondary degree (they follow the same rule). “To withhold men from transgression.” If the limit is extended to dawn, it might occasionally happen that the --- $^9$ Lev. vi. 2, and vii. 2. We know that Mahometanism resembles very closely Judaism in rites and ceremonies; it is therefore curious to know the Mussulman prescriptions with regard to the immolation of sacrifices. According to a Spanish manuscript in the Bibliothèque Nationale, containing a Traité des croyances, des pratiques et de la morale des Musulmans, No. 91 (see Analysis by Silvestre de Sacy, in the Notices et Extraits des Manuscrits, vol. xi. 1st part, p. 324), we read in chap. xii. of this manuscript: “The time at which sacrifice should be offered is, from the time the sun has risen at the hour called addhoha until sunset; the hour called dhoha is that at which the sun has already risen a little above the horizon.” See Chrestomathie Arabe, by this author (2nd edition), vol. i. p. 162. $^1$ Lev. vii. 15. $^2$ See Mekhilta, sect. Bō, chap. vi.; B., tr. Pesahim, fol. 85 and 120. presence of dawn had not been observed, and thus these sacred things might be consumed too late (which is forbidden); but in fixing midnight for a limit, there would be no sin in going a little beyond the hour. 5. (2.) From what time do we recite the Shema' in the morning? When blue may be distinguished from white. According to R. Éliézer, when one can discern betwixt blue and leek green (which is more difficult). This prayer may be finished until the sun shine forth$^3$, or until the third hour (nine o'clock), according to R. Joshuah$^4$, for such is the custom of royal princes to rise at the third hour. He who recites the Shema' after this hour loses nothing. He is like a man reading the Law (it has the same merit as the reading of an ordinary passage of the Law). It has rightly been taught that it is necessary to be able to distinguish the blue threads of the tsitsith (fringes) from the white. What are the Rabbis motives? It is written: "Speak unto the children of Israel, that they make them fringes" (Num. xvi. 38), and "that ye may look upon it" (Num. xvi. 34). R. Éliézer says: The white threads must be distinguishable from the blue. According to R. Meir, it is written: "That ye may look upon it"$^5$; to show that he who accomplishes the prescription of the fringes, looks as it were to God. Now, the blue threads resemble the sea, and the sea the plants, and the plants Heaven, which itself resembles the Throne of Glory, which has been compared to a sapphire. For it is written: "And above the firmament that was over their heads, was the likeness of a throne, as the appearance of a sapphire stone" (Ezek. i. 26). By others, the words "Thou mayest look upon it" are interpreted: that a man may be able to distinguish his neighbour at a distance of four cubits. According to R. Hisda, the latter idea predominates. What is the consequence? A person with whom one is familiar may be recognized at a much greater distance, whilst a stranger cannot be distinguished even close at hand. In what case, therefore, can this interpretation be applied? In the case of a person little known, such as an unfrequent guest, $\xi\epsilon\nu\sigma\varsigma$. Others say: It implies that it must be possible at that distance to distinguish a wolf from a dog, or an ass from an onager; and according to others a friend should be recognized at a distance of four cubits. The theory of the comparison between a dog and a wolf, or the ass and the onager, is propounded by the same person who, as mentioned above, demands as a test the power of --- $^3$ At the moment of the projection of the sun's rays. $^4$ See for division of hours, above, p. 1, n. 3. $^5$ See Sifri, sect. Shlah, on Num. xv. 38; Med. Rabba in Num. iv., and B., tr. Sôla, fol. 17. distinguishing blue from green (it is the more difficult one). And again the same person who proposed blue and white as test colours, advocates the theory of the recognition of a friend at four cubits distance (it is the easier test, and requires less light to accomplish it). The reading of the morning Shema' has been prescribed for the hour at which the sun darts its rays, so that the prayer 'Amida may immediately follow the passage relating to the Deliverance, and be said by daylight. R. Zeira says: I see the motive (it is indicated in Ps. lxxii. 5): "They shall adore thee at the rising of the sun." Mar 'Ookba states that zealous people (ἐὐθέκος) rose at the first hour and recited the Shema', and then the other prayers, so as to finish at the time that the sun darts its rays. R. Juda relates that he was once walking behind R. Eleazar ben Azaria and R. Akiba, who were speaking on religious subjects. R. Juda says: When the time for reciting the morning Shema' arrived, and after I had said it, I thought they had forgotten it in their pre-occupation. I recited it a second time; but they did not commence it until the sun's rays touched the summits of the neighbouring hills. "This prayer may be finished until the sun shine forth." R. Zabdi, son of R. Jacob bar-Zabdi, on the authority of R. Yona, says that it should be said only when the sun's rays scintillate on the mountain-tops. "According to R. Joshua: until the third hour (nine o'clock)." R. Idi, R. Hamnonia, and R. Ada bar-Aḥa, speaking by the authority of Rab, say that the above opinion has regard to those who had forgotten to say it. R. Hoona says: This was the object of a discussion between two amora'im, of whom one quoted the above precept to the other, who had forgotten to say the Shema'. But the other made the following objection, viz.: Is it possible to establish a rule for one who forgets to pray? If the opinion of R. Joshua is to serve for a rule, it must be an absolute rule for all. Yes; but this subject has been mentioned, so that every one may take care to recite the Shema' in proper time. It has been taught$^6$, that while studying (the Law), the studies must be interrupted in order to say the Shema', but need not be interrupted to say the 'Amida. R. Aḥa says: The Shema' is prescribed by the Pentateuch, but not so the other prayer. R. Aba says: There is a prescribed time for the Shema', but not for the 'Amida. R. Yosse says: The Shema' does not exact such undivided attention as the 'Amida. Rabbi makes an objection with regard to R. Yosse: Admitting, he says, that the Shema' does not exact a very great $^6$ Cf. J., tr. Shabbath, i. 1 bis (fol. 3 a). attention, do not the first three verses of it exact it? Yes, was the reply; but as they are very short, they are read with earnestness$^7$. R. Yohanan, on the authority of R. Simon ben Yohai, says$^8$: When we are studying the Law, we do not interrupt our studies, not even for the Shema'; but, adds he, speaking now on his authority: we (I) who are not assiduous in our studies, interrupt them even for the 'Amida. Each of these opinions is in conformity with the several views of the above-mentioned Rabbis; for R. Yohanan has said: Please God that man prayed all day$^9$, for a prayer is never valueless. And R. Simon ben Yohai says: Had I been on Mount Sinai, at the time that the Law was given to Israel, I would have asked God to give man two mouths, one to read the Law, and the other to speak about ordinary affairs. He adds: If with one mouth man has so much difficulty to withstand' calumniators, what would be the result if man had two? R. Yosse said, in the presence of R. Jeremiah: R. Yohanan's opinion is in conformity with that of R. Hanania ben Akabia, for it is said: The writers of the rolls of the Pentateuch$^1$, of the phylacteries, and of the mezoozoth (sign of door-post), must stop to read the Shema', but not the 'Amida. R. Hanania ben Akabia says: As they interrupt their labours for the one, they ought also to do so for the other commandments of the Law. Does not R. Simon admit that the studies should be interrupted to perform the Soocca or the Loolab (two ceremonies of the Feast of Tents)? Is he not of opinion that one should not study if there is no desire to execute$^2$ ? (i.e. What is the use of studying the Law and the religious ceremonies, if one does not fulfil them?) For, in that case, it were better not to be created. And R. Yohanan, does he not say, regarding those who study the Law without acting accordingly, that it would be better for him that his mother's womb had closed on him, and he had never been born? R. Simon ben Yohai replies, that both precepts$^3$ are of the same order, and one cannot annul the other. Has it not, however, been said that he who reads too late, does so without regard to its liturgical value? Does this not show that, at an opportune moment, the prayer should precede study? This is quite true; but, says R. Juda: As R. Simon ben Yohai gave himself up continually to study, this was preferred. R. Aba Mare says that a late reading of it has only the same value as a Biblical study; but read at a seasonable --- $^7$ And their contents require attention. $^8$ Babli, tr. Shabbath, fol. 11 a. $^9$ See above, § 1 (p. 2). $^1$ J., tr. Biccurim, iii. 3. $^2$ They derive from the word, שְׁנֵי הַמִּשְׁכָּנִים, as says the Grand Rabbi Trénel (Univers Israélite, 1872, p. 373). The question is whether the study of the Law is to be interrupted in order to read the Shema. Raschi explains it thus: Should he on that account rebel against the destructive implements, shears and knives? $^3$ See Wayyikra Rabba, chap. xxv. moment, it has the same value as the Mishnâ. R. Simon ben Yohai is consistent in his opinions: To read the Bible, says he, is a secondary merit. According to the Rabbis, it has the same value as the Mishnâ. 6. (3.) The Shammaï school says: In the evening all men are to recline when they recite the Shema’, and in the morning they are to stand up, for it is written (Deut. vi. 7): “When thou liest down and when thou risest up.” But the Hillel school says: Any one may read it in his own way (in whatsoever position he prefers), for it is written: “in going thy way” (Deut. vi. 7). If so, why is it said: “When thou liest down and when thou risest up”? That means: When mankind usually lie down, and when mankind usually rise up. We have seen that Hillel explains the two verses. How does Shammaï explain the verse on which his adversary bases his opinion? His opinion is that it serves to exclude him who occupies himself with religious subjects and the bridegroom. One day, R. Elazar ben Azariah and R. Ismael were staying in a house together; the former was in bed, and the other still up. When the moment to recite the evening Shema’ arrived, the one rose (according to Shammaï), and the other bowed down. R. Elazar ben Azariah said to the other: We are acting like the man who, being complimented on his long beard, replied that he grew it in opposition to those who shave themselves; in the same manner, I who was lying down rose up to say the Shema’, and thou who wast standing up didst bow thyself down. Thou, answered the other, didst rise in conformity with the opinion of Shammaï, and I have done the contrary, as permitted by Hillel; or, also I acted thus so that the disciples should not think, by my example, to follow and make a rule of Shammaï’s opinion. 7. (4.) R. Tarphon said: I was travelling, and having bent down to recite the Shema’ according to the words of the school of Shammaï, I was in danger of robbers, ληστῆς (not having seen them soon enough). The Sages said to him: Thou wast guilty against thyself (didst deserve to be in danger), because thou didst transgress the words of the school of Hillel. The wise men say, on the responsibility of R. Yoḥanan, that the words of the --- 4 For fear of forgetting the Mishnâ, which was learnt by heart, it was made to prevail. Cf. J., tr. Sabbath, xvi. 1 (fol. 15 c); Horæiioth, iii. 5 (fol. 43 c). 5 Motion is incompatible with standing still or lying down. 6 Both are dispensed. 7 J., tr. Synhedrin, chap. xi. § 4 (6); tr. ’Aboda zara, chap. ii. § 8. Rabbis compare favourably with those of the Law, and are as agreeable as they are: "Thy taste is like unto that of good wine" (Canticles viii. 10). According to Simon bar-Aba$^8$, speaking on the authority of R. Yohanan, they resemble those of the Law and are preferable to them, for "thy loves are better than wine" (Canticles viii. 10)$^9$. Here is the proof of it, says R. Abba bar-Cohen, on the authority of R. Juda bar-Pazi: If R. Tarphon had not read the Shema', he would only have transgressed an affirmative prescription, punishable by a slight penalty; whilst in reading it as he did, contrary to Hillel's judgment, he rendered himself liable to be punished by death, in virtue of the verse, "He who breaketh a hedge (the Law), a serpent shall bite him" (Eccles. x. 8). R. Ismael teaches that: The orders of the Pentateuch contain either prohibitions or permissions, the first are of importance (solemn), the latter are not; but the words of the Doctors are always so. We will prove this: We have learnt that the negation of the precept of the phylacteries, which is an opposition to the Law, is not a sin (for it is only necessary to consult the text to know that it exists); but he who would put five sections to it (instead of four), and thus add to the orders of the Doctors, would be condemnable. R. Hanania, son of R. Ada, on the authority of R. Tanhoom bar R. Hiya, says: The decisions of the elders have more value than those of the Prophets; it is written: "They shall prophesy$^1$; but they shall not prophesy for those whom shame doth not quit;" and: "I shall predict for thee wine and drink." To what may be compared the Prophets and the wise men? To two couriers$^2$ sent by a king to a distant province; with regard to one, he writes that: If he presents himself without my seal and stamp, $\sigma\mu\alpha\nu\tau\iota\rho\iota\nu$, he is not to be trusted; but with regard to the other, he writes: That he may be trusted without producing these tokens. Also is it said with regard to the Prophets: "And he giveth thee a sign or a wonder" (Deut. xiii. 2); whilst on the other hand it is written: "According to the sentence of the law which they shall teach thee" (this is their superiority), "thou shalt do" (Deut. xvii. 11). This, however, is not decided until after a bath-kol$^3$ has been held; before that, if any one wishes to act severely, and to adopt as rules the solemn opinions of Shammaï and Hillel, he merits to have applied to him the verse, "The fool walketh in darkness" (Eccles. ii. 14) (for these --- $^8$ The text has $\aleph\aleph$. The $\aleph$ and the $\aleph$ are doubled when these two letters are to be pronounced as consonants ($w$ and $y$), not as vowels ($oo$, $i$); so says M. Jos. Derenbourg, Revue Critique, 1872, p. 114, note. $^9$ By the words "thy tastes" and "thy loves" are meant the Rabbis. $^1$ That is to say, the wise men; they will expound the Law. $^2$ Literally (according to J. Lévy, Neuh. Wörterbuch, s.v.), two notaries of the army ($\pi\omega\lambda\epsilon\mu\omega\sigma$ and $\nu\omega\tau\alpha\pi\omega\sigma$, notarius, for the Aramaean term in the Talmudic text). $^3$ Literally, "a daughter of voice" (echo from the Heaven). See General Introduction. opinions sometimes differ). It would be impious, on the other hand, to adopt the opinions of one or the other, choosing those which are the easiest. It would have been right to follow sometimes the easiest, and sometimes the most difficult decisions of one or the other school. This applies only in so far as the bath-kol had not spoken; but since it has declared for Hillel, the decisions of Hillel are law, and the transgressor of them merits death. It has been reported that the bath-kol has said: The decisions of all of them are the words of the living God; but Hillel's opinion predominates. Where has this been revealed? At Yabne, as says R. Bivi, on the authority of R. Yoḥanan. 8. (4.) In the morning, two benedictions are said before the Shema' and one after it; in the evening, two blessings before and two after it, one long and one short. Where the Sages have said to lengthen (that a long prayer is ordered), it is not allowed to shorten, and to shorten, none is allowed to lengthen; when it is to be terminated by the closing formula (Be thou praised, Lord), it is not allowed not to close (to suppress this formula), and vice versa. R. Simon, on the authority of R. Samuel bar-Nahman, says: This arrangement of the prayers is made in virtue of the verse, "and in his law doth he meditate day and night" (Ps. i. 2); the meditation of the day and of the night should be equal. R. Yosse bar-Abin, on the authority of R. Joshua ben Levi, says: That it is in virtue of the verse, "Seven times a day do I praise Thee, because of Thy righteous judgments" (Ps. cxix. 164). R. Nahman adds: He who accomplishes this precept of praising God seven times, does as well as if he meditated on the law day and night. Why are the two sections of the Shema' read every day? R. Levi and R. Simon have both replied. R. Simon says: Because each section recalls the precept to read it going to bed and at rising. R. Levi says: "Because in them the Decalogue (Exod. xx.) is recapitulated. Thus: 1st, "I am the Lord thy God" corresponds to "Hear, O Israel, the Lord is our God." 2nd, "Thou shalt have no other gods before Me," to "The Eternal is one." 3rd, "Thou shalt not take the name of the Lord thy God in vain," to "Thou shalt love the Lord thy God;" for, if you love the King, you will not take a false oath in His name. 4th, "Remember the Sabbath and sanctify it," to the words "that thou mayest remember." --- 4 I.e. before Hillel's opinion had definitely prevailed. 5 A long blessing begins and ends with the words, "Blessed art thou, O Lord;" a short blessing only ends with these words. 6 I.e. As in the evening the third section of the Shema', devoted to the sight of the Tsitsith, cannot be applied in the evening, it is replaced by another benediction. Rabbi adds: It is this precept about the Sabbath which is equivalent to all the others, for it is written: "Thou hast made known unto them Thy holy Sabbath, Thou hast given them commandments and laws," &c. That shows that it is worth all the religious prescriptions. 5th, "Honour thy father and thy mother," to the words "so that thy days and those of thy children be multiplied"7; 6th, "Thou shalt not kill," to the words "Thou shalt soon perish;" for he who kills shall be killed. 7th, "Thou shalt not commit adultery," to the words "You shall not follow the desires of your hearts or of your eyes;" for, says R. Levi, the heart and the eyes are the seducers8 which draw men towards sin (being the organs of covetousness), for it is written (Prov. xxiii. 26): "My son, give Me thy heart, and thy eyes shall follow My ways;" the Most Holy (may He be blessed!) says: "If thou givest Me thy heart and thine eyes, I know that thou art Mine." 8th, "Thou shalt not steal," corresponds to the words "Thou shalt reap thy wheat, and not thy neighbour's." 9th, "Thou shalt not bear false witness against thy neighbour," to the words "I am the Eternal Lord thy God;" and it is said, "the Eternal God of truth." And what is the meaning of this last word? R. Aboon says: That he is the living God and the King of the universe. R. Levi says: The Most Holy has said that to bear false witness against one's neighbour is equivalent to the blasphemy of denying God as the Creator of heaven and earth. 10th, "Thou shalt not coret thy neighbour's house," to the words "And thou shalt write them upon the posts of thy house" (and not of the house of thy neighbour). It has been taught9: The head of the section of the Temple told the priests to give a benediction, and the assistants answered. What benediction did they give? According to R. Matna, on the authority of Samuel, it is the benediction of the Law; then, the Decalogue was read and the three sections of the Shema'. R. Ame, on the authority of R. Lakish, says: That shows that omitting the benedictions (which accompany the Shema') does not hinder the recitation. R. Aha says: That proves nothing; for the Decalogue is like the integral part of the Shema' through its contents (and constitutes no interruption). And R. Matna and R. Samuel bar-Nahman say: The Decalogue should be recited every day as a prayer; why is it not done so? It is not to give the enemies of religion cause to suppose that the Decalogue alone has been revealed to Moses on Mount Sinai. R. Samuel bar-Nahman, on the authority of R. Juda bar-Zebda, says: It would be well if the chapters of Balak and of Bileam were read every day by the faithful; it is not done, for fear of fatiguing them. And indeed in this chapter, according to R. Hoona, is found the mention of the setting and the rising of the sun (Num. xxiii. 24); and according to R. Yosse bar-Aboon, the --- 7 That is, the reward spoken of in the Decalogue, about the respect towards parents. 8 See Matt. xv. 19; Mark vii. 21. Cf. B'midbar Rabba, chap. x. 9 Mishna, v., tr. Tamid, v. 1. coming out of Egypt and the Royalty (Num. xxiii. 22). According to R. Eliezer, this episode should be said, because it is found in the Pentateuch, in Prophets (Micah vi. 5), and in the Hagiographs (Neh. xiii. 2). It was therefore the master of ceremonies who ordered the benedictions, that the assistants repeated: first, the benediction of the Law, Akaba (second of morning prayers); but the first blessing had not yet been said? R. Samuel, brother of R. Barakhia, answers that the light of the sun not having appeared just then, one could not, in praising God, call him "Creator of the lights" (so its place is changed). On the Saturday, a blessing is added for the company of guards who go out (in their turn). What is this prayer? According to R. Helbo, it is the following: "May He who resides in this house (God), place in the midst of you fraternity, friendship, peace, and good intercourse." Samuel says: If any one has risen early to study the Law before the recitation of the Shema', he must say the formula of the benediction (of the Law); after the Shema', it is no longer necessary (for the benediction of the Shema' is an exemption). On condition, adds R. Aha, that the study takes place immediately after the prayer. R. Hoona says that: If the subject be of the Exegesis, the formula must be said; but if it be a legal subject, it is useless. R. Simon says: It must be recited in any case. R. Hiya bar-Ashe relates this: When we were studying before Rab, either Exegesis or Jurisprudence, we used to say the formula of prayer. If the Shema' is read with the other persons, on service in the Temple, the duty has not been accomplished, for the priests said it at a late hour (on account of their labours). R. Zeira, in the name of R. Ame, says: In the time of R. Yohanan, we would go out on the days of fast, and read the Shema' after the third hour (9 h.), without any one forbidding us to do so. R. Yosse and R. Aha also came out on those days, and the Shema' was read in public after the third hour. R. Aha wished to oppose himself to this custom. R. Yosse said to him: They have already read it at the proper time, and they only repeat it to recite the 'Amida afterwards. It is because of the people, answered R. Aha, that I oppose myself to it, so that they may not suppose it is the proper hour for this reading. These are the offices that may be lengthened: those of the New Year, of the great pardon or public fasting. It is when he prays that the learned man may be distinguished from the ignorant. Here are the short prayers: those of the precepts concerning the enjoyment of fruit, the counsel about the thanksgiving after meals, and the end of these thanksgivings. Does that mean that all the others may be lengthened? No, says Hiskia: From what has been said about prolongation being a bad quality and abbreviation a good one, it may be concluded that there are no fixed rules (the category for short ones is, then, unlimited). On a fast day, the formula for the Deliverance of Israel in the 'Amida must be lengthened (by adding 'Anénoo, &c.). Does that mean that, for the other six medial prayers, the addition does not take place (contrary to the rules)? R. Yosse answers: So that it might not be supposed that this prayer, which forms part of the 'Amida, should not be prolonged, it has been necessary to proclaim the precept of this prolongation (on fast days). The following are the formulae of the blessings, during the reading of which the people bend down: at the commencement and the end of the first blessing of the 'Amida, and at the last but one, which is the blessing of thanksgiving. Those who bow down at each blessing are informed not to do so. R. Isaac bar-Nahman, on the authority of R. Joshua bar-Levy, says: The high priest bows down at the end of each blessing; the king at the beginning and end. R. Simon says, on the same authority, that the people bend a little, and do not stand erect again until the prayer is ended. Why? Because it is written: "When Solomon had made an end of praying all this prayer and supplication unto the Lord, he arose from before the altar of the Lord from kneeling on his knees" (1 Kings viii. 54). There is a difference between genuflection$^1$ and prostration. R. Hiya the Great, in demonstrating to Rabbi the first way of bending down, became lame, but was afterwards cured. On the other hand, R. Levi bar-Sissi, whilst demonstrating the second style, became incurably lame. "With his hands spread up to heaven" (1 Kings viii. 54) is said there. R. Aibo adds that he held himself like a gouty person (i.e. a little bent forward). This proves, says R. Abina, that his hands had not at all benefited by the construction of the Temple. R. Halaphta ben Shaul taught that every one should bend forward with the officiating priest, when the end of the thanksgiving is being said. R. Zeira said: No, they should only bow at the word Mōdīm; he followed the officiating priest word by word, so as to prostrate himself at the same time as he did, at the beginning and end of the sections. When R. Yossa went to Palestine, he noticed them bowing down and reciting certain words in a low voice, and asked what they were saying. Why should he have been astonished? Did he not know what had been said by R. Helbo, on the authority of R. Yohanan and of R. Jeremiah, by R. Hanina on the authority of R. Maysha, and by R. Hiya on the authority of R. Simai; or as others say, the condisciples on the authority of R. Simai? The following is the formula: "We acknowledge ourselves (humbly) before Thee, Master of all creatures, God worthy of praise$^2$, Rock of the world, living Being of the universe, Author of creation, Thou who raiseth the dead to life, that Thou wouldst preserve the life Thou hast given us, that Thou wouldst pardon us our sins, support us, and permit unto us to render thanks to Thy name; be praised, O God, worthy of praise." R. Aba bar-Zabdi pronounced, on the authority of Rab, a different formula: "We humbly acknowledge that we must give thanks $^1$ J., tr. Soueça, v. 4. $^2$ See the Jewish Prayer Book, 'Amida, sect. 17 (18). unto Thy name; my lips shall greatly rejoice when I sing unto Thee, and my soul which Thou hast redeemed (Ps. lxxi. 23); be praised, O Lord, worthy of praise.” R. Samuel bar-Mena, on the authority of R. Aha, said: “Praises and thanks unto Thy name; Thine is the greatness, Thine is the power, Thine is the majesty; may it please Thee, O Lord our God, and God of our forefathers, to support us in our fall, and to lift us up out of our humiliation, for Thou supportest those who fall, and Thou straightenest those who are bowed down$^3$, Thou art full of mercy, and there is no other but Thee; be praised, O Lord, who art worthy of praise.” Bar-Kapara said: “We must kneel, bow, and prostrate ourselves before Thee; before Thee all must bend the knee, and every tongue shall invoke Thee. Thine, O Lord, is the greatness, and the power, and the glory, and the victory, and the majesty; for all that is in the heaven and the earth is Thine; Thine is the kingdom, O Lord, and Thou art exalted as head above all. Both riches and honour come of Thee, and Thou reignest over all; and in Thine hand is power and might; and in Thine hand it is to make great, and to give strength unto all (1 Chron. xxix. 11, 12). With all our heart and soul we prostrate ourselves. All my senses say: O God, who is like unto Thee? Thou deliverest the poor from out of the hands of him who is stronger than him, and Thou defendest the needy from him who useth violence to him. Be Thou praised, O Lord, who art worthy of praise.” R. Judan said: The Rabbis have the habit of saying all these (which they said in a low voice); but other Rabbis say: they recite sometimes a formula, and sometimes another of these formulas (i.e. only one). It is not right, as a rule, to bend down too low. R. Jeremiah says that it is not right to do as some do$^4$, but all parts of the body should be bent, so that all our organs should adore him. On this point, the opinion of R. Hanan bar-Aba is contested. He said to his colleagues: I am going to tell you of a beautiful thing; it is to have seen that Rab bowed down in this manner, and I told Samuel of it. He thereupon got up and embraced me. One should bow in saying Be Thou praised, and stand up straight again when arriving at the name of the Lord. Samuel said that the reason of it is that it is written: “The Lord raiseth them that are bowed down” (Ps. cxlvii. 8). R. Ame said: That does not seem right to me; should we not bow in uttering this name, for it is written: “and was afraid (was bowed down) before My name” (Mal. ii. 5)? No, said R. Abin; if it had been written, at My name, it would have been right to bow down in uttering it; but as it is written “before” My name, we must bow before uttering it. R. Samuel bar-Nathan, and R. Hama bar-Hanina relate that a certain priest, whilst officiating, bowed down too low, and was in consequence --- $^3$ Allusion to 1 Chron. xxix. 11. $^4$ For when they bow, they do not bend their necks. interdicted by order of Rabbi. R. Yohanan says that he was made to come down, and R. Hiya bar-Aha says that he was only reprimanded. The blessings which commence by the formula Praised be God, are as a general rule those terminating by barookh, &c. If two blessings follow one another, as for example in the Shema' and 'Amida, this formula is not used. But, objected R. Jeremiah: Why is this formula used in the blessing of the Deliverance (called Easter evening), although another blessing follows? That is different, for R. Yohanan says: If the reading of the Hallel$^5$ has been heard at the Temple, it may be dispensed with (for in this case, the Hallel not being repeated, the formula would be isolated). R. Eliezer objected to R. Yossa: How does the end of this same benediction also contain this formula, although it follows the other so nearly? R. Yossa answered that these two parts are distinct, one bears reference to the future, the other to the past. May not the same objection be made for the habdalla (prayer that separates the Saturday, or festivals, from the week)? It is also different, for R. Aba bar-Zabdi said that Rabbi recited them separately, and afterwards together with his glass in his hand$^6$. R. Hiya Rabba said them (at once) together. The invitation to the blessing for the meal (which presents the same difficulty) is also explained, for if only two persons are eating together, they do not say what precedes the thanksgiving. As for the end of the first section of this thanksgiving (which wrongly contains the formula referred to), it is a question not yet decided. In the same manner for the benediction of the fourth section of the meal, it is thus expressed, because, according to R. Hoono, it was composed (alone) at the time of the burying of the warriors of Bethar: The word tōb (good, therein contained) is recalled there, because these bodies had no bad smell$^7$,—and by the word hametib (benefactor), thanksgivings are offered to God because they have been interred. The formula of sanctification (kiddoosh) of Saturdays and festivals begins in the same manner (although it is very close to other benedictions); it is so because it sometimes happens that whilst sitting drinking on the preceding evening before night, the festival has been sanctified without interruption, and, consequently, without reciting the formula of the benediction of the wine (that is to say, alone). As for the formula of the end, if it seems to be in contradiction with the above rule, it is because, according to R. Mena, it represents the general rule (typus) of the benedictions. R. Judan says: If the benediction is short, it begins by the words, Praised be Thy name, O Lord; but it does not finish thus. If it is long, it begins and finishes in the same manner. All the blessings proceed according to their terminations, $^5$ The rest of the Psalms, from cxiii. to cxviii., is recited at the service of the festivals and of the new moons. $^6$ To say the habdullah. $^7$ Though they had remained some time without a sepulture. See hereafter, vii. 1. but not according to the intercalated verses$^8$. R. Isaac bar R. Eliezer objected to R. Yosse: If it is agreed that the benediction should be regulated according to its termination, why not say that it should refer to the verse? This is what is meant by the words, "according to the end." If in the morning one had by mistake read a benediction for the evening, and that on finishing one say the exact end of the morning prayer, the duty is accomplished$^9$. R. Aha says: All the benedictions take a direction agreeing with the termination of the prayer, and those who add (in the third section of the thanksgiving at the meal) the verse (Isa. xii. 6): "Cry out and shout, thou inhabitant of Zion," do not do so for the sake of the benediction, but optionally. 9. (5.) In the evening prayer, the deliverance of the Israelites out of Egypt is commemorated (Num. xv. 37). R. Eleazar ben Azaria says$^1$: I am almost seventy, and I was never certain that the deliverance out of Egypt should be said at night, until Ben Zoma had expounded it from these words (Deut. xvi. 3): "That thou mayest remember the day when thou camest forth out of the land of Egypt all the days of thy life." "The days of thy life" (generally) represent the day; the addition of the word all also means (includes) the nights. But the Sages say: The days of thy life represent this world (actual life), and the word "all" means the days of the Messiah. Although invested with high authority, Eleazar lived many years; but according to the general rule, honours shorten life. At Babylon, it was taught that the third section of the Shema' must not be said at night (Num. xv.); however, if it has been begun, it must be continued (according to the wish of Ben Zoma). But the Rabbis of this place (Jerusalem) say that from the outset, the first verses of this section are begun to be read without finishing them$^2$. The Mishnâ is in contradiction with the opinion of the Rabbis of Jerusalem, since it says that at night, the coming out of Egypt is recalled (which seems to imply the reading of --- $^8$ That is to say, in the benedictions the recitation is regulated by the end of them. In the morning, when making the ordinary recitation, a benediction of the evening had been read by mistake, and that on finishing one finds out the mistake, if the last words of the morning's benediction are said, that is sufficient. It is useless, in this case, to recite the Bible verses that refer to the subject developed in the benediction, and to use at the end the final expression: Praised be God! &c. Cf. J., tr. Taanith, ii. 3. $^9$ See B., tr. Pesahim, fol. 104. $^1$ See Sifri, sect. Rech, chap. cxxx., end; Mekhilta, sect. Bâ, chap. xvi. $^2$ That is to say, the verses relating to the Tsitsith are omitted, the precept not being applicable to the night, and they pass to the verses relating to the Deliverance out of Egypt. all the chapter). R. Aba or R. Juda, in the name of Rab, say that the words of the Mishnâ only refer to the following formula: "We thank Thee that Thou hast brought us out of Egypt, and that Thou hast delivered us out of bondage, that we may praise Thy name." Does not the Mishnâ also seem to contradict the opinion of the Rabbis of Babylon $^3$, when it gives us to understand that the third section is only applicable to the day? And, indeed, the entire section is only applicable to the day (because of the verses relating to the tsitsith, but the others are also said in the evening). R. Aba bar-Aha went to Babylon, and he saw that this reading was begun and entirely finished, and he has not heard it said that the beginning of the third section should not be read, and it is only necessary to finish it if the reading has been begun by mistake. The Rabbis of Jerusalem say that this section should be begun but not ended (that is to say, the particulars relating to the tsitsith, not applicable to the night, are left out). It has been asked of R. Aha bar R. Zeira: How his father did? Did he act up to the opinion of the Rabbis of Palestine, or those of Babylon? R. Ezechias says: He followed the opinion of those of Jerusalem, and R. Yose followed that of the Rabbis of Palestine. R. Hanina says: This last opinion seems to be the right one; for R. Zeira acted with great severity, as also did those Rabbis (of Babylon); it proves that he was of their opinion. It has been taught that he who reads the Shema' in the morning must, in the blessing that follows, recall the Deliverance out of Egypt, according to Rabbi; the almighty power of God must be recalled; and finally, according to others, the passage of the Red Sea, and the death of all the first-born must be called to mind. R. Joshua ben Levi says: All these facts must be mentioned, and the words "Rock of Israël and its deliverer." He also says: If the gift of the Law has not been mentioned in the second section of the blessing of the meal, it must be repeated. Why? Because it is said (Ps. cv. 44): "He gave them the lands of the heathen." To what end? "That they might observe His statutes, and keep His laws." R. Aba bar R. Aha, on the authority of Rab, says: If in this section the marriage of Abraham has not been recalled, or if in the third section the mention of the reign of David has been omitted, it must be repeated. R. Ilia has said: If the words "consoler of Jerusalem" have been said, that is sufficient. Bar-Kappara says: He who (in the prayer) says Abram instead of Abraham, transgresses an affirmative prescription $^4$. According to R. Levi, it is also a negative prescription; this opinion is taken from the verse (Gen. xvii. 5), "Neither shall thy name be called Abram." The positive order --- $^3$ They say, as it has just been mentioned, that if the reading of the first verses has been begun, it must be continued, contrary to the rule formerly in use, according to the Mishnâ, not to say them again in the evening. $^4$ It is therefore inseparable. $^5$ See Med. Rabba on Gen. xlvi, and Num. iii. is contained in these words: "But thy name shall be Abraham." But, it was objected, Have not the men of the great Synagogue called him Abram? Is it not said (Neh. iv. 7): "Thou art the Lord God, who didst choose Abram"? This is different, and means that when he was only Abram (before the divine revelation), "thou didst choose him." And likewise, if Sarah is called by the name of Sara'ī, do they transgress a commandment? Yes, it was prescribed to Abraham. If that is so, why, when one calls Israel by the name of Jacob, is not the prohibition violated? Because this second name has been added without suppressing the first. Why, after changing the names of Abraham and of Jacob, was not the name of Isaac also changed? Because the names of these two patriarchs was given them by their family, whereas that of Isaac was given by God; for it is said (Gen. xvii. 19): "Thou shalt call his name Isaac." Four persons have received their names before their birth, viz.: Isaac, Ismael, Josias, and Salomon. It was said of Isaac: "Thou shalt call him Isaac;" of Ismael: "Thou shalt call him Ismael" (Gen. xvi. 11); of Josias: "Behold, a child shall be born unto the house of David, Josiah by name" (1 Kings xiii. 2); of Salomon: "And he called his name Salomon" (2 Sam. xii. 24). Up to the present we have spoken of godly people; but of the ungodly it is said: "For the wicked are estranged from the womb" (Ps. lviii. 3). Ben Zoma says: In the future, it will not be necessary for Israël to recall the departure from Egypt. Why? Because it is said: Therefore, behold the days come, saith the Lord, that they shall no more say: The Lord liveth, which brought up the children of Israël out of the land of Egypt; but they will say: The Lord liveth, which brought up and which led the seed of the house of Israël out of the North Country. The Doctors answered: That does not mean that the fact of leaving Egypt will be set at nought; but it will be secondary with regard to future events. It is said (Isa. xliii. 18): "Remember ye not the former things," that is to say, of the Egyptians; "neither consider the things of old," that is to say, the (mimical) kingdoms. It is also said: "Thou shalt not be called Jacob, but thy name shall be Israel." The Doctors observed: That does not mean that the name of Jacob will be annihilated, but it will be added to that of Israel, which will be the principal, whereas that of Jacob will only be accessory. The following verse: "I will do a new thing, now it shall spring forth" (Isa. xliii. 19), alludes to the war of Gog. To explain the subject better, it is given as a fable. What is it like? To a person who meets a wolf on his way; he escapes, and begins a tale about a wolf. Then he meets a lion, from which he escapes, whereupon he forgets the tale about the wolf, to relate his adventures with the lion. Finally he meets a serpent, and escapes; he then forgets the first two adventures to tell a tale about the serpent. It is thus for Israel; the two last misfortunes have caused the first to be forgotten. See Medrash Mekhilta, sect. Bō, chap. xvi.; Pirké R. Eliezer, chap. xxxii. CHAPTER II. 1. If any one is reading in the Law (studies the passage of the Shema' in the Pentateuch) when the time for the recitation arrives, it will be sufficient if one's attention is given to the reading (in a devotional manner); but if not (in the contrary case), he is not free (this reading is not sufficient). At the end of the sections one may be the first to salute the persons out of respect, and one can answer their bow; but in the middle of a section one must neither give nor answer a salute, except from fear (in a case of danger$^1$). It is the opinion of R. Meir. R. Juda says: If one is in the middle, he salutes from fear; and, to honour any one, it is only allowed to answer; but at the ends of the sections he salutes out of respect, and repeats peace to every man. R. Aba says: This assertion of the Mishnâ (that it is sufficient to apply one's attention if by chance one is reading the Pentateuch) proves that the want of the blessing is not an obstacle to the accomplishment of this duty$^2$. R. Yossa says: "If it is admitted that the blessings are indispensable, if they have been said (before or after), you must apply yourself to all; if it was not understood, it would have been necessary to say also that in the Mishnâ it is forbidden to interrupt oneself between the sections of the Shema' (and that is difficult in an accidental reading, because of the interval which separates them), and yet nothing has been said of that; in the same way, although nothing has been said about the blessings, they must be recited with attention. The contrary opinion of R. Aba is proved by what follows: R. Aba says, in the name of R. Juda: It $^1$ The interruption of a prayer, unless it be unavoidable and indispensable, constitutes an irreverence to God, that a feeling of respect easily explains; and on the other hand, it must not be forgotten what an importance the Orientals attach to a salutation, and to what danger it exposed the Jews in the midst of the Romans. $^2$ Since, in the hypothesis of the Mishnâ, it is only supposed that reading the Pentateuch one arrives at the time for prayer at the Shema', without having made the preparatory prayers. is sufficient to apply oneself to the reading of the first section, without having done so for the second section (it is the same, with more reason, for the benedictions). What difference is there on that account between these two sections? It is, says R. Hanina, because all that is written in one section is also contained in the other. If it is so, why read more than one? The first, says R. Ilia, is applied to the individual alone, the second to the community (because it is written in the plural, as an address to the people); the first contains the theory, the second the practice$^3$. Bar-Kapara says: It is sufficient to apply one’s attention to the three first verses. In fact, it has been taught that one’s attention must be applied in this recitation as far as the words “you will inculcate them” (my precepts); after which the simple reading is sufficient$^4$. R. Hoona, R. Oori, R. Joseph, R. Juda, in the name of Samuel, say: You must during this reading assume the celestial sovereignty by remaining standing (as a sign of respect). What! if one is sitting, must one rise? (Is it not contrary to the opinion of Hillel?) However, if one is walking, one should stop still for a time (to give more solemnity to one’s expression). It has been taught that the sound of the word \textit{אֶחָד} (one, in the first verse of the Shema’) should be lengthened. R. Nahman bar-Jacob says that one should only lengthen the pronunciation of the end of this word. Somkhos bar-Joseph says: He who lengthens the pronunciation of this word shall see his days and his years prolonged in happiness. R. Jeremie lengthened this sound far too much: Thou needst not insist so much, said R. Zeira; it is sufficient to give it the necessary time to acknowledge (mentally) the reign of God in Heaven, on the Earth, and the four cardinal points. Rab asked R. Hiya the Great: How is it that I do not see Rabbi assume upon himself the celestial sovereignty? He answered: When thou shalt see him put his hands on his face, he will be accomplishing this act of submission to God. But, asked Rab, must he not recall the departure from Egypt (which I do not see him do at present)? It is not possible, answered he, that he should not say a few words (and that suffices). R. Tabiome asked of R. Hiskia: Can you not conclude from Rabbi’s manner (putting his hand on his face at the beginning of the Shema’), that it is sufficient to apply one’s attention during the first verse? No, answered Adda; it has been taught that the attention must be applied as far as the words “you will inculcate them.” R. Meira says, in the name of R. Juda, or in the name of R. Yosse the Galilean$^5$: If one has interrupted oneself during this recitation long enough to finish it all, $^3$ Because therein these words are found: You shall practise them (the divine precepts). $^4$ There is a play upon the word \textit{שְׁמַרְתֶּם}, which signifies at the same time to \textit{inculcate} and to \textit{repeat}, or read again. $^5$ Cf. J., tr. Meghilla, chap. ii. § 1 (fol. 73). the duty is no longer accomplished entirely (and you must begin again). R. Aba and R. Jeremie, in the name of Rab, said: This opinion has been adopted as a rule, for it was stated in the name of R. Juda, who had it from R. José the Galilean. R. Yohanan, on the authority of R. Simon ben Yehozadak, adds that it is the same thing concerning the reading of the Hallel⁶ and of the Meghilla (history of Esther read on that festival). Aba bar R. Hoona and R. Hisda were sitting together; and they said concerning this same subject, that it is so when the Shophar is rung (at the New Year). They went to Rab’s study, and they heard R. Hoona say in the name of Rabbi, that even if one has heard the nine peals of the Shophar in the space of nine hours of the day (say each peal at an hour’s interval), the duty of listening is considered accomplished. R. Zeira says: When I was at Babylon, I inquired about it, and I learnt it on arriving here (at Jerusalem). R. Yosse, in the name of R. Yohanan, says: It is even allowed to have heard these sounds at any time in the day, as long as the order of the peals has been observed⁷. R. Yosse asks: If there are, says he, two listeners, one of whom should hear (according to his order) a single short note at the beginning, and the other listener a similar note at the end, can the same sound serve at once for the two persons who are listening? (The Talmud has not answered the question). In like manner R. Elazar ben Hanania⁸ asks: If in the reading of the Shema’ and its benedictions, or of the Shema’ without its benedictions, or of the benedictions without the Shema’, one has interrupted oneself a quarter of an hour; then after having resumed the reading, if there has been a second interruption as long, is it judged after the time this person takes to read it⁹, or is it considered according to the time others might take? Is the reading null, or should it be resumed? R. Matna answers: It seems that they count according to the time this man would take. R. Abahoo asked R. Yohanan: If, whilst I am reciting the Shema’, I happen to pass near an impure place, and that I interrupt myself on that account, can I, without failing in my duty, content myself by continuing? My son, answered Abahoo, if thou interruptest thyself during a space of time sufficiently long to read it all, thy duty is not accomplished. R. Eliezer went to see R. Simon bar-Abba, who was ill. The latter addressed him a question: If, because of my weakness, I happen to sleep in the midst of my reading of the --- ⁶ See above, p. 25, note 5. ⁷ Here is this order: 1st, Tegia’ (a single, short note); 2nd, Trooa’ (a quavering, longer note); 3rd, a new Tegia’. Cf. J., tr. Rosh Hashana, iv. 10; Gr. R. Woguc, Traduction du Pentateuque, Lev. xxiii. 23 (t. iii. p. 297, note 2). ⁸ For his genealogy, see Derenbourg, Essai, §v., note x., p. 472. ⁹ According to the Mishnâ at the head of this chapter, the interruption does not annul the accomplished duty. Shema', am I exempted from reading it again? Yes, answered he. R. Jeremie asked of R. Zeira: Has R. Eliezer decided this case in this way, because he knows that R. Simon bar-Aba observes scrupulously the divine prescriptions, and that he applies his attention thereto (even in his delicate state of health), or else did he think he ought to make an exception in favour of his particular weakness? It is in a peremptory manner that R. Eliezer judged this case, answered he (therefore, even if it should happen that a healthy man should fall asleep, he need not begin again). It is a question that has been discussed: R. Eliezer says that this reading is sufficient; R. Yohanan is of a contrary opinion. However, the discussion only relates to the reading of the Shema', for which the interruption is allowable, because it is composed of sections (which do not follow in the Pentateuch). But, for the reading of the Hallel and the Story of Esther, R. Eliezer submits to the opinion of his contradicitor. It has been taught: He who interrupts himself to ask after the health of his master, or of any one who is more learned than himself, may act as he pleases. That proves that one must render homage to those who are superior in science. It is again seen by the following: If any one tears his clothes at the news of a decease (according to the lawful prescription), and that the person who was thought dead comes back an instant to life, then finally dies, it is not necessary to operate a second laceration, if the definitive death took place immediately; but a second one is necessary if an interval of time has elapsed since the false announcement. What do you call "at once"? The time necessary to say a word. But what is its duration? R. Simon, in the name of R. Joshua ben Levi, says: It is the time that elapses when you present (short) salutations to your neighbour. Abba bar-bar-Hana says, in the name of R. Yohanan: It is the time that a disciple would take to present his salutations to his master, saying (in three words), "I bow, to thee, my master." R. Yohanan leant on Jacob bar-Idi whilst they were walking; as soon as R. Eliczer saw them, he hid himself. There are two offences, said R. Yohanan, on the part of this Babylonian: first, he does not bow to me; and then he cites one of my opinions without naming me. Such, was answered, is the custom with them, that the inferior does not bow to the superior; thus they apply the verse: "The young men saw me, and hid themselves" (Job xxix. 8). As these two rabbis continued on their way, they saw a schoolroom. Here, said R. Jacob (to console him), R. Meir sat when he explained the subject of study; he expounded a doctrine in the name of R. Ismaël, but he repeated another in the name of R. Akiba, without naming him. It is because, said R. Yohanan, every one knows that R. Meir was his disciple. The same for thee, answered he; every one knows that R. Eliezer is thy disciple. Is it allowed to walk before a cursed 1 J., tr. Moël qaton, iii. 7 (fol. 83 c, d). 2 J., tr. Sheqalîm, chap. ii. § 7 (fol. 47). idol? What! answered R. Yoḥanan, will you render him that honour (of turning aside)? Pass before, and shut your eyes. So, R. Jacob adds (if it is rendering honour to turn aside), R. Eliezer has done well not to pass before thee. O Jacob bar-Idi, replied R. Yoḥanan, thou art an adept at soothing all vexations. But R. Yoḥanan wished that what he had taught should be proclaimed on his authority. It is also the favour that David begged for: "I will abide in Thy tabernacles for ever" (Ps. lxi. 4). R. Pinḥas and R. Jeremie, in the name of R. Yoḥanan, added this explanation: Did it ever enter the mind of David to live eternally? Certainly not. David only asked as a future honour that his words should be repeated as in his name in the synagogues and schools. What enjoyment will that procure him? Levi bar-Nezira says: When after his death the sayings of a man are repeated, his lips move at the same time in the tomb. Where do they learn that? From a verse that says: "He causes the lips of those that sleep to move" (Cant. viii. 10); as, in the vat, the wine flows all alone from the grapes. R. Ḥanina bar-Papai and R. Simon also explain it: one says that it seems to him as if he drank spiced (conditum) wines; the other, as if he drank old wine, the good taste of which still remains in the mouth long after it has been drunk. There is no generation which has not its scoffers. What did they do in David's time? They went before his windows, and cried out ironically: David! at what epoch will the Temple be built? When shall we go into the house of the Lord? And the king answered: Although you intend to irritate me, I swear that my heart is full of joy. It is also what is said: "I was glad when they said unto me, Let us go into the house of the Lord" (Ps. cxxii. 1). On the words "And when thy days be fulfilled" (2 Sam. vii. 12), R. Samuel bar-Nahmeni thus expressed himself: The Most High said to David: I will accord thee a complete life, and not a mutilated and uncompleted life; verily, it is thy son Solomon who shall build my house. Is it not to offer sacrifices therein? I prefer to them that which thou doest: the exercise of justice and equity. And what proves it is the verse: "To do justice and judgment is more acceptable to the Lord than sacrifice" (Prov. xxi. 3). "At the end of the sections." For what causes (insufficiently determined in the Mishnā) ought one to reply to the salutations? Is it only in case of danger, or to render honour to --- 3 Cf. B., tr. Synhédrin, fol. 90 b. 4 See Medr. Rabba on Deut. v. 5 J., tr. Rosh Hashana, i. 1. 6 This question of the Talmud is addressed to the two suppositions given by the Mishnā: that of an interruption between the sections of the Shema' or of the blessings accompanying it, or of an interruption in the middle of the prayers themselves. any one. It can be decided from this: At the end of the sections, it is said, one may be the first to give the salute in case of danger, and one should also answer a salutation, according to R. Meir; that proves that in the interval between the sections, one can bow, and the more so if it is to render honour (if it was not so, the second hypothesis need not be expressed). The second supposition is explained by the reverse: In the middle (of a section), it is said, the salutation may be expressed in case of fear, and he can also answer to a salutation. And in what case may one answer? Is it only in a case of danger, or to render an honour? What follows solves the doubt: R. Juda says: In the middle, one addresses the salutation in a case of danger, but one can answer if only to render an honour (it is understood that one answers in a case of danger, since in that case one may begin to give the bow). That proves that, for the hypothesis of R. Meir (in the middle), one addresses the salutation in a case of danger, and one only answers for the same reason (for if one were allowed to answer in the middle, even to render honour, his opinion would be the same as that of R. Juda). Until now, we have only spoken of the middle of the sections (supposing that means between the verses). But is it the same thing for the middle of the verses? R. Jeremie made signs in this case (but did not speak). R. Yona answered verbally, because, according to R. Hoona and R. Joseph, this permission is expressed in these words: thou shalt speak, אָמַר, contained in the Shema'; these words mean that even in the middle of a verse one may speak (when it is indispensable). 2. This is what is called the intervals of the chapters: between the first and the second benediction, between the second and the words of the Shema' (Hear, O Israel), between each of the three sections of the Shema', between that and the blessing after it. According to R. Juda, between the last section of the Shema' and the benediction that follows, none is to pause. R. Levi says that R. Juda intends to bring together in this way the last words of this section: "I am the Eternal, thy God," with the first word following, truth, according to the verse: "The Eternal God of truth" (Jer. x. 10). 3. (2.) R. Joshua ben Korḥa asks: Why are the sections disposed thus? That one may first take on himself the kingdom of Heaven, --- 7 Num. xv. 37-41. 8 He forbids the interruption there. 9 Literally: Why does the (section) "Hear" precede "and it shall come to pass"? Why not say at the last those which, in the Bible, are the last? before he take on himself the yoke of the commandments (express one’s faith, then one’s adhesion to the precepts of the Law). The passage (of Num. xv.) which forms the third section (although coming first in the Bible) is placed the last because it is only adapted to the day$^1$, whereas the second (Deut. xi. 13-21) has no limit (may be practised by day and by night). R. Ḥanina says, on the authority of R. Yohanan: Why is it prescribed that the men should wear phylacteries, read the Shema’ and pray (the ’Amida)? It is in order that he should entirely accept the divine yoke$^2$. Rab points out another order: One should read the Shema’, wear the phylacteries, and pray. Does not the next Braitha seem to be in opposition to the opinion of Rab in the following case: If any one is in the act of burying a corpse when the hour for the reading of the Shema’ arrives, he must retire into a pure place, put on the phylacteries (first), read the Shema’ and pray (therefore, the order is not the same)? No; Rab (in opposition to the Braitha) agrees with the Mishnâ; it only says that man should, before anything else, make a profession of faith, and then an act of adhesion to the precepts of the Law (contained in the second section of the Shema’). R. Yanaï says: When one puts on the phylacteries, one should be pure in body$^3$; and why does one not keep them on (all day)? Because of the hypocrisy (of those who, wearing them all day$^4$, wished to make believe in their piety). Here is an example: A man entrusted his neighbour with a deposit, but he denied having received it. “It is not in thee, the robbed man exclaimed, that I put my faith, but in these objects (the phylacteries) that thou wastest on thy head.” R. Yanaï, after an illness, wore them three days consecutively$^5$, meaning thereby that illness effaces sin. What is the proof of that? This verse: “He forgiveth all thine iniquities, and healeth all thy diseases” (Ps. ciii. 3). R. Yohanan ben-Zaccai removed the phylacteries neither summer nor winter, and --- $^1$ It contains the precept to wear and to “look upon it,” i.e. the fringes (Num. xv. 39). $^2$ That is to say, when he is clothed in the insignia of Religion, נִשְׂרֵפָה, then only he will say his prayers. These phylacteries contain, in a leathern case, four sections of the Pentateuch written on parchment, meaning: Exod. xii. 1-10; xii. 11-16; Deut. vi. 4-9; xi. 13-21. To these divisions are attached, according to traditional prescriptions, straps of leather dyed black. One of these divisions, called “that of the head,” is fixed on the forehead by a knot formed beforehand by these straps. The other division, called “of the hand,” is attached by a running knot to the left arm, above the elbow, and one rolls the strap round the arm seven times, and then round the fingers. $^3$ B., tr. Shabbath, fol. 130 a. $^4$ Idea exposed in the Gospel (Matt. xxiii. 5). $^5$ See Midrasch Shohar Tob on Psalm c. his disciple R. Eliezer followed his example. In summer, as R. Yohanan did not bind his head with a turban, he wore both; whereas in winter, as he wore a turban to protect himself from the cold, he only wore those of the arm. Was it not forbidden him to wear phylacteries (because of the state of nakedness to which R. Yohanan reduced himself in summer, on account of his excessive corpulency)? R. Iliya bar-Abba says: In his home (upon him) he wore a tunic. When he went to the bath, on arriving near the attendant, he took off the phylacteries. R. Isaac says that he put them on again at the house of R. Jacob Tarmossra (far from the baths, at a servant's); they were brought to him as he left the bath, and then he would say to those persons: Two holy arks accompanied Israel in the Desert; that of the Lord and that of the remains of Joseph. The nations of the world were astonished and said: Is it possible that the ark of a deceased mortal should be carried along with the ark of the Eternal Being? It is because, answered Israël, the one obeyed the precepts of the other. Why did he relate this? It was, said R. Hanina, because he wished to speak of the Bible as soon as he left the bath (where it is forbidden). But, objected R. Mana, had he no other Bible story to relate except that one? Yes, and it was with a private intention that he related this fact (to reprove those persons who only wore the phylacteries during their prayers). Joseph, said he, only became a king because he observed the divine precepts, and we only obtained this honour (that conferred by the Law of Moses) because we followed the precepts of God; and you would neglect his commandments! How is the formula for the blessing of the phylacteries pronounced? R. Zerikan, on the authority of R. Jacob bar-Idi, says that for those of the hands, the following words are said: "May He be blessed, who sanctified us by His commandments, and who bade us wear the phylacteries." When they are taken off, one says: "May He be blessed," &c., "to observe his laws." This last formula is said according to the opinion of him who thought that the verse (of Exodus) which recommends the observing of the law relates to our subject. But, as for the opinion of him who admits that same verse refers to the Passover, there is not (for the phylacteries) any precise decision. And so R. Abahoo, on the authority of R. Eliezer, says: He who puts on the phylacteries during the night, transgresses a positive order contained in this verse (Exod. xiii. 10): "Thou shalt therefore keep this ordinance in its season, from year to year" (literally, from day to day); it says: "the day" and not the night, or on ordinary days, excepting the Sabbaths and festivals. Did not R. Abahoo, however, sit during the night, studying the Law, with the phylacteries on his head? No, he had them next to him, as if he had to guard a sacred trust. One may also admit that the verse --- 6 B., tr. Sôla, fol. 13. 7 B., tr. Menahoth, fol. 36 a. 8 J., tr. 'Erooben, x. 1. contains the prohibition of wearing the phylacteries in the night, but not the order to take them off in case they had been worn all the day. It is also said that the duty (of wearing them only on ordinary days) is also deduced from this verse: "And it shall be for a sign unto thee upon thine hand" (Exod. xiii. 9), excluding the Sabbaths and festivals, which are in themselves a religious mark. But does it not appear clearly enough from the words "from one day" (ordinary) to another? Certainly that would suffice; but, as R. Yohanan observes, for every rule that is not expressed in a positive manner, it is right to confirm it by two texts. Elsewhere$^1$, it has been taught: "Women and slaves shall be exempted from reading the Shema', and wearing the phylacteries." The women because it is said: "And ye shall teach them unto your sons" (Deut. xi. 19), and consequently not to your daughters; and as the men receive special orders to study the religious prescriptions, they must also submit to the duty of wearing the phylacteries, whereas it is not so for the women. To this rule it has been objected that Michal, daughter of Saül, wore the phylacteries, and that the wife of Jonas went to Jerusalem on festivals (without being obliged); and yet the wise men did not oppose themselves to either case. (Is not that in contradiction with the former rule? For, if these two examples were forbidden cases, the wise men ought to have opposed themselves to them, according to the principle that forbids to add anything to the Law.) That is true, says R. Hiskia bar-Abahoo; therefore, Michal, daughter of Saül, was advised by the wise men to refrain in future, and the wife of Jonas was brought back home. This has been taught: At the entry of the baths and at the place where every one remains dressed, one can read the Shema' and the 'Amida, and with more reason, one can bow to one's neighbours$^2$; one can wear the phylacteries, and one need not take them off. In the room where the greater number are in a state of nudity, one gives no salutation, and cannot say any prayer; it is necessary to take off the phylacteries (that one might be wearing). In the intermediate room, where some are dressed and others are not, one may bow, but recite no prayer; it is not necessary to take off the phylacteries (if one wears them), but one ought not to put them on before being entirely out of the establishment$^3$. This approves the behaviour of R. Yohanan, exposed by R. Isaac, who only put the phylacteries on again when he was far from there, at the servant's (Jacob Tarmossra). R. Jeremie asked of R. Zeira: Is it the same thing for an establishment that only opens in summer? It is always a bath, was the answer, and considered as an --- $^2$ That is to say: Why seek for a second text to prove this rule? $^1$ 3rd chap. of this same treatise, § 2. $^2$ The salutation implied the pronunciation of a divine name, and had to be made properly. $^3$ Out of respect, one ought not to expose them in a profane place. unclean place, though there is nothing unclean. Mar-'Ookba says: It is like the snout of a pig, which is a moving uncleanliness. R. Youna asked: What is to be said of the uncleanliness which is near the seaside (which being continually washed by the waves, has no bad smell)? R. Ame answered that Assaï has taught R. Jeremie’s opinion, and it is best to try and avoid the dirt without paying any attention. R. Zeira says, on the authority of R. Aba: One may, having the phylacteries on the head, eat something unthinkingly, but not make a meal; one may doze, but not give way to complete sleep. According to the teaching of some, one single blessing is sufficient when one puts on the phylacteries (that means, that if one has only eaten a little, it is not considered an interruption which obliges one to begin again). According to others, one must say the blessing a second time (after having eaten anything, one’s attention being apt to wander). One understands the opinion of him who admits that the first benediction is sufficient, because one supposes that he bears in mind what he wears on him. But how must one explain the opinion of him who says it is necessary to say another prayer? Does not the fact of having eaten with phylacteries on still exist (it would then be necessarily a want of respect towards the religious duty)? R. Zeira answers that Aba bar-Jeremie does not speak of a meal, but of any one who tastes anything (and who, however, blesses it; in that case he does not forget). R. Zeira says, on the authority of R. Aba: One ought not to enter an urinal with holy books or phylacteries in one’s hand. When (in such a case) R. Yoḥanan had a book of homilies in his hand, he would pass it to his pupils; whereas, when he had on the tephilin, he did not take them off. Is not this teaching of R. Aba contradicted by a baraita, which declares the reverse and allows the entrance? No; when it says they must be taken off, it proves that there still remains (afterwards) time enough to put them on again by daylight; in the other case, they should not be taken off; otherwise, one would not accomplish a religious duty by putting them on again (for, at night it is useless to put on the tephilin). Then why be wanting in respect (by not taking them off)? Therefore, R. Aba commands to take them off. As a rule, they were to be confided to a companion; but as one day one of these ran away with them, the custom has been established of putting them in a hole devoted to that use. When through this custom a lamentable accident occurred, it was decided they should be held in one’s hand when entering these places. R. Jacob bar R. Aḥa adds, in the name of R. Zeira: On condition that it is still daylight (on coming out), that they may be put on again; 4 A prostitute carried them off one day, and bringing them to the Temple, accused a student of having given them to her; when the student heard this he killed himself in his despair. See Babli, same treatise, fol. 23 a. in a contrary case, it is forbidden to keep them on, for, far from thus observing a religious precept, one would seem to despise it. Mesha, grandson of R. Joshua bar-Levi, says: He who wishes to act well, places them in his heart on a little bag, according to this text (Ps. xvi. 8): "I have set the Lord always before me." There (at Babylon) it has been taught: that one must not put on the tephilin if one is not like Elisha, the man with wings (that is to say, in a case of danger, as at the time of that celebrated event. A Roman order once interdicted wearing them; a magistrate passed; the Rabbi who had on the tephilin saw him, and took them in his hand; and when the Roman asked him what he was carrying, he answered that they were the wings of a pigeon; and a miracle took place, which metamorphosed them into wings and saved the pious Rabbi, who was near becoming a victim to his religion). R. Zeira, on the authority of R. Abba bar-Jeremie, says: It is forbidden to commit any impropriety in a cemetery, and to him who could act so this text is applied (Prov. xvii. 5): "Who mocketh the poor, mocketh his Creator." R. Hiya Raba (great) and R. Yonathan were walking before the bier of R. Simon bar-Yossi bar-Lekonia, and R. Yonathan jumped over some tombs. R. Hiya Raba said to him: The dead must say to each other that to-morrow those men will be with us, and yet, to-day they inflict suffering upon us. But, answered he, have these dead any understanding? Is it not written (Eccles. ix. 5): "The dead have no understanding"? Thou knowest how to read the Bible, was the answer, but not to interpret it. "For the living know that they shall die" (says the same verse). The wise, even after their death, are still considered as living; and "the dead that know not anything," are the wicked, who during life are already considered as dead. How is that known? By this verse (Ezek. xviii. 32): "For I have no pleasure in the death of him that dieth." Can one say that he who is dead dies again? No, it refers to the wicked, who during life are called dead. And how is it known that the just are called living, even when they are dead? By this text (Deut. i. 6, 8): "The Lord our God spake: Go in and possess the land which the Lord sware unto your fathers Abraham, Isaac, and Jacob," saying, Why add: לְמִנְיָן (saying)? Because God ordered him to go and "say" to the Patriarchs (in Paradise): "All the conditions I have made with you, I will fulfil them after you, towards your sons." If a copy of the Pentateuch has its letters mixed or joined, it is, however, --- 5 B., tr. Shabbath, fol. 130 a. 6 Cf. Medrash on Eccles. ix. 5, and on Gen. xxxix. 7 This passage recalls a passage of the Gospel (Matt. viii. 22). Maïmoni and Spinoza understood the words of the Ecclesiastes in another way, observes Mr. Ad. Franck (Journal des Savants, Feb., 1872, p. 557). 8 So, they do speak after their death. 9 J., tr. Meghilla, i. 9 (11), fol. 71 c; tr. Soférim, ii., end. sufficient according to some (for the duty of reading), and not according to others. R. Idi, in the name of R. Simon or R. Yohanan, says: He who says it is sufficient, supposes the letters are attached at the bottom (which is not a great inconvenience), and he who declares the joined writing inexact, speaks of the case where the letters would be joined at the top; there is only a doubt and discussion in the case where the letters are joined in the middle of the finals (which are long; it would then be impossible to read it). The same Rabbi teaches that one should not pray on a high place, because it is written, according to R. Abba, son of R. Papi: "Out of the depths have I cried unto thee, O Lord!" (Ps. cxxx. 1). He says again: One should not commence praying whilst experiencing a natural want, because it is said: "Prepare to meet thy God, O Israel" (Amos xv. 12). R. Alexander says that this text: "Keep thy foot when thou goest to the house of God" (Eccles. iv. 17), means that one should take care to be in a state of complete cleanliness. According to R. Jacob bar-Abai, this text means that one must be clean and pure when going to the Temple. R. Abai thus interprets the verse: Let thy fountain be blessed (Prov. v. 18). "When thou approachest a tomb, be not defiled." R. Berakhia thus explains the verse: A time to be born and a time to die. "Happy is he who when he dies is as pure as at his birth, for then he dies undefiled." 4. (3.) If any one recites the Shema' so low as not to be audible to his own ears (that he cannot hear himself)$^2$, he is legally free (and has nevertheless accomplished his duty); but, according to R. Yosse, it is not sufficient. If he recites it inaccurately$^3$, he is free (it is not necessary to begin again), according to R. Yosse, and it is (necessary) according to R. Juda. He who recites it backwards (irregularly) is not free (not dispensed from a second reading); and he who makes a mistake in his recitation, must begin again at the place where he made the mistake. Rab says that custom adopts as a rule the opinion of any of the above in their easiest meaning. If it were not so, what does your Master Rab wish to teach by that? Is it not a fixed rule that if an anonymous person is not of the opinion of R. Yosse, the former's opinion has the preference? Or else, if R. Yosse discusses the opinion of R. Juda, has the opinion of the latter more weight? Why, then, does Rab say that the opinion of each of them is adopted in its least grave aspect? Because, having heard that R. Hiya had taught this opinion on the --- $^1$ Rabba on Deut. vii. and Eccles. viii. $^2$ Sifri on Deut. vi. 4. $^3$ Literally: without a good pronunciation. authority of R. Meir (so that it was no longer anonymous), it was necessary to state precisely what rule was to be followed in a contested case. It has been taught: "If any one says the prayer ('Amida) too low to hear himself, the duty is nevertheless considered as accomplished." Whose opinion decided that point? That of R. Yosse$^4$. And who is this R. Yosse? He who professes in the Mishnâ an opinion contrary to the anonymous opinion. R. Matna also says: It is this doctor's opinion. And indeed R. Yossah (a namesake of R. Yossah, who came long after him) says: It is not to be believed that the word Shema', which means listen, hear, is the subject which forms the discussion between R. Yosse and the Rabbis, and that for all the other commandments it is not necessary; we are told, on the contrary, that the author of this opinion, according to R. Matna, is R. Yosse; that shows that it is the same thing for the Shema' as for all the other commandments. Why? Because R. Yosse proves it by this verse (Exod. xv. 26): "and will give ear to his commandments" (all); thy ears should hearken to the words thy mouth pronounceth. But then, said R. Hisda, what will a deaf person do when he is reciting? He speaks after his fashion. The opinion expressed in the Mishnâ by R. Juda is in his favour. R. Yossa says it may therefore be concluded that R. Hisda admits that the anonymous opinion which forbids a deaf man to perform the oblations, is R. Yosse's. And indeed R. Hanina, on the authority of R. Hisda, says it is his opinion. R. Yosse bar R. Hoona says: It must be so, for when the enumeration of the first five persons who are not to share in the oblations is made, the deaf are not included therein$^5$. So, failing a contrary opinion, they suppose it is allowed him. It is R. Yosse who forbids it. But (it will be said) that is natural, since the oblation, even if it be already deducted, cannot be made use of. No, that is not natural, for the deaf do not come in the enumeration of the five last persons for whom it is forbidden; finally it must be said that the prohibition for the deaf was made by R. Yosse. --- $^4$ Since in the opinion of the Mishnâ it is a duty which even suffices for the reading of the Shema', it is needless to say that it is the same thing, in his opinion, for the 'Amida, which is less serious. $^5$ In order to understand this deduction well, the following Mishnâ must be seen, it is in the treatise Trumoth (oblations which belong to the priests, chap. i. § 1): "There are five persons who cannot deduct anything from the tithe, for fear of fulfilling the duty insufficiently; these are: the deaf, the mad, children, he who deducts what does not belong to him, and the stranger who takes the oblation from an Israelite's property, even with the owner's permission. The deaf, speaking without hearing, should not partake; but if he has done so, it is valid. Everywhere else, when the deaf are mentioned, the deaf and dumb are alluded to." This opinion does not bear the name of its author, and it may be applied to R. Yosse. Cf. J., Trumoth, i. 1 (fol. 41 c); tr. Meghilla, ii. 5 (fol. 73 b). This is the list of the words of the Shema' to the reading of which one must apply one's attention (so as not to mistake them, because of the concordance of the last letter of the first word with the initial letter of the following word): for instance, לְבַבְךָ לְבַבְךָ, on thy heart;—"the grass in thy field;"—"you will soon perish;"—"at the corner of the raiment, a thread;"—"you of the Earth." R. Hanina, on the authority of R. Aha, adds the expression 'הַנִּשְׁבָּעַ, "that God has promised by oath," to this list. R. Samuel bar-Hanina also adds, on the authority of R. Oschia (the formula of the first benediction of the morning): "Who made the light, and created the darkness;" so that it should not be said: "Who made the light, and created the brightness of the day." R. Haggai, on the authority of Aba bar-Zabda, also adds these words: "There have they sung Thy name," that it may not be said: "They have praised Thy name there." R. Levi R. Abdima from Hipa, on the authority of R. Levi bar-Sisi, says: A stress must be put on the i of the word תְּהִלָּתֶם: "so that ye may remember" (in the third section of the Shema'). R. Yona, on the authority of R. Hisda, says: the words "His grace is eternal," must be pronounced in the same manner (Ps. cxxxvi.). It has been taught$^1$ that the ceremonies must not be performed by the people of Hipa, Baizan, or Tebon, for they pronounce the letter נ like נ, and the י like י (the same philological observation as above); it is only allowed if their pronunciation is correct. "He who reads backwards has not accomplished his duty." R. Yona says, on the authority of R. Nahman bar-Ada, or according to R. Yosse on the authority of Nahman Saba: The Bible expression: וְהָיוּ, "let them be" (Deut. iv. 6), shows that the words must remain in that order. It is the same thing for the reading of the Hallel$^2$, and the Story of Esther. For this last it is easily understood, for it is expressly stated: "according to the writing" (Esther viii. 9); but what is the proof for the Hallel? It is therein said (Ps. cxiii. 3): "From the rising of the sun until sunset, the name of the Eternal God is praised" (in the same manner as the reverse cannot take place for the sun, so also the order of the words must not be changed). What consequence may be deduced from that? R. Aban answered: That the sequel also plainly contains an order; the chapter "When Israel came out of Egypt" (Ps. cxiv.), refers to the past; and --- $^6$ A curious philological observation; already the sound of י and י could be confounded. $^7$ Imitation of Isa. xlvi. 7. Compare for the details, Babli, same treatise, fol. 11 b. $^8$ To avoid the confusion of the two נ in the word נְהִלָּה, to praise. $^9$ So as not to read: תְּשִׁיבוּ, "you will (or shall) be paid." $^1$ Cf. J., tr. Meghilla, ii. 1. $^2$ See above, p. 25, note 5. "It is not in our favour, O Lord!" (Ps. cxv.) is applicable to the present generation; and "I love the Lord, because He hath heard my voice" (Ps. exvi.), refers to the time of the Messiah. The verse: "Bring forth the victim crowned with myrtle" (Ps. exvi. 27), refers to the wars of Gog and Magog (commotions which were to precede the coming of the Messiah); and the following, "Thou art my God, and I will offer Thee thanksgiving," bears reference to the future. R. Aha, on the authority of R. Joshua ben Levi, says that: He who established this prayer (the 'Amida) has regulated it in this manner$^3$: The three first benedictions and the three last are in the honour of God. The medial benedictions refer to the wants of man: "May we be favoured with the gift of wisdom," or "Thou hast favoured us with this gift;" "Accept our repentance," or "Thou hast accepted our repentance;" "Forgive us," or "Thou hast forgiven us;" "Deliver us," or "Thou hast delivered us;" "Heal our diseases," or "Thou hast healed our diseases;" "Bless our days," or "Thou hast blessed our days;" "Unite us," or "Thou hast united us;" "Judge us with equity," or "Thou hast judged us with equity;" "Confound our enemies," or "Thou hast confounded our adversaries;" "Confer upon us Thy justice," or "Thou hast conferred upon us Thy justice;" "Build up Thy house, listen to the voice of our prayer, and be favourable to us." This last prayer is not the expression of a necessity; but it has been rendered in this manner, according to the ideas expressed in this verse (Isa. lvi. 7): "Even then will I bring them to my holy mountain, and make them joyful in my house of prayer." R. Jeremie says$^4$: The hundred and twenty members of which the Grand Assembly was formed, comprising more than eighty prophets$^5$, have arranged that prayer and put it in order. Why has the prayer "Most Holy God" been compared to that which contains the prayer for wisdom? Because after the verse (Isa. xxix. 23), "They shall sanctify the holy One of Jacob," it is said, "They also that erred in spirit shall come to understanding" (Isa. xxix. 23). Wisdom is followed by repentance: "Make the heart of this people fat, and make their ears heavy, and shut their eyes," &c., as far as the words: "understand with their heart, and repent." Repentance is followed by pardon: "Let him return unto the Lord, and He will have mercy upon him, and to our God, for He will abundantly pardon" (Isa. lv. 7). The Pardon follows the Redemption (Ps. ciii. 3, 4): "Who forgiveth all thine iniquities, who healeth all thy diseases, who redeemeth thy life from destruction;" and he will say first: "He healeth the sick." R. Aha says: Why has the Deliverance out of Egypt been fixed upon for the seventh benediction? To show that in future Israel will only be delivered in a seventh year of peace --- $^3$ And this order should be observed. $^4$ B., tr. Meghila, fol. 17 a. $^5$ M. Derenbourg, in his Essay, p. 35, note, reads this number as meaning thirty. (agrarian, shometa). R. Yona explains, on the authority of R. Aḥa, the verse: "A song of degrees, When the Lord turned again the captivity of Zion" (Ps. cxxvi. 1); it is the seventh song, to show that Israel will not have been brought back until the seventh year. R. Ḥiya bar-Aba says: Why has that of the healing of the sick been fixed upon as the eighth benediction? Because of the circumcision which takes place on the eighth day, according to the verse (Mal. ii. 9): "My covenant was with him of life and peace." R. Ḥiya bar-Aba says, on the authority of R. Alexandria: Why is the benediction for the fruits of the year the ninth? It is according to the verse (Ps. xxix. 5): "The voice of the Lord breaketh the cedars." For one day He will destroy those who augment the prices on the markets. R. Levi, on the authority of R. Aḥa bar-Ḥanina, says: Why, after this last benediction, does follow that which concerns the reunion of the dispersion of the children of Israel? Because of this verse (Ezek. xxxvi. 8): "And ye, O mountains of Israel, ye shall shoot forth your branches, and yield your fruit to my people of Israel." Why? "Because they are at hand to come;" that is to say: When the captives will be united, then the proud shall be humbled, and the righteous shall be happy. On this subject it has been said: The heterodox and the irreligious are included in the prayer, that the proud may be humbled; the proselytes and the elders in the one demanding protection for the righteous; and prayers are offered for David's family in that which refers to the building of Jerusalem (Hosea iii. 5): "Afterward shall the children of Israel return, and seek the Lord their God, David their king." The Rabbis say: As for the King Messiah, whether he be among the living or the dead, He shall be called David (meaning whether he exist or no, he will be of a royal stock). According to R. Tanhooma, the reason would be this (Ps. xviii. 50): "Great deliverance giveth He to His king, to David His anointed?" R. Joshua ben Levi says: His name shall be Tsemah; and according to R. Judan, son of R. Aībo: It shall be Menahem (comforter). R. Ḥanina, son of Abahoo, says: You must not conclude that these two opinions contradict each other, for in fact these two names are the same. The following tale which we have from R. Judan, son of R. Aībo, proves it: One day, an Israelite, whilst cultivating his field, heard his cow cry out; an Arab, who was passing, also heard her: Son of Juda, cried he, son of Juda! quit thy cow, quit thy plough, for the Temple is destroyed (and thou shalt either mourn or flee, instead of till the earth). The cow bellowed a second time. Son of Juda, said the Arab, son of Juda! take back thy cow and thy plough, for the King, the Messiah, has just been born. 6 They stood in the markets, whose doors were made of cedar. 7 Therefore the Anointed (Messiah) will be of the Royal family of David. 8 Numerically they resemble each other; for the letters of the word תְּשֵׁמָה, like those of the מְנַחֵם, added together, make in each group: 1 3 8. What is his name? Menahem. And what is his father's name? Ezechias. And from whence does he come? From the royal town of Bethlem in Judea. The Hebrew sold his cow and his plough, and bought some baby's clothes. He went from town to town; when he arrived at the town mentioned, he saw that all the women were buying clothes, excepting Menahem's mother. And he heard the women say: Mother of Menahem, come and buy clothes for thy child. Oh, said she, I should like to see the enemies of Israel strangled¹, for on the day of the infant's birth, the Temple of Jerusalem is destroyed. We are certain, answered the traveller, that if, because of his advent, the Temple is destroyed, it will also be rebuilt by him (therefore, be comforted, and make thy purchases). But, said she, I have not a groat. Never mind, said he, come, buy what thou needest; if to-day thou hast not the necessary money before thee, I will come to be paid another day. Two days afterwards, he came back into the town. "What hast thou done with thy child? he asked of the woman. I know not, answered she; since thou wast here there has been storm and tempest, and my child has been taken from me²." R. Aboon says: Why all that from a tale concerning the Arab? A verse of the Bible sanctions it (Isa. x. 33): "Behold the Lord, the Lord of Hosts, shall lop the bough with terror;" and the following: "And there shall come forth a rod out of the stem of Jesse" (meaning, that the birth of a Messiah of the line of David shall make up for the destruction of the Temple). R. Tanhooma teaches in answer to the question: Why has the benediction in which we beseech God to answer our prayers been placed the fifteenth³? Because of the verse (Ps. xxix. 10): "The Lord sitteth upon the flood," that is to say: He forbids such a plague to reappear upon this earth. The benediction which calls to mind God's worship serves as a thanksgiving, according to this verse (Ps. l. 23): "Whoso offereth praise glorifieth me, and to him will I show the salvation of God." We must end by the word peace (for all the benedictions end by this word). R. Simon ben Halaphta says: Nothing contains more benedictions than peace. Therefore it is said (Ps. xxix. 11): "The Lord will bless His people with peace." "If a mistake has been made, it is necessary to begin again where the mistake is committed." ¹ Mark ii. 7-19. ² The mother's curse is directed to the child, and she curses the enemies of Israel, in order not to curse the child. ³ In the Medrash Rabba on Lamentations, chap. i. § 16 (fol. 68, col. 3), this passage is repeated in almost the same words, but rather "arameens," with a few insignificant additions. ⁴ The explanation of the order of the eighteen benedictions of the 'Amida, interrupted by a digression, is here resumed. Supposing the word יִכְתֹּב, you will write, of the second section, has been put in the place of the first, it is necessary to begin again at the first. If the place where the mistake has been made is forgotten, the prayer must be resumed where there is a certainty of its being correct. One day, R. Hiya, R. Yossa, and R. Ama went out to erect a nuptial canopy to R. Eliezer: they heard R. Yohanan interpreting religious subjects. Which of us, said they, shall go near to him to hear what he says? Let R. Eliezer go, said they, for he is used to that voice. He went, and on coming back he said: This is what he is teaching. If, whilst you are reading, you arrive at the words "so that" (second section of the Shema', last verse), it is a certain proof that so far the perusal has been conscientious. R. Illia and R. Yossa say, on the authority of R. Aha: If the greater part of the 'Amida has been recited, and the reader is at the fifteenth benediction, it is a certainty that so far the reading has been attentive. R. Jeremie says, on the authority of R. Eliezer: If any one has recited the 'Amida without attention, and thinks that he will apply himself better on a second recital, he must begin again; but if it is the reverse, it is useless. R. Hiya the Great says: I have never been able to fix my attention; I wished to do so once, but my mind wandered all the time, and I kept on asking myself who should enter first into the presence of the king: Is it the chief of the captives or the governor? Samuel says: I began counting the birds (through distraction). R. Aboon bar-Hiya counted the stones in the wall (domus). As for me, said R. Mathne: I render thanks to my head, because it bows of its own accord at the moment of thanksgiving (I am so absorbed). 5. (4.) Workmen may read the Shema' on the top of a tree or of a wall (which is being erected); but they are not allowed to do so for the Prayer (or 'Amida). This is exactly what was taught (in a beraitha): "The workmen read this on the top of a tree, and the masons on the top of a wall." It has also been said that the workmen say the prayer of the 'Amida on the top of an olive-tree, or on top of a fig-tree. So, for the other trees, it would be necessary to come down before praying, whereas the master of a house (who is not prejudiced by the time he might lose if he interrupts his work) must always get down before he prays. --- 4 For the etymology of the Persian word Arkafta, see Fleischer in Neuhebr. Wörterbuch, i. 280 a. 5 Literally: on the coping-stones of the wall; layer stones. Maimoni says: מִקְרָא, "that which emerges;" which J. Levy, Neuhebr. Wörterbuch, s.v., changes into מִקְרָא (? מִקְרָא); see Dozy, Supplément aux Dictionnaires Arabes, ii. 65, 66. Why, then, is the exception made only for those who are in the olive-trees, or the fig-trees? Because, answered R. Aba and R. Simon, the fatigue of getting down from these trees is very great (because of the branches). The street porter may read the Shema' with a load on his back; but he must not begin its recitation when loading or unloading, because then he is absorbed in his work. He must by no means recite the 'Amida before he has unloaded, unless the weight does not exceed a measure of four cab (which is not heavy). R. Yonathan imposes as a condition to equilibrate the load, placing two-thirds in front and one-third behind. Finally it has been taught that it is wrong to wink the eye$^6$ during this reading (making signs to any one, thereby drawing away one's attention). The workmen who are busy working near the master of a house (and who eat in his house), recite the first of the four benedictions for meals, only making a summary of the third and fourth, and finishing by the final formula of the second; but if the salary of their work consists of the meal alone (as day labourers), or if they are at the master's table, they recite the four blessings entirely. This proves, says R. Mena, that work is forbidden whilst this blessing is being said; if not, it would not be commanded to shorten the thanksgiving if one is working, and it would have been sufficient to say that work may be done during the recital of entire blessings (so it is forbidden). R. Samuel bar R. Isaac, on the authority of R. Hoona, says: A prayer should never be recited with pieces of money in the hands (for one is absorbed). It is forbidden to place them before oneself, but not to put them behind; because then they are not thought of so much. R. Yosse wrapped his money in a piece of cloth (so as not to come into immediate contact with it), and held it in his hand. It is like this that the man should act who is entrusted with a charge (in a judicial sense), according to the rule$^7$ established by R. Isaac: "And bind up the money in thine hand" (Deut. xiv. 25); this shows that it should be kept in the hand. R. Yosse bar-Aben taught the same principle to R. Hillel, his son-in-law. R. Ezechias and R. Jacob bar-Aha were sitting down, and the latter had some money before him. At the moment of praying, he took it out of the purse and gave it to mind to R. Ezechias' servant; he then tied his own and the servant's raiment together (so as to avoid any chance of robbery). The servant, however, undid the knot, and tried to run away, which R. Jacob perceiving, he called out: "My money!" (this joke proves that it was not kept in the hand). R. Hanina says: The Shema' may be recited and prayers said even with a pail of water on the head (which is very embarrassing). R. Hoona says: These prayers do not require a very strict attention. R. Mena said: I made this the subject of an observation to R. Pinchas; and admitting that the Shema' does $^6$ B., tr. Yoma, fol. 19 b. $^7$ B., tr. Baba Metsia, fol. 42 a. require a strict attention, the 'Amida does not. R. Yosse declares that R. Hanina's opinion (about the pail of water) is conformable to what was said by R. Jacob bar-Aha, on the authority of R. Yohanan: It may finally be concluded that this question of work during prayer has not been clearly proved by Law (it is not known which are allowed and which forbidden). 6. (5.) A bridegroom is exempted from reading the Shema' on the night of the wedding, and even until the following Saturday evening, as long he has not accomplished the conjugal right. It happened that R. Gamaliel was reading the Shema' on the first night of his marriage. Master, said his disciples to him, hast thou not taught us that bridegrooms are dispensed from reading it on the first night? It is true, he replied; but I will not hear you to deprive myself of the yoke of the kingdom of Heaven even one hour (I could not for a moment forget the profession of the Jewish faith). 7. (6.) Again, R. Gamaliel went to bathe on the night after his wife had died. Hast thou not taught us, said his disciples to him, that it is forbidden for the mourners (the relatives of the dead) to bathe during the first days of mourning? Yes, he answered; but I am not like all other men (in such good health as others), and have a feeble constitution (ἀσθενής). Who is it who taught$^8$ that it is forbidden for a person mourning to bathe during the first week following the death? R. Nathan. When R. Ame happened to be thus situated, he asked R. Hiya bar-Aba what he should do, and R. Hiya bar-Aba was of the same opinion as R. Nathan: that a week must elapse before bathing. When R. Yosse was in mourning, he asked advice of R. Aba bar-Cohen, and received a contrary answer. R. Ame consulted Resh Lakesh, who was also of R. Nathan's opinion. Are there not two points, he was asked? No, was the reply; we attribute it to R. Hiya bar-Aba, and you attribute it to Resh Lakesh (in the main it is the same thing). It may also be proved by this: R. Hama, father of R. Oschia, to whom the same thing happened, asked advice of the Rabbis, who told him that the bath was forbidden. R. Yosse said: Who are the Rabbis who have been consulted? Are they of this place (Jerusalem), or of the south (Babylon)? If they are of this place, it is easy to understand that they have been consulted; but if they are of the south, how is it to be understood that having great men here, their inferiors should have been consulted? And also, if they are of the south, how can we explain the difference of their opinions? $^8$ J., tr. Moēd qaton, iii. 5. for some allow the bath, and others forbid it, as in the present case? Has it not been taught that in places where the bath is customary after the burial of a relative, it may be taken as it is in the south? It is because they consider the bath as necessary as food and drink: some forbid because they fear it will be made a subject of pleasure; but it is permitted if it is not made a pleasure. Thus, when Samuel bar-Abba was afflicted with a skin disease, R. Yosse was asked if it was allowed him to take a bath. What! he said, you ask the question when a life is in danger? There can be no doubt that it is permissible, if even it were on the ninth of month Ab, or the Day of Atonement. R. Yosse bar-Hanina said: If a person is seen making an ablution, it cannot be forbidden him, for it would not be known whether he was washing to purify himself, or to refresh the body, for a cold bath is not considered a bath. R. Aba was also of this opinion. R. Aha said: After returning from a long journey, and having sore feet, it is permissible to bathe them. People who are mourning and those who have been anathematized may, if they have a journey to make, wear sandals (ordinarily forbidden), and take them off on entering a town. It is the same with the Fast of Ab and all other public fasts. It has also been taught that in places where it is customary to inquire after the health of mourners on Saturdays, it may be done, as it is in the south. R. Oshia the Great was in a certain place, and seeing on Saturday some people in mourning, he saluted them: I do not know, said he, what the custom is in your country; but I salute you according to our custom. R. Yosse bar R. Halaphta was praising R. Meir before one of the people of Sephori, and called him, "A great man, a holy man, and a modest man." One Saturday, seeing some persons in mourning, he saluted them: he was asked whether he praised him because he was of his opinion? What harm, said he, is there in that? He saw on Saturday some people in mourning, and he saluted them. You may thereby, continued he, understand the strength of his reasoning (and make your conclusions); he came to teach that the signs of mourning are laid aside on Saturdays. According to this verse (Prov. x. 22), "The blessing of God maketh rich" (which refers to the Saturday blessing), and "they shall mourn no longer" (refers to the mourning); as it is said of David (2 Sam. xix. 3): "Behold, the king weepeth and mourneth for Absalom his son" (this verse also refers to mourners); therefore, on Saturday the mourning is suspended. 8. (7.) When Toby, slave of R. Gamaliel, died, he received visits of condolence (accepted marks of sympathy). Hast thou not taught us, said his disciples to him, that condolence should not be accepted for --- 9 J., tr. Taanith, iii. 6. 1 We know that in these days ablutions and the wearing of sandals are forbidden. the death of a slave? He answered: My slave Toby was not like other slaves, for he was honest and pious. Is it to be concluded from these words that for others (free people) consolation is acceptable? Yes; and therefore it has been taught precisely: Condolence should not be accepted for the death of a slave. When the servant of R. Eliezer died, his disciples came to express their sympathy; but he would not listen to them. To avoid them, he went into the interior court, and they followed him; he went into the house, where they still followed him. "I should have thought, said he, that lukewarm water was sufficient for you, whereas even hot water would not burn you (I mean that you do not pay attention to my most severe recommendations). Has it not been said that consolation should not be accepted for the loss of a slave? It is not that they are considered equal to beasts of burden; but, if consolation should not be accepted for free people who, however, are not of the family, so much the more would it be so for slaves. Therefore, if any one loses his slave or a beast of burden, he must be told that God will make up for his loss." When R. Hiya bar-Ada, the nephew of Bar-Kapara, died, R. Eliezer accepted condolence and wept over him, because R. Hiya bar-Ada had been his disciple. That proves that a pupil should be as dear as a son to you. And he made this funeral speech in his honour: It is said (Solomon's Song vi. 2): "My beloved is gone down into his garden, to the beds of spices, to feed (his flocks) in the gardens and to gather lilies." How is it that after speaking of one garden, it afterwards mentions several? This is the interpretation of this verse: My beloved, means the Almighty; is gone down into his garden, that is to say the Universe; to the beds of spices, meaning Israel; to feed (his flocks) in the gardens, this means the other nations of the earth; and to gather lilies, these words represent the holy people that the Almighty calls away to place them with his chosen people. Let us take an example and make a comparison: What is our subject like? It is like a king who would love his son too much. What does the king do? He makes his son a garden: as long as the son obeys his father's injunctions, the latter visits all the universe to find the most beautiful flowers and have them transplanted into the son's garden. But, if he is vexed by his son's behaviour, he pulls up all the flowers. It is the same thing for the Israelites when they do God's will. He goes over all the world and seeks amongst the other nations for a wise man, and he brings him to the Israelites and unites him to their nation, as, for instance, Jethro and Rahab. But when they vex the Lord, he takes from them even the just men who are among them. 2 For formula of Consolation and its ceremonies, see chap. iii. 3 See Gr. Rab. Zadoc Kahn, De l'Esclavage selon la Bible et le Talmud, pp. 67, 68; Inscriptions grecques au Musée du Louvre, Catalogue Froehner, No. 192. 4 See Rabba on Eccles. v. 11, on Cant. vi. 2; Bereshith Rabba, chap. lxii. One day R. Ḥiya bar-Aba and his companions, or according to others, R. Yosse bar R. Ḥalaphta and his companions, or else R. Akiba and his companions, were sitting under a fig-tree, studying the Law. The master of the fig-tree came and examined it early in the morning, and picked the fruit. The doctors, fearing he might suspect them, went to another place. The next day, the master (grieved at their departure) came to them and said: Masters, why are you depriving me of the pleasure of seeing this commandment (the study of the Law) fulfilled at my house? We were afraid, answered they, that thou mightest suspect us. The owner explained the reason of his behaving thus. He said, he came to uncover the fruit to the freshness of the morning, and to pluck the fruit which the sun’s rays would have rotted. This proves, said they, that the master knew the right moment for plucking the fruit, and he did so immediately pick the fruit. So, also, does the Most Holy know the moment when it is good for the just to retire from the world, and he takes them. When R. Aboon bar R. Ḥiya died, R. Zeira wept for him. It is said (Eccles. v. 11): “The sleep of a labouring man is sweet, whether he eat little or much;” it is not written: whether he sleep little or much, but, whether he eat little or much. Of what does the death of R. Aboon bar R. Ḥiya make us think (he died young)? Of a king who, having hired many workmen in his service, perceives that one of them shows more ardour in the work than the others. When he sees this, what does the king do? He calls him and walks up and down with him. In the evening the workmen come to be paid: he gives also a full day’s pay to the man he had walked with. When his comrades see this, they complain and say: We have been working hard all the day, and this one who only laboured two hours receives as much salary as we do. It is, answered the king, because he has done more in two hours than you in the entire day. In the same manner R. Aboon, although he had only studied the Law up to the age of twenty-eight, knew it better than a learned man or a pious man who would have studied it up to the age of a hundred years. At the death of R. Simon bar-Zebid, R. Ilia came to make a funereal panegyric: There are four things, said he, which are in daily use with us, and all of them, were they lost, could be replaced (Job xxviii. 1, 2): “Surely there is a vein for silver, and a place for gold where they fine it. Iron is taken out of the earth, and brass is molten out of the stone.” Supposing these things were lost, they could all be replaced. But if a learned man should die, who will give us another in his stead? Who will take his place? “Where shall wisdom be found, and where is the place for understanding? Neither is it found in the land of the living” (said --- 5 Sleep is similar to death, and eating is similar to life. 6 Compare the parable of the eleventh hour’s workman in Matt. xx. 1-17. 7 J., tr. Horaioth, iii. 5. Job, xxvii. 12). R. Levi says: If the brothers of Joseph felt their hearts fail them when they found the money in their bags, as it is written (Gen. xlii. 28): 'and their hearts failed them, and they were afraid,"—how much more should we feel, having lost R. Simon bar-Zebid! When R. Levi bar-Zizi died, Samuel's father came and made his panygeric; he said (Eccles. xii. 13): "Fear God and keep His commandments, for this is the whole duty of man." To whom shall we compare R. Levi bar-Zizi? To a king who has a vineyard in which there are a hundred vines, which give him every year a hundred barrels of wine. He first chose fifty, then forty, then thirty, then twenty, then ten, and at last a single one which produced a hundred barrels of wine, and whose taste was preferable to that of all the vineyard. It was thus for R. Levi bar-Zizi, whom God preferred to all other men. Therefore it is written, "the whole (duty) of man" (Eccles. xii. 13), meaning that R. Levi is worth all the other men put together. Cahana was very young, and when he arrived there (in Palestine), a worthless man saw him and asked him (scoffing at his piety): What sin is there at this moment in heaven? (What is being said up there?) It has just been decided, said he, that this man is condemned to death. And the prediction was realized. Another saw him and made the same question. The answer was the same, with the same result. Alas! said Cahana, why, having left my country with good intentions (to study the Law), have I come here to sin? Why have I come here to foretell the death of the children of Israël? I will go, and return to the country whence I came. So he went to R. Yoḥanan and said: If a man is despised by his mother (Palestine), but honoured and cared for by another wife of his father (Babylon), ought he to go to the latter? Yes, answered R. Yoḥanan; and Cahana returned to Babylon. When he was gone, people came to R. Yoḥanan and told him which way he had gone. How is this? said the Rabbi; he is setting forth without saying Good-bye. The question he asked you, they answered, was his way of saying Good-bye (for when he spoke of his mother and stepmother, he wished to describe the two countries which treated him so differently). When R. Zeira arrived in Palestine, he had himself bled; then he went to buy a pound of meat from a butcher (to get back his strength during his convalescence). He asked: What is the price of this measure? Fifty pieces of money, and a blow which you must receive. I will give you sixty, but spare me the blow. The other refused. Here are seventy pieces. Another refusal. Here are eighty! here are ninety! here are a hundred! Well, then, said he, do according to thy custom. Towards evening he went to the house of prayer. 5 The term חָרֵם בֶּן is translated "a worthless man" (not a personage) by Lattes, Giunte al Lessico Talmudico, s.v. Cf. J., tr. Beqa, iv. 3. Rabbis, said he, what strange customs there are here! A man cannot eat a measure of food without receiving a blow. What makes you believe that? A certain butcher. He was sent for that he might explain his behaviour, but the messengers only found a coffin (he was dead). How is this? said he. Rabbi, thou wast so irritated that thou didst wish for his death? I swear, said R. Zeira, that I felt no anger towards him, and that I submitted to what I thought was a local custom. When R. Yassa arrived here (in Palestine), he had himself shaved, and went to the warm waters ($\delta \eta \mu o \sigma i \alpha$) of Tiberias. A rough fellow met him and gave him a blow on the back of the neck. "Oh, said he, laughingly, how soft is the neck of this man (thine)" (he is very sensitive to a blow). Thereupon the Archon ($\acute{a} \rho \chi \omega v$, a Roman magistrate) came up to judge a robber. The afore-mentioned scoffer assisted at the trial, and began jeering at the culprit. The judge asked the latter if he had any accomplice. The culprit looked up and said: The man who is scoffing at me helped me. He was seized and judged, and it was proved that he had killed a man. They were both led out loaded with two beams (they were to be either crucified or hanged). Just then R. Yassa was leaving the bath; the convict saw him and said: The neck that was soft has become very hard (for me). It is thy evil fate (and not the affront which thou didst offer me). Is it not written (Isa. xxviii. 22): "Now therefore, be ye not mockers, lest your bands be made strong." R. Pinhas and R. Jeremie say, on the authority of R. Samuel bar R. Isaac: Raillery produces bad results; it begins by causing suffering, and ends by causing destruction, as it is written further on: "For I have heard from the Lord of hosts a consumption, even determined upon the whole earth" (Isa. xxviii. 22). 9. (8.) A bridegroom who wishes to recite the Shema' on the marriage night may recite it. R. Simon bar-Gamaliel said: It is not permitted to every one to claim a pious reputation. It has been taught that: In all cases in which privations or sufferings are imposed (as for example, fasting), each person may consider himself either as a particular person, or as a well-educated man (the latter generally sacrificing more for the sake of religion); and we shall then obtain blessings from Heaven. But the same line of action cannot be pursued, with the exception of the scientific man, when the question is one of luxury or honours (in which vanity might arise), unless one has been appointed an administrator of the community (in which case the dignity of the function is maintained by keeping up an appearance of importance). In order to avoid the mud on the high road, it is allowable to --- 9 A Roman judgment. walk along the edges of cultivated fields, and even on saffron plantations (which would cause considerable loss); but it is allowed to go on them if the high road$^1$ is completely broken up (in such a manner as to render it impossible to take a few steps). R. Abahoo narrates that R. Gamaliel and R. Joshuah were once obliged to walk alongside the fields, on account of the sodden state of the road; they perceived R. Juda ben-Paphos wading through the mud to get to them. Who, said R. Gamaliel to R. Joshuah, is this man who makes such a parade of his scruples to cross the fields? It is, answered his companion, R. Juda ben-Paphos, whose every action has a pious object in view. But, objected the first, is it not taught that an ordinary person has not the right to go beyond the legal prescriptions, by courting praises for exaggerated scruples, unless one is an administrator of a community? It is true, replied the other; but it is also taught that, in cases of self-imposed suffering, every one has a right to be scrupulous; and he will draw down upon himself the blessings of heaven (such was the case of R. Juda ben-Paphos). However, adds R. Zeira, it must not be made an occasion of despising others (and he does us an injury by acting thus). On a certain occasion$^2$, R. Yassa and R. Samuel bar R. Isaac were seated together at meals, in one of the upper rooms of the meeting-house. When the moment for saying the Prayer arrived, R. Samuel bar R. Isaac rose. R. Mishe said to him: That is not according to what Rabbi teaches us; he says: If the repast has been commenced, there is no necessity to interrupt it. Also Ezekia taught, that he who has a dispensation from a certain work, and accomplishes the work nevertheless, deserves to be called a simple man. "Have we not learnt, however (\$ 8), was the answer, that the bridegroom is exempted from reading the Shema', and yet, if he wishes to read it, he may do so? It may be supposed, was the answer, that he may apply himself to it as well as R. Gamaliel." And indeed the latter went beyond his own opinion one day, by reciting the Shema' when he was dispensed; and when his disciples pointed out to him that he was acting contrarily to his own teaching, he replied: I will not hear you if you intend that I should authorize myself for one moment to turn away from adoring God. $^1$ See J., tr. Bava Kama, v. 1; B., ib. fol. 81 a. $^2$ See J., tr. Sabbath, i. 1 bis (fol. 3 a). CHAPTER III. He whose dead lies before him is exempted from reciting the Shema' and the Prayer ('Amida), and from wearing the phylacteries. Those who carry the bier and those who relieve them, and their assistants, those who go before the bier, and those who follow it, who are required for the bier, are exempted from reciting the Shema'. But those not required for the bier are bound to recite it. All these (parties) are exempted from saying the Prayer ('Amida). We have taught that on the first day of mourning, they (the near relatives) do not wear the phylacteries; the second day they are obliged to do so. But, when strangers come (to console them), they must take them off, no matter on what day of the week; this is the opinion of R. Eleazar. R. Yoshua says that, on the first and second days the phylacteries are not worn, and that, on the third day they are put on, not to be taken off again. If this is so (that on the second day they are still left off), to what good does the Mishnâ teach that: one is only dispensed from wearing the phylacteries as long as the dead is not interred? That is so; but, in the same manner as it was mentioned that the Shema' was dispensed with (before the dead), so also was it with the phylacteries, although the dispensation extends to the second day. R. Zeira and R. Jeremiah hold, on the authority of Rab, that the R. Eleazar's rule is adopted, concerning the phylacteries (on the second day), and R. Yehoshuah's rule (if they are on, they are not to be taken off before strangers). R. Zeira asks them: When the phylacteries have been put on the second day, as R. Eleazar wishes, ought they not to be kept on (when strangers arrive), as R. Yehoshuah wishes? Yes, said R. Jose, son of R. Aboon; if the phylacteries have been put on, on the second day, according to R. Eleazar's opinion, they must not be taken off (when strangers arrive), as says R. Yehoshuah. Since this is so, we may conclude that R. Eleazar's opinion, for the putting of them on, is the rule. R. Aboon explains the Mishnâ (the reason why one is dispensed from the 1 Translated by the late L. Hollaenderski. 2 Groups of men posted themselves along the way, and they undertook to carry it by turns, considering it an act of piety. 3 See J., tr. Moël Qaton, iii. 5. Shema' and the thephilins), and he says: It is written (in the Pentateuch): "That thou mayest remember (in putting on the thephilins and reciting the Shema') the day when thou camest forth, out of the land of Egypt, all the days of thy life;" that means, says he, that on the days that one attends to the living (worldly matters), the thephilins must be put on and the Shema' recited; but on the days when one attends to the dead (the burial), one is dispensed. He who wishes to be severe towards himself in this matter (and to pray even on the first day of mourning), should be prevented from doing so. Is it in honour of the dead (who are still present), or in order that he should himself attend to the arrangements for the burial? What matters? What difference is there between these two motives? If persons could be procured to undertake the duties of burial, the relatives might then say their prayers; therefore, it is better to admit that the rule is made in honour of the dead. It is therefore forbidden under any pretext. It is not intended that the motive should be understood to be that the person should himself attend to the burial arrangements, for even on festivals, when burials do not take place, one is exempted from the precepts, such as the Loolab$^4$ and the Shophar (therefore the motive of the prohibition must be the respect due to the dead). In the same manner, according to R. Hanina, it is allowed on Saturdays and festivals to exceed the limits of the Sabbath, in attending on the dead or a bridegroom, such as bringing the coffin, the grave-clothes, as on working days, also to bring the weepers (this proves again, that even on days when the dead are not buried, due respect must be shown to them). When$^5$ ought they (the near relatives) to overturn the chairs (as a sign of mourning)? According to R. Eleazar, as soon as the body has been carried out of the house. R. Yehoshuah holds that it should be done when the coffin is being closed. When R. Gamaliel died, and was being carried away, R. Eleazar ordered his disciples to overturn the chairs, and when the coffin had been closed, R. Yehoshuah gave the same order. The disciples thereupon replied: We have already done so by order of R. Eleazar. On Saturday eve the chairs are stood up, and on Saturday evening again overturned. We have taught: The Sophas (or camp bedsteads) may be left upright and not overturned. R. Simon, son of Eleazar, says that it suffices untie the cords ($\kappa\lambda\iota\nu\tau\eta\rho\omega\nu$), because then they are not so comfortable, and the sign of mourning is established. R. Jose, on the authority of R. Yehoshuah, son of Levi, supports R. Simon's opinion. R. Jacob, son of R. Aha, on the authority of R. Jose, says: For a bedstead fitted with long stems$^6$, it is enough to take --- $^4$ See above, p. 17, and further on, v. 2. $^5$ See J., tr. Moëd Qaton, iii. 5 (fol. 83 d). $^6$ Tà áváklvta: four supports at the corners, on which a board was put to support the bedding. them out (because then one is on the bare boards). These two sorts of bedsteads are slightly different. R. Jeremiah thus explains them: That which has the leather bands tied from above$^7$ is called a mitta; whilst the dargash has its thongs attached underneath (at the bottom). Have we not learnt$^8$ that the mitta and the ’arssé (another sort of bedstead) are liable to become unclean when they are polished with fish-skin (to soften them)? If these bedsteads have leather bands underneath, why polish them (therefore the mitta has leather bands)? R. Eleazar replies that the Mishnâ speaks of Caesarean bedsteads, which must be polished, as they have holes (to put the straps through). Why are the chairs overturned? R. Krispa explains it, on the authority of R. Yohanan, by recalling a verse of Job (ii. 13): “So they sat down with him ‘upon’ the ground,” and not on the ground, which proves that the chairs were overturned. Bar-Kapara gives another explanation: God, said he, has given you a form to His own likeness$^9$, εἰκόνιον, now overthrown (dead) in punishment of your sins; let your couch also be overthrown. According to others, bar-Kapara says this: You ought to overturn your couch (bed) on which you have been born. R. Jonas and R. Jose, in the name of R. Simon, son of Lakesh, also explain: the one says that a man in mourning should repose on an overturned bed, because this unusual position would, on waking, remind him of his affliction; the other says that his own change of position (inconvenience) keeps him awake, as a matter of course, and reminds him that he is in mourning. The mourner must, as long as the dead is not interred, take his meals at a neighbour’s; if he has no neighbours, he will eat in another room of his house, failing which he will put a screen between him and the dead; but if this is not possible, he must while eating turn his face towards the wall. In any case he must be frugal. He must not eat meat or drink wine, nor recline on a Sopha whilst eating. He is excluded from the general blessing after meals, and if he says this blessing (aloud), which he should not do, the others should not answer Amen; and should they do so, he must not answer Amen. All these provisions are not applicable to Saturdays, but only to week-days. R. Simon, son of Gamaliel, says: Since it is permitted (for a man in mourning) to take his meals on Saturdays (as usual), he is therefore obliged to fulfil all the religious duties of that day; for if this exception is made in favour of his temporal existence, it should with greater reason apply to his religious life. R. Yehuda, son of Pazzi, on the authority of R. Yehoshuah, son of Levi, is of the same opinion. $^7$ Or, which is fastened from above, from the outside, according to J. Lövy, Neuhebr. Wörterbuch, s.v. $^8$ Mishnâ, vi., tr. Kelîm, chap. xvi. § 1. $^9$ Gen. i. 26. After having entrusted the body to the funeral assembly, or even to the coffin-bearers, the mourners are allowed to eat and drink. For example, when R. Yosse died, R. Yehia, son of Aba, provided the first meal for the mourners; he gave them meat and wine. At the death of R. Haia bar-Abba, R. Samuel, son of R. Isaac, did the same; and on the death of the latter, it was R. Zeira who provided the first meal for the abetim (afflicted ones), by giving them lentils, and he said to them: I do as is the custom$^1$. R. Zeira, before his death, ordered that the mourners should not eat at all on the first day; but on the morrow they could accept the repast of mourning$^2$. When R. Isaac, son of R. Hiya the writer (or commentator$^3$), was at Tuba, he suffered a bereavement. R. Mane and R. Judan came to render him a visit of condolence, and they drank good wine at his house, which made them gay. On the morrow, when they renewed their visit, R. Isaac said to them, Was it proper to drink so much wine in the house of an abet? It only remained for you to set yourselves to dancing! At an abet’s house, ten glasses of wine are drunk: two before the meal, five during the meal, and three after. The last three are drunk as follows: one at the benediction, one for a sign of charity (friendship), and one for a sign of consolation of the afflicted. When R. Gamaliel died, three more glasses were added, one in honour of the Hazan (officiating priest), the second in honour of the chief of the Synagogue, and the third to the memory of the defunct$^4$. But, when the Beth-Dine (Synod) saw that drunkenness increased more and more, it forbade the three additional glasses, and maintained only the old custom (of ten glasses). Should a disciple, who is a Cohen (descendant of the family of the grand high priest Aaron), profane himself$^5$ by attending to the funeral arrangements of his master, in order to honour his memory? The following example may serve for a reply: When the father-in-law and master of R. Yanai Zeiri died, the latter (who was a Cohen) asked R. Yose the above question, and received a negative reply. R. Aha heard it, and maintained the contrary. When R. Yose died, his disciples attended to the funeral arrangements, eat meat and drank wine. R. Mane reproached them for it, telling them that they had broken one of these two rules: If you are of the number of mourners, you should not have eaten --- $^1$ In the treatise Bava Bathra we find the explanation of this custom: as the lentil, unlike other beans, has no cotyledon, the mourner is silent. $^2$ According to an old custom, the friends and near neighbours invited the mourners to a repast, and sent them meats. The sending of meats is still practised by pious Jews. $^3$ See Brüll, Jahrbücher, i. 227-8, on Moëd Qaton, i. 9 (according to Eleazar Alaskari). $^4$ A custom which has fallen into desuetude amongst the Jews, but practised by others. $^5$ Lev. xxi. 1. meat or drunk wine (while the dead was still present); but, if you do not consider yourselves as near relatives of the defunct, why have you profaned yourselves? You were wrong. When a Cohen (priest) is studying Law in the Synagogue, and a body is brought in, should he interrupt his studies and leave the Synagogue, or should he stay? The following fact is an answer: A dead man was once brought into the Synagogue whilst R. Yose was studying the Law, and he made no remark to the Cohanim, neither to those who went out, nor to those who stayed in. R. Nehemia, son of R. Hiya, son of Abba, related that his father (who was a Cohen), in going to the rooms where the studies were made, never went through the Caesarean Arcades; he always went another way round (the dead were buried under these Arcades). R. Ami, R. Hiski, R. Cohen, and R. Jacob, son of Aha, were walking in the streets (public places, palatia) of Sephoris, when they arrived at a cemetery; R. Cohen turned aside. He rejoined them at the other end of the passage and said: On what have you deliberated during my absence? R. Hiski forbade R. Jacob to tell him; it is not known why: either because R. Hiski was cross at R. Cohen’s absence (for he, R. Cohen, must have known that the study of the thora must not be interrupted, even at the risk of profaning oneself), or else he was cross because R. Cohen had taken a walk. We have taught$^6$ that a Cohen may go to foreign parts (outside of Palestine) to judge a pecuniary or criminal case, to note the new moon, to establish (to make good) the leap-year, to reclaim (by means of justice) a field from a non-Israelite, to protest against an illegal landlord or owner, to study the Law, or to marry. R. Juda adds: If there is a master (in Palestine), he should not cross the frontier. R. Jose holds the contrary: A Cohen may do so even when he can find a master (for his studies) in Palestine; for, he adds, one must be able to choose one’s master. This same Rabbi relates (to strengthen his decision) that Joseph Cohen followed his master to Sidon (outside of Palestine), and yet a Cohen is only allowed to leave Palestine to fetch a wife who has been promised to him. At the moment of the Sacerdotal blessing in the Synagogue, should a dead body be brought in, must the Cohanim who pronounce this blessing go out or not? Magbila, brother of R. Abba, son of Cohen, maintained, in presence of R. Jose, and in the name of R. Aha, that they must not leave their places in presence of the dead. R. Aha, on hearing this, denied having expressed this opinion, and he added: Magbila may have misunderstood the sense of my words, which I repeated according to R. Juda, son of Pazzi, who taught, on the authority of R. Eleazar, that a Cohen who, being in the Synagogue at the moment of the Sacerdotal blessing, does not take part in it, breaks a positive commandment $^6$ See J., tr. Nazir, vii. 1. (which the Cohen should practise). Magbila may have thought that a positive commandment may be subordinated to a negative one$^7$. But I do not think that Magbila could have heard me express even this opinion; bring him, therefore, before me, that I may inflict on him the punishment of the malkoth (strokes with a thong, for his untruth). In the Synagogue called “the Synagogue of revolt$^8$,” in the town of Kissrie, just at the moment of the Sacerdotal blessing, and whilst a dead body was exposed, the Cohanims, who were studying the Law, did not ask (their master) R. Abooha whether they should join with the other Cohanim to give the blessing (and they continued their studies). When the hour for the repast arrived, they told him the hour, and asked to go out (on account of the presence of the dead). R. Abooha replied: You did not consult me in the matter of the blessing (which is a positive commandment), and you now consult me as to whether you should make your repast (which is legitimately allowed)? Hearing this the Cohanim hastened out. R. Yanai says that a Cohen may go to see a royal personage even in a profane locality. When Diocletian came to Tyre, R. Hiya, son of Abba (a Cohen), was seen traversing the cemetery to meet him. R. Hiski and R. Jeremiah said, in the name of R. Yohanan, that it is almost a religious honour to contemplate the great personages of the kingdom, so that we may distinguish the Israelite princes of the house of David. May a Cohen profane himself (attend the burial) of a nassi (patriarch)? Certainly. When R. Juda the Nassi died, R. Yanai made a proclamation that, in honour of the Nassi, the sacerdotal laws were suspended for that day. When R. Juda the Nassi, the grandson of R. Juda the patriarch, died, R. Hiya, son of Abba, called R. Zeira (who was a Cohen) into the Synagogue named Gouffna$^9$, at Siphori, where the body was exposed. On the day of the death of Nehorai (Lucia), sister of R. Juda Nassi, R. Ilanina sent for R. Mane (to assist at the funeral --- $^7$ To perform the sacerdotal blessing is a positive commandment, since God ordered Aaron and his two sons to do so. That one must not profane oneself with the dead is a negative commandment. $^8$ According to Josephus (Ant. XX. viii. 7) there was a fight, before this Synagogue, between Greeks and Jews; no doubt on account of this it received the name of the “Synagogue of the revolt.” The same denomination is found again in the Talmud, Nazir, vii. 3 (fol. 56 a), and the same root שְׁנֵי, in the expression “resistance money;” tr. Maasser shéni, i. 2 (fol. 52 b). See Derenbourg, Essay, p. 156; Neubauer, p. 95. In our passage the text is faulty, and is marked נַשִׂיָּה מִדְרָשׁ (Krotoshin edition), or נַשִׂיָּה מִדְרָשׁ (Amsterdam edition). J. Levy translates: Am Abhange. $^9$ According to Eusebius, it is a town situated fifteen miles from Jerusalem in the direction of Neapolis. It had a certain prominence during the wars against Rome. See Raumer, Palestina, p. 99; Neubauer, ib. p. 158. ceremony); but instead of coming, R. Mane answered: Since, when the Nassi is alive, and is in a profane place, a Cohen must not go to him (to render him honour); with much less reason should a Cohen require to profane himself when the Nassi is dead (especially at the death of a sister of a Nassi). To this R. Nassi replied: This is an exceptional case, in which the religious obligation incumbent on every Israelite must be accomplished in his brother's honour. May a Cohen profane himself for his father's or mother's honour (and go beyond the limits of Palestine to see them)? R. Yosse also, on the news of his mother's arrival at Bozzera, asked R. Yoḥanan whether he might go there? The latter replied that: If there is any danger (for his mother, and his presence could get her out of it), he should not hesitate; but if it is simply for the sake of doing honour to his parents, there might be a doubt on the subject. But, as R. Yosse persisted, R. Yoḥanan said: Since thou art decided to go, go and return in peace. R. Samuel bar-Isaac heard this, and thought that it was not a sincere decision. R. Eleazar thereupon added that there was no necessity to have a more formal authorization (than that of R. Yoḥanan). Does a Cohen become defiled in joining a funeral procession in honour of the community? Yes, in presence of two routes, one long, but undefiled, and the other short, but defiled (where the dead have been buried); if the public follow the long route, the Cohen must not undeceive them and follow the same route; but if the public follow the short route, the Cohen must not quit it, since he is acting for the honour of the public. This rule only applies to the cases considered as unclean, according to the Doctors; but in all cases which are forbidden by the Law (Pentateuch), the decision of R. Zeira should be acted upon. He said: The respect due to the public is such that for the moment it takes precedence of a negative commandment. R. Jonas and R. Jose Galilee, on the authority of R. Jose, son of Hanina, say that the Law must not be discussed in presence of the dead. We find, however, that R. Yoḥanan, in presence of the body of R. Samuel, son of Zadoc, asked R. Yani his opinion on this question, viz.: May the revenues realized by an holocaust be applied to the reparations of the Temple? And R. Yani gave the desired solution (this proves that the Law may be discussed in presence of the dead). But it has been supposed that this conversation (between the two Rabbis) took place at a certain distance from the body, or after the funeral ceremony. We find also that R. Jeremiah propounded several questions, for solution, to R. Zeira, in the presence of the dead body of R. Samuel, son of Isaac, before the completion of the ceremony (which proves again that the Law may be discussed in presence of the dead); but it was answered that this took place away from the body (aside), and not close to it. It has been taught that the carriers of the dead (of the coffin) should remain barefooted (during the passage), for it might happen that the shoe of one of them would become torn on the way, and thus interrupt him in the exercise of this religious duty. R. Zeïra fell down during a conversation, and it was seen that he had fainted. When he came to, he was asked the cause of his fainting; he replied: It happened in consequence of our conversation regarding the verse: "And the living will lay it to his heart" (Eccles. vii. 2). 2. After the burial, and during the return, the Shema' should be recited, if there is time enough to begin and end it before arriving at the circle (formed round the mourners to console them); if there is not sufficient time, it must not be begun. Those standing inside the circle (the mourners) are dispensed from saying it; but those outside must recite it. We teach that$^1$: The dead must not be carried away for one hour before, or one hour after the time prescribed for the reading of the Shema', so that it may be said and prayed with the public. We read, however (in the Mishnâ as above), that after the burial, and on the return, the Shema' should be said, if there is time to begin and end it before arriving at the circle. Therefore what we have just said about leaving an hour before or after (the burial), is it not superfluous? No, this latitude is accorded to those who may have made a mistake, or missed (involuntarily) the hour indicated (for the prayers). We teach that those in mourning, and the assistants (at the funeral ceremony), if they cannot terminate the ceremonies in time, should interrupt them to recite the Shema' only, but not to say the Prayer$^2$ (this being longer). But it has already happened that the Doctors have stopped the ceremonies, not only to recite the Shema', but also to say the Prayer. We read in the Mishnâ that the Shema' may be commenced (before arriving at the circle), if there is time to finish it (if not, it must not be begun); if we maintain that the ceremony must be stopped in order to recite the Shema', does it not follow that it may be commenced before arriving at the circle? In the one case, it refers to the first day of mourning; but in the other, to the second day. R. Samuel, son of Ābdooma, says: If he who enters into the Synagogue (at the hour of office) thinks he can finish his Prayer before the Ḥazan (officiating priest) commences to repeat (the 'Amida), so as to be able to join in the Amen, he may begin and finish it (the Prayer$^3$). One of the Doctors held that: This means that there must be enough time to finish his prayer and say the Amen after the third section of the 'Amida; another Doctor said that this applies to the $^1$ J., tr. Synhedrin, ii. 2. $^2$ J., tr. Biccurim, iii. 3. $^3$ See further on, chap. iv. § 8. case where the person thinks he can say his prayer before the Ḥazan has finished the sixteenth section, so as to say the Amen. R. Pinhas says that these two Doctors are not at variance, for the former speaks of Saturday prayers, and the latter of ordinary week-day prayers. We teach that R. Juda said: If there is only one circle, all those forming it must pray, if they are present in honour of the mourners; but the relatives (who take part in the mourning) are exempted. Those (of the assistants) who have arrived at the place where the mourning ceremony takes place, and who have their faces turned towards the mourners (are close to them), are exempted from reciting the Shema'; the others (those who cannot see the mourners) are not exempted. It is in accordance with the subsequent decision (according to the text of the Mishnâ), that those who form or who are inside the circle are exempted from reciting the Shema', but not those who are on the outside. And what we have just taught, of the obligation attaching to those who have only come to do honour, and the exemption of those who have come to console the afflicted, is according to an anterior decision. We have learnt * that when the High Priest has consoled the mourners, the Segau (assisting priest) places them between the High Priest and the assistants; these, then, come (one after the other) to offer their consolations. R. Ḥanina relates that formerly the assistants (the friends, &c.) remained in their places, and that the mourners passed along the rows of the assistants; but, as there arose quarrels between the assistants at the city of Siphoris, R. Jose ben-Ḥalaphta decided that the mourners should keep their places, and the assistants come to them, one by one, to offer their consolations. R. Simon of Tossephta says that the old custom has been again re-established. 3. Women, slaves, and children are exempted from reciting the Shema', and from wearing the phylacteries; but they are bound in the matter of the Prayer, the sign on the door-post (mezuzâ), and the blessing after meals. The exemption of women (from reciting the Shema' and wearing the phylacteries) is based on the following verse: "And ye shall teach them your children (sons and not daughters)" (Deut. xi. 19). And why is the same exemption applied to slaves? Because it is written: "Hear, O Israel: The Lord our God is one God" (Deut. vi. 4); which means that we have no other superior but God, whilst the slave is subservient to his master. And why are children exempted? * See B., tr. Synhedrin, fol. 18. 5 Mezuza: the parchment which contains verses 4-9 of chap. vi., and verses 12-20 of chap. xi. of Deuteronomy, and which is affixed to the door-posts, as ordered in these verses. Because it is written: "That the Lord's Law may be in thy mouth" (Exod. xiii. 9), meaning, that thou be assiduous in the study of this Law (and a child is not so); but they are all (woman, slave, and child) obliged to recite the Prayer ('Amida), because everybody must endeavour to draw down upon himself the Divine mercy. As regards the mezuza, it is written (Deut. vi. 19): "and thou shalt write them upon the posts of thy house" (the Law). All are obliged to say the blessing after meals, because it is written: "When thou hast eaten, and art full, then thou shalt bless the Lord thy God" (Deut. viii. 10). We are taught that all positive commandments, for the accomplishment of which there is a fixed time, are only obligatory for men, and that women are dispensed; but the commandments, for the accomplishment of which the time is not fixed (i.e. which may be accomplished at any time), are obligatory for men and women. Which are the commandments having a fixed time? They are: the Sukka (tabernacles), the Shofar (trumpets of the Rosh Hashana), and the Tephilin (phylacteries). And which are the commandments not having a fixed time? They are: the restitution of things found to their owners, the taking of young birds by sending their mother back to the nest, the erection of a balustrade on the roof (for the safety of the inhabitants), and the precept of the tzitziths. R. Simon exempts women from the tzitziths because, to accomplish this commandment, the time is prescribed, since any garment for night use need not have tzitziths. R. Abina, explaining the decisions of the Doctors (who class the tzitziths with the commandments that have no fixed time), says: The garments that are used by day as well as by night must have tzitziths. We teach that: A man may accomplish on his neighbour's behalf (at the prescribed time) any positive commandment, excepting the blessing after meals. We teach that: With regard to religious duties, a person not bound by them, may not exempt his neighbour (by performing them for him). But with regard to those duties which are binding, the same duties may be repeated on behalf of others (neighbours), and thus exempt them. R. Elaia adds, that in this case the blessing at meals is excepted (it cannot be said for one's neighbour), for it is written: "When thou hast eaten, and art full, then thou shalt bless the Lord thy God," which means that each one must recite the blessing after his meal. R. Jose and R. Juda ben-Pazzi except also the Shema' and the prayers which each person should say for himself, in order to draw down upon him the Divine mercy. What difference is there between Sukka and Lulab? That is to say: Why --- 6 See J., tr. Kiddoushin, i. 7; B., ib. fol. 29. 7 See further, chap. v. § 3. 8 The tzitzith (fringes on the clothes). With regard to these fringes, it is said: "And it shall be unto you for a fringe, that ye may look upon it, and remember all the commandments of the Lord" (Num. xv. 39). is the blessing of the Sukka said on the evening (preceding) the first day of the Feast of Tabernacles (only once), whilst the Lulab must be said on each of the seven days (every morning of the Feast of Tabernacles)? R. Jose and R. Aḥa asked, at an assembly, this same question, and the answer was: Because it is a duty to remain in the Sukkôths (tabernacles) all the seven days (of the solemnity), nights included; whilst on the other hand, the Lulab is only obligatory during the day (each day separately). R. Jacob Deromi⁹ protested that: The study of the Law is also obligatory at night, as well as during the day (and yet the benediction must be said every time one sits down to study); a man may, said he, abstain from eating, during the festival, of things not requiring a blessing, as, for example, fruit which may be eaten outside of the tabernacles (and in this case one is not obliged to spend one’s time there, nor to recite the blessing every day); the Lulab, on the other hand, is a positive commandment (for each one of the seven days of the festival), as for the blessing to be said before commencing the study of the Law, it is said in accordance with the verse: “And in his Law doth he meditate day and night” (Ps. i. 2). We teach¹ that a man may have the blessing after meals recited for him by his wife, child, or servant. Did not R. Aḥa, in R. Nearai’s house, say, on the authority of R. Jose, that a child is allowed to say the blessing after meals, in order to accustom him to accomplish that duty? On the other hand, since a child is not obliged to practise the commandments (as we have said previously), can he exempt his father? There is no question here of exemption, the child says the blessing, and the father (if he is ignorant) repeats it (word by word) as we have taught with regard to the Feast of Tabernacles. It is said there that if a slave, a woman, or a child recite the Hallel (divers chapters of the Psalms) in order to exempt others, these latter must also repeat it (word by word). The Doctors, however, blame him (the ignorant man, who has the blessing said for him by his son). It is not seemly that a man of twenty should repeat what a child of ten says. 4. A man in his legal uncleanness² is to meditate in his heart on the Shema’; but he is not to bless before or after it. After he has eaten he blesses, but not before doing so. R. Juda says: He blesses both before and after it (in his heart). A mental recitation is made in places where there is no water (to wash oneself). According to R. Meir, a baal-keri (a man in his uncleanness), not having ⁹ From Darom (South). See above, p. 3, note 2. ¹ See J., tr. Succa, iii. 9; Rosh Hashana, iii. 3. ² Baal geri, who has had an accident (quī fluxum pollutionis senserit). sufficient water to take a Tebila (bath of purification), must recite the Shema' in such a manner as not to be able to hear himself; but he must not say the blessing at the commencement or end of it. The Doctors, however, allow him to recite the Shema' aloud, and say the blessing both before and after it. We teach that: A baal-keri who is ill, and on whom nine measures (cab) of water have been poured, and another baal-keri who is not ill, and who has had three lug (small measures) of water poured over him, become clean, and may then occupy themselves with their religious duties; but they may not replace others in these duties, they may only do so after having plunged into forty measures of water$^3$. R. Juda is also of this opinion. According to R. Jacob bar-Aḥa, who maintained it on the authority of R. Jose, who himself spoke in the name of R. Yehoshua ben-Levi, a man only became unclean through knowing a woman. R. Ḥoona says that even he who becomes keri (polluted) in dreaming is unclean; but according to R. Jonas and R. Jose, one can become baal-keri (when not dreaming) as soon as one notices anything (ejection) from whatever cause. We have learnt$^4$ that on the day of kippur (pardon) it is forbidden to eat, drink, wash (bathe), to perfume oneself, put on shoes, and to know one's wife. On this head we have also learnt (from a baraita) that a baal-keri (remarking his uncleanness on the day of kippur) may plunge into water to cleanse himself; but must do so secretly. This is not contrary to the decision of R. Juda ben-Levi, according to whom a man becomes unclean through knowing woman, for he may have known his wife on the eve of kippur, and have forgotten to take his bath afterwards. R. Jose ben-Halaphta was seen to bathe himself on the day of kippur. Can we suppose that this holy man can have forgotten to take his bath the evening before, after having known his wife? R. Jacob bar-Aboon says that the Tebila was instituted to distinguish that man who is like an animal (who like a cock approaches his hens, leaves them to take his meals, and goes again to them afterwards). So the Tebila is not obligatory for the baal-keri, and R. Jose ben-Halaphta might well neglect it on the eve of Kippur. R. Ḥanina was one morning, before daylight, passing the gates of δημόσια (where were the Tiberias baths); he met there some of his pupils, whom he scolded, telling them that they had no necessity to lose their hours of study by taking baths (to purify themselves), for they could take their Tebila during the morning. This proves that the Tebila is not forced upon the baal-keri (even for the study of the Law). R. Aḥa was once at R. Yeḥiya’s house, and he related that in the time of R. Jehoshua ben-Levi it was attempted to abolish the use of the Tebila for men --- $^3$ The Tebila (bath of purification) must contain at least forty measures of pure water (from a running stream). $^4$ See J., tr. Yoma, viii. 1. and women (after intercourse), because some women at Galilee caught a chill, and became sterile. But R. Yehoshuah opposed himself to the change, saying: You wish to abolish a thing which keeps Israel from sin? How does the Tebila keep us from sin? The following is an example: There was once a watchman of a garden who was going to commit a sin with a married woman; but before doing so, he wished to assure himself of being able to purify himself immediately afterwards; in the meantime strangers arrived, which prevented them committing the sin. Another man wishing to seduce one of Rabba’s slaves, received from her this answer and refusal: I cannot take the Tebila excepting when my mistress takes it. Thou (slave) art considered but as an animal, said the seducer, so thou dost not require the Tebila. Hast thou forgotten, replied she, that it is written: “Whosoever lieth with a beast shall surely be put to death” (Exod. xxii. 18)? (So the sin was not committed.) According to R. Yehiya bar-Abba, the Tebila was only introduced in the interest of the study of the Law: As there is no limit to a man’s intercourse with his wife; this intercourse happens too often, and too much precious time would be lost to the study of the Law. A baal-keri may not study the Law before having taken a Tebila. R. Juda bar-Titus and R. Aha say, on the authority of R. Eleazar, that this prohibition is based on the verse: “Be ready against the third day: come not at your wives” (Exod. xix. 15). We teach that any man or woman suffering from an uncleanness (profusiviosus), as well as a woman with her courses, and a woman in her confinement, may read the Tora (Law), study the midrash, the halakha (legal part of the Talmud), and the agada (ethical part); but all this is forbidden to a baal-keri. According to R. Abba bar-Aha, on the authority of Rabba, they (the baal-keri) may study the halakha, but not the agada; and according to R. Jose, they may study the halakha, which they know, but not the Mishna. According to another explanation of R. Jose’s decision, they may study anything; but may not utter God’s sacred names. R. Sera (who was baal-keri) asked R. Jose if he would study with him and R. Aboon the Halakha, in which they were well versed; and he received a reply in the affirmative. R. Hiya (whilst also baal-keri) studied with his son, R. Jeremiah, the Halakha (during the same night in which he had become unclean), and in the morning he sent his son to work, so as to give himself time to take the Tebila. (All this proves that a baal-keri must not interrupt his studies to take the Tebila.) A Doctor who had arrived at the town of Netzibin whilst the Tora was being read, stopped at the sacred names (which he would not dare to utter). R. Juda ben-Bethera said to him: Continue, and enlighten us by your words, for the study of the Tora is not susceptible to uncleanness. According to --- 5 Another reason may be mentioned: the cold water of the Tebila (cold baths) cools the ardour of the blood. This is generally known. R. Jacob bar-Alha the principles of R. Elai, with regard to the shearing of sheep, are to be adopted, and the principles of R. Yoshiya relating to kelaim (mixed seeds), and those of R. Judah ben-Bethera regarding uncleanness. The first held that the commandment relating to the shearing of sheep is only applicable to Palestine; the second held that the prohibition regarding mixed seed is only infringed when one sows at the same moment wheat, barley, and the seeds (stones) of grapes, mixed together; the third held that the study of the Tora is not susceptible of impurity, i.e. a baal-keri need not take a Tebila before studying the Law. R. Jose ben-Halaphta was travelling at night$^6$; a donkey-driver was behind him. On arriving at a cistern, he noticed that his companion wished to plunge in. R. Jose opposed it. But, said the other, I wish to purify myself after the relations I have had with a married woman, and in addition to which she was in her courses. In spite of this R. Jose forbade him to expose himself to danger; but the man would not listen, and was on the point of plunging in; thereupon R. Jose called out to him: Go! and return not, since thou disobeyest me. And so it happened, for the imprudent fellow was drowned. R. Jose ben-Jose was on board a ship, and saw a sailor who was attaching a rope to his waist to plunge in the sea: Expose not thyself to danger, said the Rabbi. But I am hungry, said the other; I wish to eat$^7$. Thou mayest eat without purifying thyself. When arrived in port, λιμήν, the Rabbi said to him: Here thou must obey thy scruples, take the Tebila before thy meal; I only forbade it thee on the sea, where it was dangerous. R. Yanaï says: Some say that the bath may be taken in still water, and others, that it must be in running water. He who wishes to be scrupulous (by using the latter) will see his days prolonged. 5. If any one, whilst reciting the Prayer, recollect that he is in his uncleanness (baal-keri), he is not to stop, but to shorten his prayers (at each section). If he has gone down into the water to bathe (Lev. xvi. 16), and can go up, dress, and recite the Shema' before the sun shines forth, he is to go up, dress, and recite it. But he is not to cover himself with foul water, or with water holding matter in solution, unless he has poured clean water to it. How far is he to keep from foul water or excrement (to pray)? Four cubits. The teaching of the Mishna (that a baal-keri must not interrupt himself in the recitation of the Prayers) only applies to public recitation; but if one is praying alone, and recollect that he is in his uncleanness, he must stop and wash himself. $^6$ Following the road: Semitia. $^7$ The Essenians purified themselves with water before meals. According to R. Juda, if one is praying alone and there is no water to make an ablution, he must not suspend his prayer; but if there is water, he must stop and wash himself (to continue the prayer). R. Meyer, however (as cited above), held the contrary. R. Ame said: If a sick man has known his wife, he must take the Tebila, even if he foresees danger for his health. But if he has become unclean without intention (by pollution), he is dispensed. R. Hagui, on the authority of R. Abba bar-Zabdi, says, that in neither case is the Tebila to be exacted, so as not to expose him to danger. He who designedly becomes keri, if he is ill, must take a bath of nine ordinary measures of water, to purify himself; if he is in good health, he will take one of forty ordinary measures. If a sick man becomes unclean involuntarily, he is dispensed from the Tebila; but if a man is in good health, he will purify himself in a Tebila of nine measures. R. Zabdi, son of R. Jacob bar-Zabdi, on the authority of R. Jonas, says: In a town which is distant from running water (river or pond), the baal-keri may recite the Shema' before purifying himself (so as not to miss the morning hour prescribed for the Shema'); but the prayers must be said after having taken the Tebila. A delicate (weak) man is not obliged to rise at daybreak (even if the water is close to the town), to take his bath (in case of uncleanness). The teaching of the Mishnâ, that a baal-keri may recite the Shema' while bathing, by covering himself with water, applies only in case the water is turbid; but if the water is clear, he must not recite it (for he can in that, by looking down, see his private parts); but if he can, with his feet, render the water turbid, he must do so, and recite the Shema'. We teach that in reciting the Shema', one must place himself at a distance of four ells from human excrement and from the dung of dogs (especially), at the time that it is being used for dressing skins (at the tannery). According to the Rabbis Jeremiah, Zevi, Abina, Ama, Shamaï, Mana, Abooha, Jose ben-Hanina, Samuel ben-Isaac, Ḥiya bar-Abba, Jose bar-Abbina, and Hona, in order to recite the Shema' and say the prayers, one must not be within four ells of any dirty or fetid water, or of a badly smelling corpse, human excrement, filth, and urine; even that of children who can already eat a piece of bread (of the size of half an egg at one time), or of any dung of beasts or birds, in fine, of anything dirty, filthy, or stinking. R. Aboon was asked why it was necessary to place oneself at a distance from infants' excrement and urine (which does not smell)? He replied: "For the imagination of man's heart is evil from his youth" (Gen. viii. 21). R. Yadan adds that the words "from his youth" mean: from the day of his birth. We find that R. Elaiya and his companions, seated one evening in front of an hotel (fondug), smelt a bad odour (without knowing from whence it arose); they asked themselves whether they could speak of the Law in that place? R. Elaiya replied: If it were light, we should be able to see the foul matter (since we can smell it, and it must be close to us), so we must abstain from speaking of the Tora, or move away a space of four ells. R. Simon bar-Eleazar said: If a room, triclinium, be of a size of ten square ells, and there is some filth in it, it is not permitted to pray there without having at least covered it over, or put it under the bed. The Rabbis Zakhaï, Simon ben-Gamaliel, Jacob ben-Aha, Yehia bar-Aba, and Ḥanina said: If, in a room of four square ells (or larger) there be a urinal (vessel), at least a quarter of a measure of water must be poured into it, and it must be covered up, and hid before the prayers can be said. On a small quantity of filth, it suffices to throw water, according to R. Benjamin bar-Yapheth, on the authority of R. Yohanan. R. Jacob bar-Zabdi spat upon a small quantity of filth (thinking that would suffice); but R. Zera reproached him for this insufficiency. The box full of books must not be placed under the foot of the bed (marriage-bed); it must be at the head. R. Abbin, in the name of R. Hoona, adds: The bed must be raised ten palms, at least, from the floor, and the cords of the bed must not touch the case. R. Jose, replacing R. Samuel, son of R. Isaac, approves R. Hoona’s decision. A man must not approach his wife in a room in which there is a sephar tora (roll of the Law), unless it is placed in a cupboard, ten palms higher than the bed, or enveloped in linen; according to R. Jeremiah, in the name of R. Aboon, R. Yehoshuah ben-Levi, in this case, put a curtain before the Tora. It is not permitted to sit down on a bench on which the Law is placed. It happened to R. Eleazar to perceive that he had sat down on a bench on which was lying a roll of the Law; he became frightened, and got up, trembling like a man who notices a serpent by his side. If the roll is lying on another object (as, for instance, a piece of wood), placed on the bench, one may sit down. Of what size should the object (piece of wood) be? R. Abba, in the name of R. Hoona, replies that it must be as large as the fist. R. Jeremiah, in the name of R. Zera, says that it suffices for the roll to be placed above the level of the seat (of any size or thickness). If, seated on a donkey or horse, one has with one a satchel, δισάκκιον, full of books or human bones, it must be attached to one’s back (i.e. one must not sit on it). The phylacteries must be placed above the bed, at the head, and not at the feet. R. Samuel, R. Abba, and R. Eleazar say, in the name of R. Hanina, that Rabbi hung up his Tephilin in this manner. According to R. Ḥiski, in the name of R. Aboon, they must not be hung up, in the manner that basket-sellers hang up their goods (i.e. hanging down); the phylacteries must be hung up by their cases, leaving the bands to hang down. R. Ḥalaphta teaches that one must prevent oneself from yawning and hiccuping during prayers. R. Ḥanina relates that Rabbi put his hand on his mouth if he yawned or sneezed, and that he never spat during prayers. According to R. Yohanan, one may spit, so as not to have the mouth embarrassed in praying; but one must spit aside, and not to the right, but to the left (the right hand being held in greater estimation), for it is written: "A thousand shall fall at thy side (left), and ten thousand at thy right hand" (Ps. xci. 7). Everybody admits that it is forbidden to cover the spittle with one's vestment, stola. R. Yehoshuah ben-Levi said: He who spits in the Synagogue during the prayers ought to be ashamed of himself. R. Jonas, however, spat in the Synagogue; but he put his foot on it. R. Jeremiah or R. Samuel ben Ḥalaphta say, on the authority of R. Ada b. Ahwa$^8$: One must not spit during prayers excepting one has moved away a space of four ells. According to R. Jose bar-Abbin, a person, after having spat or made water during prayers, must again move four ells away before recommencing. R. Jacob bar-Aḥa says that it is not a question of actually walking away a distance of four ells; but simply to allow the time it would take to do so to elapse. R. Amma, in accordance with the latter opinion, explains it thus: If one were obliged to walk a distance of four ells one might, by doing so, arrive at a still dirtier spot. R. Abba, in the name of Rabba, says: One must not pray in a place where there is filth, or urine which has not been soaked up. Genooba adds: As long as there is still a trace of urine in a certain spot, one must not pray there. According to Samuel, one may say one's prayers there as soon as the filth has commenced to dry up. Simon bar-Aba, in the name of R. Yoḥanan, approves Samuel's decision. R. Jeremiah and R. Zera, on the authority of Rab, say: Even if the filth is dried up as a bone, one must not say prayers near it. Samuel, however, repeats his words and maintains them. R. Simon bar-Aba, on the authority of R. Yoḥanan, agrees with Samuel. Ḥiski then said: Abbe (or Rabbe) was more scrupulous with regard to urine than other filth. R. Mauna answered him: Thou referrest to what Genooba said (as above) in his name. 6. A man in his uncleanness$^9$ with a running issue,$^1$ a woman in her uncleanness during separation,$^2$ and a woman who perceives the need of separation (through her courses), all require the bath (before prayers). R. Juda exempts them (the more particularly that, in such cases, cold baths are dangerous). The dispensation accorded by R. Juda applies to the case of a person who, being unclean, experiences an accidental issue (if preceded by the uncleanness, profluvium); but, if the uncleanness (profluvium) declares itself subsequently to the issue, is the bath to be exacted in such a case, in view of its serving to purify the former (accidental) case? This question may be resolved on the ground that, --- $^8$ See J., tr. Meghilla, iii. 1. $^9$ Latin: Profluviosus (a gonorrhoea) qui fluxum senserit. Lev. xv. 2. $^1$ In spite of the first state of uncleanness, a bath must be taken for the second one. $^2$ After cohabitation in a pure state. as it is said: The bath is necessary for a woman who, during cohabitation, perceives herself to be in her courses. R. Juda exempts them. Verily, R. Juda bases himself on one or other of the following motives: (1) That in such a case the bath is useless (seeing the general state of impurity); or, (2) that one does not take account of secondary uncleanness, in view of a superior degree of (contemporary) uncleanness. There is a practical divergence between these two motives if an accidental issue precedes the profluvium, in which case the first motive (that of the utility of the bath) is applicable (and the accidental uncleanness may be remedied); but, according to the second motive (i.e. not to take into account a secondary uncleanness in presence of one of a superior nature), the bath is not required (therefore the second motive prevails). One knows now R. Juda’s opinion in the case of the secondary uncleanness declaring itself last; but what would be his opinion in the event of the graver state of impurity coming after the lesser one (seeing that the lesser one may be remedied)? We may reply to that, that it is said: If a woman, during cohabitation, perceives that she is menstrual, she must attend to herself; R. Juda exempts them. It is because, according to his opinion, there is no difference between uncleanness (profluvium), and the courses (in either case, if the graver uncleanness declares itself last, the exemption is maintained). CHAPTER IV. 1. The morning Prayer may be said until noon; R. Juda says: Until the fourth hour (ten o'clock). The afternoon Prayer, until the evening; according to R. Juda, until the middle$^2$ of the afternoon. The evening Prayer has no limited time; and the additional Prayer (Mussaph of Sabbath and festival days) may be recited all day. R. Juda says: Until the seventh hour (one o'clock). It is written: "To love the Lord your God, and to serve Him with your heart" (Deut. xi. 13). This service of the heart means Prayer; it is also written: "Thy God, whom thou servest continually, will deliver thee" (Dan. vi. 11). Since there (at Babylon) were no organized religious ceremonies, it follows that it can only be Prayer that is meant. It cannot be maintained that all these prayers were said at the same time, for it is said: "He kneeled upon his knees three times a day" (Dan. vi. 10). In saying these prayers, one must not adopt any position at choice, for we learn that "there were three windows towards Jerusalem in his chamber" (Dan. vi. 11). Are we to infer that this practice was only instituted after the captivity? We cannot admit so in presence of the words "as he did aforetime" (Dan. vi. 11). Also we learn, by David, that there were ever fixed hours for Prayer: "Evening and morning and at noon will I pray," &c. (Ps. lx. 18). Through Hannah we learn that one must not raise the voice too high: "Now Hannah she spake in her heart" (1 Sam. i. 13); on the other hand, one must not reduce prayer to a simple meditation, for it is written: "her lips moved" (1 Sam. i. 13). How, then, is one to act? Speak with the lips. R. Jose bar-Hanina says: This verse teaches us four things: Hannah spake in her heart, therefore prayer requires attention; her lips moved, therefore the prayers must be spoken; her voice was not heard, therefore one must not raise the voice too high; "Eli thought she had been drunken," these last words prove that it is forbidden to --- $^1$ Translated by the late X. Z. (anonymous), who helped us also to revise the first chapters of this work. $^2$ Supposing the day and night equal, i.e. twelve hours each, the Vesper hour would commence at half-past two; therefore one may say the afternoon Prayer until a quarter to four, at which hour the evening Prayer would commence. say one’s prayers while in a state of drunkenness. There was a discussion on the following subject: Ḥanna bar-Aba, one day, said to his condisciples, I am going to tell you of something which I saw Rabe do, and which when I told Samuel of, he was so pleased at, that he kissed me on the mouth (as a mark of satisfaction); this is what I saw: In saying “Be Thou praised” one bows down, and on coming to the word Lord, one stands upright again$^3$. Samuel adds: I can give the reason for this custom, it is written: “and he raiseth up all them that be bowed down” (Ps. cxlv. 14). I cannot admit that, said R. Ami, for is it not written: “and was afraid before My name” (Mal. ii. 5)? That remark would be just, replied R. Aben, were it written, and was afraid “at” My name, but it is “before My name,” i.e. before having uttered My name he is afraid (and there, one bows down). R. Aba bar-Zabdi prayed aloud. R. Jonah prayed in a low voice in the Synagogue; but when at home he prayed in a loud voice, so that the members of his family might learn their prayers through him; indeed, adds R. Ḥanna, they learnt their prayers through hearing their father (R. Jonah). From where have they (the ancients) obtained the three prayers$^4$ ? R. Samuel bar-Nahmeni says: They (the prayers) are established upon the three periods of the day affecting all creatures; thus, in the morning, one should say: “I render thanks unto Thee, O Lord my God, and God of my fathers, that Thou hast brought me out of the darkness (of the night) unto the light (of the day).” In the afternoon, one should say: “I render Thee thanks, O Lord my God, and God of my fathers, that Thou hast permitted me to see the sun, at the going, as at the rising thereof.” In the evening, one should say: “Let it please Thee, O Lord my God, and God of my fathers, to bring me out from the darkness to the light, as Thou hast done before.” R. Yehoshuah ben-Levi says: They have learnt them (the three prayers) from the patriarchs: that of the morning, from Abraham: “Abraham got up early in the morning to the place where he stood before the Lord” (Gen. xix. 27); now the expression he stood (’Amad) signifies he prayed, as it is written: Then stood up (vayaamod) Phinehas, &c. (Ps. cvi. 30). The afternoon prayer comes to us from Isaac: “And Isaac went out to meditate (תְּרֵא, pray) in the field at the eventide” (Gen. xxiv. 63); this word, lasouah, means to pray. So we read (Ps. cii. 1): “A prayer of the afflicted, when he is overwhelmed, and poureth out his complaint (תְּרֵא) before the Lord.” As for the evening prayer, we have it from Jacob: “And he lighted (vayifga’) on a certain place, and tarried there all night.” The word vayifga’ signifies to pray$^5$, as it is said: “Let them therefore pray (yifgu’oo) the Lord God of Sabaoth” (Jer. xxviii. 28), and again: “Therefore pray not thou,” &c. (veal tifga’ bi) (Jer. vii. 17). --- $^3$ See above, chap. i. § 8. $^4$ See Medrash on Psalms, chap. xxv.; Tanḥuma, section Miyetz. $^5$ See Sifri, section Waethḥannan, chap. xxvi.; Bamiḍbar-Rabba, chap. ii. The Rabbis maintain that the prayers were instituted as parallels to the daily sacrifices, the morning prayer conformably to the morning sacrifice: "The one lamb shalt thou offer in the morning" (Num. xxviii. 4), and the same for the afternoon (Num. xxviii. 4). As regards the evening prayer they did not know with what to combine it, so they prescribed it without giving the motive; for which reason, we find in the Mishnâ that the evening prayer has no fixed hour. According to R. Tanhuma, it was instituted in remembrance of the burning of the remains and entrails of the evening sacrifice, which was done during the night, on the altar. R. Juda (who maintains that the evening prayer can only be said up to ten o'clock) relies upon the Tora, for R. Ismael taught that it was written: "And when the sun waxed hot it melted" (Exod. xvi. 21), i.e. at the fourth hour (ten o'clock); now if one should wish to say that these words indicate the sixth hour, I would reply that this hour is pointed out by the following words: "And he sat in the tent door, in the heat (הָרֶד) of the day" (Gen. xviii. 1). The words: in the heat of the day (הָרֶד) must mean the fourth hour. And also, as the word morning, which is found in the passage relating to Abraham's sacrifice, signifies the fourth hour, the same word used with regard to the Manna, must have the same signification; at the fourth hour (ten o'clock), the sun is hot, but the shade is cool; at the sixth hour, however (midday), the sun and shade are both equally hot. According to R. Tanhuma, the words the sun being hot, signify the hour at which no creature finds shade. R. Jose was praying at the third hour (nine o'clock); R. Hhiya bar-Aba did the same; R. Berakhiya Hamnonia recited first the Shema', and the other prayers afterwards. But the objection to this is that it has been decided that he who recites the Shema' after the third hour, does not lose the benefit of the prayer, which is reckoned to him as having the same spiritual value as the study of the Law. (Why therefore separate, as R. Berakhiya does, the Shema' from the other prayers?) The reply was that this was only to mean or apply to the case where the Shema' is recited at the fixed hour. One might suppose that R. Juda, in fixing on the fourth hour (for the Shema'), bases himself on the following story, told by R. Simon, in the name of R. Yehoshuah ben-Levi: Under the Greek domination, the Jews, besieged in the Temple, gave every day two vessels of gold, which they passed out through a little window in the walls, and in return they received two lambs (for the daily sacrifice); one day, instead of lambs the Greeks sent two goats; but the Most Holy (praised be His name) opened their eyes, and they found two lambs in the --- 6 Yavan; the Talmud styles thus the Seleucides who, after the death of Alexander, occupied the Syrian throne; the incident related by the Talmud took place under the reign of Antiochus Epiphanus. See J., tr. Tuanith, iv. 5, and Histoire d'Hérode, by F. de Sauley, p. 18. Temple stables. With regard to this (morning) sacrifice R. Yuda bar-Aba says that it was offered at the fourth hour. R. Levi adds that during the same reign, they (the Jews) passed out two vases of gold for the price of two lambs; one day two pigs were given in return (derisively); but when the pigs had been hoisted about half the height of the wall they became fixed, and the wall was shaken down, and thrown to a distance of more than forty parasanges from the land of Israel; from that time, on account of the sins of Israel, the daily sacrifice was interrupted, and the Temple subsequently destroyed. On what do the Rabbis base their opinion? It is written: "Two lambs day by day" (Num. xxviii. 3), thus dividing the day into two parts. R. Juda explains the words "two every day" in the following manner: present two offerings each day; or, offer up as daily sacrifices (and not extraordinary sacrifices); or, offer them up during the day. The Mishnâ instructs us as follows: The morning sacrifice is slain at the north-east angle of the altar, near to the second ring, and that of the evening at the south-east angle, near to the second ring; and it says that the morning and evening sacrifices must be chosen beforehand. R. Hhiya, in the name of R. Yohanan, says: With regard to the prayer Minhâ (of the afternoon) and the prayer Mussaph (supplementary, of festivals), priority is given to the former. It was endeavoured (in the schools) to maintain that this rule only held good in case of there not being time enough to say both before night; but R. Zera, as well as R. Nathan bar-Tubi, affirm, on the authority of R. Yohanan, that this rule holds good in the contrary case. But it was objected that by reciting the Minhâ before the Mussaph one accomplishes the religious duty, but that one should not act voluntarily in this manner? It was answered thereto, that the foregoing only applies in case of the hour for saying the Minhâ not having arrived. Thus R. Yehoshuah ben-Levi taught his pupils, saying to them: When you go to a repast (ἀρτιστον), never sit down at midday without having said the Minhâ, for fear of the repast lasting a long time, and causing you to miss, either on a week-day or on a Saturday, the hour appointed for this prayer. But what is the appointed hour for this prayer? A quarter to eleven. Verily we learn, that the evening sacrifice was slain at the middle of the eighth hour (half-past two), and laid on the altar at the middle of the ninth hour (half-past three), excepting on Easter eve, when it was offered an hour --- 7 In B., Bava-Kama, fol. 82, this incident is supposed to have occurred during the struggle between Hyrcanus and Aristobulus. On this account also was it forbidden to rear pigs in Palestine. See Histoire d'Hérode, by F. de Sauley, p. 18. 8 Mishnâ, v.; tr. Talmîl, chap. iv.; tr. Edooyoth, vi. 1. 9 By dividing the day into two equal parts, commencing at six a.m., the hour for saying the Minhâ would be a quarter to five in the evening (or eleventh hour since the morning). 1 See Mishnâ, tr. Pesâhîm, v. 1. earlier (on account of the Paschal lamb). We see, therefore, that the time for saying the Minḥa begins early, and that explains R. Yehoshuah’s advice to his pupils, as above. R. Jeremiah said: You say that the time for saying the Minḥa lasts two hours and a half, whilst for the sacrifices you accord three hours and a half? R. Jose replied that the comparison of the Minḥa to the evening sacrifice is not complete: it should only be collated with the offering of the incense, which is made afterwards; he relies on the following verse: “Let my prayer be set forth before Thee as incense, and the lifting up of my hands as the evening sacrifice” (Ps. cxli. 3). Take off an hour for the preparation of the sacrifice; there remains two and a half hours. R. Jose ben-Hanina said his morning prayer as soon as the sun appeared, and his evening prayer just before it had entirely disappeared, so as to be filled all day with the fear of heaven, according to the verse: “For this shall every one that is godly pray unto Thee in a time when Thou mayest be found” (Ps. xxxii. 6), that is to say, at the hour that God reveals himself to the world by the light. R. Ada’s uncle (his mother’s brother) had Rab’s taleth (the service mantle) on the day of the great fast; the latter said: When the sun shall be as high as the tops of the palm-trees, thou wilt give me my taleth, that I may recite the neilu (close of the fast). When the sun is at that height at Babylon, where Rab was, it is still day here (in Palestine), for Babylon is lower than Palestine. This, according to R. Yoḥanan, results from the verse: “That sayeth to the deep, Be dry” (Isa. xliv. 27); it is Babylon which is thus called the deep of the world. It has been proved that he who prays much will be heard (God does not hear the prayers of the Israelites, because they are sinful; but if they were not so, the more they pray, the more acceptable they are to God). A contrary opinion has, however, been expressed, on the authority of R. Levi, by R. Aba, son of R. Papi, and R. Yehoshuah of Sahnin, who explained in that manner the verse: “In all labour there is profit; but the talk of the lips tendeth only to penury” (Prov. xiv. 23); they applied this verse to Hannah, who, having prayed too much, shortened the days of Samuel’s (her son) life; she said: “And he will there abide for ever” (olam) (1 Sam. i. 23). But it was objected that the word olam, as applied to the Levites, means the fiftieth year, and Samuel lived fifty-two years. R. Yose bar R. Aboon says: The two years during which she suckled him must be deducted (leaving fifty). There is no contradiction; according to Levi, the former case applies to the particular individual, and the latter to the community (the one is rewarded, whilst the other is punished). R. Ḥiya, on the authority of R. Yoḥanan and R. Simon, son of Ḥalaphta, relied --- 2 This shows what relation prayer has to incense. 3 See J., Biccurim, ii. 1; tr. Tuanith, iv. 1. 4 How reconcile these two opinions, that prayer is useful, and that it is injurious? upon this verse: "And it came to pass thus as she continued praying" (1 Sam. i. 12), to prove that he who prays much is heard. The prophet thus called the place Babel, because it is the place on the earth which lies the lowest. According to R. Yohanan, the name of tzoula (depth or abyss) was given to Babel because it was there that the victims of the Deluge were swallowed up (Exod. xv. 10), conformably to this verse: "As Babylon hath caused the slain of Israel to fall, so at Babylon shall fall the slain of all the earth" (Jer. li. 49). It is written: "They found a plain in the land of Shinar, and dwelt there" (Gen. xi. 2). It is called Shinar, says Resh-Lakesh, for it is there that were precipitated (Sheninaroo) those who died by the Deluge; or else because they died there of epilepsy (naar, to writhe), deprived of light and baths (which would have been good for the sick); or else because they are despoiled (same word in Hebrew) of good works (neither offerings nor tithes); or else because its princes die young; or else because it (this country) has raised up an adversary, and an enemy to God, that is Nabuchodonosor the impious. Rab bar-Judah said: If you do as the Rabbis, R. Judah cannot consent to it; but if you do as R. Judah, you act in conformity with all opinions. On what has one relied to establish the neila $^5$ (closing prayer of the long fast)? According to R. Levi, on the following verse: "Yea, when ye make many prayers, I will not hear them" (Isa. i. 15), it is said slowly so as not to arrive at the Neila before night. What is the proper moment for saying the Neila? The Caesarean Rabbis say that there is a difference of opinion on this subject between Rab and R. Yohanan. According to the former, it is at the moment of the shutting of the gates of Heaven (at night); and according to the latter, at the closing of the gates of the Sanctuary. As R. Juda Antordia remarks, the following Mishnâ supports the latter opinion: Thrice during the year, it says, the priests (at the Temple of Jerusalem) give the benediction four times a day, viz. on the fasting days, on the day of the changing of the Maamad $^6$, and on the great fast; once in the morning, again at the additional prayer or Mussaph, at the Minha prayer, and, fourthly, at the closing prayer or Neila (as one of the benedictions takes place at the Neila on the day of the great fast, and as this prayer is said during the day, there is no question here of the gates of Heaven, for it cannot be maintained that they are closed during the day). The brother of R. Ada's mother (his maternal uncle) had Rab's taleth on, on the day of the great fast; Rab said to him: When the sun --- $^5$ We have seen, above, what is the supposed origin of the other prayers. $^6$ By maamad is meant a division of the Israelites, corresponding to a division of the priests, called mishmar; the entire nation was divided into twenty-four maamadoth, just as the priests were formed into an equal number of mishmoroth. Whilst the one was attached to the service of the Temple, the other was subjected to certain pious works, of which the most severe was a four days' fast. See Mishnd, ii.; tr. Taanith, chap. iv. §§ 1 and 2. shall be as high as the tops of the palm-trees, thou wilt give me my taletth that I may recite my Neila. Does not Rab contradict himself? On the one hand he says that it is at the time of the shutting of the gates of the Sanctuary, and on the other (in his discussion with R. Johanan) he says: at the closing of the gates of Heaven? R. Matna replied that, as Rab prayed lengthily, he arrived at the Neila towards night (so that the closing of the doors of the tabernacle, and of the gates of Heaven, coincided). It was asked: Does the Neila dispense one from the evening prayer? R. Aba and R. Hiya, in the name of Rab, answer in the affirmative$^7$. But, objected R. Aba to the latter, at what part (of the ’Amida) is the prayer of separation (habilalah$^8$) said? R. Yona objected to R. Aba: Can an ’Amida of seven benedictions dispense you from the duty of saying one of eighteen? But, replied R. Aba, have I not already refuted the opinion of Rab by the first objection? A refutation is not enough, replied the other; this opinion must be annulled. R. Yose said that R. Aba’s objection is irrefutable. As regards that of R. Yona, it may be said that on account of the fast it was intended to lighten the burden and that the ’Amida (of the Neila), composed of only seven benedictions, dispenses with that of the evening in which there are eighteen. R. Aba bar-Mamal said to his condisciples: I have heard your masters affirm that the Neila does not dispense with the evening prayer; this opinion has been supported by R. Yosse bar R. Aboon, on the authority of R. Hiya, in the following terms: The eighteen benedictions must be recited every day, even also on Saturday evening, on the day of kippur, and on public fasts (refutation of the foregoing opinion of R. Yose); and R. Nahman bar-Isaac, on the authority of R. Yohanan ben-Levi, said: If kippur falls on a Saturday, although there be no Neila on Saturday, the Sabbath is mentioned in the Neila prayer (this, therefore, forms part of the offices of the day, and cannot dispense with the evening prayer). To the above two rules are added the following: If the Neomenia and a public fast fall on the same day, although the Neila is not effected during the Neomenia, it is mentioned in the Neila prayer; R. Simon, on the authority of R. Yohanan ben-Levi, says: On the Hanuka-sabbat, although there is no Mussaph (supplementary prayer or sacrifice which only exists for solemnities of Biblical institution), the Hanuka is nevertheless mentioned in the Mussaph. It is the same with the Neomenia, which takes place during this festival (and which allows a Mussaph). When the Neomenia falls on a fast day, at what part of the ’Amida is the solemnity mentioned? According to R. Zeira, in the fifteenth blessing; according $^7$ B., tr. Yoma, fol. 87. $^8$ This prayer is said in the fourth of the eighteen blessings of which the ’Amida is composed. On festivals only the three last are recited, and a blessing, special to the solemnity, is intercalated between them. See Appendix II. to R. Aba bar-Mamal, in the sixteenth; according to R. Abina, in the fourth; and, says R. Aba, since in all circumstances it is inserted in the fourth, it must be the same in this particular case; and indeed the custom is in accordance with R. Aba’s opinion. What chapter (of the Tora) is read on this day (Neomenia and fast united)? According to R. Yose, the passage of the benedictions and maledictions (viz. Lev. xxvi. and Deut. xxviii.). But, objected R. Mena, does one not know that it is a fast, since the supplications are said, with the head bowed (this prayer is only said on public fasts)? This prayer, replied R. Yose, is but a reminder that the above chapter must be read. R. Judan of Cappadocia said before R. Yosse, on the authority of R. Juda ben-Pazi, that on this day, the chapter of the Tora which refers to the Neomenia is read; R. Yose, getting up as well as R. Juda ben-Pazi, summoned him in these terms: Is it from thy father that thou hast heard that? My father, replied he, only said that for the town of Ein-Tob, where they knew perfectly well that it was Rosh-hodesh (new month); it was in this place that, at certain dates, the Neomenia was proclaimed; but in all other places the chapter of blessings and curses is read. Jeremiah the Scribe asked R. Jeremiah what chapter ought to be read if the Neomenia happened to fall on a Saturday? That of the Neomenia, answered he; R. Helbo said before R. Arni (and the Mishnâ agrees with him on this point) that for every solemnity, whether it be the Hanuka or the Purim, the ordinary reading should be interrupted, and the chapter relating to the solemnity read in its stead. Isaac Schora asked R. Yitzhaq: Which is the chapter that should be read at the Neomenia which falls during the Hanuka? Three persons are called in for the Neomenia, and one for the chapter of the Hanuka; R. Pinhas, R. Simon, and R. Aba bar-Zamina, on the authority of R. Abdoomi from Man-Heifia, held the contrary opinion, viz.: three for the chapter of Hanuka, and one for that of Neomenia, as the fourth is only called on account of Neomenia (for the Hanuka only one is called). Bar Shalmaya the Scribe said to R. Mana: Behold, when the Neomenia of Hanuka falls on a Saturday, first seven persons are called (settled number for the Saturday), then the others are added for the chapters of the Neomenia and the Hanuka (therefore the same thing should take place during the week, and when the Neomenia and the Hanuka happen to fall together on a working day, the chapter of the Neomenia must be read first, and the chapter of the Hanuka added for the fourth). I have asked the Scribes this question, continued he, but they answered: You should not ask us this question, but rather the Rabbis, who are more learned than we are. Rabbi commanded --- 9 See J., tr. Taanith, ii. 10 (14). 1 Heifa is also mentioned in J., tr. Erobin, ii. (fol. 20 a). his orator Abdone$^2$ to make a public proclamation, announcing that the evening prayer might be said (on a Saturday) before it was quite dark, and R. Hiya b. Aba did the same thing. R. Hanina says that R. Ismael, son of R. Yose, took him one day to an inn, and said: My father once recited the evening prayer (on a Saturday) before it was quite dark. R. Ame observes that R. Yoḥanan does not approve of that, but (says the Talmud) if the protest of R. Yoḥanan refers to the act of R. Hanina, he is wrong; for one may take from the profane hours of a working day to multiply the holier hours (thus anticipating the Sabbath). Moreover, the ass-drivers came (one Friday) from Arabia to Sephoris, and they said: Hanina b. Dossa has already begun the feast of the Sabbath in his town. (It is therefore a custom generally accepted, that the Friday evening prayer should be anticipated, and so it is impossible to admit that R. Yoḥanan disputed this point. Therefore, the opinion of R. Hanina should be rectified: it relates to the prayer of the Saturday night according to the facts just alluded to, and that is what R. Yoḥanan disputes.) And even on this point, there was no ground for contestation, for Rab (agreeing with R. Hanina) commanded his orator to announce publicly that whoever wished to say the Saturday night prayer before night could do so, and R. Hiya b. Aba did the same (their several opinions are against that of R. Yoḥanan). At the school of R. Yanai it was taught that any one who was lying down was not obliged to arise (to say the evening prayer, which is not an obligation); but R. Zeira says: Whenever I did so, I trembled for fear of experiencing nocturnal alarms; therefore (if any one wishes to lie down before night), he should conform to the opinion of Rabbi and R. Hiya b. Aba. R. Jacob b. Aha says: It has been said that the evening prayer is an obligation, according to R. Gamaliel, and R. Yoshua says it is optional; this discussion may be compared to that which relates to the closing prayer (Neilu). In R. Gamaliel’s opinion, the recitation of the Neilu does not dispense with that of the evening prayer, whereas R. Yoshua opines that it does. A disciple once asked R. Yoshua his opinion about the evening prayer, and he answered that it was optional. Having addressed the same question to R. Gamaliel, he was told it was an obligation; but, said the pupil, R. Yoshua said it was optional. When I enter the Assembly to-morrow, arise, and ask the question again; the next day the disciple did so, and repeated his question regarding the evening prayer. It is an obligation, said R. Gamaliel. But, answered he, R. Yoshua tells me it is optional. R. Gamaliel addressing himself to R. Yoshua, said: Is it true that you expressed this opinion? No. Then $^2$ In the large schools of Palestine and Babylon there was first the master or chief, then came the orators, whose business it was to transmit the oral teaching of the master to the pupils, and to discuss it with them, they were called Amoraim. See Bereshith Raba, chap. vi. arise, said R. Gamaliel, and let them bear witness against you.\textsuperscript{3} R. Gamaliel remained seated and explained the subject, whilst R. Yoshua was standing. The assembly (shocked by this act of authority) murmured and said to R. Hootzpit the \textit{turgneman} (drogman) that he must close the lesson.\textsuperscript{4} Then all the assembly rising, said to R. Gamaliel: “All have felt the effects of thy pride!” And immediately R. Eleazar b. Azaria was named (Nassi instead of R. Gamaliel); he was then sixteen years old, but (by the effects of a miracle) his head became in that day filled with the wisdom of old age, his hair became white. R. Akiba grieved sorely (because R. Eleazar b. Azaria had been preferred to him), and to console himself, he said: It is not that he is more learned, but he comes from a more illustrious race than myself. Happy is the man whose right has been made by his ancestors; happy is he who can find his strength in them! R. Eleazar b. Azaria descended from Esra in the tenth generation. How many seats were there in the school (on the day when, for the first time, R. Eleazar held the dignity of Nassi)? There were eighty, according to Jacob b. Sissy, without counting the disciples who were beyond the rails. Three hundred, according to R. Yose b. R. Aboon (R. Gamaliel had been very severe about the admission of the \textit{beth-din} and the school in the enclosure). It is thus the words of the Mishna must be understood (which prove the election of R. Eleazar): This is what was taught by R. Eleazar b. Azaria to the wise men of the vineyard of Yamnie: “Does that mean there was a vineyard at Yamnie? No, it refers to the disciples who were arranged before him as the vine-plants in a vineyard.”\textsuperscript{5} Directly after the election of R. Eleazar b. Azaria, R. Gamaliel went to all the members of the tribunal to reconcile himself with them. He also went to R. Yoshua, and found him making needles. “Is this the work you live on?” said he. “Until the present time you had had no wish to know anything about me; misfortune will befall the generation you are teaching!—I beg your forgiveness,” resumed Gamaliel (and R. Yoshua granted it). To R. Eleazar b. Azaria, according to some, a bleacher was sent. Others say it was R. Akiba who said: He who is Cohen, and son of a Cohen (priest) must sprinkle the holy water.\textsuperscript{6} May he who is neither Cohen, nor son of Cohen, say to him who is Cohen and son of Cohen: Thy waters are as the waters of a cistern\textsuperscript{7}; thy \textsuperscript{3} The accused was obliged to remain standing during the hearing of the witnesses. \textsuperscript{4} Thus dismissing the audience. \textsuperscript{5} See \textit{Rabba} on Canticle viii. 11. \textsuperscript{6} Allusion is here made to the respective situations of R. Gamaliel and R. Eleazar. R. Eleazar descended from a pontifical family, that of Ezra; whereas R. Gamaliel, by what tradition says, descended from a pagan who had been converted to Judaism. \textsuperscript{7} Any person who had a taint of impurity, had to be sprinkled by the priest, and the water was taken from a running stream (see Numbers, ch. xix.). cinders as those which come from the oven.\textsuperscript{8} R. Eleazar answered: You have forgiven him; let us go together to the door of R. Gamaliel, and invite him to take back the dignity of Nassi. However, R. Eleazar was not deprived of all his honours, he was still maintained as \textit{ab-beth-din} (vice-president of the supreme tribunal).\textsuperscript{9} 2. When R. Nehonia-ben-Hakana entered the school, and when he left it, he made a short prayer. They asked him: What was the object of this prayer? When I arrive, answered he, I pray that no offence may happen through my fault; and when I leave I thank God for the graces He has conferred upon me. What was his prayer when he arrived? “May it please Thee, eternal God, God of my fathers, that I be not irritated against my disciples, nor my disciples against me; that we may not pronounce to be impure that which is pure, nor pure that which is not so; that we may not forbid what is allowed, and that we allow not what is forbidden, so that I may not be despised, neither in this world nor in the next.” What was it he said when leaving (the \textit{beth-hamidrasch})? “I render Thee thanks, Eternal God, God of my fathers, because Thou hast placed my lot amongst those who frequent the schools and synagogues, and not amongst those who visit the theatres and circuses (circenses), for I and they, we all work and watch; I work to deserve Eden, and they work for their destruction, as it is said (Ps. xvi. 10): \textit{For Thou wilt not leave my soul in hell, neither will Thou suffer Thine holy one to see corruption}. R. Pedath, on the authority of R. Jacob b. Idi, R. Eleazar, after each of the three obligational prayers of the day, added these words: “May it please Thee, Eternal God, God of my fathers, that no hatred may enter men’s hearts against us, nor in our hearts against men, let none be jealous because of us, and let us not be jealous of any one; let the study of Thy law be the study of our life, and may our words be accepted by Thee as supplications.” R. Ḥiya b. Aba added these words: “Let our hearts be united in the fear of Thy name, lead us away from whatever is hateful to Thee; bring us near to all that Thou lovest, and show mercy to us because of Thy name.” In R. Yani’s school it was taught that the following prayer should be said on awaking: “Praised be Thou, O God, Who givest back life to the dead;\textsuperscript{1} Lord, I have sinned against Thee. May it please Thee, Eternal, my God, to give me a pure heart, a happy life, good inclinations, a good friend, a \textsuperscript{8} And not from the red cow (see ibid). \textsuperscript{9} B., ib. fol. 28 \textit{a}. \textsuperscript{1} In the opinion of the Rabbis, sleep is a sixtieth part of death (B. same treatise, fol. 57). good reputation, a bountiful eye,$^2$ a good and modest soul, an humble spirit; that Thy name be not profaned amongst us, and that we may not become objects of mockery for the world; let not destruction await us, and let not our hope be eternal death; grant we may not be obliged to ask the help of men, and let not our food be dependent on their bounty, for their gifts are small, but the shame they inflict is great; let our life be devoted to the study of Thy law, and passed with those who accomplish Thy will; build up again Thy parvisthy city and Thy tabernacle$^3$ soon in our days." R. Ḥiya b. Aba prayed thus: "May it please Thee, Eternal God, God of our fathers, so to dispose our hearts that we may offer Thee sincere penitence, that we may not be ashamed before our ancestors in the next life."$^4$ According to R. Yudan, of the school of R. Ismael, the Amorai$^5$ was commanded to say this prayer after the explanations. R. Tanḥuma bar Isblustiska’s prayer was as follows: "May it please Thee, Eternal God, God of my fathers, to vanquish and take away the yoke of all bad passions that are in our hearts, for Thou hast made us to fulfil Thy will, it is our duty so to do, it is also Thy wish and ours; the ferment that is in the paste$^6$ turns us from it; it is visible for Thee that we have not strength enough to resist it; may it therefore please Thee, Eternal God, God of our fathers, to cause love, good will, peace and friendship to reside amongst us; let our end be happy, let our hopes be realized, let the number of those who study Thy law be increased; grant we may enjoy happiness in Eden (future life); let us have a good heart and find a good companion; may we find every day when we arise what our heart desires, and may the desires of our souls be directed to Thee in all that is good." "On going out, I offer up thanks for my lot." According to R. Aboon (these words mean), "I render thanks to God, Who has given me an intelligence and good works to perform."$^7$" 3. R. Gamaliel said: The 18 benedictions should be recited every day; R. Yoshua says: It is sufficient to give a summary of the 18 benedictions; R. Akiba says: That he who knows his --- $^2$ It signifies, "That we may be charitable." See Prov. xxii. 9. $^3$ The temple and town of Jerusalem. $^4$ If our souls were placed before the heavenly throne, on an inferior degree to that which is occupied by our ancestors. $^5$ The chief of each school had an amorai or orator, who explained to the pupils the teaching of the master, and discussed it with them. $^6$ This expression is used to express the passions which reside in the heart. $^7$ A sound "intelligence" which does not deceive itself, and does not declare pure what is impure. And "good works," because he is patient with his pupils. prayers well by heart should recite the 18; if not, it is enough to make a summary of them.$^8$ Wherefore 18 benedictions? R. Yoshuah b. Levi says: $^9$ They are in connection with the 18 psalms, finishing at the 19th: The Lord hear thee in the day of trouble. If it be objected that there are nineteen psalms, the answer is that the 1st and 2nd are, properly speaking, but one. It has been said that he who, having prayed, has not seen his prayers answered, ought to fast.$^1$ R. Mena says that this psalm (The Lord hear thee, &c., which comes directly after the 18 which are as the foundation of the 18 blessings) proves to any learned man that he should say to his master:$^2$ “Let thy prayer be heard.” According to R. Simon, these 18 benedictions have been established in reference to the 18 links (of which a man’s spine is composed) which enable him to bend during his prayer, as it is written (Ps. cxxxv. 10): All my bones cry out, saying, O God, who is like unto Thee? R. Levi says that the 18 blessings are in accordance with the tetragram which is repeated 18 times in Psalm xxix. R. Hoona says: It will perhaps be objected that the prayer of 18 blessings is composed of nineteen; the answer should be that the prayer of the minims (unbelievers) was prescribed later on at Yabne.$^3$ R. Elazar bar R. Yose objected, however, that in Psalm xxix. (which, it has been previously remarked, served as a foundation for the eighteen blessings) the name of God is mentioned 19 times (therefore, to this prayer they might have given a number corresponding to the names of the Divinity)? He answered: Because of that it is said that the prayer for the mimims (infidels) is inserted, and the prayer for transgressors in that of the uncharitable (the 12th), the prayer regarding elders and strangers in that of the righteous (13th), and the prayer of David relating to Jerusalem (14th). Is the holy name repeated often enough (in the psalm) for each of these subjects? (No; therefore the 18 --- $^8$ In those days this book was rare in Palestine, the prayers were learnt by heart, by the children. There was in each community a man, the Hazan, whose special care was to teach them prayers. See Mishna, tr. Sabbath, i. 6. $^9$ See J., tr. Taanith, ii. 2. $^1$ The eighteen psalms are followed by the psalm beginning by the word yaanekha, which means to grant, and which the Rabbis interpret by to fast; which also gave birth to the above idea. $^2$ This psalm is dedicated by Israel to David its master. $^3$ Town in which R. Yoḥanan b. Zaccai sought a refuge before the destruction of the temple, and where the principal Rabbis and Pharisees joined him later on. Therefore this blessing has not been inserted in the Ritual by the great Synods, and although it is admitted, the blessings are still numbered as 18. $^4$ The name R. Elazar wished to add to form the nineteenth is not a tetragram, that is why it was not counted. tetragrams only were taken, and it is easy to understand why in the origin the prayer only had 18 blessings). According to R. Hanina, on the authority of R. Pinhas, these 18 benedictions have been published in reference to the same number of times that the names of the three patriarchs are repeated in the Tora; if, again, it be objected that these names are repeated there 19 times, it should be answered that the verse (Genesis xxviii. 13), "And behold the Lord stood above it," is not included; if the contrary objection, that there are only seventeen, is made, the answer must be that the verse (Genesis xlviii. 17), "My name and the name of my fathers," must be included. R. Samuel b. Nahmeni, on the authority of R. Yohanan, says: It refers to the verb "to ordain" which is repeated 18 times in the second narration of the building of the Temple. Yoshua b. Aba adds that they are only counted from the verse (Exodus xxxviii. 23), "And with him was Aholiab, son of Ahisamach of the tribe of Dan," up to the end of the volume. As for the 7 blessings of the Sabbath, whence do they proceed? R. Isaac says: They refer to the words, "The voice of God," which are repeated 7 times in Psalm xxix. According to R. Juda Antouriah, they are in accordance with the tetragram repeated 7 times in the canticle for the Sabbath (Ps. xcii.). The 9 blessings for the rosh hashana (new year) were established, according to R. Aba of Carthage, in reference to the tetragram repeated 9 times in Anna's prayer, finishing with these words: "God will judge the extremities of the earth" (1 Samuel ii. 10). According to R. Helbo and R. Simon b. R. Nahman, the 24 blessings for days of fast are in accordance with the words, song, prayer, and supplication, which are repeated 24 times in the prayer of Solomon (1 Kings viii.). R. Zeira, on the authority of R. Jeremie, says: Every one on fasting days should insert in the Amida a few words relating to the fast, and which would be the best place? Between the 7th and 8th blessing. These are the words which he should add: "Hear us, O Lord, in these times and in these days, for we are in great 5 The 4 letters which spell Jehovah, so sacred that they are generally replaced by the word Adonai. 6 Cf. Bereshith Rabba, ch. lxix.; Wayyigra rabba, ch. i. 7 Probably because only the names of two patriarchs are found in it. 8 The 3 patriarchs are mentioned: He (Jacob) and his ancestors, Abraham and Isaac. 9 The connection established by the Rabbis between the prayers and the temple is easily understood. 1 It is well known that the prayer of the 18 is not the same on Saturdays and festivals as that of ordinary days; the three first and three last blessings alone remain unchanged. 2 According to the Rabbis, the new year is a day of judgment for all creatures. 3 See the Mishna, tr. Taanith, ii. 2. It refers to public and general times of fasting, not the same as the great fast or Yom Kippur. affliction; turn not Thy face away, and hear our supplications; for Thou, Eternal God, assisteth in times of trouble, Thou deliverest and savest in times of sorrow and oppression. They called unto the Eternal God in their trouble, and He brought them out of their humiliation (Ps. cvii. 28). Be Thou praised, O Eternal God, Who hearest in the time of trouble.” R. Janai, on the authority of R. Ismael, who repeated it in the name of R. Janai’s school, is of opinion that these words should be inserted in the 16th blessing, and that a separate paragraph should not be made of them, as the before-mentioned Rabbi advises. R. Yona, on Rab’s authority, says: A private individual who has vowed to observe a fast should insert the words which refer to this fast in his prayer, and it is the same thing for this as for the Sabbath, says R. Zeira, on the authority of R. Hoona: It should be mentioned at each of the three services (evening, morning, and afternoon). R. Mana says: I did not know which opinion was admitted—if it was R. Jeremie’s or that of R. Janai on R. Ismael’s authority; but when I went to the place where the rules were established, I heard R. Hoona, on the authority of Rab, saying that a private individual who has made a vow that he will observe a day of fasting, should insert the prayer concerning the fast in the eighteen blessings. But R. Yosse objects, saying: Does not the Mishnâ formally observe that an individual should recite the ’Amida every day, even on Saturday evenings, on the evenings of Kippur, and of public fasting? (If in this prayer words relating to the solemnity were inserted, there would be one blessing more.) What does R. Yose mean by these words: “which the Mishnâ questions”? It is an argument against the opinion which maintains that the prayer relating to the solemnity is inserted between the seventh and eighth (and the opinion of R. Janai is admitted, which inserts it in the sixteenth without making a separate paragraph). R. Aha b. Isaac, in the name of R. Hiya of Sephoris, says: On the day of Ab (the anniversary of the destruction of the two temples) he should insert in the ’Amida words relating to these events; this is what he should say: “Eternal God, spread Thy infinite mercy and Thy ever-faithful goodness upon us, upon Thy people Israel, over Jerusalem Thy town, over Sion, where Thy glory resides, on this town of mourning, destroyed, shaken, rendered desolate, given up into the hands of the proud, devastated by the wicked, which the armies conquered and the idolaters polluted; Thou hadst given it to Thy people Israel, as an inheritance for the posterity of Yeshurum; it has been destroyed by fire, and by fire Thou wilt rebuild it in future, as it is said, I shall be to her (said the Eternal) as a wall of fire all around, and I will reside in her for her glory” (Zacharie ii. 9). R. Abdimâ of Sephoris asked of R. Mana: At which place (in the Prayer) are these words inserted? Didst thou not know that --- 4 The Beth-Hamidrash, or Sanhedrin. 5 See J., Taanith, ii. 5. yet? All that concerns the future is inserted in the 'aboda (the 17th), and whatever concerns the past in the hodaah (the 18th); the Mishnâ says so: the hodaah is said (gratitude) for the past, and prayers are made for the future (by the 'aboda we beseech God for His blessings). How is the prayer which resumes the eighteen composed? According to Rab, the end of each of the eighteen is said (always composed of these words: "Mayest Thou be praised, Eternal God, &c."). According to Samuel, the initial sentence of the eighteen blessings. Some say the prayer should be composed of seven blessings resuming the eighteen; others that it is a prayer of eighteen which recapitulates the eighteen. The former agrees with Samuel, the latter with Rab. R. Zeira sent R. Nissim to R. Janai from R. Ismael, to learn how the prayer of the seven blessings recapitulates the eighteen was composed according to Samuel. He answered that this was the formula: "Give us intelligence, accept our repentance, forgive us, deliver us, cure our sick, bless our years." In the time of rainy weather, R. Hagai recommends the following words to be said: "Bless unto us the rain;" and at the fall of the dew, "Bless unto us the dew, for Thou bringest together those that are scattered and whose hope is in Thy justice. Thou wilt hold out Thy hand over the wicked, and all those who trust in Thee shall rejoice, when Thy town shall be rebuilt, and at the reopening of the Tabernacle and the return of the children of David, Thy servant; for before we pray to Thee, Thou hearest us, as it is said: Before they call unto Me will I hear them; whilst they are speaking their prayer shall be heard (Is. lxv. 24); be Thou praised, O God Eternal, Who hearest our prayer." To this formula are added the three first and the three last blessings, and the end is, "Praised be God Who has heard the voice of our prayer." 4. R. Eleazar says: If prayers are said only to fulfil a duty (as a charge), they will not be heard (by God). R. Abahoo, on the authority of R. Eleazar says (to explain the meaning of the Mishnâ): Prayers should not be recited as if they were simply the reading of an act or lawsuit. R. Aha, on the authority of R. Yose, says: Every day a difference should be made; Ahitophel (David's counsellor) made three different prayers every day. As long as I acted thus, says R. Zeira, I was in error. The only interpretation is that of R. Abahoo, from R. Eleazar's authority (on ineffectual prayer): prayers should not be recited as if one were reading an act (or a lawsuit). R. Eleazar said every day a different prayer. R. Abahoo added every day a new --- 6 The 3 first, 3 last, and those of the middle resumed together, according to the formula given hereafter by R. Janai. 7 In the 'Amidu. 8 Cf. Aboth, ii. 18. 9 Independent of the prayers prescribed in the ritual. blessing. According to R. Yose Tseidania (or from Sidon) on R. Yoḥanan’s authority, before the prayer of the eighteen these words should be said: Eternal God, open my lips, that my mouth may sing Thy praise (Ps. li. 16). After the prayer, these words are added: “May the words of my mouth and the thoughts of my heart be agreeable to Thee, Eternal God, my rock and my Saviour” (Ps. xx. 15). According to R. Judan, both these verses should be said before the prayer. Whoever says his prayers over again and remembers he is doing so, should stop according to Rab; and continue according to Samuel.$^1$ Simon bar-Aba repeated these words of R. Yoḥanan: $^2$ Why does not one pray all day (and why should one)? Because no prayer is ever lost. R. Zeira objected to R. Yose: Has not R. Yoḥanan expressed an opinion regarding the person who remembers during his prayer that he has already said it? Has it not been repeated that R. Abahoo, when he came from Palestine to Babylon, said on R. Yoḥanan’s authority, that whoever doubts whether he has said his prayers or not, should not begin again? R. Hanina answers that it is only through reasoning that such a conclusion should have been made (that R. Yoḥanan was of Rab’s opinion), or when R. Yoḥanan was asked what one should do in a case of doubt, he answered: Why does not one pray all day? for no prayer is lost. Supposing one has said by mistake the prayer for a weekday on a Saturday;$^3$ there is a discussion on this subject between R. Yoḥanan bar-Yaacob and R. Shesheth; one says: Stop; the other says, Go on. Both agree that if the fourth blessing has been begun, it should be continued. And Rabbi used to say on this subject: I am astonished to see that the fourth blessing has been omitted, for without intelligence how could one pray?$^4$ R. Isaac used to say: Intelligence is a great thing, for it is placed (in Scripture) between the Divine name twice repeated: God is of intelligence (1 Samuel ii. 3). Others quote the following verse: Then thou shalt understand the fear of the Lord, and thou shalt find the knowledge of God (Prov. ii. 5). 5. R. Yoshua says: He who is in a dangerous place says a short prayer resuming the 18; he says, “Save Thy people Israel, even when it transgresses Thy Law; let its wants be before Thee; praised be Thy Name, eternal God, Who hearest prayers and supplications.” $^1$ R. Yoḥanan and Samuel are both of the opinion, contrary to Rab, that the ’Amida must be continued, even if during the recital of it one remembers having already said it. $^2$ See above, i. 1. $^3$ The prayer of eighteen is reduced to seven on Saturdays: the three first and last of the daily ritual, and in the middle a special blessing for the Saturday. $^4$ See the fourth blessing of ’Amida. R. Shimon b. Aba, on the authority of R. Ḥiyya, says: All travelling is considered dangerous. When R. Jona intended passing a night at an inn (ξενία), he used to make his will. R. Mana did the same before entering into a warm bath. R. Ḥanina, son of R. Abahoo, and R. Shimon b. Aba, in the name of R. Yoshua b. Levi, say: All maladies are considered dangerous. R. Aḥa, in the name of R. Assa, says: He who recites the résumé of the prayer of the eighteen must say all that the officiating priest at the desk says: “The wants of Thy people,” &c. R. Pinhas, R. Levi, and R. Yohanan, say, in the name of Menahem, the Galilean: To him who goes up into the desk (to say the prayers aloud) one does not say: “Go to say the prayers,” but, “Come, draw near, present our offering, implore for our wants, sustain our combats, implore for our life.” Others maintain (that the following is the formula of the résumé of the prayer of the eighteen): “The wants of Thy people of Israel are numerous, but their will is weak; let it please Thee, O Lord God, God of our fathers, to accord what is necessary for each one, and to each person that which he wants for; be praised, O Lord, Who hearest the voice of my supplications; be praised, O Lord, Who answerest prayer.” According to R. Hisda, the rule is conformable with this latter opinion. According to R. Hisda, one says first the three first, and the three last (of the eighteen blessings). There is an opinion which maintains that one must first recite the obligatory prayer, and then pray for one’s personal wants; another opinion maintains the contrary. The first opinion rests on the verse of the Psalms: A prayer of the afflicted when he is overwhelmed, and poureth out his complaint before the Lord (Psalm cii. 1); the second rests on the verse: To hearken unto the cry and to the prayer (1 Kings viii. 28). This is in accordance with the wise men, according to R. Zeira, in the name of R. Ḥanna. A person wishing to say a special prayer must always insert it in the fifteenth of the eighteen benedictions. R. Aba and R. Ḥiyya, in the name of R. Yohanan, say: One must say one’s prayers in a place reserved for that purpose; he relies on this verse: Wheresoever I shall have proclaimed My name, I will come to thee to bless thee (Exodus xx. 24). Now, it is not said, wheresoever one shall proclaim, but wheresoever I shall proclaim. R. Tanḥoma bar-Ḥanina, said: One should have a fixed place in the synagogue to say one’s prayers, for it is not written (2 Samuel xv. 32): “When David was come to the top of the mount to worship;” but where he worshipped habitually. R. Yassa and R. Ḥelbo add, in the name of R. Abdooma of Man-Ḥipa, that one must, in praying, turn one’s face to the wall, according to the verse: Then he turned his face to the wall (2 Kings xx. 2). What wall$^5$ is here alluded to? R. Josué b. Levi replies: It is Rahab’s wall, of which it is said: For her house was $^5$ See J. tr. Synhedrin, x. 2. upon the town wall (Joshua ii. 15). R. Hiskiah expressed himself thus: "Master of the Universe, Rahab the harlot, for having saved two persons (the two spies) has obtained, from Thee, the lives of many people, as it is written: And the young men that were spies went in," &c. (Joshua vi. 23). When referring to this subject, R. Simon-ben-Yohai used to say that even if a branch of Rahab's family, composed of 200 persons, had united itself to 200 other families (by each of these persons), all had a right to salvation through Rahab's merits. Ought not then, my ancestors, who brought all these strangers to Thee, have more right to save my life? R. Hanina-b.-Pafa says that he turned his eyes towards the walls of the sanctuary, as it is written: Setting their threshold near My threshold, and their post by My posts, and the wall between Me and them (Ezechiel xliii. 8). Those men (whom the prophet reproaches thus) were, however, pious men, and not being able to go every time to the temple, prayed in their houses, and this prayer was accepted as if they had prayed in the sanctuary: "As my ancestors have made all this splendour and dedicated it to Thine honour, with so much more reason they may save my life." In R. Samuel-b.-Nahmeni's opinion, his looks were directed towards the wall of the Sunamite, as it is written: Let us make a little chamber in the wall (2 Kings iv. 10). Hiskia expressed himself thus: "Master of the Universe, this Sunamite built a wall for Elijah, and as a reward, Thou didst bring back her child to life; as my ancestors built all this splendour (the temple) in honour of Thy glory, with much more reason they ought to save my life." According to the Rabbi, he directed his attention to his heart: My bowels, my bowels, I am pained, my heart maketh a noise in me (Jeremiah iv. 19). He expressed himself in these words: "Master of the Universe, I have examined the two hundred and forty-eight limbs Thou hast put in me, and I have not found one of them guilty of irritating Thy brain; therefore Thou oughtest to save my life." 6. (5). If one ride on an ass, he must dismount (to say the prayer); if he cannot dismount, he must turn his face (upon Jerusalem); and if he cannot turn his face, he must direct his heart towards the Holy of Holies. It has been taught that if any one who is riding an ass has some one to hold it, he should dismount to pray; if not, he may remain in his place; according to R. Meir, however, he can remain, for he is quieter (and consequently prays with more fervour). R. Yuda b. Paze, on R. Josué b. Levi's authority, says: The rule agrees with R. Meir's opinion. R. Jakob b. Aha says: We have learned it * According to the Talmud, the human body is divided into 248 limbs, in reference to the same number of affirmative precepts contained in the Tôra. elsewhere; never mind towards which way he is turned, it is not necessary to turn it again, except when it (the mule) is turned towards the east. R. Yose b. Abin gives the reason: It is because they formerly turned their backs to the sanctuary of the Eternal; their face was turned towards the east, and they prostrated themselves towards the East in the sun (Ezechiel viii. 16). This has been taught: A blind man, and he who does not know the cardinal points (or on which side Jerusalem is situated) should, when they pray, direct their thoughts to God, as it is written, They shall pray unto the Lord (1 Kings viii. 44). Those who are in the countries (out of Palestine) should turn their face towards the Holy Land, as it is written: They shall pray unto Thee towards their land, which Thou gavest to their fathers (ibid. 48). Those who live in Palestine turn their face towards Jerusalem, because it is written, They shall pray to Thee towards the city which Thou hast chosen (ibid. 44). Those who pray in Jerusalem should turn their faces towards the mount of the Temple, as it is written, Towards the house that I have built for Thy name (ibid.) Those who are on the mount of the Temple should turn their face towards the Holy of Holies, as it is written, And they shall pray towards this place, and hear Thou in heaven, Thy dwelling-place, and when Thou hearest forgive (ibid. 30); so that those who are towards the north should turn their faces towards the south, those who are at the south towards the north, those of the east towards the west, and those of the west towards the east, so that Israel when in prayer, should all turn towards the same place, as it is written, For Mine house shall be called an house of prayer for all people (Isaiah lvi. 7). R. Yoshua ben-Levi says: The hekhal (Temple) (Ezechiel xli. 1) means the inside of the sanctuary, the place towards which all the faces are turned.\footnote{The coincidence between these words is difficult to explain: the word interior is in Hebrew: penim, and the word “face” is panim.} This is right as long as the Temple existed; but since it has been destroyed, how should we know that it is the place towards which we should turn for our prayers? Because it is written: It is built to be an arsenal (talpioth), that is to say a mountain towards which all should direct their looks. R. Aboon interprets the word talpioth,\footnote{If the word talpioth is decomposed, one finds tal which means “hill,” and pioth means “mouths.”} thus (Canticles iv. 4): A mountain for which every mouth prays; it is thus in the Shema and in the prayer (of ’Amida). In one verse it is said: I will go and return to my place (Hosea v. 15); and in an another verse: Mine heart and mine eyes shall always be there (1 Kings v. 3). How can that be?\footnote{These two verses contradict each other.} By keeping one’s face turned towards heaven, the eyes and heart towards the earth.\footnote{Some versions of the Talmud say the contrary.} In the Mishnâ it is said: That he who cannot turn himself should address his thoughts towards the Holy of Holies. Of which Holy of Holies does it speak? According to R. Hiya Raba’s opinion, it means the heavenly Holy of Holies; according to that of R. Shimon, son of Halaphta, it refers to the earthly Holy of Holies; and R. Pinhas remarks: These two Rabbis do not dispute; the earthly Holy of holies (in Jerusalem) is just under the heavenly Holy of holies. He interprets in the following manner these words: The place which Thou hast made (Exodus xv. 17), that is to say, placed before Thy dwelling.$^1$ With reference to Moria, R. Hiya and R. Yanaï debated whether this name does not mean that the learning of the world was derived therefrom (in Hebrew horáah). According to Cahana, fear came from thence for those who transgress God’s word.$^2$ R. Hiya Raba (the great) and R. Yanaï explain this word thus: From thence came light (in Hebrew orah); in Cahana’s opinion it expresses malediction (in Hebrew arirah, for those who transgress the law).$^3$ Debir (the sanctuary) is, according to R. Hiya and R. Yanaï, a name which means that from thence came the plague (for those who violate God’s law, in Hebrew Deber). According to Cahana, it means that from thence came the words (the commandments, in Hebrew dibroth). 6. (7). If one be seated in a ship, or in a carriage, or on a raft,$^4$ he must direct his mind towards the Holy of Holies. The words assade, raphsodoth, and σχεδία, all mean the same thing (a raft), as it is written: We will conduct them towards thee on a raft (2 Chronicles ii. 15). 8. R. Eleazar b. Azaria said: The additional prayers, Mussaph, are only to be said in a public congregation. But the sages said: If there be a public congregation or no public congregation. R. Judah said, in R. Eleazar’s name: in every place where there is a public congregation, individuals are exempted from additional prayers. R. Bivi, on R. Hana’s authority, says: It agrees with R. Juda’s opinion, who speaks in R. Eleazar ben-Azariah’s name, and a fact relating to Samuel agrees with him, for Samuel relates that he had only said the additional prayer (in private) on the day of the funeral of the son of the chief of the captivity;$^5$ --- $^1$ Reading, instead of makhón, “makhonan.” $^2$ In Hebrew Yerah, from whence Arôn, the Ark of the Lord. $^3$ It is well known that the Book of the Law was placed in the Ark of the Lord. $^4$ Maimoni translates it by נִשְׁלָע, a word that the Arabs of our days still use for Raft, Bark. $^5$ They had lingered at the funeral, and it had been impossible to say in public the additional prayer. "the congregation not having said it, I said it myself." As to the opinion of the Rabanan, who discuss (against R. Juda), it is explained by R. Yaakob b. Idi, in the name of R. Shimon the pious. The Mishnâ speaks of the shepherds and workmen whose work it is to dry the figs (as they are obliged to be always out of the town, they are exempted from the additional prayer by the public recitation); but any other man is not exempted (and although it has been said in the synagogue, he who prays in private is obliged to say it). The fact which R. Yohanan relates, agrees with this opinion. He said he had seen R. Yanai, when saying his prayers in a public place at Sephoris, walk four steps and then say the additional prayer. It is well known there was not any place of meeting for worship at Sephoris. We may draw therefrom a treble conclusion: 1. that the places of Sephoris are considered in the same light as the town itself; 2. that the Rabanan were holding a discussion with R. Eleazar b. Azaria; 3. that prayers being said (in private) one should walk a distance of about four steps, and then say the additional prayer. R. Aba says: It is not necessary to walk; it is sufficient if one pauses as long as it would take to walk the four steps. According to Rab, some words should be added to this prayer; and Samuel says: It is not necessary. R. Zeira asked R. Yosse's opinion on this subject; he answered it was sufficient to say: "And we will fulfil our duty towards Thee, by offering daily sacrifice and the additional sacrifice." R. Shila, on the authority of Rab, says: He who, after having said his prayers, finds himself in the company of ten persons who are praying, should pray with them. R. Zeira and R. Nahman b. Yakob had already said their prayers, when ten persons arrived; R. Nahman repeated the prayers with them. But, said R. Zeira, have we not already prayed? It is true, answered he, but has not R. Shila said that, whoever after having said his prayers finds himself in an assembly of ten persons who are praying, should pray with them? R. Aha and R. Yona, on the authority of R. Zeira, say: He who having said the morning prayer finds himself in the midst of an assembly of persons who are repeating the additional prayer, should repeat it with them; but if he has not yet said the morning prayer, he should see if he can repeat it, and finish it before the person who officiates says (the prayer of the 18), so as to say Amen (with the Assembly), and he must do it; in the contrary case, no. What Amen is it that --- 6 It means very probably a place outside the town. 7 And consequently it is admitted that the private person is obliged to say the additional prayer. 8 When ten persons are together, they make an assembly, and one of them says the prayers aloud. 9 See above, iii. 2. is mentioned here? Two Amora'im discuss this subject. One says it is the Amen after the third benediction; the other says it is the Amen after the fifteenth benediction. Elsewhere we learn that according to R. Gamaliel, the person who officiates exempts the people from repeating the prayers (by saying them himself aloud). R. Hoona Rabba says on this subject, on R. Yohanan's authority, that the rule only agrees with the opinion of R. Gamaliel for the tekioth. R. Zeira and Bar-Hisda had repeated the prayers of the Shophar with the assembly (they had assisted whilst the officiating person repeated them), when some other persons came in. Hisda began the prayer again with them. Have we not prayed already, said R. Zeira? It is true, answered he, I have prayed a second time; for the Rabbis who came from Palestine (in Babylonia) said on R. Yohanan's authority, that the rule agrees with the opinion of R. Gamaliel for the tekioth; and during the first recitation my idea was not to fulfil my duty (by following the prayers which were said by the person who officiated); for if such had been my idea, I should have fulfilled my duty (and should not have begun a second time). That is true, R. Zeira answered, for if all the tana'im have expressed this opinion in the name of R. Gamaliel, R. Oshia has said it with regard to the wise men (so it makes the law). R. Ada, of Cyprus, adds (that in order to make the recitation of the officiating person sufficient), one must be present from the beginning (of the additional prayer). R. Tanhum, son of R. Jeremiah, remarks that the Mishnâ itself says so. The order of the tekioth is as follows: 1. the 3 first of the 18 benedictions are said (therefore one must assist at the beginning of the prayer in order to make the recitation by the person who officiates suffice, and the Mishnâ says that so). CHAPTER V. 1. Men should not stand up to pray except with reverential head. The pious of ancient days used to pause one hour before they began to pray, that they might direct their hearts to God. Though the king salute, one must not respond, and though a serpent were wound round one's heel, one must not pause. 1 Mishnâ, ii. tr. Rosh ha-shana, iv. 9; J. ibid. 2 Prayers which are said before the Shofar is blown during the additional prayer. 3 Tr. Rosh ha-shana, ibid. R. Jeremiah b. Aba says: On arriving from a journey, it is forbidden to pray before taking a little rest (because of the anxiety one feels). And which is the verse which proves it? The following (Isaiah li. 21): Therefore, hear now thou this, thou afflicted and drunken, but not with wine. (This verse proves that one is considered as being drunk if one is absorbed; and as it is forbidden that a drunken man should pray, it is the same for the man who is absorbed.) R. Zerikan and R. Yohanan, on the authority of R. Eliezer b. R. Yose the Galilean, says that he who is in grief (has not his mind at rest) should not for this reason say the prayers.$^4$ This opinion is doubtless founded on the same verse. It has been taught that one should not begin to pray after having spoken of frivolous subjects,$^5$ nor after having jested, nor after behaving in a giddy manner, nor after heedless conversation, but only after Bible-reading. Therefore, it is noticed that the first prophets$^6$ finished their address by the praise of God and consolations of Israel. R. Eliezer says, however, that Jeremiah alone finished with remonstrances. R. Yohanan answers that even this prophet finishes with consolations: Thus, says he, will Babel fall (Jeremiah xxi., end). As Jeremiah was prophesying again on subjects which bore reference to the sanctuary, must it be concluded that he prophesied the ruin of the temple at the end? Therefore, it is said: Thus far are the words of Jeremiah (ibid.); this proves that this prophet finished by announcing the fall of his destroyers, and not by remonstrances and threatenings. On the contrary, is it not written: There shall be misery for all creatures? This malediction is addressed to pagans. But is it not also said: Thou hast utterly rejected us (Lament. v. 23)? Yes, but these words are accompanied with the hope of forgiveness; Turn Thou us unto Thee, it is said, because Thou didst forsake us (ibid.). In the same manner the prophet Elijah did not leave Elisha, before having conversed with him on religious subjects: They walked on, and talked (2 Kings ii. 11). On what subject? R. Aḥa b. R. Zeira says: They were talking of the reading of the Shema; it is in the same spirit of exegesis that the verse says: Thou shalt teach them (Deut. vi. 7). R. Juda b. Pazi says: They were speaking of the creation of the world, according to this verse (Ps. xxxiii. 6): By the word of the Lord were the heavens made. R. Judan, son of R. Aibo, says: They spoke on subjects of consolation for Jerusalem, according to this verse (Isaiah xl. 2): Speak ye comfortably to Jerusalem. The Rabbis say: They spoke of the heavenly chariot; it can be proved by this verse: And behold there appeared a chariot of --- $^4$ See B., tr. Erubin, fol. 65 $a$, and parallel passages of the Midrash cited by R. Schuhl, Sentences, p. 303. $^5$ One would be distracted during prayer, and could not be sufficiently recollected to address God. See Schuhl, ibid. p. 52. $^6$ See Shohar tob, ch. 4. fire, and horses of fire (2 Kings ii. 11). R. Jeremiah says: Before praying one should learn a rule of religion. R. Yossé says that he who is occupied with the interests of the country is as deserving as he who is busy with the study of the Law. And R. Hana taught this: It is wise that if a woman should see a drop of blood of the size of a grain of saffron$^7$ (sign of impurity), she should remain during seven days to purify herself. Then this Rabbi arose and began to pray. R. Zeira b. Hanina says: He who draws blood from the sacrifices commits sacrilege upon them. That is a fixed rule. B. Kapara has taught: It is a traditional law, given by Moses from the revelations on Mount Sinai, that eleven days elapse between one state of impurity$^8$ and another (mulieris menstruatae). R. Oschia has taught: The produce of the earth and of wheat may be accumulated with the refuse grain, so as to be exempted from taking off the tithe (if they are gathered in, mixed up in this way, after having sorted them, one is exempted from taking off the tithe). Abba Judan asked Rabbi: How many degrees are there in holy things? He answered: there are four. And how many degrees are there for the oblations? Three. Then he began to pray. R. Ezekia, R. Jacob b. Aha, and R. Yassa say, on the authority of R. Yohanan, that the following verse should never be forgotten (Ps. xlvi. 12): The Lord of hosts is with us, the God of Jacob is our refuge. R. Yosse b. R. Aboon and R. Abooha said: “May it please Thee, O Lord our God, and God of our ancestors, to save us from hours of rebellion, hard and bad, which escape and arrive stealthily on the earth.” “One should not begin to pray,” &c. R. Joshua b. Levi interpreted the verse (Ps. xxix. 2) thus: Give unto the Lord the glory due to His name, worship the Lord in the beauty of Holiness. R. Yosse b. Hanina asked: How is this verse explained, Adore the Lord with fear and rejoice with trembling (Ps. ii. 11)? (Is there not a contradiction between fear and joy?) R. Aha answers: That means that when the day of terror shall come, you will rejoice, for you have served God with fear, and then you will not be afraid. $^7$ Cf. Matthew xiii. 31. Mark iv. 31. Luke xiii. 19; xvii. 6. $^8$ As soon as a married woman sees any impure blood (menstruae), she is nidda, that is to say during 7 days she may not accomplish the conjugal converse. After these days, often begin the days of gonorrhea (in case of serious flux), which number 11; after which come the days of nidda, followed again by those of gonorrhea. The consequence of this teaching is this: if during the 11 days there has only been a loss once or twice, the woman is pure, after taking the usual bath; but if she loses 3 following days, she should count after that time 7 more days of purity before returning to her husband. Thus the difference about the number of days is explained. $^9$ There is therein more than a play on words, it is nearly a confusion of the letters נ and פ between those of two words (1° to the threshold, and 2° with fear, respect). R. Joshua b. Levi says: On beginning to pray one should sit down twice, once before and once after; before doing so one should repeat Psalm cxlv., first saying the verse (Ps. cxlv. 14): The just praise Thy name, the righteous shall inhabit in Thy sight. The first pious men retired within themselves during one hour before prayer, then they prayed one hour and remained serious again. In that case, when did they study the Law and attend to their work? R. Isaac b. R. Eliezer answers: As they were pious people, God's blessing was on their study and their work. R. Hoona says: The man who prays behind the Synagogue deserves the name of impious, for it is said (Ps. xii. 9): The impious walk around (or behind). R. Hoona says again, according to this same verse, that he who does not enter the temple in this world will not enter it in heaven either. R. Yohanan says that the man who prays in his house surrounds it and strengthens it, as it were, with a wall of iron. Is not this opinion contradicted by another of the same Rabbi? Is it not said above (iv. 4) by R. Aba or R. Hiya that man should pray in a place specially reserved for prayer? And here he tells us to pray at home? Yes, when one is alone, but when there is a society, one should go to the synagogue. R. Pinhas says, on the authority of R. Oshia: He who prays in a synagogue offers as it were a pure oblation. What proof is there that it is so? This verse (Isaiah lxvi. 20): As the children of Israel bring an offering in a clean vessel unto the house of the Lord. R. Abahoo, or another on his authority, interprets in this manner the following verse (Isaiah lv. 6): Seek ye the Lord while He may be found. Where is He to be found? In the temples and the school-houses; and, Call ye unto Him while He is near, there where He is near. R. Isaac b. R. Eliezer adds that then God is near them. And why? It is the conclusion that is drawn from this verse (Ps. lxxxii. 2): God standeth in the congregation of the mighty, He judgeth among the gods. R. Hisda says:¹ When one enters a synagogue, one should walk on as far as the width of two doors,² for it is said (Proverbs viii. 34): Blessed is the man that heareth me, watching daily at my doors; it says, At my doors (at least two), and not at my door. If any one acts up to this advice, what reward may he expect? What the verse promises (ibid.): For whoso findeth me findeth life. R. Hoona says: On going to the temple, one should walk faster, because of this verse (Hoseah vi. 3): Then shall we know, we follow on to know the Lord. On coming away, one should walk slowly, according to these words (Job xiv. 16): Now Thou numberest my steps. R. Yohanan says: It is a positive fact that the man who studies the Talmud in the temple does not forget it easily. R. Yohanan of Anatoth added as an answer: It is not less positive that he who in private studies zealously does not forget it quickly, as it is said (Prov. xi. 2): With the lowly is wisdom. R. Yohanan said also, that it was a good thing to learn the exegesis from the books ¹ B., same treatise, fol. 8 a. ² See Debarim Rabba, chap. vii. (and not by heart), in order not to forget it; and R. Tanḥoom says that the man who knows how to understand what he has read does not forget it either, according to these words (Deut. iv. 9): Lest thou forget the things which thine eyes have seen. R. Yona says, on the authority of R. Tanḥoom b. R. Ḥiya: When any one has had a painful dream, they should say, “May it please Thee, Lord my God, and God of my ancestors, to dispose of all the dreams I have had this night or any other night, whether I dreamt them, or whether others dreamed about me. If they are good, may they be accomplished for joy, happiness, blessing, and life. If they are otherwise, modify them in the same manner as Thou didst change the salt waters into sweet ones,$^3$ and didst make the waters of Jericho agreeable, through the interference of Elijah, as also the curse of Peor’s son (Balaam) into a blessing; change in a like manner all bad dreams. Let the dreams of others about me be changed to good, blessings, health, life, and happiness, joy and peace, according to this verse (Ps. xxx. 12): Thou hast turned for me my mourning into dancing; Thou hast put off my sackcloth and girded me with gladness, to the end that my glory may sing praise to Thee. O Lord my God, I will give thanks to Thee for ever. And (Deut. xxiii. 5): Nevertheless, the Lord thy God would not hearken unto Balaam, but the Lord thy God turned the curse into a blessing to thee, because the Lord thy God loveth thee. And (Jeremiah xxxi. 13): Then shall the virgin rejoice in the dance, both young men and old together, for I will turn their mourning into joy, and I will comfort them in their sorrow. “Even if the king asks after thy health,” &c. R. Aḥa says: What has just been said is applicable to the Kings of Israel, but to strange kings the salute must be answered. It has been taught that if any one is writing the name of God, one should not pause, not even for a king.$^4$ If one is writing two or three of the different names of God, for instance, El, Elohim, or Jehovah, on finishing one of these the salute may be returned. R. Yohanan was sitting down reading the Shema at the door of the Babylonian synagogue of Sippori; he did not arise before a magistrate (ἀρχων) who was passing. Seeing that, some people approached the Rabbi to strike him. Let him alone, said the judge, he is studying the laws of his Creator. R. Hanina and R. Joshua b. Levi went one day to the proconsul (ἀυθ’πατος) of Cesarea. As soon as he saw them, he arose. What! said those around him, you arise before these Jews? I see in them, answered he, the faces of angels. R. Yona and R. Yosse went to Ursicinus (governor of the town) of Antioch,$^6$ who arose when they approached. Why, was it also asked of him, do you arise for these $^3$ Exodus xv. 25. $^4$ Tr. Sophrim, v. 6. $^5$ See J., tr. Meghilla, iii. (fol. 74 a). $^6$ Legate of Gallus. Cf. J., tr. Beqa, i. 7. Jews? I have seen, said he, the faces of these people in the battle, and I was victorious. R. Abin, returning from an audience with the king, turned his back upon him. The courtiers wished to kill him; but as they saw that two bands of fire accompanied him,$^7$ they let him go, according to the verse (Deut. xxviii. 2): And all the people of the earth shall see that thou art called by the name of the Lord, and they shall be afraid of thee. R. Simon ben-Yohai said this verse also referred to spirits and demons. R. Yanai and R. Jonathan were walking in the streets (strata). Some one saw them and saluted them, saying: “I bow to you, masters” (as if they had been high personages). They answered (modestly): “We do not even look like students to deserve such a salutation.” Resh Lakish studied the law with so much zeal that one day by mistake he exceeded the limits of the Sabbath. He did not perceive it directly, and thus he accomplished the words of Scripture: Because of his love for her (the law) he erreth (Prov. v. 19). That is to say, through thy love for the Tóra, thou shalt be mistaken in other things. R. Judan b. R. Ismaël was so taken up with the study of the law that he neither saw his mantle fall, nor a serpent coming towards him. “Master,” said his disciples, “thou art losing thy mantle.” “Does not this serpent,” said he, “preserve it from thieves?” “Even if one had a serpent rolled round one’s ankle, one’s prayers should not be interrupted.” R. Hooná, on R. Yossé’s authority, says: This has been taught only with reference to the serpent; but were it a scorpion, one should stop. Why? Because it bites several times (which is much more serious). R. Ilá says: They only spoke of the serpent being already round one’s heel; but if it be seen approaching, it can be avoided by getting out of the way, without interrupting the prayer. It has also been taught that if one is standing saying the prayers in the street (strata) or public roads (palatium), one ought to get out of the way to let the asses or chariots pass, without however interrupting the prayer. It is related of R. Hanina b. Dossa, that being one day bitten, while praying, by a venomous reptile, he did not interrupt himself. When the people went to examine what reptile it was, they found it lying dead (it had died for its audacity in having bitten such a pious man). It was then said: Misfortune will befall any who had been bitten by the many coloured serpent; and may misfortune befall this serpent which has bitten R. Hanina b. Dossa. What is the gravity of these bites? If a man be bit, and if he get into the water soon enough, the serpent dies; if not, the man dies. “Master,” said his disciples, “did you not feel anything whilst the serpent was biting you?” “I swear,” answered he, “that I only thought of the subject of my prayer.” Referring to this subject, R. Isaac b. R. Eliezer says: God has $^7$ Allusion is here made to the lateral bands of the phylacteries. created a sort of spring to the soles of his feet, according to this verse (Ps. cxlv 19): He will fulfil the desire of them that fear Him, He will also hear their cry and save them (even of the danger which is unknown to them). 2. Men should mention the heavy rain when praying for the resurrection of the dead, and entreat for rain in the blessing for the year, and the Habdalla$^8$ is to be said in the prayer. "Who graciously bestows knowledge." $^9$ R. Akibah said, the Habdalah is to be said in a 4th prayer by itself. R. Eleazar said, in the thanksgiving (17th). In the same manner as the resurrection of the dead is to bring everlasting life,$^1$ it is hoped that the fall of the rain produces everlasting life also (so these two subjects are comprised in one prayer). R. Hiya b. Abba proves it by these verses (Hoseas vi. 2): In two days will He make us to live again; in three days He will forgive, and we shall live before Him; let us go to find the knowledge of God: (1 Kings xvii. 1)$^2$ And Elijah the Tishbite, who was of the inhabitants of Gilead, said unto Ahab, there shall be dew nor rain these years, but according to my word. R. Berakia relates an interview which took place between R. Yossa and the Rabbis: The first said that he had been heard in his prayers for the dew and for the rain; the others said that his prayers for rain only were granted, and not for the dew. This last opinion is founded on this verse (ibid. viii. 1): Go, show thyself unto Rahab, and I will send rain (not dew) upon the earth. But, according to what was said about the two prayers having been granted, how is the reference to the dew to be explained? Has he been released from his vow in this case? R. Tanḥooma of Edrea answers: It may be admitted that a vow from which one has been released in part is made entirely free. Or else it is supposed that he was speaking of the son of the woman Sarphith:$^3$ He cried unto the Lord and said, O Lord my God (1 Kings xvii. 21). R. Juda b. Pazi says: It can be compared to one who stole a doctor's case of instruments (Narthecium): at the moment of his going out, his son wounds himself. He goes back to the doctor and says: My master, doctor, cure my son. I am willing to do so, answers he, but first give me back my case, which --- $^8$ Distinction prayer called Habdalah, between the Sabbath and week days. $^9$ The 4th section of 'Amiẓa. $^1$ See J., tr. Taanith, i. 1; Debarim Rabba, chap. vii. $^2$ Here is also seen the connection between the verses relating to the resurrection and the rains or dew. $^3$ When the dew was spoken of, it was only used as a metaphor representing the resurrection. contains my medicines, and I will cure thy son. In the same manner the Most Holy said to Elias: Go, and release thyself from the vow concerning the dew, for the dead live only on the dew, and I will make the son of Sarphith arise from the dead. And how is it known that the dead only live on dew? Because it is written (Isaiah xxvi. 19): Thy dead men shall live, together with my dead body shall they arise. Sing, ye that dwell in dust, for thy dew is like the dew of herbs, and the earth shall cast out the dead. R. Tanḥooma of Edrea interprets the end of the verse thus: The earth will give back its trust. R. Jacob, from the village of Ḥanan, gave this reason, on the authority of Resh Lakish: At the moment when the patriarch Abraham was accomplishing My wishes, I swore to him I would never deprive My children of the dew (in summer). What proves it? This verse: Thou hast the dew of Thy youth, and the following: The Lord hath sworn and will not repent (Ps. cx. 3, 4). It is an everlasting gift I have made to Abraham: I have made him this present, according to this verse: Therefore God will give thee the dew of heaven (Genesis xxvii. 28). R. Samuel b. Nahmeni says: When the Israelites do bad actions and transgress the Law, the rain does not fall. In this case, an old man, for instance R. Yosse the Galilean, intercedes for them before God, and the rain falls. However the dew does not fall from heaven because of the merits of a creature. Why? Because it is written: And the remnant of Jacob shall be as a dew from the Lord, that tarrieth not for man, nor waiteth for the sons of men (Micah v. 7). R. Zeira says, on the authority of R. Ḥanina: If one is about to recite the prayer for rain (which is said in winter), and that instead of that one the prayer for the dew is said, it is needless to begin again; if, on the contrary, the prayer for the rain is said instead of the one for the dew, it is necessary to begin again. But has it not been taught that in the prayer for the dew and the one which relates to the winds, the wise men have not obliged the faithful to make a special mention, as it is only voluntary? That is different; he who curses himself by asking for rain in summer instead of dew, is not to be compared to another who neither prays nor curses (therefore there is no obligation in this case). It has just been said that if instead of mentioning the rain, the dew is spoken of, it is useless to begin again. Why? Has it not been taught that if one has forgotten to ask God for the rain (Shaalah) in the blessing for the seasons (9th), or to mention the rain in the prayer for the resurrection of the dead (2nd), it is necessary to begin again? It is true, and one must begin again if one has --- 4 He explained thus God’s word. 5 This verse is followed by the words: He will give thee the blessing of Abraham. It is therefore to the patriarch that it has been given. forgotten to mention anything, neither dew nor rain (but this latter would be enough). R. Zeira, on the authority of R. Ḥoona, says: If one has forgotten to ask for the rain in the 9th blessing, it should be done in the 16th which is a general prayer; and also, if one has forgotten to ask for the rain in the 2nd blessing, it can be remembered in the 16th. And indeed, if the prayer, which is generally the expression of a wish in the section of the seasons, can be said in the general invocation, with more reason it is so with regard to the simple mention of such and such a divine attribute “who causeth the rain to fall.” But has it not been taught that, if the rain has not been asked for in the ninth blessing for the seasons, or if the rain has not been mentioned in the second blessing, it is necessary to begin again? (It seems, then, that it is not sufficient to mention these things at the end?) R. Abdime, brother to R. Yosse, answers: If it is said that one must begin again, it is in the case where it would not have been mentioned even in the 16th blessing. At what place should it be resumed? In the same manner as R. Simon says, on R. Yoḥanan’s authority, speaking of the Neomenia: If after forgetting to mention the solemnity, one has already begun to retreat, one should begin it all again, and if one has not finished, it is sufficient to begin again at the section which is devoted to worship (to intercalate the paragraph of the Neomenia); in the same manner, as to our subject of the rain, if one has already retired, everything must be begun again; if not, it is sufficient to resume at the 16th section, where the prayer for rain may be introduced. At Nineveh, it was necessary to appoint a special day of fasting after Easter (because of the want of rain which was near producing a famine). Rabbi was consulted in order to ascertain in what part (of the ’Amida) this prayer was to be introduced (it was in summer). He answered: Do as you like, as long as you do not change the order of the prayer. In what place, however, must this prayer be introduced? R. Jeremiah says: it should be said in the 16th blessing, or general invocation. R. Yosse told them: it was not the opinion of R. Zeira, when speaking on the authority of R. Ḥoona: If one has not, said he, asked for the rain in the blessings of the seasons, or if it has not been mentioned in the second, it should be remembered in the 16th blessing. And in reference to this Rabbi says: Go and pray, as long as you change nothing of the form of the prayer (that is to say: as we are in summer, after Easter, you ought not to ask for rain in the blessing for the seasons; and as it should not be mentioned in this blessing, it should not be mentioned either, if it has been forgotten, in the 16th). Where then should it be mentioned, if it cannot be introduced, according to the interpretation of R. Yosse? In the 6 supplementary blessings that are added, on the day of fasting, to the prayer ’Amida. This information is enough for those 6 B., tr. Taanith, fol. 14 a. who pray in a public assembly, where the 6 supplementary prayers are said; but what would a man (who does not say these additions) do? R. Ḥanina answers that R. Zeira has said, on the authority of R. Hoonah: The man expresses his wishes in the general prayer, and the prayer for rain is a wish. "And the formula of separation (Habdala) is said in the 4th section." R. Simon b. Aba asked R. Yoḥanan: How is it that when a custom is established, the wise men discuss it? (that is to say: why introduce into the 4th section what forms the subject of a special ceremony, at the end of divine worship, with a glass of wine?) Because, answered he, the essential ceremony contained in the blessing of the wine having been forgotten in the prayer 'Amida (it was necessary to recall it); that shows that the ceremony of the wine is performed after the recital of the formula in the prayer, only in order to allow of the children participating in this religious practice (by making them taste the wine); that would demonstrate that the essential formula is found in the prayer. R. Zeira and R. Juda say, in the name of Samuel: If one has said the formula with the glass in the hand, one says it also in the prayer; if one has said it in the prayer, one repeats it with the wine; that proves that both the formulas are essential. "R. Eliezer said that it is intercalated in the thanksgiving." R. Yoḥanan said in the name of Rabbi: One conforms to R. Eliezer's opinion when it happens that a holiday commences on a Saturday evening. R. Isaac Rabba said, in the name of Rabbi: the opinion of R. Eliezer must serve as a rule in this latter case. R. Isaac b. Nahman says, in the name of R. Ḥanina b. Gamaliel: R. Eliezer's opinion must always serve as a rule. This is also what R. Abahoo says, in the name of R. Eleazar (a Rabbi who lived a long time after R. Eliezer). R. Jacob bar Aha said that this is not the case, although you have both advocated this opinion, but because R. Isaac bar Nahman and R. Eleazar both repeated it in the name of R. Gamaliel. According to the wise men, the formula of separation (Habdalah) must be intercalated in the 4th section: R. Akiba says that a fourth special blessing must be made of it. This is also the opinion of R. Jacob b. Aha, on the authority of Samuel. R. Judan says that it is added to the usual benediction formula. This is conformable to the opinion of Rabbi, who says: I am astonished that one should have shortened, on a Saturday, the fourth section, in which we solicit from God the gift of knowledge, for without knowledge one could not pray, and in the --- 7 The Talmud is surprised that there should be dissension between the Rabbis on a subject which is a familiar custom of the people; and it replies that, since it is not an essential part of a religious ceremony, the custom may have been varied, and thus give rise to a feeling of uncertainty with regard to it. 8 B., tr. Pesahim, f. 103 b. same manner, without knowledge one could not effect the distinction or separation. R. Isaac b. Eleazar says: One recites firstly the formula of separation, and then that of the prayer. R. Eleazar b. R. Oshia adds that one must not effect less than three distinctions. R. Yohanan says that one must not effect less than three, or add more than seven. And R. Levy says: These distinctions must be such as are established by the Law. Nahum arrives, and says, in his father's name, that one distinction suffices. R. Abahoo says that the formula must be terminated by a distinction. But then, asked R. Mena, if one has commenced with the words, "who separates the holy day from the unholy," should one end with the same? Certainly, says R. Yosse bar R. Aboon, for it is one of the formulas of blessings which commence and end with the words "praised be God." R. Eliezer b. Antigonos says, in the name of R. Eleazar b. R. Yanai: That proves that it is forbidden to work without having said the formula of separation (on Saturday evenings), and in the same manner it is forbidden, before saying this formula, to petition for one's necessities (by means of the requests expressed in the 'Amida; for which reason it is said in the first of the sections relating to the necessities of life). R. Zeira and R. Eleazar b. Antigonos say, in the name of R. Yanai and of R. Juda: If one has not recited the said formula on Saturday night, it must be said, no matter when, until Thursday evening; this rule, however, only applies to the formula of separation, but not to the blessing of the light, which must be said at once. R. Zeira, in the name of R. Juda, and R. Abba, in the name of Abba b. Jeremiah, say that, even after a festival falling in the middle of the week, one says the words: "Who distinguishes between the seventh day and the days of labour." But, objected R. Zeira to R. Juda, are there 6 anterior days of labour? That does not matter, was the answer; one does not observe the order in this any more than in the distinction established between "uncleanness and cleanness" (for, if the order of the words had a rigorous signification, the uncleanness would seem to be attributed to the festival: an inadmissible hypothesis). R. Jeremiah and R. Zeira, in the name of R. Hiya b. Ashe, say that these words must be recited (they are still in use in the additional songs of Saturday evening): "Make us to commence favourably the six days of labour which come to us in peace." R. Aba adds the words: "Make us to hear of joy and gladness." R. Ezechia, in the name of R. Jeremiah, says these words: "Make us to understand and teach us Thy Law." R. Ezechia, in the name of R. Jeremiah, says: When one answers Amen after the formula of blessing, one must raise one's eyes to the cup of wine and then to the light. R. Ezechia, in the name of R. Jeremiah, says yet (as being à propos): One must hold the four kinds of the bunch of loolab in the manner that they grow (the roots downwards). 9 On the Feast of Tabernacles, one holds in the hand, while in the Temple, a branch 3. He who says, Thy mercies extend to a bird’s nest,$^1$ or for goodness be Thy Name remembered, or he who says, We give thanks,$^2$ is to be silenced. R. Isaac in the name of R. Simon, explains these interdictions: One might be led to suppose that in saying these words, one criticizes God’s attributes;$^3$ it is as if one said: “Thou hast had pity on birds’ nests, but not on me.” R. Yossé says, in the name of R. Simon: One would seem to impose a limit on God’s qualities and to say: “Thy mercy has extended to the birds’ nests” (but not beyond). According to some, it has been taught: that one may not say, “on the nests;” according to others, “unto them.” The former rely upon R. Isaac’s version, the latter upon R. Yossé’s. R. Yossé bar R. Aboon says: One does not do well in classing mercy among the qualities of the Almighty (for these are not effects of His goodness, but of the laws ordained by Him), nor to develop the passage of Leviticus (end of chapter xxii.), commencing with the words: My people, the children of Israel, and to say: “As I am merciful in heaven, be so on earth, and therefore you will not eat on the same day the cow or the sheep with its young.” This interpretation is wrong, since it presents one of the laws of Divine justice as a simple effect of His mercy. “He who says, ‘We give thanks, we give thanks,’ is to be silenced.” It is, says R. Samuel b. R. Isaac, in virtue of the verse (Ps. lxiii. 11): But the mouth of them that speak lies shall be closed.$^4$ These additions, however, are only forbidden to be said in public, but in private they pass as supplications (and in that case there can be no possible heresy). 4. (3.) If a man pass up to the Ark (where the rolls of the Law are kept) and make a mistake, another must pass up in his stead; nor may he in such a moment refuse.$^5$ Where does he begin? At the beginning of the prayer in which the other made the mistake. R. Yossé b. Ḥanina says, in the name of R. Ḥanina b. Gamaliel, that, if one each of palm, cedar, myrtle, and willow, tied together, according as prescribed in Leviticus (xxiii. 40). $^1$ In taking the young ones out, the mother must first be sent away, so that she may not suffer by seeing it done (Deut. xxii. 6, 7). $^2$ Bis: as if there were two gods. $^3$ See J., tr. Meghilla, iv. 10. $^4$ This is said against the adherents of dualism, or doctrine of two Divine powers. $^5$ During divine service the faithful are not allowed to withdraw themselves, through modesty. has made a mistake at the three first blessings, the whole must be recommenced. Ada bar bar-Ḥana Gueniba says, in the name of Rab, that, if the mistake has been made at the 3 last benedictions, one recommences at the one relating to worship (the 16th). R. Ḥelbo and R. Hanna say, in Rab’s name: If the mistake has been made at the 3 first blessings, the whole must be recommenced, if at the 3 last, the 16th (Retseh) must be repeated. If a man has made a mistake and is not certain where, he must recommence at the part which he is certain not to have said. R. Aḥa and R. Juda b. Pazi were seated together in the Synagogue. At the moment of prayer, one of them placed himself in front of the pulpit of the officiating priest (to pray), and he forgot one of the blessings. R. Simon was then asked what was to be done. He replied, in R. Yoshua b. Levi’s name: The officiating priest who has forgotten 2 or 3 blessings is not obliged to begin again. He was subsequently found teaching and discussing the following rule: It is not necessary to recommence, no matter which section has been omitted, excepting if the section of the resurrection of the dead (2nd) has been omitted, or that of the proud being humbled (12th), or that of the reconstruction of the Temple of Jerusalem (14th), under pain of being considered a heretic. When Samuel the younger was one day performing the service,⁶ he happened to omit, at the end of the section, the words: “he humbleth the proud” (or wicked). He turned round towards the congregation, thinking that they were going to take him to task; but he was told: Our wise men did not think of thee (in qualifying this omission as heresy). R. Jacob bar Aḥa and R. Simon b. Aba say, in R. Eliezer’s name: In case of doubt of the mention of the Neomenia (in this day, in the ’Amida), it is necessary to recommence. At what part? Simon b. Aba says, in R. Yoḥanan’s name: If he has already drawn back (thus indicating having finished), the whole must be recommenced; if not, it suffices to recommence at the section of worship (16th). R. Juda b. Pazi says: If a man considered the prayer ended (without taking the 3 steps), it is the same as if he had stepped back; and as regards those who recite the supplications (after the ’Amida), there is a doubt⁷ whether they are to begin again. R. Aba b. R. Ḥiya bar-Aba, and R. Ḥiya, in R. Yoḥanan’s name, say:⁸ If a man be reading the Law, and stop, he who is assisting the public reader takes it up at the part where the former commenced. Verily, if it were admitted to be sufficient to recommence only at the part where the other interrupted himself, it would happen that with regard to the first verses read, the assistants would certainly have heard the blessing which precedes them, but not the one at the ⁶ B., same treatise, fol. 29 a. ⁷ The word Zerikhāh, in this Talmud, expresses doubt and uncertainty. ⁸ See J., tr. Meghilla, iv. 1, 5. end; for the last verses, the final blessing will have been heard, but not the blessing at the commencement. Now, it is written (Ps. xix. 8): The law of the Lord is perfect (complete), converting the soul; therefore it must be read in a complete manner (with an even number of blessings). The following has been taught: In the official reading (of the section of the Pentateuch, on Saturday in the Synagogue), two persons must not read the text simultaneously whilst another translates it aloud. Why? R. Zeira replies: So that there be no difficulty with regard to the blessing (as to which of the 2 should say it). But has it not been taught: 2 persons must not translate and a third read the text? Now, if only one person read (and as the translator does not say the blessing), how can it be supposed that there may be an irregularity? Therefore another cause must be alleged: it is that the ear cannot distinguish 2 voices at the same time. It has also been taught that 2 persons may read the Law together (the second one following reading to himself), but 2 persons may not read together the additional chapter of the prophets. R. Oolla says: Several calls are made (and divisions of sections) for the Pentateuch, but not for the chapters of the Prophets. R. Josuah Droma said: There are three things which are bad when either in too small or too large a quantity: leaven, salt and abstention. At the 1st request (to officiate), one refuses; at the 2nd, one should hesitate to accept; and at the 3rd, one accedes. R. Hoona was seated in a Synagogue. The attendants entered and tried very much to get a certain new comer to go up to the tribune, but the latter did not accept the invitation. At the conclusion of the service he presented himself before R. Eliezer and said: "Master, be not provoked at my abstention; I had no intention to wound your feelings, but I did not go up because I was not in the frame of mind" (so disposed). It is not against thee, replied R. Eliezer, that I am angry, but against this servant who importuned you to mount up (to the tribune). The officiant Batityi interrupted himself one day (during the morning office, before the Kedusha, blessing of God), on arriving at the prayer which mentions the Ophannim (celestial beings). R. Aboon was consulted on the subject, and he said, in the name of R. Yoshuah b. Levi: That he who replaces him take --- 9 Every official reading of a section of the Pentateuch, made in the Temple, is preceded and followed by a blessing, repeated at every interruption, and it must be noticed that the person named must read his section himself. 1 See ibid. § 5. 2 It is no doubt on this account that the custom has been preserved to have it read by a person called to the Law, and not by the officiating priest. 3 See above, p. 3, n. 2. 4 According to him, one should not refuse to officiate. up the prayer at the point where he stopped. But, was it answered, has it not been taught that one should recommence at the commencement of the blessing in which the error happened? However, answered R. Aboon, as you have made the response to the blessing of God (which precedes the passage relating to the ophannim), that corresponds to the entirety of the blessing (and thus it suffices to take up the service at this passage). 5. (4.) He who passes up to the Ark is not to answer "Amen" after the priest, lest his attention be distracted. If no other priest than himself be present, he is not to lift up his hands (to bless the congregation). But if he be confident that he can lift up his hands, and then resume, he is at liberty to do so. The following has been taught: Neither he who (arriving late at the Synagogue) recites the abridged formula (of Kaddish) which precedes the Shema, nor he who passes up to the tribune to officiate, nor he who lifts up his hands to bless the assembly, nor he who performs officially the public reading of a section of the Pentateuch, nor he who finishes the service with the recital of a chapter of the Prophets, nor he who pronounces the blessing, thus accomplishing one of the precepts established by the Law, should answer amen to his words; if he were to do so, it would have no meaning. According to other opinions, it is an act of wisdom, which R. Hisda explains thus: Those who say "it is wise to say amen" speak of him who says it at the conclusion (because it is then a sort of confirmation of everything he has said previously); but it is senseless to say amen for every blessing. R. Hanina says: If there are in the Synagogue 2 ordinary Israelites and a Cohen, the latter is placed between the other 2 (to do him honour). Under what circumstances are they thus placed? When they are all three of equal rank; but if one be a learned man, he is placed in the middle (he takes precedence). R. Yoshuah b. Levi says: I have never recited the formula of thanksgiving after meals, in presence of a high priest (so as to leave the honour to him), neither have I ever allowed an ordinary Israelite to do so in my place (so as to maintain, with dignity, my position as a Levite). 5 The officiating priests pronounce, word by word, the blessing before the cohanim; it is therefore to be feared that he would become confused in pronouncing these words, were he to reply Amen. 6 It is also for fear that he would not be sufficiently self-possessed to terminate the prayer. 7 He explains that there is no contradiction between the 2 Borailhoth, the same action being sometimes that of an ignorant man, and at other times that of an educated one. 8 J., tr. Guittin, v. 9. R. Juda b. Pazi says, in the name of R. Eleazar: Any Cohen who, being in the Synagogue, does not raise his hand to bless the assembly, transgresses a positive precept of the Pentateuch (which orders it: Numbers vi. 23). R. Juda b. Pazi, being ill one day, wound a turban tightly round his head, and placed himself behind one of the pillars of the temple (to keep at a distance from the part of the temple which the priests blessed, and to excuse himself on account of his illness from taking part, as Cohen, in the solemn blessings). As for R. Eleazar, he left the temple when similarly situated. R. Aḥa and R. Tanḥooma b. R. Ḥiya say in the name of R. Samlai: In the event of the entire community consisting of Cohanim, they must all nevertheless raise their hands to bless the faithful. But whom do they bless then? Their brothers of the north, south, east, and west. And who answers the Amen? The women and children. Abaye taught, on behalf of R. Benjamin: Those who stand behind the Cohanim are not included in the blessing, but those standing in front of them always profit of it; even were they separated by an iron wall, says R. Ḥiya b. Aba, the blessing would go through it. But what of those who stand aside? That is a case to be resolved by the following point: If (in sprinkling the altar with the blood of the sacrifice) the one who officiates intends to sprinkle it in front of him and it falls behind him, or vice versa, the aspersion is considered defective and insufficient (through want of care); if, however, the intention be to sprinkle it in front, and it fall at the sides, the aspersion is valid. That shows, for our subject, that the people standing at the sides during the function of the Cohanim are included in the blessing. R. Hisda says that the officiating minister should be an ordinary Israelite (the request to give the blessing, which is made by him to the Cohanim, should not be made by one of the latter). R. Nahman b. Jacob says: When the officiating minister makes this call, he words it in the singular number, in case there should be only one priest present, in the same manner as the plural is used if there are several priests present. R. Hisda, on the contrary, says that the request is always made in the plural, for the idea is that the whole tribe is called to bless the people. 6. (5.) If a man pray and make a mistake, it is a bad sign for him. If he be a representative of a congregation, it is a bad sign for his constituents, for a man’s representative is like himself. They say of R. Hanina b. Dosa, that when he prayed for the sick, he used to say, “This one will die,” or, “This one will live.” The (Sages) --- 9 To counteract the pain which he endured. 1 Mishnâ, tr. Para, xii. 2. said to him, "How do you know?" He said to them, "If my prayer be fluent in my mouth, I know that it is accepted; but if not, I know that it is lost." R. Aḥa b. Jacob says: These presages can only apply to the 3 first sections (which are recited with ease, because they are more frequent, and form the commencement). When R. Gamaliel saw his son ill, he sent two clever men to R. Hanina b. Dossa to his town, to consult him. He said to them: Wait here for me, I am going up to my room (to pray), and then I will answer you. When he came down, he said to them: I have now the conviction (by the prayer I have said) that R. Gamaliel's son has recovered from his illness. They noted the precise moment, and at the same moment the convalescent asked for food. R. Samuel b. Nahmeni says: If a person applies his whole attention during prayer, he may be assured that his prayer has been granted.$^2$ Why? Because it is written (Ps. x. 17):$^3$ Thou wilt prepare their heart, Thou wilt cause Thine ear to hear. R. Joshuah b. Levi says: If a man's lips move alone (i.e. if the words come from him spontaneously), he may be sure his prayer is heard. Why? Because it is written (Isaiah lvii. 19): I create the fruit of the lips; peace, peace to him that is far off, and to him that is near, saith the Lord; and I will heal him. CHAPTER VI. 1. How do we bless for fruit?$^4$ For fruit of a tree say, "Who createst the fruit of the wood," excepting the wine. For wine say, "Who createst the fruit of the vine." For fruits of the earth say, "Who createst the fruit of the ground," excepting the bread. For the bread say, "Who bringest forth bread from the earth." For vegetables say, "Who createst the fruit of the ground." R. Judah says, "Who createst various kinds of herbs." $^2$ See Debarim Rabba, chap. i., Wayyiqra Rabba, ch. xvi. $^3$ The fervour of the heart is a sign of the attention of the ears, and proves that the prayer is heard. $^4$ The Mishnâ supposes that it is already known that a blessing must be made for each different article consumed; it is only therefore necessary to appoint the different formulas. It is written (Ps. xxiv. 1): The earth is the Lord's, and the fulness thereof; the world and they that dwell therein. And therefore he who enjoys anything whatsoever in this world before having said a prayer commits an offence (Levit. xxvii.); by accomplishing this precept he acquires it. R. Abahoo says: It is written (Deuteronomy xxii. 9): Lest the fruit of thy seed which thou hast sown, and the fruit of thy vineyard be defiled, that is to say that the universe with all it contains is considered as a vine; and how do we become entitled to these holy gifts? By blessing. R. Ezechia or R. Jeremiah and R. Abon, in the name of Resh Lakish, remind us of the words (Ps. xvi. 2), Thou hast said unto the Lord, Thou art my Lord; my goodness, cometh it not from Thee? that is to say: If thou hast given thanksgiving after a meal, it is as if thou hadst eaten of thy own substance. In other terms, the words, My goodness is not for thee, signify, I destroy my goodness in thy body. And in still other terms these words mean, All goodness shall combine to come to thee. R. Aḥa says: What signify the words “not on thee”? They indicate that without the Divine assistance nothing has come into the world, as it is said (Genesis xli. 44): And without Thee shall no man lift up his hand. R. Ḥiya taught that it is said (Leviticus xix. 24): It shall be holy to praise the Lord withal, in order to indicate that a blessing must be made both before and after the meal; R. Akiba deduces from this: Nothing may be eaten before pronouncing the blessing. When R. Ḥaggai and R. Jeremiah proceeded to render justice, R. Ḥaggai commenced by pronouncing the benediction. Thou hast done well, said R. Jeremiah, for all the precepts say that this must be done. How do we know this? R. Tanḥooma or R. Aba b. Cahana says, in the name of R. Elazar, that it is in conformity with the verse (Exodus xxiv. 12), And I will give thee tables of stone, and a law and commandments; the Law is likened to His commandments, and in the same manner as the necessary formula must be said before reading a section of the Law, we must act (in the same manner) before accomplishing any precept. R. Yoḥanan, in taking an olive, recited a blessing before eating it, and another after. R. Ḥiya b. Aba looked at him in astonishment. “Babylonian,” said R. Yoḥanan to him, “why lookest thou at me so? Is it not admitted that a blessing must be said both before and after eating any fruit belonging to the seven superior kinds?” “I recognize that, and am only surprised at your blessing such a small quantity, diminished yet more by the seed being extracted.” But does R. Yoḥanan contest that the taking out of the seed diminishes the value of the olive? No, but he blesses it because it is an entire fruit. He even went beyond --- 5 See Shohar tof. chap. xvi. 6 Literally: extendeth not unto Thee. 7 The 7 superior products of Palestine are: grapes (wine), olives, dates, pomegranates, figs, wheat and barley. this, for in eating even one grain of a grape or pomegranate, he thought himself obliged to recite the two formulas, one before and one after. As long as the wine is in its natural state, this blessing is said: "Blessed be the Creator of the fruits of the tree," and it may not be used for the ablution of the hands. When mixed with water, we say, "Creator of the fruits of the vine," and it may be used to wash the hands. This is the opinion of R. Eliezer. But the wise men say that for wine pure or mixed with water, is said, "Blessed be the Creator of the fruits of the vine," and it may be used for ablutions. R. Aba says that it is not a destruction of food (to wash with it). R. Jacob b. Zabdi says, in the name of R. Abahoo: For olive oil say: "Blessed be the Creator of the produce of the trees." R. Ḥiya b. Papa remarked to R. Zeira that the Mishnâ expresses itself in the same manner: excepting, it says, for wine, for which is said, "the Creator of the fruits of the vine" (therefore for oil we say, Creator of fruits). But is not wine an extract of grapes? (why not the same for oil?) Exception has only been made for wine; therefore all other produce, although extracts, are natural. R. Aba says: Rab and Samuel both agree that for cooked herbs is said: "All has been created by His word." R. Zeira says, in the name of Samuel: For the cooked heads of radishes (roots), if they are entire, we say, "Blessed be the Creator of the fruits of the earth." If they are crushed, we say, "All is created by His word." R. Yosse says it is conformable to the Mishnâ, which says: "Excepting for bread, in which case is said, 'Blessed be He who produces the bread from the earth.'" But is not bread made of crushed wheat? Exception is only made in the case of bread; therefore, all other produce, even crushed, are considered as whole. R. Ḥipa b. Abba says, in the name of R. Yohanan: For a preserved olive is said, "Creator of the fruits of the tree." R. Benjamin b. Japheth says, in the name of R. Yohanan: For cooked herbs is said, "All has been created by His word." R. Samuel b. Isaac says that the Mishnâ is in accordance with R. Benjamin b. Japheth's opinion, for we read there: The bitter things which we eat on Easter night must not be (so that they lose not their taste) either preserved, cooked, or boiled, and if they are in their natural state may serve to accomplish one of the Easter duties. R. Zeira asks: Which is he who remembers best having heard R. Yohanan's sentences? Is it R. Ḥiya b. Aba or R. Benjamin b. Japheth? It is certainly R. Ḥiya b. Aba; it may be proved by this: We see some of the illustrious Rabbis, when they sit down at table, take some lupines and pronounce the formula: "Creator of the fruits of the earth." Now, are not these lupines 8 And we do not say: "All has been created," &c. 9 See J., tr. Pesahim, ii. 5; B., tr. Berakhoth, fol. 38 b. 1 Literally: if they go to take בְּרִיָּה eat (2 Samuel xiii. 5). 2 They do not use the formula, "all was created by His word," which is R. Ḥiya's opinion. cooked? (How, then, does it happen that this formula is recited? It proves that, although boiled, they are still considered natural.) As regards the Mishnâ (just quoted), it says that "the bitter herbs must not be cooked," so that they may not lose their paschal bitterness required by the Law, for cooking deprives them of their bitterness (but, for the purposes of the blessing to be recited, they are considered natural, and we can understand that the Rabbis used this formula). R. Yosse b. Aboon says: There is no question about the olive, because it is customary to eat it raw; and, although preserved, it is considered to be in its natural state; but herbs, as soon as they are cooked, they change their form. R. Jacob b. Alqa says that R. Nahman and the Rabbis held a discussion on the following subject: The former said, "Who produced the bread from the earth" (in the past tense), and the others said, "He produces the bread from the earth" (in the present tense). This question is settled in the same manner as was the following one, referring to vegetables (cereals), discussed by R. Ḥinena b. Isaac and Samuel b. Imi; the former said that it is a vegetable, and not bread; the other said that if it is not yet bread, it will never be bread, as it is said (Ps. lxxii. 16): There shall be an handful of corn in the earth upon the top of the mountains (the seed is, therefore, already considered as bread). R. Jeremiah pronounced, in the presence of R. Zeira, the formula, "Who has produced the bread from the earth;" and the latter complimented him on his having adopted it. What is R. Nehemiah's motive for admitting the article (ה) in the formula? It is in order not to confound the sound of the words, the one commencing and the other ending with the same letter. This objection, however, might be repeated at the end in the case of the word Lehem min (it has not, therefore, much foundation). According to R. Nahman, the same is to be said (for wine): "Who has created the fruits of the vine;" and according to the Rabbis, "He creates the fruits of the vine." R. Zerikan or R. Zeira put the following question: If any one have taken a lupine and said the blessing (before eating it), but let it drop, must he repeat the blessing? How can you ask that? was the reply. Is there any difference between this case and that of a person wishing to drink from a running stream? (For the water which was before the person at the moment of saying the blessing would have flowed away during its recital, and yet he does not repeat the blessing. Would he not be in the same predicament as the person before mentioned?) No, was the reply; in the case of the water, one knows what to expect from the commencement; but in the case of the dropping of the olive, it was an unforeseen accident. (The problem has not yet been resolved.) R. Ḥiya taught that the blessing of the bread was not said until at the moment of breaking it. R. Ḥiya b. Aba says: This proves that he who, having a radish 3 The word בֵּטֶל, vegetable, is composed of בֵּטֶל, and means either: "it was never bread," or: "it will never be bread." in his hand, lets fall a piece, should recite the blessing for the pieces; but he who had not at the time a piece in his hand, must say a blessing apart. R. Tanḥum b. Judan says that these words should then be added: Blessed for ever be His name and glorious reign, so as not to repeat with disrespect the Divine name. What quantity must there be to require the blessings? R. Hanina and R. Mena do not agree on this subject. According to the one, the piece cut must be of the size of an olive; according to the latter, a smaller piece suffices. He who says that it requires a piece the size of an olive conforms to the opinion hereafter given, in which it is said: All the pieces$^4$ were of the size of an olive. He who says that it requires a smaller piece is of R. Ismael’s opinion, who says: Were there even but so little that it might be assimilated with flour, the blessings must be said. The following general rule has been taught:$^5$ Every time that the consumption of a certain dish is followed by the triple blessing of thanksgiving, it is preceded by the formula: “Who has produced the bread from the earth;” should the contrary be the case, the anterior formula is not said. An objection has been offered to this general rule: If, it is said, there is less bread than of the size of an olive, the 3 complete blessings are not said afterwards. Would the anterior formula, however, be said? Verily, said R. Jacob b. Aḥa, this rule has been formulated for superior products, other than bread. R. Aba says, in the name of Rab: It is forbidden for any of the guests to taste of anything before the person charged with the giving of the blessing has done so. R. Joshua b. Levi says: But they may partake of drink. The subject of their difference is relative to certain circumstances. Rab speaks of the case in which a loaf of bread is divided among all (and for which it is necessary to go the round of the company); and R. Josuah says that they may drink at once, because each person has their goblet to hand. He who recites the blessing is the first to reach out his hand for bread, unless he wish to accord this honour to his master, or to his superior in science. When Rab cut bread for the guests, he tasted it with his left hand whilst distributing it with the right. R. Hoona says: It is not an interruption between the recital of the blessing and the tasting to say: “Go and bless;” but it is an interruption to say: “Give some fodder to the cattle.” R. Hoona also says: For a dish composed of wheat flour roasted, or pulverized horseradish, the following formula is said: “All has been created by His word.” R. Hoona also says: If anybody has taken something into his mouth, and remember that he has forgotten to say the blessing, he must reject it if it be a liquid; and if it be a solid, he must put it to one side of his mouth, and recite the formula. R. Isaac b. Mare said, in the presence of R. Yosse b. R. Aboon, in the name of R. Yoḥanan: Even if it be a solid, it must be rejected, because it is written (Ps. lxxi. 8): Let my mouth be filled $^4$ Of oblations, Leviticus ii. 6. $^5$ See J., tr. Succa, ii. 7. with Thy praise and with Thy honour all the day. If a person chews some wheat he must say: "Blessed be the Creator of all sorts of grain." If it be roasted or cooked, and the pieces be whole, the following formula is said: "Who has produced the bread from the earth," and afterwards the three complete blessings after meals. If the pieces are no longer entire, say: "Blessed be the Creator of the different kinds of food," and afterwards an abbreviation of the three thanksgivings after meals is said. Of what size should the fragments be? R. Yosse, whilst with R. Aboon Cahana b. Malkia, said, in the name of Rab, about the size of an olive. He who chews rice says the formula: "Blessed be the Creator of all kinds of grain." If the rice is baked or cooked, although the grain be entire, he says: "Blessed be the Creator of all kinds of food," without any other blessing after it. According to R. Jeremiah, he says: "The Creator of the fruits of the earth." Bar-Merina recited, in the presence of R. Zeira and R. Ḥiya b. Aba, the formula: "All has been created by His word." R. Simon the pious said: "Blessed be the Creator of all kinds of delicate food." R. Yosse, whilst with R. Abin, says that these 2 opinions are not contradictory: he who says: "Creator of all kinds of food," speaks of the case in which a mixture has been made (by crushing them in a mortar); he who maintains that we must say: "Creator of the fruits of the earth," speaks of the case in which the grains are still entire; he who maintains that we must say: "All was created by His word," speaks of the case in which it has been boiled; and finally, he who says: "Creator of all kinds of delicate food," speaks of the case in which the different grains have been shaken up and mixed together. Up to the present we have learnt the anterior formula. What is the posterior one? R. Yona, in the name of R. Simon the pious, says as follows: "Who has created different kinds of agreeable foods to rejoice the soul of every living being; be praised, O Lord, for the earth and its pleasures." R. Aba b. Jacob says, in the name of R. Isaac Raba (the great), that when Rabbi ate meat or an egg, he recited the formula: "Who has created numerous animals to nourish the soul of every living being; be praised, O Lord, living spirit of the world." We know now what is to be said in this latter case, after the meal. What is to be said before? According to R. Ḥaggai: "Blessed be the Creator of diverse souls." But, objected R. Yosse, does not the Mishnâ (§ 3) contest this? It says: For vinegar, for certain kinds of locusts, and for windfall (of fruit) is said: "All has been created by His word;" now, these locusts, are they not in a certain sense beings? The opinion of R. Simon (whose formula we have just mentioned) was the reply, is conformable to Rabbi's opinion, and both are in accordance with R. Gamaliel's. The following is the general rule, taught by R. Juda in the 6 Crush, chew, from which is derived the name of an Arab dish, cuss-cussu, which is no doubt meant here. 7 It would therefore be necessary to say: "Creator of beings." name of R. Gamaliel: With regard to one or other of the seven superior products (excepting wheat), and for wheat not made into bread, the consumption must be followed, according to R. Gamaliel, by the recitation of the 3 blessings, and according to the wise men by only one blessing; as for the other fruits which belong neither to the seven superior fruits or which are not of the wheat tribe, we must, according to R. Gamaliel, say the blessings both before and after, and according to the wise men only before. R. Jacob b. Ida, in the name of R. Hanina, says: For everything farinaceous, in the shape of a paste, and which is composed of one of the five kinds of grain, the anterior formula: "Creator of all kinds of food," is said, and is followed by the three blessings for meals, in an abbreviated form. But what is to be said of an article which, whilst fulfilling the two first conditions, does not belong to either of the five species? R. Yona says that R. Zeira caused information to be asked for on this subject at R. Janai's house, and the answer was, that nothing was known about it. And yet what is to be done in this case? It seems, says R. Yossé, that we must say the formula: "All has been created by His word" (general formula). R. Jeremiah asked: What should he do after the meal, who has eaten of baked flour? As a fact, says R. Yosse, R. Jeremiah never ate flour. That is not the question, replied he; what we require to know is, why is the formula terminated by the final mention of the Holy Land? It is because this is considered to be the blessing of the workpeople; for it has been taught as follows: The workmen working on their master's estate say the 1st blessing, summarize the 2nd and 3rd, and finish by reciting the final of the 2nd; but if, as pay for their work, they receive their repasts, or if the master eats with them, they must say the 4 complete blessings. R. Janai appointed a fixed formula for the ceremony to be said by the workmen. Is the solemnity of the day also to be mentioned therein? R. Aba b. Zimna replied that sometimes it was done; R. Jeremiah adds: As R. Zeira paid attention to this, we must do the same. It has been taught that, when the blessing of the bread is made, the best should be chosen: of a loaf of fine bread, and the ordinary household loaf, the former should be chosen; of a piece of fine bread, and an entire household loaf, the latter should be preferred (because it is more presentable). Of a wheaten loaf, and one made of barley meal, the former is taken; of a piece of wheaten bread, and an entire loaf made of barley meal, the former is chosen; of a loaf made of barley, and one of maize, the former is selected. And yet, is not this --- 8 See page 119, note 5. 9 On account of the doubt existing with regard to the terminable blessing; we know what to commence with in a doubtful case; but what is to be said after? 1 See above, ii. 5. 2 Tosseftâ on Berakhoth, section 4. second kind the superior one? It has the disadvantage of not being one of the 7 superior kinds. This latter opinion, says R. Jacob bar Aḥa, in the name of R. Zeira, is that of R. Judah, who says: If amongst the different sorts of bread, there is a single loaf made of one of the 7 superior fruits of Palestine, to it is given the preference. Of an impure loaf and a pure one, says R. Ḥiya b. Abba, the pure one is naturally chosen. R. Ḥiya b. Ada, in the name of R. Aḥa, says, that if one has before one a nicely-made loaf of impure bread, and one less nicely made, but pure, the blessing is made over the one which one prefers. According to R. Jacob b. Aḥa, in the name of Samuel, the formula to be said for the young shoots of the first year of the palm-tree is the following: "Creator of the fruits of the tree." According to R. Joshuah: "Creator of all kinds of verdure." A Mishnâ of R. Oshia contests this opinion by enumerating the different verdure (not including the shoots of the palm-tree); they are: the artichoke, κινάρα, the orach (goose-foot), ἀλιμος, a pickly herbaceous plant, and the thistle. 2. He who blessed the fruits of the tree (thus), "Who createst the fruits of the ground," is free from his duty. And for the fruits of the ground, if said, "Who createst the fruits of the wood," he is not free. But, in general, if one say, "(who createst) everything," he is free. R. Ezechia says, in the name of R. Jacob b. Aḥa, that R. Juda considered the tree as a stalk (that is to say, that the tree is to the fruit what the stalk is to the ear of corn). R. Yosse replies that it is an idea, generally admitted, that the fruit of trees may be classed among those of the ground, but the reverse is not permissible. R. Hoona says that bread and wine must be excepted; the Mishnâ expresses this: Excepting wine, says the Mishnâ, for which is said this formula: "Creator of the fruits of the vine," and excepting bread, for which is said: "Who bringest forth bread from the earth." R. Yosse says: From the moment that one changes the formula adopted by the wise men, the duty is not accomplished. R. Juda says: The obligation is not fulfilled if, in the event of an article changing form, the formula is not modified. R. Meir says that it suffices even to say: "Blessed be the Creator of this object which is so beautiful." And R. Jacob b. Aḥa says, in the name of Samuel, that this opinion is adopted as a rule. It is proved by the following incident which occurred to Rab: A Persian came to his house and said: When I eat bread, not knowing the proper formula of blessing to be used, I say: "Be blessed, Creator of this piece of bread." Have I in this manner accomplished my duty? Yes, replied Rab. 3 See tr. Kila'im, v. 7, and at the end. 4 The text only gives the first word of the formula (shehakôl). 5 See J., tr. Bikkurim, chap. i. § 8 (6). R. Juda narrated, in the name of Aba b. bar Ḥana, that when Bar-Kapara and two of his pupils stopped to pass the night at an inn in Berakhta, some small cakes (tarts), plums, and some leeks (capitatus) were placed before them. Is it necessary to recite the blessing for these latter? asked one of the pupils. No, replied the master; it would answer for the plums, but not for the cakes; and if you said a blessing for the plums it would not answer for the two other things. Thereupon the other pupil rose up hastily and said the blessing for the cakes with this formula: "All has been created by His word." His comrade railed at him for his mistake. Bar-Kapara said: I have not so much to complain of in him, as in thee: he has just committed an act of gluttony; but then, why doest thou mock him? And he said to the mocker: It is a case in which the following may be applied: If they respect not my knowledge, should they not respect my old age? (i.e. you had no regard for my old experience, and you did not ask counsel of me in this case). It is said that they died before the close of the year (for their want of respect). However, says R. Yosse, these 2 men died, and we have learnt nothing of them. What is the real solution? It appears that firstly the blessing should be said for the leeks: "Fruits of the earth," for the formula: "All has been created by His word," is only a secondary one, and is insufficient. 3. For the thing which groweth not from the earth, say, "(who createst) everything." For vinegar, unripe fruit, and locusts, say, "everything." For milk, cheese, and eggs, say, "everything." R. Judah says: "Whatever it be, which had its origin in a curse, is not to be blessed." If wine has become soured, say: "Be blessed, Judge of the truth" (the formula for misfortunes); if use has just been made of it, say: "Everything was created by His word." On seeing locusts, say: "Be blessed, Judge of the truth." If one has just eaten of them, say: "Everything was created by His word." On seeing unripe fruit fall to the ground, say: "Be blessed, Judge of the truth." If one has just eaten some, say: "Everything was created by His word. 4. If a man have before him many kinds of fruits, R. Juda says: "If there be among them of the 7 kinds, he is to bless them." But the sages say: He may bless whichever of them he pleases. R. Joshuah b. Levi says: On what point does the discussion, between R. Juda and the Rabbi, bear? In case there was an intention to eat bread with these --- 6 See B., tr. Berakhoth, fol. 39 a. 7 A locality to be included in the Talmudic geography (perhaps Anath?). 8 They are: Wheat, grapes, figs, pomegranates, olives, and honey (or dates). See Deuteronomy viii. 8. fruits, that of the bread suffices; but in case there is no intention to eat bread, everybody recognizes the necessity to give the preference to one of the 7 superior sorts, if there is one, and to pronounce the benediction over it. R. Aba says that the final blessing must also be said (according to the wise men, when the blessing has been pronounced over one of the chosen kinds, the blessing at meals does not suffice; a special one must be made). Therefore, says R. Yosse, it is R. Aba’s opinion which is in dispute (since according to him a posterior blessing is necessary), whilst R. Joshua b. Levi’s opinion is, that there is only a difference of opinion when bread is eaten with any of these products (and according to his opinion, the blessing of the bread alone suffices); for R. Aba says that a final blessing is necessary. The fact is, that if no blessing is recited for this special fruit, it would be considered an accessory, and it has been taught that, where there is an accessory to the diet, the blessing is said for the principal object (and it would be impossible to apply this to any of the superior produce of Palestine). If a man has a mixture of several sorts (or dessert), γαρίσματα, before him, R. Jeremiah says, in the name of R. Ame, that the blessing is said for the lupines. R. Levi says that it is in virtue of this verse (Prov. xxii. 22): Rob not the poor, because he is poor (i.e. he must not give the preference to the superior sorts, but say also the blessing for the lupines). We know now what is to be said when a man intends to eat bread afterwards. But what is to be said if he does not intend to eat any? It is not decided. R. Gamaliel Zooga went one day to R. Janai’s house, and he saw that the latter said the opening blessing and the final one on partaking of some olives (although the intention to eat bread afterwards would have exempted him). R. Gamaliel said to him, is that the proper thing to do? (Have we not been taught that, on the contrary, the blessing for bread suffices?) R. Zeira sent to R. Samuel b. Nahman, to ask for a solution of this question, and the latter replied, that according to Rab, in the name of R. Mena, every one recognizes the necessity to give the preference to one of the seven superior kinds, if there is one (and when one is not eating bread). The decision is good, says R. Zeira, since we see the Rabbis, when they are travelling to proclaim the Neomenia, eat grapes without reciting the blessing afterwards. Why do they not recite it? Because they intend to eat bread, and exempt themselves by a comprehensive blessing (in conformity with the decision above quoted). When a man has before him several sorts, all belonging to the 7 superior classes, which one should he choose to recite the blessing over? Over the one standing first in biblical order, as has been said elsewhere, and the one coming nearest to the word land in the verse indicated (therefore wheat takes precedence of all). --- 9 It was announced at the time of the first phases of the moon. 1 See p. 119, note 5. The verse begins with the word land. 5. If one blessed the wine before food, the blessing frees the wine after food. If he blessed the adjuncts before the food, it frees the adjunct. But the blessing of the adjuncts does not free the bread. The school of Shammai say, neither does it free the cookery. It has only been shown that the blessing of the wine before the meal exempts one from blessing it after the meal; but one has blessed the wine drunk during the repast, that does not exempt the wine after. At other places (Babylon), it has even been taught that the blessing before the meal does not exempt the wine drunk after it (on account of the long interval). How reconcile this with the Mishnâ (which teaches that the blessing of the wine before exempts that drunk after)? R. Hoona, and R. Josuah b. Levi both answered this objection: the former says that the anonymous author of this passage of the Mishnâ had in view the case of a man drinking conditum (spiced wine) (which is not pure) after the meal; the latter says that it alludes to a man drinking wine after the bath (Βαλανείου); otherwise another blessing is necessary. R. Helbo and R. Hoona or Rab say, in the name of R. Ḥiya Rooba, that for the cakes eaten after the meal, a blessing both before and after eating them is necessary (the blessing of the meal not being sufficient to cover them). R. Ama says that R. Yohanan contests this and does not admit it. He only contests it, says R. Mena to R. Ezekiah, in the case of a person eating them during the repast. No, answered the latter, he contests it even if one has not eaten of them during the meal. And R. Haggai, in the name of R. Zeira, confirms this. The people of the house of the naci (prince) sent some fruits $^2$ to R. Ḥanina b. Kissi, and he put them aside to eat them after the meal, reciting two special blessings. R. Ḥana ate bread with dates (so that the blessing of the bread availed). R. Ḥiya b. Ashe said to him: Thou contestest the decision of thy master (which was contrary)? Leave what thou art eating there, until the end of the meal; and then thou canst recite the necessary special blessings. R. Ḥana replied: The bread is the principal for me (and therefore I recite not the blessing for the fruit). R. Yona and R. Yosse went to a feast given by R. Ḥanina Antonieh (? of ’Anath), and at the dessert some cakes with roasted ears of corn were brought to them. In the present case, said they, let us lay aside our studies and personal opinions, and let us conform to the rules of the Mishnâ: now, R. Mena taught, in the name of R. Judah, who had it from R. Yosse the Galilean, that special blessings are needed for these cakes, served at dessert. Therefore, said they, as the opinion of this particular Rabbi is contested by the Rabbis, the opinion of the latter must be adopted (and no new blessing be recited). $^2$ The produce of a certain palm-tree, or hard dates, called Nicolai (Plinius, xiii. 4). R. Marinos, whilst at R. Josualh’s house, said that he who eats a sort of caviar$^3$ and a dish made of fine flour, besides the blessing said after this mixture, must say a second one for the flour. Who says so? R. Shammai, who says that the principal blessing does not cover these cooked dishes. R. Yosse says: It is an unanimously admitted opinion that the blessing of the bread covers the adjuncts; as regards cooked food, Hillel says one is exempted, but Shammai says not so. If, however, one has recited $ab$ initio the blessing for the accessories, every one (including even Hillel) admits that this does not cover either the bread or the cooked food. R. Aba b. R. Papa asked: If a man eat some flour food, intending to eat bread afterwards, must he recite a special final blessing for the flour? Yes, answered the Cesarean Rabbis (because the one does not carry with it, nor does it cover the other). 6. If several persons sit down to eat, each blesses for himself; but if they recline together, one blesses for all. If wine come to them during food, each blesses for himself; but if after food, one blesses for all. He also blesses for the incense,$^4$ even though they have not brought it till after the repast. The Mishnâ alludes to the repast which follows the ceremony of circumcision, and not of a repast given by the master of a house to his guests (for in this case they are not obliged to sit in a circle, for one to pray). According to R. Hiya, it means also at an ordinary repast. The order of the meal has been defined: the visitors enter and sit down on the forms and chairs (cathedra) until all the company are assembled. Wine is brought, for which each one recites a blessing; when water is brought every one washes his hand (the right one, which holds the cup); each one says his blessing for the accessories; then the company recline on sofas, and when wine is brought, a second blessing must be said, in addition to the first one, by one of the assistants, and then the guests wash both hands. When any adjuncts are served, one of the guests recites the blessing, and it is not proper that a stranger should enter after the third service. We have learnt elsewhere:$^5$ If a man is to remain in the Succa for just$^6$ 7 days only, what is done for the last day? After the repast of the seventh day, the Succa must not be abruptly taken down, but the different fixtures must be gradually taken down, commencing at midday, so as to honour, without incon- $^3$ J. Levy translates: Garonbrei. $^4$ According to Oriental custom, incense and spices are burnt after meals. $^5$ See J., tr. Succa, iv. 5. In the following explanation it is shown at what time the blessings are to be repeated. $^6$ It is said: “You shall remain in your tents 7 days,” but the festival lasts for 8 days. venience, the last day. R. Aba b. Cahana, or R. Ḥiya b. Ashe, says, in the name of Rab: The Succa must be rendered unfit for use before night (so as to show that it will not be used again). R. Joshuah b. Levi says that it suffices to sanctify the last day at home. R. Jacob b. Aha says, in the name of Samuel, that if a man has sanctified the festival in a house, and that, on reflection, he decides to take his meal elsewhere, the formula must be recommenced (on account of the change of place). R. Aḥa and R. Ḥanina say, in the name of R. Joshuah, that, if a man be at his ease in the Succa, he shall sanctify the festival in the evening at home, and then he may go to take his meal in the Succa (and in spite of the change of place, the blessing need not be recommenced). In any case, says R. Abin, Samuel and R. Joshuah are not at variance. R. Joshuah (who does not exact the recommencement) does not refer to the case in which a man has decided to take his meal elsewhere, and Samuel speaks explicitly of this latter contingency. R. Mena, on the other hand (who admits of no distinction on account of premeditation), says that Samuel conforms to R. Ḥiya’s opinion as given above, whilst R. Joshuah conforms to R. Joshuah b. Levi’s opinion. In fine, says R. Ame, this proves (with regard to this subject) that there is a difference of opinion on the first question (and each of the guests must bless them himself before eating). Ben-Zoma was asked the following question: Why must each guest pronounce his own blessing when wine is brought in during the repast? It is, replied he, because the throat is full (and he could not answer amen). This is a proof, says R. Mena, that if a man sneezes during meals, it is forbidden to wish him good health (ησις or ιασις), on account of the danger (because, in speaking, a piece of food might get into the trachea). “For the spices and incense, one person only pronounces the blessing.” What difference is there between the spices and the spiced wine, for which it sometimes happens that each person pronounces separately the blessing? It is because every one can inhale the good odours, even while eating, but it is not so with the wine, which each one tastes separately. R. Zeira, in the name of R. Jeremiah, says that the blessing for the spices must be said as soon as their fragrance ascends. R. Jeremiah, wishing to question R. Zeira, asked him: What blessing is said for perfumed oil? He replied that one must say: “Blessed be He who has given an agreeable odour to perfumed oil,” or, according to others, “to scented woods.” Isaac b. Aba b. Meḥasia and R. Hananel, being together, the one said the formula: “Blessed be He who has given an agreeable odour to scented woods,” and the other said: “Blessed be He who gives an 7 See J., Succa, iv. 5 (3), and B., tr., Pesahim, fol. 101 a. agreeable odour to the verdure of the fields.” The latter objected to the former: Are they woods? How, then, can you call them so? They are so called in the same manner as it is said (Joshua ii. 6): She hid them with the stalks of flax ('EZ), which are also called wood. They went to Rab and Simon (to ask for a solution of the question). R. Hanna replied, in the name of R. Ashe, that one must say: “Blessed be He who gives an agreeable odour to scented woods.” Gueniba says that a man is exempted from saying a blessing for the oil which is used to wipe away the perspiration (to clean the hands), and even also, according to R. Judan, if they are condensed on the hands (in the shape of perfume). R. Helbo and R. Hanna say, in the name of Rab, that the blessing is unnecessary if a man prepares in his own house some liniment (linteum, for perfume), composed of wine, oil, and water. R. Hisda says that for all these articles one must say the formula: “Blessed be He who gives the good odour to scented woods,” excepting for musk (muscus), for which say: “Blessed be He who gives a good odour to the spices.” 7. If they first set salt food before a man and bread with it, he blesses the salt food which frees the bread, and the bread is only an appendage. The rule is, whenever there is principal and with it appendage, the blessing on the principal frees the appendage. R. Simon b. Nahman says, in the name of R. Yonathan: The decision of the Mishnâ only holds good as long as a man is not familiar with royal feasts, and when the salt foods form the principal diet; but in the contrary case there is no fixed rule. R. Jeremiah says, in the name of Rab, that if a man eat bread and vegetables together, he only says the blessing for the vegetables, if they form the principal. R. Simon says, in the name of R. Simon b. Lakish, that if a man eat bread and sweet things, he says the benediction for the latter, if they form the principal; but if the contrary, there is no fixed rule. 8. If one has eaten figs, grapes, and pomegranates, he must say after them 3 blessings, a summary of the 3. R. Akibah says, If one has eaten boiled (pulse), and it is his meal, he must say after it 3 blessings. Whoever drinks water for his thirst says, “By whose word everything is,” &c. R. Tarphon says, “Who createst many souls,” &c. R. Simon and R. Judai say, in the name of R. Joshuah: If a man eat on the east side of a fig-tree, and go to finish his meal on the west side of it, he must say the blessing. Aba b. R. Hanna says: Be the wine old or new, it must be 8 B., tr. Berakhoth, fol. 43 b. 9 Gastronomical observation. blessed; if a man change his wine he need not bless, but must do so if he change his place. If a man have his attention turned away, it is as if he had changed his place (and he must recommence). Rabbi said the blessing on every cask he opened. What did he say? R. Isaac Rooba replied, in Rab’s name, that he said this formula: “Blessed is He who is good, and who does good.” R. Akiba gave a feast to his son Samson; he blessed every cask that was opened, and said: “The good wine! To the health of the Rabbis and their pupils.” “Whoever drinks water for his thirst,” &c. R. Yona says that an exception must be made in the case of medicinal waters which are drunk for reasons of health. But, says R. Yosse, a man says the formula for any liquid he drinks with pleasure. Even also for medicinal waters, says R. Abahu, in drinking them say this formula: “Blessed be He who has created medicines.” According to others, it means palm waters.$^1$ According to the former, it means waters used to pierce or drive away the bile; others say it means a water which has its source between two palm-trees.$^2$ CHAPTER VII. 1. Three men who have eaten together are bound to bless$^3$ after food. If a person have eaten of that which is doubtful, whether it has paid tithe or not, or of 1st tithe from which the bread offering has been taken, or of 2nd tithe or consecrated things, which have been redeemed; also if the waiter have eaten the size of an olive; or a Samaritan$^4$ be of the party, the blessing must be said. But if one have eaten the untithed, or 1st tithes from which the bread-offering has not been taken, or consecrated things which are unredeemed, or if the waiter has eaten less than the size of an olive, or a stranger be of the party, the blessing is not to be said. $^1$ There is a word’s-play between Degarim, medicinal waters, and Deqalim, palm-waters. $^2$ See B., tr. Shabbath, fol. 110 a. $^3$ It is what the German Jews call benschen, from the Latin benedicere (with Italian pronunciation). $^4$ The slight illegalities affecting all these cases do not affect the common prayer; they are shown in the first treatises following the Berakhoth. How is it that it has at one time been taught, that when 3 men are together they must not separate without saying the grace, and again, that they must remain together for it? (Is it not a useless repetition of words?) Samuel replies, that on the one occasion 'it refers to a principle and on the other to an accomplished fact. In what does this difference consist? It is explained by two amoraim: according to the one, it is called a principle when one has the intention of eating with others, and an accomplished fact when one has eaten together with others, be it but the equivalent of an olive; according to the other, no account is taken until the size of an olive has been eaten, and they call end the termination of the whole of the repast.\footnote{The new teaching, which was deemed superfluous, has therefore a reason, viz. to teach us that after having eaten together (the equivalent of an olive, or after having simply sat down together), they should not separate without reciting the blessing in common.} R. Aba says, in R. Hoona's name, and R. Zeira says, in the name of R. Aba b. R. Jeremiah: 3 persons being together are bound to pray together, but for 2 it is optional. R. Zeira repeated this before R. Yosse, who said that we have only to follow the text directions of the Mishnâ, which says: 3 persons having eaten together are bound to pray together;\footnote{See J., tr. \textit{Synhédrin}, i. 1.} each Rabbi acts in a manner consistent with his own opinion. With regard to these numbers, Samuel says that the judgment of 2 men is valid;\footnote{Numbers, the whole of chapter xix.} but it is a presumptuous action for 2 to judge (instead of there being at least 3). R. Yohanan and Resh Lakish both say that the judgment of 2 people is not valid. R. Hoona says that 3 persons who have eaten separately, and afterwards come together, pray in common. That takes place, adds R. Hisda, if they come from 3 companies who have already arranged to pray together. According to the opinion of R. Zeira and his companions (R. Yosse, R. Yohanan, and Resh Lakish), they must all 3 have eaten together (it does not suffice to come together after the meal). R. Yona says (\textit{à propos} of R. Hoona's opinion) that if 3 hyssops have been dipped into the water of the ashes from the sin offering,\footnote{The discussion about the propriety of praying together is a pendant to the other discussion: is a judgment pronounced by two judges valid or not?} and these 3 hyssops subsequently become mixed, the priest may nevertheless make the aspersion with them. According to R. Zeira and his companions, the 3 must have been dipped in together; and, according to R. Hisda, they may have been taken from 3 separate bundles. One cannot object to the comparison of the rules of the hysops with that of the prayers, as mentioned above, for we see that the Rabbis, when they are occupied with the Succa (tent of the tabernacles), deduce, from another subject, a rule concerning the use of clay. For indeed it has been taught at Babylon$^9$ that, if the roof of the Succa be raised so as to leave a breadth of 3 hands, the Succa is unfit for service; but if the interval is less, it is good. May one also sleep there? R. Isaac b. Elishah replies to this question by a comparison: The clay serves to stop up the cracks in a bath; but one may not thereupon take a bath of legal purification therein (it is still considered defective); the same with the Succa, the lessening of the space suffices to make it of use, but not to allow of sleeping therein. If after a repast partaken of by 3 men, one of them wish to go, he must, according to Rab’s school, say the first blessing. What is meant by that? Rab’s school say that it is a call to say the thanksgiving; R. Zeira says, in the name of R. Jeremiah, that it is the first section, and this is also what R. Helbo, and R. Hanan say, in Rab’s name. R. Shesheth made an observation and said: Does not the Mishna contradict that? for if one person cannot recite the thanksgiving from memory (and only says the 1st section), another says the 2nd section, and another the 3rd, so as to fulfil the obligation to recite them, without there being any question of a 4th; now, if the call forms the 1st special section, one would have to speak of 4. And indeed it sometimes happens that there is question of a 4th one. Thus we have learnt that there are 4. But if the 1st blessing includes the call and the 1st section, how can we find this number? We cannot suppose that it alludes to the 4th one of the final section, for it differs from the others in that, instead of having been established by the Law, it has been subsequently appointed by the Rabbis; since R. Hoona says$^1$ that when the Israelites killed at the siege of Bethar were buried, the said section was appointed, and it is said of God that He is good, because the corpses did not decompose; and He does the good thing, because it was possible to inter them (how then explain this number four?). That may be explained, says R. Ḥana, by R. Ismael’s opinion, who tells us that, the said section is indicated to us by the allusion in the Pentateuch; for it is written (Deut. viii. 10): When thou hast eaten and art full, then thou shalt bless; this part corresponds to the summons to say the grace; the words following: the Lord thy God, correspond to the first blessing; the fragment of the verse: for the (good) land, corresponds to the second, and the word good to the third, as it is further said (Deut. iii. 25): that goodly mountain; and finally the words: which He hath given thee, represent the final blessing. For the reading of the Law, it is said$^2$ that an opening blessing is said, but --- $^9$ B., tr. Succa, fol. 16 b; see ibid. i. 7 (10). $^1$ See above, i. 8, p. 24; tr. Taanith, iv. 8 (fol. 69 a). $^2$ See J., tr. Meghilla, iv. 1; Mekhilta, section Bāṭ, chap. xv.; Debarim Rabba, chap. viii.; Medrash Rabba on Samuel, chap. xiii. nothing is said about a 2nd one to be uttered afterwards. Where is it said that one must be recited before? In this verse (Deut. xxxii. 3): Because I will publish the name of the Lord: ascribe ye greatness unto our God. At the repast it is said that it should be recited after it, but nothing is said about the prayer before it; and what proves that it must be recited after it, is this: Thou shalt eat, thou shalt be full, then thou shalt bless. How do we know that the precept relative to the repast is to be attributed to the Tôra, and vice versa? R. Samuel b. Nahmeni replies, in the name of R. Jonathan, that this attribution is made by confronting the passages, identical on both sides (and the secondary prayers are also deduced from it); in the same manner as the mention of the Lord’s name for the Law indicates a prayer to be said before it, as also the analogous mention for the repast indicates the same thing; and as the legal precept indicates a blessing to be made after the repast, so also one must be recited for the reading of the Law. Thus up to the present R. Akiba’s opinion seems to be admitted, contrarily to R. Ismael, who says, through R. Yoḥanan, that the necessity for these blessings may be proved by reasoning à fortiori: if, for the repast, which does not (legally) exact an opening blessing, one must be recited afterwards, much more so is one required after the reading of the Law, for which one is already prescribed to be recited before it. This now determines the principle to be followed for the Law. After this it is analogically reasoned that a blessing must be recited before meals. R. Juda and R. Nehemias each cite verses in support of this deduction. The former recalls to us the verse (1 Samuel ix. 13): Because He doth bless the sacrifice, and afterwards they eat that be bidden (here the blessing is before). The latter says that it is written (Exodus xxiii. 25): And ye shall serve the Lord your God, and He shall bless thy bread and thy water, this signifies that: although it be thy bread, ye must recognize, before eating it to whom thou dost owe it. Rabbi adds this: If after having eaten and been filled, we must bless God, with much greater reason must we do so when we are hungry and can sit down. Behold now the rules of meals explained. In order to give a motive for the prescriptions of the Law, the following reasoning is put forth: If we must recite a blessing before and after our food which provides for our ephemeral existence, with more reason must it be so for the reading of the Law, which concerns our eternal life. R. Zeira asked (à propos of these diverse parallels of the Law and repasts): To what can we compare 3 successive readings? Is it to 3 individuals who have eaten together (and of whom one prays for all), or to 3 persons having eaten separately (and praying in the same manner)? Must we compare it to the 1st case, so that the 1st reader would say the anterior blessing, the 3rd reader the final formula, and the 2nd nothing? Or is it like the 2nd example, in which case the 2nd reader would, like the others, recite a blessing before and after? R. Samuel b. Abdoma replied that the rules for the reading of the Law, are only deduced from those ruling the meals in so far as concerns the plural number, and indeed, one person recites, for several others, the blessing for the reading of the Law. R. Aba-Mare, brother of R. Yosse, says: It is considered the equal of the other prescriptions of the Law, and in fulfilling it, a blessing is required as for all the others. "If one has eaten Demai, &c." Can we deduce from this that if a man has eaten of fruit of which he is doubtful whether the tithes have been taken off for the Levites and the oblations for the priests, &c.? R. Simon, brother of R. Berakhia, says: When an order was promulgated regarding these doubtful fruits, which forbade that they should be carried to the market before the legal tithes had been taken off, the greater part of the peasants took their produce back home (which led one to suppose that they followed the precepts of the Law). How is it that the Mishna says that the Samaritan may be included so as to make up the legal number necessary to say the prayer for meals in common? Is not his Jewish faith doubtful? It is admitted, replies R. Abahoo, that he is considered as an Israelite in everything; for we have learnt, through Rabbi, that he is a stranger. But, according to R. Gamaliel, he is considered in everything an Israelite. 2. There is no blessing at food for women, slaves, and children. What quantity is required for the blessing at food? The size of an olive. R. Judah says, the size of an egg. R. Simon, in the name of R. Josuah b. Levi and R. Yosse b. Saul, says: A child (under 13 years of age) may be taken to make up the 10, if there are already 9 men. But have we not been taught the child is accepted without examination? (Would he not count without any conditions?) A distinction must be made, say R. Yosse, R. Simon, and R. Hanina, in the name of R. Josuah b. Levi: If the child is quite young he is only admitted as an auxiliary, if he is adolescent he is considered as a man. R. Juda bar-Pazi says, in the name of R. Yosse: If nine men represent ten, they say the formula prescribed for an assembly of ten. How is that? Can 9 men, of whatever importance, ever numerically represent ten? We must therefore conclude that this number may be completed by the addition of a child. R. Berakhia says that R. Jacob bar- --- 3 The question is the elucidation of a Halakha, a particular case which has been compared firstly to Demai and then to the Cuthean. Neither the one nor the other comparison were found right, and the question is not decided. 4 See J., tr. Demai, ch. vi., § 11; tr. Sheqalim, i. 5. 5 Ten men are necessary for minian (religious number). Zabdi asked R. Yosse b. R. Eliezer: Since we have learnt that a child may be added to make up ten, can the same method of proceeding be adopted to make up the number? Yes, as he is added so as to join in the utterance of the name of the Lord, which is part of the formula for ten, with more reason may he be taken for the third one, in which formula the Lord's name does not appear. This reasoning, was the reply, is not good, for in order to utter the Lord's name one may go so far as to admit a child, whilst it may not be so for the formula prescribed for 3. We are taught that, in admitting the child he is provided with a roll of the Law (a symbol of knowledge and aptitude for religion). R. Judan adds that a child may in case of need be added to the number of those called to the Law. What age must he have? R. Abina says that R. Hoona and R. Juda transmit us, in Samuel's name, different opinions on this subject: according to the one, the child must know well the blessings and their meaning; according to the other, the child must know to whom this prayer is addressed. R. Nassa says: I have often eaten with my father, R. Tahelipha, and Anania b. Sisi, my uncle, and I was never added to the number of those reciting the formula of the blessing in common until I had arrived at the age of puberty (about 12 years). Samuel b. Shilath asked Rab (others say the question was addressed to Samuel) the following question: If 9 persons have eaten bread and one green food, may they recite the thanksgiving together? Yes, was the reply. If only 8 have eaten bread, is it the same? Yes. If there are only 7 to 3? Again, yes. But, asked R. Abina, if only half of them have eaten bread and the other half not, may they also pray together? R. Zeira replied: Until I was there the question was a doubtful one for me; but I did not dare to raise it. Then, asked R. Jeremiah, even he who has not eaten bread at all, may he recite the blessing for all? Has R. Jeremiah changed his opinion? replied they. 300 Nazarenes came forward, during the time of the Doctor Simon b. Shetach (brother-in-law of King Alexander-Jannus); for 150 of them motives were found to render their sacrifices unnecessary, but not for the other 150. Simon went to King Jannus and said to him: There are here 300 Nazarenes who have to offer 900 sacrifices, give them from thy treasury wherewith to pay --- 6 Cf. B., the same treatise, fol. 48 a. 7 For Hannania (by softening the first letter). 8 See Numbers, chap. vi. Those who had made vows of abstinence, nasireat, had, after the accomplishment of the vow, to offer three sacrifices in the Temple. This fact is also spoken of in Bereshith-Rabba (fol. 101 b) and Koheleth-Rabba (fol. 103 a). See also J., tr. Nazir, v. 3 (fol. 54 b); Derenbourg's Essai, &c., pp. 96 and 98. 9 The Rabbis did not approve of the nazireat, and were very ingenuous in rendering null those engagements, which were often inconsiderately and imprudently made. On this occasion our Rabbi remained faithful to the doctrines of the prophets. the half, and I will provide for the other half. The king therefore sent the 450 sacrifices; but meanwhile a slanderer went to the king, and told him that Simon had given nothing at all (this was a perfidious action, Simon had contributed nothing because of the 300 Nazarenes he had been able to annul the vows of 150). On learning this, Jannus was irritated. R. Simon b. Shetach was terrified and fled. Some time afterwards, certain great personages of the kingdom of Persia (or some Parthians) came to Jannus. Whilst at table, they said to him: We remember that on the occasion of our first visit here, there was a venerable man (a sage) who expounded to us things full of wisdom. In reply, the king told them what had passed. They asked the king to have him brought back. The king therefore sent after him and promised him (that he would be safe). Simon returned and seated himself between the king and the queen (the highest place of honour). The king said to him: Why didst thou mock me by saying that 900 sacrifices were required, when the half would have sufficed? I did not mock thee, replied Simon; thou hast paid thy share, and I mine (by my knowledge in examining the aspirants). Verily it is written (Eccles. vii. 12): For wisdom is a defence, and money is a defence.\footnote{A flattery and compliment in the mouth of the king.} Then why didst thou fly? I heard that my master was angry with me, and I put into practice the advice of the prophet (Isaiah xxvi. 20): Hide thyself as it were for a little moment, until the indignation be overpast; and it is further said (Eccles. vii. 12): But the excellency of knowledge is that wisdom giveth life to them that have it. Why, said the king, hast thou seated thyself between me and the queen? It is written, replied Simon, in the book of Ben-Sirah (xi. 1): Exalt her (the Law) and she shall promote thee (Prov. iv. 8), and thy seat shall be among the princes.\footnote{M. Derenbourg says (\textit{Essai}, \&c., p. 50): Sometimes the Rabbis confounded the sentences of Ben-Sirah with those of the Book of Proverbs.} Let a cup be brought to him, said the king, so that he may recite the blessing for the meal. It was brought, and the Rabbi said: Let us bless God for the repast that Jannus and his companions have had. Thus, thou art bent on railing me? said the king. No, said the Rabbi, but what shall I say for a meal of which I have not partaken? Let food be given to him. The Rabbi ate,\footnote{Apparently without taking bread, for it is not said that he washed his hands; this must be noted on account of the conclusions to be drawn from this fact.} and included in the formula the words, “for the repast which we have eaten.” R. Yoḥanan says that R. Simon b. Shetach’s opinion is questioned. R. Jeremiah contests it for the first part of the history, when Shetach wished to give the blessing for a meal in which he had not taken part. R. Aba contests even the resolution he took at the end to bless it, since Shetach had not taken bread. But, as R. Jeremiah does not share this opinion (and if, according to him, it suffices, e.g. to have eaten vegetables), does he not contradict himself in putting the above question, viz. to know whether in this case he is allowed to bless the repast? The answer is that indeed, for the above case, it is evident that it is a decided question. In asking this question, he was guided by the Rabbis, who had not decided it; but it is, according to R. Simon b. Gamaliel, an established point, as results from the following teaching: If a person go up to a dining-room, and sit down with other guests and eat near to them, he prays with them in common, even if he has eaten less wheat than the size of an olive. This is the opinion of the wise men. R. Jacob b. Aha says in the name of R. Yoḥanan: A man may never take part in the prayer if he has eaten less wheat than the size of an olive. As to the teaching, according to which two persons may take another to them, who has only eaten green food, to say the prayer in common, it is a decision of R. Simon b. Gamaliel. 3. How do we bless at food? If there be 3, one says, "Let us bless," &c.; if 3 and himself, he says, "Bless ye," &c. If ten, he says, "Let us bless our God," &c.; if ten and himself, he says "Bless ye," &c.; and so if there be ten or ten myriads. If there be 100 he says, "Let us bless the Lord our God," &c. If there be 100 and himself, he says, "Bless ye," &c.; if there be 1000, he says, "Let us bless the Lord our God, the God of Israel;" if there be 1000 and himself, he says, "Bless ye," &c.; if there be a myriad, he says, "Let us bless the Lord our God, the God of Israel, the God of Hosts, who sitteth between the cherubims," &c.; if there be a myriad and himself, he says, "Bless ye," &c. As he pronounces the blessing, so they respond after him, "Blessed be the Lord our God, the God of Israel, the God of Hosts, who sitteth between the cherubim, for the food we have eaten." R. José the Galilean says they should bless according to the number of the assembly; for it is written, Bless ye God in the congregation; (even) the Lord from the fountain of Israel. (Ps. lxviii. 26.) One day, R. Zeira, R. Jacob b. Aha, R. Hiya b. Aba, and R. Hanina, all companions of the Rabbis, were eating together. R. Jacob b. Aha took the 3 Up to this point it is R. Akiba's opinion; hereafter it is R. Yosse the Galilean, who speaks, as is shown by the following Mishnā. cup, in order to pray, and said, "Let us bless," instead of saying, "Bless ye." Why, asked R. Hiya b. Aba, hast thou not said the formula, "Bless ye?" Have we not learnt, replied he, that the terms are of little importance? Whether one says, "Let us bless," or "Bless ye," no notice is taken. It is only the exacting people that look so closely into it.\footnote{Because it is making an exception to the general rule.} R. Zeira was displeased that R. Jacob b. Aḥa should call R. Hiya b. Aba an exacting person. Samuel replied: One must not exclude oneself from the assembly.\footnote{In speaking in the 2nd person, instead of the 1st, it seems that one does not take part in it.} But, was the objection, do we not say "Bless ye" at the blessing given for the reading of the Law? Would not that also be an exclusion? No, replied R. Aboon; since the term "who is blessed" is added, this is not a case of exclusion. R. Aba b. Zemina served R. Zeira and poured him out some drink; the latter asked him to pronounce the blessing. Be it so, said he, but bear at once in mind that thou wilt drink again, because we have been taught that he who serves must pronounce a blessing for each glass of wine, if not for every morsel of food. R. Zeira replied: In the same manner as I, if I pronounced the blessing, would exempt you from it, by thinking of you; so also am I released when I answer \textit{Amen} to your blessing in my place. R. Tanhum b. Jeremiah says that a \textit{baraita} teaches as follows: Neither he who recites a blessing while working, nor he who listens to this person, has sufficiently fulfilled their duty (therefore he is not exempted). "When there are a hundred persons he says, &c." R. Yohanan says that it is the opinion of R. Yosse the Galilean; but, according to the wise men, it matters little whether there be ten or a hundred thousand. This last enunciation, says Rabba, serves for a rule. From where do we learn that an assembly is composed of at least ten persons? R. Aba and R. Yassa explain it, in the name of R. Yohanan, from the moment that the same word ('Eda) is used twice to designate the assembly,\footnote{Numbers xvi. 21; xvii. 10. J., tr. \textit{Meghillah}, iv. 4 (7); \textit{Sanhedrin}, iv. 4.} and that once the number \textit{ten} is indicated, this term also represents it here. R. Simon says that the word among (\textit{Tukh}) is comparable to that of the verse (Genesis xlii. 5): \textit{And the sons of Israel came to buy corn among those who came}; each time this word represents \textit{ten}. R. Yosse b. R. Aboon says that the comparison of these terms might suffice; but, in addition, the expression \textit{sons of Israel}\footnote{The sons of Jacob, leaving out Benjamin and Joseph, were \textit{ten}.} used in each term proves that it always is \textit{ten}. To what do the Rabbis, who do not admit a higher formula than that for ten, apply the term on which R. Yosse the Galilean, who differs in his opinion, bases himself, and according to whom the term \textit{among the assemblies} signifies that a special formula is necessary for each assembly (according to the number of those composing it)? R. Ḥanina b. R. Abahoo says that this term is written in such a manner that it may mean community in the singular number, and may not be applied to what R. Yosse says. 4. R. Akivah says: What do we find in the synagogue? Whether many or few, the minister says, "Bless ye the Lord," &c. R. Ismael says, "Bless ye the Lord, who is ever blessed." When R. Ḥiya b. Ashe got up to read the Law, he said: "Bless ye the Lord," without adding the term, "who is ever blessed." On hearing him the others tried to reduce him to silence, on account of his irregularity. Rab interposed and said: Let him alone, he is guided by R. Akiba's opinion (as above). R. Zeira stood up and read for the priest, in place of the Levite (who is in the second row), and he said the 2 blessings—the anterior one and the final one. They tried to silence him. Leave him alone, said R. Ḥiya b. Ashe, for such is the custom in their country. It is written (Nehemiah viii. 6): And Ezra blessed the Lord, the great God. By what did he exalt Him? By saying the holy tetragram. R. Matna says that he exalted him by blessing. R. Simon asks, in the name of R. Josuah b. Levi: Why are the Doctors, contemporary with the restoration of the Temple, called the men of the Grand Synagogue? Because they had re-established on their ancient footing the splendours of religion. R. Pinhas says that Moses established the following formula, to be found in the 'Amida: "God the great, the strong, the terrible." R. Jeremiah did not include the last attribute. He said the strong, because it is right, according to him, to style thus, He who assists in silence at the ruin of his house. Why did he not call Him the terrible? Because, said he, there is nothing terrible but the sanctuary, as it is written (Ps. lxviii. 35): O God, thou art terrible out of Thy holy places. Daniel (ix. 4) said: "God, the great and the terrible," but he did not say the strong; when His sons are in chains, where then is His strength? Why then did he call Him the terrible? In remembrance of His miracle of the fiery furnace. It was when the men of the Grand Synagogue returned that the religious splendours were re-established in their primitive glory, and that the following formula came into use again: "God the great, the strong, the terrible." But how can a mortal have the power, and how dare he impose a limit to the attributions of the Divinity? The prophets, replied R. Isaac b. --- 8 In other words: he does not think, like R. Yossè, that the formula is modified according to the number of guests present. 9 See J., tr. Meghilla, iv. 7, at the end; B, tr. Yoma, fol. 69 b. 1 In citing this passage, M. Derenbourg, Essai, &c. p. 34,, translates it: "they had restored the ancient grandeur." Eleazar, know that the Lord is a God of truth, and they do not flatter Him by thus qualifying him. 5. (4) When 3 have eaten together, they are not permitted to separate without blessing; not 4 or 5, but 6 may divide into 2 parties, and so may any number up to ten. But ten may not separate without blessing, nor any number less than 20.$^2$ We have learnt that, if after the Saturday’s meal, one has forgotten, while reciting the blessing, to refer to the solemnity of the day, the blessing must, according to Rab, be recommenced; Samuel holds a contrary opinion. Simon b. Aba, in the name of R. Yoḥanan, says that in case of doubt of having mentioned the Neomenia, there is necessity to recommence. It has been found, however, that this subject had been discussed and taught in the following manner: every day on which the additional sacrifice is offered, as for instance on the day of Neomenia, and on semi-festivals, the solemnity must be referred to, and in case of omission the blessing must be recommenced; but if the additional sacrifice be not offered, as for instance on the day of ṢHanooca (feast of the Machabees), or of Purim (Esther), the solemnity should be referred to; but, if forgotten, it need not be recommenced. Hanan b. Abu was eating once with his companions on Saturday; after the repast, followed by the blessing, he left; he returned after a while and found them repeating the blessing. Have we not already said it? asked he. Truly, replied they; but we recommence because we had forgotten to mention the Sabbath. This is not, however, what R. Aba says in the name of R. Hoona, or R. Jeremiah in the name of Rab: according to their opinion, if the mention of the Sabbath has been forgotten, the following formula is said: “Blessed be He who has given rest to his people Israel.” This may only be said if one’s attention has not been turned from the grace after meals (otherwise one must recommence). When ten persons travel together, each one pronounces his blessing on the meal himself, even if they eat of the same loaf; but if they sit down to table together, one says the prayer for the others, even if they eat different dishes. When R. Jeremiah ate with his companions in an inn, he said the prayer for all. 6. (5) If 2 companies have eaten in one house, and some of each company be able to see some of the other company, they may join in the blessing; but if not, each company blesses for itself. They should not bless the wine till it has been mixed with water. These the words of R. Eleazar; but the Sages say they may bless it unmixed. $^2$ Divisible in two parts, on account of the formula: “Let us bless our God” (see the preceding Mishna for the distinction). R. Jona and R. Aba b. Zimna say, in the name of R. Zeira, they must mention it, even if they are in different houses.$^3$ R. Yohanan, however, imposes the condition that they must from the commencement have entered the house with that intention. How is one to act with regard to the scattered meals in the houses of the prince (Naci)? Is it like one house (as belonging to the same owner), or like two houses? It may be answered that if the guests are accustomed to serve themselves, or to pass the dishes from one to the other, they pray together. In the same manner R. Brakhia placed his interpreter in the middle doorway of the study-chamber, and as a result of this junction he could say the blessing for one and the other party. "They should not bless the wine till it has been mixed with water, &c." R. Zerika says, in the name of R. Yosse b. Hanina: The Sages are of R. Eleazar's opinion as regards the addition of a little water to the benediction cup, and indeed the Sages adopted this custom for the glass of sanctification. R. Yosse's opinion is in opposition to that of R. Yona, for the latter tasted the wine first, and then added water. How admit this mixture? Have we not learnt that it is dangerous to drink a mixture on which a night has passed? That only applies, says R. Yohanan, in case the mixture has been kept in metal vessel. R. Jeremiah says, in the name of R. Yohanan, that the ancients asked whether the left hand may help the right in holding the cup at the blessing. 3 points may be deduced from this question: 1st, that it must be held in the right hand; 2nd, that the hand must be raised a palm's height from the table; and 3rd, that the eyes must be fixed on the cup. R. Aha reminds us that the cup must fulfil 3 conditions:$^4$ It must be full, ornamental, and agreeable. All three conditions are indicated in the same verse (Deut. xxxiii. 23): O Naphtali, satisfied with favour, and full with the blessing of the Lord; the satisfaction is equivalent to ornaments, favour represents agreeableness, and the term full naturally explains itself. If we act in this manner, says R. Hanina, we shall see the accomplishment of the remainder of the prediction (ibid.): possess thou the west and the south, that is to say that we shall enjoy this life here below and the life to come. R. Eleazar says that the blessing must not be pronounced over an imperfect glass, and the moment it has been tasted it is rendered unfit for service. We learn three points from this Rabbi: 1st, that the blessing is forbidden if one has-tasted; 2nd, that the glass must contain the measure; 3rd, that by tasting it it is rendered unfit. R. Tanhoom b. Judan says that the honour to be accorded to the solemnity of the day takes precedence of that of the night, although the $^3$ In this case, if the two parties see each other, they must unite; on the other hand, if they do not see each other, they do not join together, be they even in the same house. $^4$ B., tr. of the Yoma, fol. 51. sanctification of the night takes precedence of that of the day. How do we honour the day? R. Yosse, in the name of R. Jacob b. Aḥa, and R. Eleazar b. Joseph, in the name of Rab, say by the formula: "Blessed be the Creator of the fruit of the vine." R. Zerikan, son-in-law of R. Zerikan, mentioned the day of Hanouca in the second section of the thanksgiving, and he was complimented on it. R. Aba, son of Ḥiya b. Aba, mentioned the words "judge of truth" in the 4th section (the last), and he was praised for it. If R. Aba b. R. Ḥiya happened to eat while walking, he stopped to pray; if he ate while standing up, he sat down to pray; if he was sitting down, he leant on his elbows to pray; if he ate leaning on his elbows, he wrapped himself up to pray. In doing so, he did as the angels do, of whom it is said (Isaiah vi. 2): With twain he covered his face, and with twain he covered his feet. CHAPTER VIII. 1. These are the controversies relating to meals, between the schools of Shammai and Hillel. The Shammaites say, one must say the blessing of the day and then bless the wine; but the Hillelites say, one must say the blessing on the wine, and then bless the day. (2) The Shammaites say, men must pour water on the hands, and then mix the goblet; but the Hillelites say, the goblet must be mixed, and then water poured on the hands. (3) The Shammaites say, one is to wipe his hands on the napkin,¹ and lay it on the table; but the Hillelites say, on the cushions. (4) Shammai says (after the repast), one must first sweep the chamber, then perform the ablution (a fresh one); Hillel prescribes the reverse. What is Shammai's reason? It is, says he, because the sanctification of the day is the cause of the wine being brought, therefore one is obliged to do it before the wine comes.² What is Hillel's motive? It is that the wine is the cause of this sanctification; and also the wine is a more frequent thing than the blessing (and the most frequent is said first). R. Yosse says that it results from the words of these two doctors that for the wine of separation (Habdala) it is blessed before anything (and this is why): Shammai gives for a reason that the sanctification of ¹ The use of the table-fork was unknown. ² J., tr. Pesahim, x. 2. the day is the cause of the arrival of the wine; now, as the separation does not here precede the coming of the wine, priority is given to the wine. In the same manner Hillel alleges as a motive for his opinion, that the wine is the more frequent; now, as it is also more frequent than the ceremony of separation, it is given the preference. R. Mena says, on the contrary, the result of their assertions is, for both of them, that the blessing of separation is said before that of the wine. Shammai maintains, in support of his opinion, that the sanctifying of the day is obligatory before that of the wine; now, as the obligation of the separation precedes that of the blessing of the wine, the former should be done first. And Hillel maintains that the wine is the cause of the recital of the sanctification of the Saturday; now, as it is not the wine which is the motive for the separation, the wine should be blessed first. R. Zeira says: Above all, the result of their words is that the ceremony of separation may be performed without wine, but not so the sanctification of Saturdays and festivals. This opinion is conformable to what the same doctor has said elsewhere, viz. that the separation may be performed with a strong drink; the wine, however, is sought after on account of the holiness of the ceremony. R. Yosse b. Rabbi says: In Babylonia it is the custom in localities where there is no wine for the minister officiating to pass up to the tribune and recite a summary of the seven blessings forming the 'Amida prayer, and terminating with the words: "He sanctifies Israel and the Sabbath." We ask ourselves, in view of Shammait's opinion, what is to be done on Friday evenings? If on that evening being seated at table, the night surprise one, and there only be left one glass of wine, what is to be done? May it be put aside until after the meal, and then be used to fulfil several duties? Would there not be anyhow a something wanting? If it be used to perform the blessing of the solemnity of the day, it would be wrong, for the repast which preceded it should have taken precedence; were the blessing after the meal recited, the wine would receive the preference; and finally, were the wine to be blessed, the Sabbath should take precedence. How extricate oneself from this position? The following indicates the solution: We know that if wine be presented after the repast, and there be only one glass, it must be blessed, for it is to be feared, says R. Aba, that being a little blessing it might be forgotten, and the wine be drunk without saying it. Therefore, for the case in point, as the glass of wine is to serve for several ceremonies, there is no danger of its being forgotten. Acting on Shammait's opinion, what should be done? The grace is first said for the meal, then the day is blessed and then the wine. It remains to be seen how one would act, granted the same case and in accordance with Hillel's opinions. Is the cup to be reserved until after the meal, and use it for the fulfilment of several duties at the same time? And with which should one commence? Should the wine be blessed? The meal has taken place before it. Should the meal be blessed? The light must come first. Should the light be blessed? The separation has taken place before it; what is to be done? The following shows: R. Juda says that Hillel and Shammai do not disagree on the order of the blessings; they admit that the thanksgiving for the meal must come first, and the celebration of separation last. They differ only with regard to the order of prayers for the light and the spices. Shammai says that the spices are blessed first, and then the light; Hillel says that the light is blessed before the spices. R. Aba and R. Juda say the first of these opinions serves as a rule. How then is Hillel’s opinion to be acted upon? First bless the meal, then the wine, and finally the light. When a festival commences on Saturday evening, the following order, says R. Yosse, is to be adopted: the wine, sanctification of the solemnity, the light, and finally separation. Ḥanina bar-Aba gives, in Rab’s name, the following order: the wine, the sanctification, the light, separation, Snuoa, and the special solemnity. R. Ḥanina says: wine, light, separation, sanctification. Samuel says: R. Ḥanina’s opinion is right; for R. Aḥa says, in the name of R. Josuah bar-Levi: When a king goes (it is Saturday), and a governor arrives (it is the festival which is of minor sacredness), the king is first conducted away, and then the governor is admitted (i.e. the Saturday is celebrated before the sanctification of the festival). Levi proposes this order: wine, separation, light, sanctification. It seems that this last opinion is mostly accepted, for it conciliates the other opinions. R. Zeira asked R. Yosse: How does one act when the case presents itself? As Rab did, he replied, because the accomplished facts are proofs in his favour. When R. Abahoo went to the south, he acted as did R. Ḥanina; and when he went to Tiberiade, he acted like R. Yoḥanan did (R. Yoḥanan resided there), so as not to vex the wise man there where he lived. One can understand that he adopted R. Ḥanina’s opinions (for if the festival is only sanctified after having blessed the light, one may, in accordance with established custom, extinguish it before the festival commences); but how can one imagine that he followed the decisions of R. Yoḥanan? For, if during the whole year, one blesses not the light without extinguishing it, what does R. Yoḥanan make of this light? As soon as he has wine, was the reply, he does not put out the light, so as to profit of it while drinking, and he only blesses the light at the end, so as not to neglect the custom of the other Saturdays. “Shammai says (§ 2) that one washes first the hands, &c.” What is Shammai’s motive? This order was made so that the impurity of the hands (if not washed) attach not themselves to the glass, which would render the glass itself impure. What is Hillel’s motive? The sides of the glass are always considered impure (if therefore one wash one’s hands before mixing water with the wine, the hands might become impure by contact with the humidity of the glass). According to others, the reason is that one should not wash one’s hands before the moment immediately preceding the opening blessing. R. Bivi says, in the name of R. Yoḥanan, that Shammai’s opinion is conformable with that of R. Yosse, and that of Hillel's to that of R. Meir; for as we have learnt elsewhere, R. Meir says that in taking a vessel up by the handle, it matters little whether the hands be pure or impure (one is not preoccupied with the thought that the impurity might be communicated to the vessel by contact); according to R. Yosse, a man does not take notice of this if the hands be pure (and the vessel be not so, which is conformable to Shammai). R. Yosse says, in the name of R. Shabtaï, and R. Hiya says, in the name of R. Simon b. Lakish, that one must, if necessary, make a journey of four miles to obtain, with purity, the lump of dough, or to get pure water to wash the hands (if there be none in the neighbourhood). In any case, says R. Abahoo, in the name of R. Yosse b. Hanina, a man is not required to do this unless there remain to accomplish a like distance on the road which he is following; but not to retrace his steps. What is, in this case, the rule for the keepers of public gardens, and orchards? We can see that, by the following: A woman may, if she be seated, take off the paste (dough), even if she be naked, for she can hide her nakedness (by bending herself), but not the man (whose nakedness is visible even if he be seated); now, in speaking of this woman, she is of course supposed to be at home, and yet she is not obliged to disturb herself; it should therefore be the same for the keeper. We have learnt that to wash oneself before meals is optional; but to do so after meals is obligatory; to wash oneself, however, before meals is an interruption, but not so after meals. What does this interruption mean? According to R. Jacob b. Aḥa, it means that one should wash twice. R. Samuel b. Isaac asked: Why do they insist so strongly upon the accomplishment of an action which has just been stated to be optional? It is of importance, says R. Jacob b. Idi, for it happened once that pork was given to a man to eat, as not seeing him wash himself before the meals (they did not know he was an Israelite); for not having washed herself, a woman was once obliged to leave her house, as being repudiated (she was wrongly suspected); through her not washing herself, some traces of the meal remained on her fingers, and this was taken to be a sign or evidence of a convention with a gallant. Others say that three persons died, as a consequence of this negligence. Samuel went to R. Ḥama, and ate as if ashamed (with his hands enveloped). What does this mean, said R. Ḥama, art thou not washed? I am in delicate health (ἀσθενής), was the reply, and (for fear of the cold) have covered my hands (although they are washed). When R. Zeira went to Babylon, he saw the Cohanim eating in this manner; they followed, said he, the opinions --- 3 Mishna, tr. Kelim (of vessels), xxv. 7. 4 See J., tr. Hallá, ii. 2; B., tr. Pesahim, fol. 46 a. 5 See J., tr. Hallá, ii. 2. 6 It is a hygienic precaution, B., tr. Hoollin, fol. 105—107; tr., Yoma, fol. 83 b. 7 See Bamidbar Rabba, chap. xx. of Rab and Samuel. R. Yosse b. R. Cahana said, in the name of Samuel, that one washes the hands for profane dishes, but not for the oblations. R. Yosse exacts it also for these last. He says further, in the name of R. Hiya b. Ashe and of R. Yona, that, for the oblations, the hands are to be washed to the wrists, and for ordinary meals, up to the finger-joints.$^8$ Meisha, grandson of R. Josuah ben Levi, says: He that was invited to my grandfather's house, and did not wash himself to the wrists, was not admitted to table. R. Hoona says: A man only washes his hands to eat bread; according to R. Oshia, a man washes himself when he eats anything soaked or accompanied by a sauce. R. Zeira washed himself, even in cutting lupines (because in cutting them one squeezes out the juice). Rabbi says that if a man has washed himself for the morning meal, he is not obliged to recommence for the next meal. R. Abina recommended this to the donkey drivers when they travelled: When you find water, said he, wash your hands and make a mental condition that this act shall suffice for the day. R. Zeira went to see R. Abaha at Cesarea.$^9$ As soon as the latter perceived him, he invited him to dinner and handed him a loaf of bread to cut, asking him at the same time, to say the blessing:$^1$ The master of the house, replied R. Zeira, knows better the quality (strength) of the bread and can cut it properly (it is therefore for him to cut it). He was also asked to say the blessing after the meal: Master, replied he, recognize in R. Hoona a great man, for he said that he who says the first blessing is also to say the last one. There is, however, replied the host, a boraitha which contests the opinions of R. Hoona: we learn there that, as regards the order of washing the hands, if five persons only are present, the one who is held in the highest consideration does so first; if there are more present, the youngest one commences. The ablution during the meal is commenced by the most important one present; the ablution after it is first made by the one who has recited the blessing, so as to give him time to prepare himself for the recital. Now, if he who says the first blessing, says them all, there would be no necessity for preparation, and it would be known beforehand; therefore, one changes sometimes. R. Isaæ says that this dissertation applies to the meetings of small companies where each one says himself the initial blessing, and it is not known who will say the final formula (but this does not apply to a company, the members of which are present from the commencement). "Shammai says (\$ 3) that one first sweeps, &c." Shammaï gives as his motive, that fragments of the food be not spoiled by the water; Hillel says that, if the It must not be forgotten how scarce water is in the east, and that these parsimonies are excusable. $^8$ A town on the shores of Palestine. See Neubauer's Geographie, pp. 91—95. $^9$ One prefers to recite the formula Moci on an entire basket, as being more presentable. B., tr. Berakhoth, fol. 46 a. servant be an intelligent man, he withdraws beforehand the pieces of the size of an olive (for those which are smaller than this receive no attention), then the hands are washed, and finally the room is swept. As regards what the Mishna says and which forms the subject under discussion, it refers to a marble table or a table made of pieces of marble which are not susceptible of impurity. "Shammaï says that one is to wipe his hands on the napkin, &c." What is Shammaï's motive? He fears that the humidity of the napkin, which has become impure by contact with the cushion (on which one reclines), may in their turn render the hands impure. What is Hillel's motive? It is that, on principle one always supposes any liquids which come in contact with the hands are pure; or also, it is admitted that the hands are not so susceptible of impurity from contact with profane things, but Shammaï holds a contrary opinion. That is explained according to the opinions of R. Simon b. Eliezer, or of R. Eleazar b. R. Zadok; the one says, in the name of R. Meir, that, through contact with profane objects, the hands become susceptible of only the first degree of impurity (transmittable in the second degree to the food), whilst by contact with the (sacred) oblations, they become impure in the second degree (transmittable in the third). We learn elsewhere that profane meats which have been raised to a state of sacredness, are considered profane; R. Eleazar b. Zadoc considers them equal to the oblations, to the extent of becoming impure to the second degree, and even to the third degree, and so become unfit for sacred purposes (without, however, the owner being obliged to destroy them). We have learnt also: "If a man rub himself with pure oil and subsequently become impure, and take a bath of purification, Shammaï says he becomes pure, although the oil still drip off of his body; Hillel says he remains impure as long as there is sufficient oil on his body to spread over a small member. Should the oil be impure from the commencement, the man remains impure as long as there is enough left on his body to spread over a little member, and according to Hillel, he remains impure as long as the hand, when applied to the body, becomes humid; or according to R. Juda, in the name of Hillel, he is impure as long as the hand thus rendered humid is sufficiently so as to moisten anything else. These several opinions of R. Hillel do not vary one with the other. For it has been said just now that the person remains impure as long as there is sufficient humidity on his body to moisten another object through contact with the hand, and here Hillel says, in this Mishna, that the napkin is put on the cushion, for fear of its communicating impurity, through being wet, to the food, although it take up no more room on the table than the width of the hand? 2 See tr. Yadaim, ii. 4. 3 Mishna, tr. Tahanoth (of purities), ii. 8; Tosephta, section 1; B., tr. Hoollin, fol. 33 b. Cf. Biccurim, ii. 1, and tr. Haghiga, ii. 5 (79 b). 4 Mishna, tr. Eduyoth, iv. 6. In the case mentioned above, was the reply, Hillel mentions this quantity as the limit, because it is in its natural state, whilst here it is imbibed by the napkin. 5. (4) Accordingly the Shammaites, they bless the light, the food, the spices, and the distinction of the day. The Shammaites say, "Who created the light of fire;" but the Hillelites say, "Creator of the light of fire." 6. Men must not bless light and spices of idolatrous Gentiles, nor light and spices of corpses, nor light and spices before an idol. They must not bless the light until they have enjoyed the light. 7. If one have eaten, and forgotten, and not blessed, the Shammaites say he must return to his place and bless; but the Hillelites say he may bless in the place where he recollects. How long is one obliged to bless? Until the food in his stomach be digested. 8. If wine come to the company, and there is but one goblet, the Shammaites say that one must bless the wine and then bless the food; but the Hillelites say that one must bless the food and then bless the wine. Men must answer "amen" when an Israelite blesses; but they must not answer "amen" when a Samaritan blesses, until the whole blessing be heard. R. Juda says: The Shammaites and Hillelites agree on this point, viz. that the blessing of the meal comes first and then the ceremony of separation. They only differ with regard to the relative order of the light and the spices; according to Shammaï the spices are blessed before the light, and according to Hillel it is the contrary. R. Aba and R. Juda say, in Rab's name, that we should adopt for a rule the pre-eminence of spices over the light. Shammaï says that the goblet of wine is carried in the right hand and the perfumed oil in the left; the wine is blessed first, and then the oil; according to Hillel the contrary is the case. A little of the oil is poured on to the servant's head, or if he be a man of learning a little is rubbed on the wall, for it is not proper that a learned man should be perfumed when he goes out (it is the custom of the libertines). When Aba b. Ḥana and R. Hoona were eating together, R. Zeira got up and served them, carrying the oil and the wine in the same hand. What have you got in the other hand, asked b. Ḥana (that you hold these two objects in one hand)? --- 6 On being seated at table, at nightfall, on Saturday night. 6 On the colours of the light. 7 For it is to be feared that his prayer may be addressed to an idol. This remark irritated his father: Thou art not satisfied, said he, to be seated at your ease whilst being waited upon by a member of the family of priests, although Samuel has said that it is a sacrilege$^8$ to use the services of a priest (destined to God), and yet thou mockest at his acts; I order therefore that he sit down, and that thou get up to serve him. Where do we learn that it is a sacrilege to avail oneself of the services of a Cohanim? R. Aḥa answers, in Samuel’s name, because it is written (Ezra viii. 28): And I said unto them, Ye are holy unto the Lord; the vessels are holy also; now, as it would be a sacrilege to empty these vessels for a profane purpose, so also is it with the priests. Shammai says one must say the formula: “Who created the fruit of the vine;” and Hillel says: “Who createst (in the present tense) the fruit of the vine;” why is not the same formula employed for this as for the light said on Saturday evening? The wine is renewed every year (and every time there is an actual new creation), but the fire is not renewed every moment (it exists always in principle, and it is only its creation which is recalled); for if the fire and the mixture of heterogeneous products were not created from the six first days of the creation, they at least entered into the plan of the creation. With regard to the heterogeneous products,$^9$ we find it in this verse (Genesis xxxvi. 24): These are the children of Zibeon, both Ajah and Anah; this was that Anah that found the mules in the wilderness. What does the word Yémim (mule) signify? R. Juda b. Simon says$^1$ that it indicates wild animals; the Rabbis say that it is the produce of a horse and a female ass. According to R. Juda these are the distinctive signs; if the ears are short it is the offspring of a mare and an ass; if they are long, it is born from a female ass and a horse. R. Mena recommended the young men of the house of the Naci (prince) in buying mules to choose those having short ears, being the offspring of a mare and an ass. What did Zibeon and Ajah do? They put a female ass and a stallion together, which produced the mule. The Most High said to them: You have brought into the world a bad object, I will do the same. What did He do? He brought a serpent (ἐχίδνα) and a saurian together, which gave birth to the asp. Now, a man has never been known to recover from the bite of an asp or of a mad dog, or of the kick of a mule, especially if it be white. This determines the origin of heterogeneous mixtures; but why say that fire was not created at the time of the creation of the universe? R. Levi replies, in R. Nezira’s name: The light which was created at the beginning served for thirty-six consecutive hours, twelve hours on Friday, twelve hours the next night, and twelve hours on Saturday; thanks to it the first man was able to examine the earth from end to end. When, during the night of Friday to Saturday the light --- $^8$ See Mekhilta, section Mishpatim, ch. ii.; Orah Hayim, § 98. $^9$ Bereshith Rabba, section 82; B., tr. Pesahim, fol. 24 a. $^1$ See J., tr. Kilaim, viii. 3. did not cease to shine, the whole universe commenced to sing songs of joy, as it is written (Job xxxvii. 3): He directed it under the whole heaven, and His lightning unto the ends of the earth. As soon as Saturday’s work was completed darkness began to predominate. Adam was afraid and said: Behold, perhaps the moment when will be fulfilled the biblical prediction, according to which I will tread upon the serpent’s head, and it will bite my heel (Genesis iii. 15), and he cried out (Ps. cxxxix. 11): Surely the darkness shall cover me. At this moment, says R. Levi, God caused him to touch two bricks, which he knocked together, and light sprang out, as it is written (ibid.): Even the night shall be light about me, and he blessed God, saying: “Be praised He who createst the light of fire.” This is why, says Samuel, light is still blessed on Saturday evening, in remembrance of this creation. R. Hoona says, in the name of R. Abahoo or of R. Johanan, that this blessing is also uttered after Kippur, for light has ceased to shine for the whole day. “Men must not bless light and spices of idolatrous Gentiles.” R. Jacob taught, in the presence of R. Jeremiah, that the blessing may be said in this case. What! he contests the writings of the Mishna? The reply is, that it applies to the case in which a man burns spices in front of his shop as an advertisement. The blessing may be said on seeing a lantern left burning (from the night before). In the same manner, if one see light on anybody’s knee, or in a lantern, or in a transparent glass, speculare, if one see a (flickering) flame without profiting of the light, or if the contrary be the case (through separation), the blessing may not be made for this until all the conditions are fulfilled. Five propositions have been made relative to coal, and five concerning flame: 1st. If one make use of coal which has been used for burning the sacrifice, it is a sacrilege; but it is not a sacrilege to see the flame, of which, however, one must not profit; 2nd. Coals, having been used for idols, are forbidden, but a man may light himself by their flames; 3. If a man make a vow not to profit at all by his neighbour he may not profit by his fuel, but may profit of the light of it; 4. It is forbidden (on festivals) to carry fuel on the public roads, but it is not forbidden to direct the flame from them on to the public way; 5. The Saturday evening’s blessing is to be made over a flame, but not over live coals. R. Hiya b. Asha says, in Rab’s name, that the blessing may even be said over coals, if they are flaming. R. Yohanan, of Karcion, says, in the name of R. Naḥoom b. Simaï, that it applies to those which burn after the air has ejected them from the stove. We have been taught that, whether an idolator has lit his light at that of a Hebrew, or vice versa, the Saturday evening’s blessing may be said. Shall we conclude from this that if --- 2 For it is forbidden to light anything on this day. 3 See J., tr. Beza, v. 4; B., ibid. f. 39 a; Tossefta, ch. 4. 4 In this case one may use the fuel of an idolator. 5 On seeing it. B., the same treatise, fol. 53 a. an idolator has lit his light at that of another idolator, one may also in this case bless this light? No, it is forbidden. R. Abahoo says, in the name of R. Yohanan: If one sees a light in a narrow street entirely inhabited by idolators, and only one Israelite live there, the light may be blessed on the supposition that it belongs to the Israelite. The same author says that the blessing is not made on the spices of Friday evening at Tiberias, nor it is said on the spices of Saturday evening at Sephoris, nor on the spices which have been in the latter town since Thursday evening, because they have been prepared with another object in view (not to serve as perfumes, but for embalming), neither may it be said on the lighter spices which have been used in honour of the dead. R. Ezekia and R. Jacob b. Aha say, in the name of R. Yosse b. Ḥanina, that this last rule only applies to things placed above the bed on which the dead body is placed; but the things in front of it may be used to say the blessing over, for he says that they are put there for the living. It is also said that neither the light nor the spices of the idolators are blessed. Is not this a repetition of the injunction not to bless the objects of the idolators? It may be replied that, in this second case it refers to the idols set up by Israelites. "They must not bless the light until they have enjoyed the light." R. Zeira b. R. Abahoo interprets thus the verse (Genesis i. 4): It is written, God saw that the light was good, and God divided$^7$ the light from the darkness. R. Berakhia says that, according to the interpretation of two great personages, R. Yohanan and R. Simon b. Levi, a real distinction is signified. R. Juda b. R. Simon says that he separated (adopted) heaven for himself, and the Rabbis say that he destined it for the just in the future life. What does this resemble? It is like a king who has two generals (strategus), both of whom wish to be on day service, and so the king limits the services of one to the day and of the other to the night. And so it is written: And God called the light Day, and the darkness He called Night (ibid.). This is, says R. Yohanan, what God said to Job (xxxviii. 12): Hast thou commanded the morning since thy days; and caused the dayspring to know his place? That is to say: Knowest thou the origin of the light? the 6 days of the creation. This, says R. Tanḥooma, is the reason for the formula, "He forms the light, creates darkness, and makes peace" (Isaiah xlv. 7). God, in appearing, made peace between them. It is said that a man does not say the blessing unless he enjoys the light. Rab says: The light must be suited to the man (הַנְּחָשִׁים), and Samuel says that it must be timely.$^8$ The former bases the sense which he adopts on the verse --- $^6$ And who eventually repent themselves. $^7$ This is an allusion to the Habdalá ceremony. $^8$ This is a play upon words between the two terms, which read the same, but have a different meaning. See J., tr. Erubin, chap. v. § 1; tr. 'Aboda zara, i. 2. (Genesis xxxiv. 15): But in this we will consent (וְנִכְתֹּם) unto you, if ye will, &c. The latter bases himself on this (Isaiah I. 4): that I should know how to speak a word in season (וְיָדַעְתִּי) to him that is weary. In the same manner, with regard to the question of enlarging the towns, Rab says that one must read Meabdin, and Samuel says to read Me'abrin. According to the first, it means that one adds as it were a member to the town, and according to the second, that one makes it fruitful, like a woman with child. Again, in one of 'Aboda Zara's Mishnas, according to Rab this expression is in reference to the testimony of strangers,¹ and, according to Samuel, to their festivals (unfortunate for us). The second bases himself on this verse (Deut. xxxii. 35): for the day of their (festival or) calamity is at hand; and the former takes his stand on this (Isaiah xliv. 9): and they are their own witnesses; they see not, nor know, that they may be ashamed. How does Samuel explain the verse on which Rab bases his opinion? He says that these idols will be a cause of shame in the future, i.e. on the day of judgment, to those who made them. One may not bless the light, says R. Juda in Samuel’s name, unless women be able to weave by it; according to R. Yoḥanan, one must be able by its light to distinguish between the contents of a glass and the saucepan, or, according to R. Ḥanina, between one piece of money and another. R. Oshia teaches that one may say the blessing even in a room (trielinium) of ten cubits in length by ten cubits in breadth, and at a great distance from the light. R. Zeira used to go close to the light. Why, said his disciples unto him, dost thou improve upon the opinion of R. Oshia, who authorizes us to say the blessing at a distance? R. Yustes b. Shoonam replied, That depends on the 2 ways of interpreting this opinion, of which the one interpretation is conformable to Shammai and the other to Hillel. The 1st, according to Shammai, says that if a man had forgotten somewhere a bag of pearls and precious stones he would certainly return to fetch it; therefore a man must also return and draw near for divine service. The 2nd says, conformably to Hillel, that a man need not inconvenience himself any more for this, than for any other prayer, which he may, in case of need, say on the top of a tree or at the bottom of a pit (as we have seen above). "How long is one obliged to bless? &c." R. Hiya replies, in Samuel’s name: as long as one is thirsty after the meal (this is the digestion). R. Yoḥanan says: until one feels hungry again. "If wine come to the company, &c. (§ 8) one must bless the wine after the thanksgiving, according to Hillel." That is, says R. Aba, because this short blessing might in the ordinary way be forgotten; but in this manner there is no fear of it being forgotten, the cup of wine having to serve several purposes at the same time. ² Again a play upon words; B., tr. Erubin, fol. 53 a; tr. 'Aboda Zara, fol. 2 a. ¹ By this is meant the idolators, that the Talmud calls in abbreviation: 'Ἀκούμ. "One must not answer amen (§ 9) when a Samaritan blesses until the whole blessing be heard." It seems, therefore, that they answer amen after the prayer of an Israelite, even if they have not heard him. Is not this contrary to what has been taught: that the hearing without the answer amen counts as an accomplished duty, but that the reverse is not sufficient? Hiya, son of Rab, replies that the Mishna refers to the case in which one has not eaten the equivalent of an olive (therefore it is not sufficient to answer amen without having heard all, because the blessing is not obligatory). We have just been taught that the hearing of it without the response amen is admitted to be an accomplishment of the duty, but that in the reverse case it is not so. Rab says, in Aba bar-Hana's name, or Aba bar-Hana says, in Rab's name, that one must at least have replied to the heads of the chapters of the prayers.$^2$ What are these commencements? asked R. Zeira. Praise ye the Lord. Praise ye the name of the Lord; praise Him, O ye servants of the Lord (Ps. cxxxv. 1). R. Hiya b. Aba was asked: How is it known that the hearing of a prayer, without answering amen, is considered to be a duty fulfilled? It is, was the reply, because we see important Rabbis act thus: when they are in public some of them commence the verse and the others continue it. All of them have accomplished their duty. R. Oshia teaches that a man may answer amen, to the grace after meals, even if he has not eaten anything; but he must not say the formula, "Let us bless Him through whom we have eaten," if he has not taken part in the repast. We are taught that one must not answer amen too late (which would seem like an orphan amen, as it were), nor too quickly (before the end), nor brokenly, or in swallowing the letters. B. Azaï says that he who answers too late will have orphan children; if he answers too quickly, his life will be shortened; if he says a furtive amen, his soul will be cut off; if he says it opportunely, his years will be happy and prolonged. What is meant by an orphan amen? That which has been said after a blessing without knowing what one says, or unthinkingly. One answers amen,$^3$ even when one hears a non-Israelite bless the name of the Lord. R. Tanhooma says that if a pagan bless you, you must answer amen, in conformity with the verse (Deut. vii. 14): Thou shalt be blessed above all people. A pagan once met R. Ismael and blessed him. What thou sayest, replied R. Ismael, has already been written;$^4$ that is to say, it is useless that I reply to you. Another met him and cursed him. Ismael replied again that his words were already written (ibid.). What does that mean? asked his disciples. Thou makest the same reply to the one as to the other? Verily, replied he, it is what is written $^2$ J., tr. Sucea, iii. 12; tr. Meghilla, i. 11. $^3$ See Revue des Études juives, vi. 73. $^4$ At the preceding verse. (Genesis xxvii. 29): Cursed be every one that curseth thee, and blessed be he that blesseth thee. CHAPTER IX. 1. He who sees a place where signs were wrought for Israel, says, "Blessed be He who wrought signs for our fathers in this place;" for a place where idolatry has been rooted out, says, "Blessed be He who hath rooted idolatry out of our land." The miracles referred to in the Mishna must be those affecting the whole of Israel; but if it be a case of a miracle affecting only one particular person, his descendants only may say the blessing. Ought we to say it on seeing the effects of the miracles which happened to our parents, or to our master, or to a distinguished man, like unto Joab, son of Serrooya, and to his companions,¹ or to a man who has adored God at the risk of his life, as did Hanania, Michael, and Azaria,² or for the miracles which have happened to certain tribes? The solution of this question depends upon the possibility of knowing whether an isolated tribe constitutes a community or not: according to the first opinion, a man must bless for isolated miracles; and according to the second opinion, he is exempted. At the sight of Babylon a man must recite five blessings,³ viz.: on seeing the Euphrates this formula, "Blessed be the author of creation;" on seeing the statue of Mercury, a man always says: "Blessed be He who is long-suffering" (who has the patience to let them exist); on seeing the ruins of Nebuchadnezzar's palace, say: "Blessed be He who has destroyed the palace of this impious man;" on seeing the site of the furnace in which Hanania, Michael, and Azaria were thrown, or the lions' den in which Daniel was put, say: "Blessed be He who has performed miracles in favour of our ancestors here." If a man see the place (now a desert) from whence earth was taken to sprinkle on animals (which forms a sort of baptism), he says: "Blessed be He who speaks and acts, who commands, and keeps His promises" (to destroy idolatry); according to others, on seeing Babylon this verse is said (Isaiah xiv. 23): and I will sweep it with the besom of destruction. R. Zeira and R. Juda say, in Rab's name: No blessing is valid if it does not contain the recognition of the divine royalty. Behold the reason, according to R. Tanḥooma: it is written (Psalm cxlv. 1): I will extol Thee, my God, O King. ¹ See I Samuel xxvi. 6. ² Daniel i. 6 and the following. ³ B., the same treatise, fol. 57 b. Rab says: a man must address God as Thou (in the second person), and Samuel says that it is not necessary. When R. Yohanan and R. Jonathan went to re-establish peace in the centre of a community in the south, they stopped in a certain town, where they heard the officiating minister say: "O Lord, great, strong, terrible, powerful, valiant." They silenced him, saying that one must not modify the formulas of blessings established by the wise men. R. Hoona explains, in the name of Rab, the following verse (Job xxxvii. 23): we cannot find Him out: He is excellent in power; that is to say, that we cannot explain what is the force and power of the Lord. R. Aba also explains, in R. Abahoo's and in R. Yohanan's name, these words (Job xxxvii. 20): Shall it be told Him that I speak? If a man speak, surely he shall be swallowed up; that is to say, if a man were to attempt to explain completely the qualities of the Lord, he would deserve to be swallowed up by the earth. R. Samuel bar-Nahman recalls the verse (Ps. civ. 2), Who can utter the mighty acts of the Lord? neither I nor my companions. R. Aboon says: Who can praise the greatness of God? Jacob of the village of Nebooria, in Tyr, interpreted the words: Praise waiteth for Thee (in silence), O God, in Zion (ib. lxv. 2). The best of medicaments consist in being silent, like a pearl, which is inestimable, πιμί, loses in value the more it is extolled. We have learnt that it is wise to commence and end the blessings, when the formula admits of it, with the tetragramme (Lord); but it would be absurd (and contrary to established rules) to begin and end them by the word EL, God; it is an intermediary measure to commence with the term God and finish with the term Lord; but the reverse might pass for heresy (and make it supposed that God is not the eternal Lord). And indeed, some bad men asked R. Samlaï: "How many Gods created the universe?" What are you asking me? replied he; you have only to consult the words of Adam, the first man: Ask now of the days that are past, it is written; which were before thee, since the day that God created (and not in the plural) man upon the earth (Deut. iv. 32). But, replied they, "Is it not written, following the textual order of the words (Genesis i. 1): the beginning created God?" "The verb, replied he, is not in the plural, --- 4 B., tr. Meghilla, fol. 25 a; Midrash on Psalm xix. 5 See B., tr. Meghilla, fol. 18 a, and the parallels of the Midrash, as also the analogous modern proverbs, cited by M. Schuhl, Sentences, p. 403. 6 That is to say, the medium expression to be chosen. Lattes, in Giunte al Lessico Talmudico, p. 41, n. 3, translates: "è un metodo alieno" (eretico). 7 Bereshith Rabba, viii.; Debarim Rabba, ii. A trace of Christian apology may be seen here, says Mr. Graetz, Septuaginta im Talmud, in Monatschrift, 1845, ii. 434. 8 It is a sort of argument against the word Elohim, "God," which has the plural form and is called by grammarians plurale majestatis. 9 This is a repetition of the preceding observation. They say: the plural is used from the beginning of the Bible to designate God. because the subject is in reality in the singular." In general, says R. Samlaï, every time that the unbelieving have sought to contest the biblical text, they have found immediately afterwards the refutation of their assertions. They also asked him this: "How is it, according to the doctrine of the unity of God, that the Bible says (Genesis i. 26): Let us make man in our image, after our likeness? It is written, replied he: God (in the singular number) created man in His own image.$^1$ This reply, answered his disciples, is but a subterfuge amongst ourselves; what answer would you make to us if we asked the same question? In the beginning, replied he, Adam was created from earth and Eve from Adam; from that moment, the propagation of the human race was continued according to many images and likenesses; for man cannot do without woman, or woman without man, and both require the aid of the Divinity."$^2$ The unbelievers asked again: How is it that, according to your doctrines, it is written (Joshua xxii. 22): The Lord God of gods, He knoweth (does not this indicate that there are several divinities)? In spite of that, replied he, the verb is employed in the singular number (because it treats of a single God). Master, said his disciples, that reply is a forced one; what would you answer to us? These 3 expressions, replied he, are the attributes of a single name, as people say indifferently, Caesar, Augustus, or Emperor,$\beta\alpha\sigma\iota\lambda\epsilon\upsilon\zeta$.$^2$ He was again asked: How is it that it is written (Psalm l. 1): The mighty God, even the Lord, hath spoken and called the earth? The verbs, here also, are in the singular number, replied he; and to his disciples, who made the same observation to him, he added that they are also attributes of the same name, as people say: labourer, mason, or architect, $\alpha\rho\chi\tau\epsilon\kappa\tau\omega\nu$. He was further asked: How is it that it is written: He is a holy God (in the original text the substantive and adjective are in the plural number)? No matter, replied he, the verb is in the singular number, as it is said elsewhere (Exodus xx. 5): For I the Lord thy God am a jealous God (singular). To his disciples, who made the same observation, R. Isaæ replied that in this verse the plural sign is used to show that several degrees of holiness are meant. Indeed, says R. Judan in R. Aha's name, everything regarding God is holy;$^3$ His footsteps, His word, His seat, the movement of His arms; the Lord is terrible and majestic by His holiness. A verse may be found in support of each of these degrees. For the footsteps (Ps. lxxvii. 14): Thy way, O God, is in the sanctuary. His ways are holy (ib. lxviii. 24): The goings of my God, my King, in the sanctuary. He sitteth in holiness (ib. xlvii. 9): God sitteth upon the throne of His holiness. He speaketh in holiness (ib. cviii. 8): God hath spoken in His holiness. He lifteth His arm in holiness (Isaiah lii. 10): The Lord hath made bare His holy arm. He is $^1$ The plural is not used because only one God is in question. $^2$ See Bereshith Rabba, chap. xciv.; Wayyiqra Rabba, section Behuqothai, on Leviticus xxvi. $^3$ See Shohar tob, chap. ii. strong and terrible by His holiness (Exodus xv. 11): Who is like Thee, glorious in holiness, fearful in praise, &c. He was also asked: Why is it written (Deut. iv. 7): For what nation is there so great, who hath God so nigh unto them? (Why is the word nigh in the plural?) The pronouns, he replied, are in the singular number to show that only one God is meant; and to his disciples, who asked him the same question, he added that the plural adjective near refers to diverse objects and causes of nearness. And so says R. Pinehas, in R. Juda b. Simon’s name, an idol even when it appears near to us is far from us. It is to the false God that the prophet alludes when he says: They bear him upon the shoulder, they carry him, and set him in his place, and he standeth; from his place shall he not remove; yea, one shall cry unto him, yet shall he not answer nor save him out of his trouble (Isaiah xlvi. 7); in other terms: The idol in the house lets you cry and die without hearing you or succouring you; but although the Lord seems far, there is nothing nearer than He. R. Levi reminds us on this subject that from earth to heaven is a journey of 500 years, and the like between one heaven and another, and also the same to traverse heaven itself. R. Berakhia and R. Helbo say, in R. Aba Semooka’s name, that even the soles of the feet of the celestial animals or angels have also a journey of 515 miles in size. How do we know this? Because it is written (Ezekiel i. 7), speaking of them: And their feet were straight, שְׁרַי. We see, in fine, the distance between the celestial home and the earth. And yet, let a man enter the synagogue, let him stand aside, and pray in a low voice, the Almighty immediately gives ear to his invocation, as it is written (1 Samuel i. 13): Now Hannah, she spake in her heart, only her lips moved; but her voice was not heard, and yet God answered her prayers. He does the same towards all creatures, as it is written (Psalm cii. 1): Prayer of the afflicted, when he is overwhelmed and poureth out his complaint before the Lord, as a man speaks in the ear of his neighbour who hears him. Can one imagine a God nearer to us, and who for every one of His creatures is ready to approach his ear to their mouths? R. Judan, in R. Isaac’s name, has made hercon four similitudes: To a man, for example, who has a friend, one comes to tell him: Thy son is taken; I will be security for him, says the protector (patronus), to save him. But if he has already been judged, and is going to be hanged, no one can save him. With the Lord it was quite otherwise; He saved Moses from Pharaoh’s sword, as it is written (Exodus xviii. 4): And delivered me from the sword of Pharaoh. R. Janaï asked himself: How can it be said (ibid. ii. 15): But Moses fled from the face of Pharaoh? Can a man escape from the power of a king? At the moment that the king, after having had Moses seized, gave the order to cut off his head, the --- 4 Debarim Rabba, chap. ii. 5 See chapter i. 1, above. 6 The numerical values of these 4 letters give 515. blade rebounded from Moses' neck and broke; it is to this that the following verse alludes (Cant. vii. 5): Thy neck is as a tower of ivory; it is Moses' neck that is meant. R. Abiatar thinks that the sword killed the executioner in the rebound, Questionarius. That is why it is written: He saved me from the sword of Pharaoh; I was saved, and the executioner perished. R. Berakhia reminds us hereon of the verse (Ps. xxxvii. 32): The wicked watcheth the righteous and seeketh to slay him; and R. Aboon of this one (Prov. xi. 8): The righteous is delivered out of trouble, and the wicked cometh in his stead. According to Bar-Kapara, Moses escaped in another way. An angel descended from heaven and took the form of Moses, who thus escaped whilst they seized the angel. According to R. Josuah b. Levi, at the moment that Moses fled before Pharaoh all Pharaoh's soldiers, ὀχλος, became deaf, dumb, or blind. The king, addressing himself to those who were dumb, asked them where Moses was, and they could not reply; he spoke to the deaf ones, and they did not hear him; and then to the blind, and they did not see him. So also God had said to Moses (Exodus iv. 11): Who hath made man's mouth? or who maketh the dumb, or deaf, or the seeing, or the blind? have not I the Lord, that is to say, that as I have succoured you when thou wast in danger, shall I not assist thee again to deliver Israel? That is why it is written (Deut. iv. 7): As the Lord our God is in all things that we call upon Him for. R. Judan, in the name of R. Isaac, makes the following comparison thereon: If a man have a friend, and one say to him: "Thy son is taken prisoner," this friend might well try to defend him; he can do nothing if the son has already been condemned to be thrown in the water; but the Lord saved Jonas even from the whale's belly; as it is written (Jonas ii. 11): And the Lord spake unto the fish and it vomited out Jonah upon the dry land. It would be the same were a mortal to wish to save his friend from the fire; but the Lord saved Ilanamia, Michael, and Azaria from the fiery furnace. So it is written (Daniel iii. 28): Then Nebuchadnezzar spake and said, Blessed be the God of Shadrach, Meshach, and Abed-nego (the Chaldean names of the three young Israelites). And again a man cannot save him who is thrown to wild beasts; but the Lord saved Daniel from the lions' den, as it is written (Daniel vi. 23): My God hath sent His angel, and hath shut the lions' mouths. R. Judan says that a man, if he have a friend, and trouble come upon him, his friend does not come to him suddenly; but the friend will stand at his door, will call his servant, or one of his family, and will send him word that he is waiting outside; for it is still doubtful whether they will let him in or leave him at the door. But as regards God, it is not so: if trouble come to a man, he must not invoke either Miehael or Gabriel, but God, who will hear him, even as it is written (Joel iii. 5): Whoever shall call on the name of the Lord shall be delivered. R. Pinehas recounts that Rab coming out of the warm baths of Tiberiade, --- 7 See tr. 'Aboda Zara, iii. 1 (fol. 42 c); Medr. Hazith, chap. vii.; Shohar tof, chap. iv.; Mekhiltta, section Yithro, chap. i. happened to meet some Romans, who asked him who he was. I am of Vespasian’s suite, replied he. After that reply they let him go. In the evening they came to the governor himself, and said to him: Wilt thou much longer sustain these Jews? Why? asked he. Because, said they, we met a Jew of whom we asked his name, and he tried to pass himself off as one of your people. And what gift did you make him? asked the governor. Should we have recompensed him? said they; was it not enough to have let him go? You have at least done well not to do him harm; for if, being dependent on man, he has been saved, the more so would he have been saved if (being arrested) he had depended on God alone, as it is written: Whoever shall call on the name of the Lord shall be delivered. R. Alexandre recounts that an Archontus named Alexandros was judging a brigand: Thy name? asked the judge. Alexandros, replied the accused. At this name the judge had him released. If this man was saved because he had the same name as his judge, much more so would he be saved in the name of the Lord, in virtue of the verse quoted above. R. Pinehas added 2 interpretations to this, 1st in R. Zeira’s name, 2nd in R. Tanhoom b. Hanilai’s name. In the first place, he says, if the man have a defender and he fatigue him by his importunities, he would complain of it; but with God it is not so; however, a man beset Him with prayers, they are all heard, as it is written (Ps. lv. 23): Cast thy burden upon the Lord, and He shall sustain thee. The Rabbi then said in the name of the second: If a man, having a friend, be attacked by his enemies and taken at his friend’s door, before he would have time to call for help or receive aid, the sword would have passed over his head and he would be killed; but the Lord saved Jehoshaphat from the sword of Aram, for it is written (2 Chronicles xviii. 31): But Jehoshaphat cried out, and the Lord helped him; these expressions show that he was very near having his head cut off. R. Zeira b. R. Abahoo, or the latter in the name of R. Eliezer, interprets the following verse (Ps. cxlvii. 5): Happy is he that hath the God of Jacob for his help; and what comes after? Which made heaven and earth. Now, what relation is there between the two ideas? This is it: A king may make a friend of the governor of one province (ἐπαρχία) and not of another; and, be he the universal monarch (κοσμοκράτωρ), his power is limited to the bounds of the earth, and he does not dominate the seas. But the Lord is the sovereign, as well of the sea as of the land; on the sea He saves men from death by water, and on land, from fire. Thus He saved Moses from the sword of Pharaoh; Jonah from the whale’s belly; Hanania, Michael, and Azaria from the fiery furnace, and Daniel from the lions’ claws. And so it is written (ibid. 6): Which made heaven and earth, the sea, and all that therein is. R. Tanhooma relates that a Jew boy was once on board of a 8 This name (el) is found in the first syllable of Alexander. 9 See J., tr. ’Aboda Zara, iii. 1. ship filled with foreigners, and which was making sail for the great sea (Mediterranean). A great tempest arose, and every one, seized with fear, took his idol in his hand and invoked it; but it was in vain. Seeing this, they said to the young lad: My son, get up, and invoke thy God; for we have learnt that He hears you when you pray to Him, and that He is all-powerful. The child immediately arose, and prayed with so much fervour that God heard him favourably. The sea became calm and they were able to disembark. When on land each one went to buy what he required, and the young man was asked whether he wanted anything. What can you find, said he, in those miserable inns? We can understand, they replied, that, for thee, this inn is little worthy, but not so for the other passengers; for among those who are here, some have their idols at Babylon, some at Rome, and the others have them even with them, but in vain; thou, wherever thou goest, thy God accompanies thee. That is why it is written (Deut. iv. 7): For who hath God so nigh unto them, as the Lord our God is in all things that we call upon Him for. R. Simon ben-Lakish says, that a man only recognizes his friends if they are rich, and that he denies them if they are poor; but the Lord acts not thus. The Israelites, be they of the lowest degree, God still calls them His friends and His brothers. R. Aboon, R. Aha, and R. Simon b. Lakish say, that a man only recognizes his relative if he is a learned man (philosophus); in which case he says that such a one is his relative; but God calls all the Israelites His relatives; as it is written (Ps. cxlviii. 14): He also exalteth the horn of His people. "One blesses the place where idols have been rooted out." The Mishna speaks of the suppression of idols in all Palestine; but if it be a case of only partial rooting out, say the formula, "Be blessed He who has rooted out the idols from this place." If they have only been transported from one place to another, and one see their new position, say: "Blessed be the long-suffering;" on seeing the place where there are no more left, say: "Blessed be He who has rooted out idolatry from this place; let it please thee, O Lord God and God of our forefathers, as Thou hast rooted out idolatry from this place, to root it out from everywhere, to turn to Thee the hearts of those who adore the false gods."¹ Does not this formula of prayer prove that one must pray for their conversion? R. Ismael b. Gamaliel says that this formula is also to be recited outside of the Holy Land. R. Yoḥanan interprets the following verse (Eccles. ix. 4): For to him that is joined to all the living there is hope, &c.; that is to say that man does not lose all hope until after death;² for when the wicked dies, all is over with him (because he does not believe in the immortality of the soul). ¹ It is therefore proved that one must pray also for the conversion of all idolators, and not only for the renegade Jews. See Sefer Hassidim, No. 882. ² See Rabba on Ecclesiastes, chap. ii.; on Ruth, chap. ii. that a man should say every day: "Blessed be God; 1, for not creating me a pagan; 2, nor foolish; 3, nor woman." He should thank God for not having been created a pagan, for he would be little esteemed, according to this verse (Isaiah xl. 17): All nations before him are as nothing; for not being a fool, because the fool feels no fear of sin; and finally, for not being a woman, because they are not subject to all the precepts of religion. R. Aḥa interprets the preceding verse of Ecclesiastes in another manner: "Even those, said he, who have contributed to the destruction of Jerusalem, have still some hope of not being condemned to eternal damnation; now, they cannot approach paradise, for they have turned their hand against the Temple; and yet they are not completely lost, for they have repented of their work of destruction." It is to these that the following words apply (Jeremiah li. 39): That they may rejoice, and sleep a perpetual sleep, and not wake, &c. The Cesarean Rabbis also say, that the emissaries of the oppressors of Judea, and the armies of Nebuchadnezzar, will neither live nor be judged (for their acts were ordered by their masters, who are alone responsible), still in virtue of the above verse. When a man passes before a temple of idols, he says these words (Proverbs xv. 25): The Lord will destroy the house of the proud, &c. R. Yosse b. R. Aboon says, in the name of R. Levi, that if a man see them offering up incense, he recalls the law of the Pentateuch (Exodus xxii. 20): He that sacrificeth unto any god, save unto the Lord only, he shall be utterly destroyed. If one see a nigger, a red-skin, an individual startlingly white (albino), λευκός, a giant, or a dwarf (nanus), he says: "Blessed be He who changes creatures;" or seeing a cripple, a blind man, or a leper, say: "Blessed be the just judge." This rule, however, only applies to those who were born sound, and who have been crippled by an accident; but if they have been so since their birth, say: "Blessed be He who deforms creatures." On seeing fine trees, or even fine men, say: "Blessed be He who has made such beautiful creatures on the earth." R. Gamaliel once pronounced the formula of blessing on seeing a very pretty pagan woman. Is it possible? cried the doctors. Has not R. Zeira said in R. Yosse b. R. Ḥanina's name, and R. Aba, or R. Ḥiyya, in R. Yohanan's name, that one must not attribute the gift of beauty to pagans? Is it not written (Deut. vii. 3): Neither shalt thou make marriages with them? So he did not cry out, ἀβάσκαντα (in admiration of her beauty), but he said: "Blessed be the Lord for having created beautiful things on this earth!" which is what the Rabbi --- 3 The Talmud does not reproach women with not fulfilling their duties so well as the men; it states that there are some duties which they are not obliged to observe. 4 Cf. tr., Shebiith, iv. at the end. 5 See J., tr. 'Aboda Zara, i. 9. 6 The Talmud takes, as it often does, the simple sense away from the word, in order to apply the word to a particular question. would also have said for a fine camel, or a horse, or a donkey. But yet, returned the others, was it R. Gamaliel's custom to look at women? It is to be supposed that he met this one suddenly, face to face, in a narrow and winding path, σπεῖρα, and thus looked at her involuntarily. On hearing the cock crow, say: "Blessed be he who hath knowledge of mysteries." Thus the following verse expresses it (Job xxxviii. 36): Who hath put wisdom<sup>7</sup> in the inward parts. R. Levi says that in Arabia the goat is called yoobla; so also is it used in this verse (Exodus xix. 13): When the trumpet soundeth long, &c. In Africa, they call a woman in her courses, galmooda;<sup>8</sup> it is the term used in the verse (Isaiah xl ix. 21): I have lost my children, and am desolate. At Rome, the cock is called sechwi;<sup>9</sup> that is why it is used in this verse (Job xxxviii. 36): Who hath given understanding to the heart (cock). On seeing troops, ὀχλοι, say: "Blessed be He who is wise in mysteries" (without us understanding them); for, in the same manner as their faces do not resemble each others, so also their ideas are not similar. When Ben Zoma saw some troops at Jerusalem, he said: "Blessed be He who has created all these men to defend us." The same Rabbi also said: "How hard the first man must have worked before being able to eat a piece of bread! he had to till the ground, sow, pluck out the weeds, dig holes to receive the rains, reap the corn, bind it into sheaths, thresh it, winnow it, select it, grind it, dry it, knead it with water, bake it, and then only eat it; whilst I, as soon as I get up in the morning, I find it all ready for me. See what trouble Adam must have had to clothe himself! He had to shear the sheep, bleach the wool, stretch it, dye it, spin it, weave it, wash it, he sewed the pieces of cloth together, and at last clothed himself; whilst I, on getting up in the morning, find it all ready. How many workmen get up early and retire to rest late on account of their work; whilst I find everything to my hand in the morning." Ben Zoma also said: A bad guest arriving at a certain house, says to himself: I have hardly been any expense to the master of this house, neither for drink or food: I have eaten a morsel of bread and drunk a glass of wine, but all the trouble he took was only on account of his wife and children." A good guest, on the other hand, says: "Blessed be the master of this house, and may his name be held in good repute; what wines he has presented to me, what a number of dishes he has offered me, what trouble he has given himself! And all this he has done for me alone," as it is written (Job xxxvi. 24): Remember that thou magnify His work, which men behold. 2. On comets, earthquakes, lightnings, thunder, and tempests, say: "Blessed be He whose strength and might fill the world." --- <sup>7</sup> That is to say, one does not expect to find it there. <sup>8</sup> See Bereshith Rabba, chap. xxxi.; Bamidbar Rabba, chap. xxi. <sup>9</sup> B., Rosh-Hashana, fol. 26 a. It is perhaps: "In Idumea." On mountains, hills, seas, rivers, and deserts, say, "Blessed be He who made the creation." R. Judah says when a man sees the great sea he is to say, "Blessed be He who made the great sea." When he sees it at intervals of time, say: "Blessed be He who made the creation." 3. On rains and on good news, say, "Blessed be He who is good and beneficent." On bad news, say, "Blessed be the true Judge." Bar-Kapara says that for earthquakes they fast and sound the Shofar (horn). Samuel says$^1$ that if a comet appeared in the Zodiacal sign Orion the world would perish (by the shock). But we have seen this happen, was the objection made to Samuel. It is impossible, replied he; the comet must have passed a little above or a little below the sign, without traversing it; for, said Samuel, I am as familiar with the vault of heaven as with the streets of Nehardea, my native town, only I do not know where the seat of the comet is. But did Samuel ascend to the heavens that he should know them so well? No, he only learnt the description of them, according to this verse (Job xxxviii. 37): Who can number the clouds in wisdom? Elias (of happy memory) asked R. Nehoraï (Lucius): Why do earthquakes come unto this world? On account of the sin, replied he, which people sometimes commit in not taking from the fruits of the earth the oblations and tithes.$^2$ For it is written (Deut. xi. 12): The eyes of the Lord thy God are always upon it; and it is written elsewhere (Ps. civ. 32): He looketh upon the earth and it trembleth; He toucheth the hills and they smoke. How can these two verses agree? In the following manner: When Israel accomplishes God's will and takes off from the fruits of the earth the tithes due to the priests, to the Levites, and to the poor God looks favourably upon the earth, and it is not in danger; but in the contrary case the Divine look makes the earth to tremble. Certainly, my son, replied they; this explanation is very reasonable. But this is the real sense: When God looks upon the earth, and He sees the theatres and circuses (theatrum and circenses) seated in security, whilst the sanctuary is in ruins.$^3$ He threatens ($\alpha\pi\epsilon\iota\delta\omega\nu$) the earth with destruction, as indicated by these words (Jeremiah xxv. 30): He shall mightily roar upon His habitation. R. Aḥa said that this misfortune comes upon the earth in punishment for the unnatural traffickings, for the Lord says: I will shake the earth also because of this criminal (sicut membrum in alienum ab illo intulit). According to the Rabbis the earthquakes are caused by discussion, as indicated by this verse, which recalls --- $^1$ Cf. same treatise in the Babli, fol. 58 b. $^2$ Midrash on Psalm civ. $^3$ See Shemoth Rabba, chap. xxix.; Wayiqra Rabba, chap. xxii. the same cause (Zechariah xiv. 5): And ye shall flee to the valley of the mountains; for the valley of the mountains shall reach unto Azal; yea, ye shall flee, like as ye fled from before the earthquake in the days of Uzziah, King of Judah. According to Samuel, on the contrary, this verse does not refer to an earthquake, but to a political storm, to the interruption of the royal power, as it is said (Jeremiah li. 29): And the land shall tremble and sorrow; for every purpose of the Lord shall be performed against Babylon, to make the land of Babylon a desolation, without an inhabitant. Elias also asked R. Nehoraï: Why has God created worms and insects in the world? It was for our interest, replied he, that they have been created. When men behave themselves badly God considers these little animals, and says to Himself: If I let these little creatures, who have no end in view, live, with more reason should I let those live who have one. Besides, adds he, a certain benefit may be drawn from them: a dead fly is a counter poison against the bite of a wasp, the bug is useful as a leach, the serpent for a sort of leprosy, the snail is good for skin diseases, and the lizard for the scorpion’s bite. “One blesses at lightning, &c.” R. Jeremiah and R. Zeira say, in the name of R. Hisda, that it is sufficient to recite the blessing once in the day. R. Yosse says: it is established that when it is continuous one blessing a day suffices, but if the lightning is repeated from time to time, one must bless each time. R. Yosse bases his assertion on the following grounds: If a man be seated all day in his spice shop (grocer’s shop) he only says one blessing for inhaling the good odours, but if he go in and out several times during the day he must repeat the blessing each time. R. Aha and R. Hanina said, in R. Yosse’s name: Since it is so, if a man be present in the place of execution (speculatores) or in a place still more impure, and have time enough to go out and say the blessing immediately, he is considered to have fulfilled the prescription, but not in the contrary case. R. Jeremiah was doubtful on the question whether a man, being naked in his house, may consider the room as a garment and recite the blessing by putting his head out of the window; and whether he may do the same if he be on the top of a tower in the same state. (It is not decided.) “What blessing is made for storm winds, &c.” The rule of the Mishna only applies to winds in the shape of hurricanes; but when the wind is a gentle one, one only says: “Blessed be the author of the creation.” R. Josuah b. Hanania says: When the wind comes upon the world the Lord breaks it as it were against the mountains, puts it between the hills, and enjoins it not to harm man. What proves it? This verse (Isaiah lvii. 16): For the spirit (wind) should fail before Me; that is to say, it becomes weak, as it is written (Ps. cxlii. 4): When My spirit (breath) was overwhelmed within Me. And what good is all that? R. Hoonah replies, in the name of R. Aha: it is because of the souls I have created. \footnote{Literally: the strength of Yosse’s opinion is based on.} \footnote{See Bereshith Rabba, chap. xxiv.; Wayyiqra Rabba, chap. xv.} Three times, says the same author, the wind appeared out of all bounds, and nearly destroyed the world; once under Jonah, once under Elias, and once under Job. Of Jonas the text says (Jonah i. 4): But the Lord sent out a great wind into the sea; of Job it is said (Job i. 19): And behold there came a great wind from the wilderness; and, finally, about Elias it is written (1 Kings xix. 11): And behold the Lord passed by and a great and strong wind rent the mountain. According to R. Judan bar-Salom, it is supposed that the storms of Job and Jonah took place on account of them; but that of Elias was universal, κοσμικόν, for after speaking of the passage of the divinity, the storm is mentioned, which in its turn is followed by fire from heaven. R. Judah says a man blesses when he sees the sea at intervals. What should be their duration? Thirty days. Simon Kamatria asked R Hiya b. Aba: I who am a donkey driver, and who go several times during the year to Jerusalem, must I each time rend my garments? Thou art exempted, replied the Rabbi, if thou returned within the same month; but if a longer time has elapsed the rending must be renewed. R. Hoono and the same Simon Kamatria also asked, in the name of R. Samuel b. Nahman: what is the signification of נ (n) appended to the name of Manasseh of this genealogy (Judges xviii. 30): And Jonathan the son of Gershom, the son of Manasseh. This is the meaning: If he proves himself worthy he will be considered as the son of Moses; if not, he will be the son of Manasseh. His companions asked R. Samuel b. Nahman: How is it that this same man, after having become an apostate to idolatry, should have lived so long? Because, replied the master, his conversion was caused by want and not by conviction. How is this proved? Because when a man came to offer sacrifice to the idol, a bull, a goat, or a ram, he dissuaded him from doing so, saying: that will not profit you, because the idol neither sees, hears, eats, drinks, nor does either good nor evil, and cannot speak. Is that true? said the giver. With what shall I then replace my sacrifice? Go, said he, and bring me a jar of the finest flour, on which thou wilt prepare ten eggs; thou wilt give it to me, and I will eat it, and render the god favourable to thee; when the man had departed, the converted man ate the offerings. One day, however, a great man presented himself with this intention, and the converted man addressed him in the same manner. But if the idol is no use, replied he, what doest thou here? It is to feed myself, replied he, that I am here. When King David was raised to the throne, he sent for this Jonathan, and said to him: How is it possible that thou, the son of a just man, can adore false gods? Behold, was the reply, the teaching which was transmitted to me by my ancestors: Rather than have recourse to charity a man may engage himself to a false religion. Does heaven spare you to explain things thus? said the king. Behold what we have learnt: Rather than have recourse to the charity of man, --- 6 Because the word Manasseh without n reads: Moses. sell thyself to the work to which thou art the least accustomed, the work the most unimportant and the most menial. And David seeing that he loved money, named him head of his finances, comes. And so it is written (Judges xviii. 30): And Sabuel, the son of Gershom, the son of Manasseh, he and his sons were priests to the tribe of Dan. The name of Sabuel shows that he returned to God with all his heart and with all his strength when he directed the treasures which he was charged to administer. The following objection was made to Samuel bar-Nahman: Is it not written (ibid.), that his family remained relapsed until the captivity of Babylon? How then admit that this priest returned to Judaism under David? He replied that at the death of David, Solomon changed all the council, συγκλητικός, so that the treasurer returned to the adoration of the false gods; therefore it is written (1 Kings xiii. 11): Now there dwelt an old prophet in Beth-el; this applies to him. When one sees the sun complete $^7$ (at the equinox of the month of Nissan, at the commencement of the solar cycle of 28 years), and the full moon (when, at the beginning of the month, she arrives in the sign of the Zodiac called the Ram), and the firmament in all its clearness, after several cloudy days, one says this formula: "Blessed be the author of creation." According to R. Yona this last prescription only applies during winter, when there has not been a serene sky for 3 consecutive days; it is to this that the following verse alludes (Job xxxvii. 21): And now men see not the bright light, &c. On seeing the new moon, say: "Blessed be He who renews the months." Up to what part of the month $^9$ may this be said? Until the moment, replies R. Jacob b. Aḥa, that it appears of half the size of the hand; according to R. Aḥa and R. Ḥanina it is until the moment that the hollow of the crescent becomes filled, or until the seventh day; the Cesarean Rabbis determine it by a division, the fourteenth of the month. R. Yosse b. R. Aboon says that the moon continues to complete itself, to become a perfect circle, until the fourteenth of the month. A man must therefore say the blessing in the ’Amidā during the whole of this period. R. Yosse b. Nehorai (Lucius) said as a formula: "Blessed be He who sanctifies Israel and the Neomenias;" R. Ḥiya bar-Ashe also used these words. According to Samuel the following formula must be added: "Confirm upon us Thy blessing," as on festivals. Rab says that one must mention the object of the solemnity. R. Oshia supports and justifies these additions by this verse (Genesis i. 14): And let them be for signs, and for seasons, and for days, and for years (the last term but one has reference to the Neomeneas which, by apposition, one compares to the other solemnities, and which require the same additional formulæ). In passing a cemetery, say these words: "Be praised, O Lord, Thou who raiseth the dead to life." R. Ḥiya, in the name of R. Yoḥanan, $^7$ The text has: Jonathan. $^8$ See Wayyiqra Rabba, chap. xxiii. $^9$ B., tr. Synhedrin, fol. 41 a. prescribes the following formula: "Praised be He who is faithful to His covenant and raiseth the dead." The same author also said this formula: "He who knoweth thy number will discover the dust from your eyes and awaken you; praise be to Thee, O Lord, Thou who raisest the dead." R. Eliezer said this in the name of R. Hanina: "Blessed be He who has formed you with justice, who has kept you equitably, has taken you away, and will raise you up one day; He who knoweth your number will discover the dust of the eyes; be praised, O Lord, Thou who raiseth the dead." This, however, is only said for the dead of Israel; but for the dead of other nations they say (Jeremiah 1. 12): Your mother shall be sore confounded; she that bare you shall be ashamed. When one sees the rainbow one says: "Blessed be He who remembers His covenant" (not to send another deluge). According to R. Hiya, in the name of R. Yohanan, one must say: "Blessed be He who is faithful to His covenant and remembers it." R. Hiskia says, in the name of R. Jeremiah, that during the whole of R. Simon b. Yohai's life not one rainbow was seen (on account of his virtues, which alone would have saved the world from another deluge). The same author says that the supernatural power of this pious Rabbi was such that, if he desired a valley to be filled with pieces of gold, his wish was fulfilled. This author also says that he heard some people saying to this Rabbi that very few people would be admitted to future life; if there be three, said he, I and my son will be among them; and if there be only two, it will be I and my son. Finally, according to the same author, this Rabbi said: Let Abraham intercede with God to obtain pardon for all generations from his time to mine, and I will obtain the same from my time unto the extinction of all generations; if Abraham refuses, let Ahia the Soolanite be with me, and we two will obtain pardon for the whole earth from the time of the patriarch until the end of time. "One says the blessing for rain and good news, &c." Why does one compare here the rain with good news? R. Berakhia answers, in the name of R. Levi: because it is written (Prov. xxv. 25): As cold water to a thirsty soul, so is good news from a far country. How much rain should fall that the blessing should be said? R. Hiya answers, in R. Yohanan's name, that, to commence with, enough should fall to fertilize the ground (which will be determined farther on), and to finish it the surface of the ground must be as it were washed (soaked). R. Yanaï bar-R. Ismael, in the name of R. Simon b. Lakish, indicates the same --- 1 See Shemoth-rabba, section xxii.; Midrash on Psalm xcii. 2 See Bereshith Rabba, chap. xxxv. 3 This is one of those exaggerated expressions put by posterity into the mouth of Doctors who were incapable of such vanity. See Babli, tr. Succa, fol. 45 a, where this passage is modified. 4 J., tr. Taanith, i. 3. quantity to commence with; and to finish with, it suffices that the bung of the cask be soaked. But can the bungs (of the casks) be soaked? Are they not under shelter in the cellars? Verily, it is only supposed that they should appear to be soaked (without being so in reality). According to R. Yosse, in the name of R. Zeira, this measure was given so as in such a case to end the fast commanded to be observed in cases of want of water. R. Ḥiskia, R. Nahoom, and R. Ada b. Abima being together, R. Nahoom said to R. Ada b. Abima: Does it not seem to you that this measure was given for the blessing? Certainly, replied he. On the contrary, said R. Ḥiskia and R. Ada, does it not seem indicated in order to show that the fasting is to be stopped? He replied: Yes. Why then, said he to him, dost thou also reply affirmatively to R. Nahoom's question? I approved of it, replied he, in his master's version, whose opinion it is; but, for me, I accept the explanation. Yet, said R. Mena to R. Ḥiskia, who is his master? R. Zeira. Now, according to the latter, it indicates the end of the fast. R. Juda b. Ezechiel narrates that his father said the following words to obtain the rain: "May Thy name be exalted, sanctified, blessed, and praised, O our King, for every drop Thou causest to come down in our favour, and mayest Thou separate one from the other so that their quantity be not diminished," as it is written: It shall be less (Levit. xxvii. 18). R. Judan adds that He sends it in measure, as it is written: He hath compassed the waters with bounds (Job xxvi. 10). R. Yosse b. R. Jacob went to visit R. Judan Magdala. At the moment he arrived a heavy rain descended, and they heard hundreds and thousands of voices saying: "We must return thanks to Thy name, O our King, for every drop Thou sendest down to favour mortals who are not worthy of it." How knowest thou that? asked somebody. It is thus, was the reply, that R. Simon blessed the fall of rain. It is said above that for an effective rain enough must fall to fertilize the earth. What does this measure represent? A full vessel containing the value of three palms; this is R. Meir's opinion. R. Judah says that, to commence, when the earth is dry the rain must penetrate the depth of a palm (i.e. much must fall); the second time, when the ground is already wet, a depth of two palms must fall, and the third time three. R. Simon b. Eleazar says: Not a drop falls from above but what it is replaced by two from the earth; the following verse indicates this (Ps. xlii. 8): Deep calleth unto deep at the noise of Thy waterspouts. R. Levi also says: The waters from on high are considered male, and those from the earth female. This seems to be indicated by the verse (Isaiah xlv. 8): Let the earth open, as the female opens herself to the male; and let them bring forth salvation by cohabitation; and let righteousness spring up together by the coming of the rain. I the Lord have created it for the good of the earth. R. Aḥa taught, in the name of R. Simon b. Gamaliel, that the name Rebiā, is given to the rain, because it fertilizes the earth (from the root Raba’, to enrich). R. Ḥanina b. Ika says$^5$ that the roots of the wheat penetrate three cubits into the earth, and those of the tender fig-trees grow even into the rocks. R. Ismael b. R. Eleazar teaches: the earth only absorbs what its hardness (dryness) requires (and therefore little in depth). How then are the roots of the caroubier and sycamore nourished (which are very deep in the earth and receive little water)? R. Ḥanina replies that once a month vapours arise from the deep and moisten these roots, in conformity with this verse (Isaiah xxvii. 3): I the Lord do keep it; I will water it every moment. According to R. Zeira, it has been taught elsewhere that: If there is an abundance of produce, cheap food, and that one river suffices to enrich an entire province, the following formula is said: “Blessed be the good and the kind.” If one announces to any one the death of his father, he says: “Blessed be the righteous judge.” If one inherit from the defunct, one says: “Blessed be the good and the beneficent. 3. (4). He who has built a new house, or bought new furniture, says, “Blessed be He who has kept us alive,” &c. R. Ḥiyya b. Aba says that this blessing is said not only for new clothes, but also for old ones which are new relatively to the person who wears them. R. Jacob b. Zabdi says, in R. Ḥiyya b. Aba’s name, that this blessing is said when one buys them; but if one gets them as a present, one says these words: “Blessed be the good and the kind;”$^6$ this is also the opinion of R. Aba, father of R. Abamare. On dressing a man says this formula: “Blessed be He who clothes the naked.” If a man constructs a Succa (a tent of leaves) for his own use,$^7$ he says this: “Blessed be He who has sanctified us by His commandments, and has commanded us to make the succa;” if it be for others, he adds these words at the end: “to construct the succa in honour of his Holy name.” On going into it to sit down, he says: “Blessed be He who has commanded us to live in it.” After having recited this formula on the first night of the festival, it is not repeated. Analogically, the following rules are established in preparing the lulab;$^8$ for himself a man says: “Blessed be He who has sanctified us by His commandments, and has commanded to us the precept of the lulab;” when a man appropriates it for others, he adds the words: “to prepare the lulab in His honour.” When a man uses it the first day, he recalls the precept to take this bundle, adding this formula: “who has made us live and reach this solemnity;” and every time he takes the lulab he repeats the blessing which recalls this --- $^5$ J., tr. ’Aboda Zara, iii. 5. $^6$ For that is still better; it is the formula of a greater satisfaction. $^7$ See tr. Succa, i. 2 (3), and iii. 4. $^8$ Leviticus, xxii. 40. precept. The same ceremonial is observed, and the same series of blessings is recited when one puts into practice the commandment of the placing of the mezuzah (inscription on the door-posts of the houses), on putting on the tephilin (phylacteries), the tsitsith (fringes of the garments), and on the taking off of the oblations to the priests and the tithes to the Levites. He who cuts the throats of animals according to the prescribed rite must recall this precept in a blessing, also he who covers the blood and he who performs circumcision. The father of the child says this formula: "Blessed be He who has sanctified us by His commandments and ordered us to make him enter into the covenant of Abraham, our patriarch." The assistants say: "In the same manner as Thou hast made him enter into the covenant, Thou wilt make him enter into the bosom of the Law and pass under the nuptial dais." He who subsequently recites the blessing of the ceremony says: "Blessed be He who has sanctified His well-beloved from his mother's womb, who has made a law for his family and has put on his posterity, as a sign, the seal of the holy alliance. Therefore, in return for this action, the living God, who is our heritage and our support, has ordered us to save the flesh and blood of our well-beloved from the abyss of ruin. Be praised, O Lord, Thou who makest the covenant." At what moment is the accomplishment of these precepts blessed? According to R. Yohanan, when one is about to accomplish them; according to R. Hoona, after the action. The latter conforms to Samuel's opinion, from whom we know, through R. Yosse b. R. Aboon, that every religious action must be blessed at the moment of its accomplishment, excepting for the hearing of the shophar, for the bath of purification, and according to some opinions, for cohabitation. According to R. Yona, there is still another blessing: That one which, as some say, is recited before taking off the phylacteries from the arms, and before placing on those of the head. As for the slaughtering of animals, according to R. Yohanan, it is said when about to be effected; according to R. Yosse bar-Nehoraï, it is not recited until afterwards, for fear of the slaughtering not having been successful as regards the rite (for, in this case, the blessing would be unnecessary). If a man have this fear, should he not wait that the animal be examined to see if there is no defect? As a general rule the intestines are admittedly in good condition. And indeed, if after the slaughtering a wolf come and run away with the intestines before they have been examined, they are supposed to have been without defect, and the animal which has been slaughtered may be used for food. Neither is it feared that they were perforated, for, as R. Aba teaches, in the name of the Babylonian Rabbis, by R. Juda ben-Pazi, the intestines are always considered to be sound, until proof to the contrary has been given. 3. (5). One must bless for evil the source of good; and for good --- 9 B., tr. Pesahim, fol. 7 b. the source of evil. He who supplicates for what is past, such prayer is vain. How? His wife is pregnant, and he says, "God grant that my wife may bring forth a male child;" such prayer is vain. Or if one on the road hear the voice of lamentation in the city, and say, "God grant that it may not be my son, my house," &c., such prayer is vain. 3 (6). Whoever enters a fortified town must say 2 prayers, one at his entrance, and one at his departure. B. Azai says 4; 2 at his entrance, and 2 at his departure; he returns thanks for the past, and supplicates for the future. At R. Janaï's school it was taught that the assertion of the Mishna relative to the pregnant woman only applies to the case in which she is near to be delivered; but before that time the prayer may sometimes produce the desired effect, according to this verse (Jeremiah xviii. 6): Behold as the clay is in the potter's hand, so are ye, &c. Verily, says Rabbi, in the name of R. Janaï, Rachel, instead of bringing forth Dina, was previously to bear a boy; and it was thanks to her prayer that this child changed sex before its birth, as it is written (Genesis xxx. 22): And afterwards she bare a daughter, and called her name Dinah. R. Juda b. Pazi adds, in R. Janaï's name, that our mother Rachel was one of the first prophetesses in foreseeing that she would have another child by her husband (ibid. 24): And she called his name Joseph; and said, The Lord shall add to me another son; she did not ask for several, but for a second one (which was Benjamin). If a man be travelling and he hears people talking of misfortunes, he may only say: "I have the hope or the conviction that they do not concern my family." Hillel the ancient applied hereunto this verse (Ps. cxii. 7): He shall not be afraid of evil tidings. "In passing through a village a man says two prayers: one at his entrance, and one at his departure." What does he say at his entrance? "Let it please Thee, O Lord, my God, and the God of our fathers, to let me enter in peace into this locality." At his departure he says: "I render Thee thanks, Lord my God, for having let me come out." According to B. Azai, 4 are said, thus: before entering he asks the favour to enter in peace; when he is entered, he thanks the Lord. The same for going out, he asks God the mercy to go out in peace, and thanks Him afterwards, adding the wish to arrive without delay at his home, or at a given place. 1 See Bereshith Rabba, chap. lxxii. 2 This is an example, at once the most curious and the most venturesome, of the diversion of the meaning of the Scriptures, from its biblical sense, effected by the Talmud for its exegesis; since it is not of Rachel, but of Leah, that this verse treats. This series of blessings, however, is only to be used when travelling among pagans (often hostile), but not in a country inhabited by Israel. If it be a place where justice accomplishes capital punishment (where, in case of confusion, his life might be in danger) these blessings must be recited. Also in the same manner a man says a prayer on entering, and one on leaving a water-closet (where the angels who accompany men quit them momentarily). On going in a man says, in order to send them away: "Greeting to you, honoured attendants of the Most High, and blessed be the glory of the Lord." It is customary in these cases to tell those who accompany you to go on in front. On coming out say this formula of blessing: "Blessed be He who created man with wisdom," &c. In taking a legal bath, one also says two blessings; on going in: "May it please Thee, O Lord my God, and God of my ancestors, to drive away from me all danger, danger by fire, scalding, or destruction of the bath; that no misfortune happen to me, and if it were to happen, let my death be an expiation for my sins and save me from future condemnation in Heaven." On coming out say: "I render Thee thanks, O Lord God, and God of my ancestors, for that Thou hast saved me from fire." R. Abahoo says that this is only applicable to baths heated from below (where there is danger of fire), but not to an ordinary bath where there is only danger of scalding. R. Helkia and R. Simon say, in the name of R. Josuah ben-Levi, that it is unnecessary to stand up for the blessing before bathing (it is said in going to it). 5. (7). Man is bound to bless God for evil, as he is bound to bless Him for good.$^3$ For it is said, "And thou shalt love the Lord thy God, with all thy heart, and with all thy soul, and with all thy might" (Deut. vi. 5). "With all thy heart" means, with both thy inclinations, the evil as well as the good. "With all thy soul" means, even should He deprive thee of life; and "with all thy might" means, with all the wealth. Another opinion is, that "with all thy might" means, whatever measure He metes out unto thee, do you thank Him with thy entire might.$^4$ R. Berakhia establishes, in R. Levi's name, the reason of the following verse (Ps. xcii. 9): But Thou, Lord, art most high for evermore; that is to say, the right is always on Thy side. Generally, when a king is seated in judgment on diverse $^3$ If a fortunate event occur, one says: "Blessed be God, the good and kind;" for a misfortune, one says this formula: "Blessed be He who is wise in His integrity." See B., Meyhilla, fol. 25 a (Schuhl, Sentences, p. 209). $^4$ This is a play upon the words me'ōd (much) and midda (measure). cases, if he proclaims a clement decision, everybody praises him; and if he decide on death, everybody murmurs at him; and why so? Because he has let himself be led away to make an outdo of justice; but as regards the Lord, it is not so: Thou, O Lord, art eternally sublime. R. Hoona, in the name of R. Aha, recalls the following verse (ib. ci. 1): I will sing of mercy and judgment; unto Thee, O Lord, will I sing. David meant: If Thou judgest me favourably, I will sing unto Thee; if Thou judgest me severely, yet will I sing unto Thee; whatever Thy decisions, I wish to celebrate Thee. Thus, says R. Tanḥooma ben-Juda, is the following verse explained (ib. lvi. 10): In God I will praise His word, or, according to other versions, I will praise the Lord, &c. This divergence of expressions explains itself, and its object is to show that he will praise Him as much for favourable judgments as for severe ones. The Rabbis also cite, in support of this thesis, the verse: I will take the cup of salvation and call upon the name of the Lord; I found trouble and sorrow, then called I upon the name of the Lord (ib. cxvi. 3, 4, and 13); that is to say: in either case I will call upon Him. According to R. Judan ben-Pedath, Job said the same thing (i. 21): The Lord hath given, the Lord hath taken away; blessed be the name of the Lord. When He gave it me, as when He took it from me, it was a favour; and, moreover, when He gave it me, He consulted no one; but when He took it away, He consulted the tribunal above. R. Eliezer says that, wherever it is written, And the Lord, it indicates that God was aided by the celestial tribunal; and it can be proved every time. Thus it is written (1 Kings xxii. 23): The Lord hath spoken evil concerning thee. Act therefore towards Him, either in fear or in respect, for if thou hast hatred against Him, remember that thou must love Him, and a friend must not bear hatred; or else act with respect, for if thou rebel, thou wilt remember that thou must fear Him, and he who has fear doth not rebel. There are 7 types of Pharisees: 1st, he who accepts the law as a burden; 2nd, he who borrows, or acts from interested motives; 3rd, he who counter-balances; 4th, he who is sparing (ostentatiously); 5th, he who asks that one should show him a good action to be accomplished; 6th, he who acts by fear; --- 5 For the words dimos, demissus, and spicula (torture), see Bereshith Rabba on Genesis xxxiii. 18, and Pesikta on Exodus xiii. 17; Yelandenoa, first verse of Deuteronomy; Shohar tof, chap. xxv. 6 See Medr. Shohar tof, chap. xcvi. 7 The term Elohim means: severe equity, and Adonaï means: mercy. 8 J., tr. Sota, v. 5 (fol. 20 e); B., ibid. fol. 22 b. 9 Upon Pharisees, see Derenbourg, Essai, &c. pp. 3, 119, 455, and M. J. Cohen’s work, Les Pharisiens (vol. ii.). 1 Perhaps the “flagellant,” says M. Derenbourg, ibid. p. 71. 2 It is explained by a commentary: he who strikes his head, to avoid seeing a pernicious person. and 7th, he who is inspired by love. The following is a more detailed explanation: the 1st is like unto a man who would take the Divine commandments upon his shoulders, to carry them away; the 2nd seems to say, Lend me (a moment, or wait), that I may accomplish a precept of religion; the 3rd says to himself, I am going to fulfil one religious prescription, and then violate another, and sets off one against the other; the 4th seems to say, From the little I have, I save enough to fulfil a religious precept; the 5th one, who is conscious of his duties, endeavours to efface his sins by his good conduct; the 6th one, like Job, acts through fear; the 7th, through love, like Abraham, and this last degree is the best of all. He resembles our patriarch Abraham, whose faith vanquished and converted, as it were, his inclinations to evil. Thus it is written (Nehemiah ix. 8): And foundest his heart faithful before Thee; that is to say, the two inclinations. Indeed, says R. Aḥa, the patriarch had made a sort of compact with his instincts of evil, not to sin any more; for it is written (ibid.): and madest a covenant with him (and it is supposed, contrary to the customary meaning, that the pronoun him refers not to God, but to the inclination to evil). As David could not maintain the fight against it, he killed it, as it is written (Psalm cix. 22): and my heart is wounded within me. R. Akiba was on the point of undergoing the last torture before the impious Turnus Rufus, when the moment to recite the Shema, arrived. He commenced to recite it and became very joyful. "Old man, old man, cried out to him the pro-consul, art thou a sorcerer, that the tortures make thee not suffer, or is it to brave me that thou smilest in the midst of thy tortures? Be easy, replied Akiba, I am neither a sorcerer nor a mocker; but all my life, when reading this verse of the Pentateuch, Thou shalt love the Lord thy God with all thy heart, with all thy soul, and with all thy might, I was sorrowful and said to myself: When shall I realize the three ways of adoring God, indicated in this profession of faith? I have proved that I love God with all my heart and with all my might; but I have not yet been able to prove to Him my love by giving Him my soul. I give Him, to-day, this proof at the very moment that it is customary to recite the words, which impose the duty upon us. Behold the cause of my joy." In saying these words, he gave up the ghost. Nehemi Emsoni served R. Akiba 22 years, and learnt from him the interpretations of even the most minute particle of the Bible (נְשֵׁי נַחֲרִי). He explained to him, for example, the verse (Deut. vi. 13): Thou shalt fear the Lord thy God, where the particle נְשֵׁי indicates that one must not the less respect the Law. --- 3 That is to say: to disembarrass himself. 4 He works with his evil instincts as it were a compact to sin no more (M. Ad. Franck's paraphrases in Journal des Savants, 1872, p. 563). 5 B., tr. Pesahim, fol. 22 b. 5. (8). No man is to be irreverent, opposite the eastern gate of the Temple, for it is opposite the Holy of Holies. No man is to go on the mountain of the house with his staff, shoes, or purse,$^6$ nor with dust on his feet, nor is he to make it a short cut (compendiaria via); nor is he to spit at all. We have learnt that when a man experiences the lesser want, he turns towards the north, and for the greater one, towards the south.$^7$ R. Yosse b. Aboon says that this rule only applies to a certain part of Jerusalem (out of respect for the sanctuary), beyond the sophim (point of observation of the Temple). R. Akiba says that it applies everywhere, and particularly to places not enclosed with walls. We have learnt also that, for the greater want, one must not turn the face to the east and the back to the west, but one must stand aside. According to R. Judah, this rule is only to be followed when in sight of the Temple; according to R. Yosse, only beyond the sophim;$^8$ according to R. Akiba, it is to be applied everywhere, and especially in a place which is not enclosed within walls. R. Akiba says: I followed R. Josuah to see how he acted in this matter, and I saw that he was seated having one side to the west (i.e. between north and south); he did not uncover himself until he was seated, and he did not sit down until he had dug a hole;$^9$ and finally he wiped himself, not with the right hand, but with the left. Simon b. Azaï also stated that, having once followed after R. Akiba, he saw him act in a like manner. It has been taught, in a baraitha, that a man must not go up to the hill of the Temple, neither with shoes, nor with dust on his feet, nor with money wrapped in a cloth, nor with a girdle on.$^1$ Why? In virtue of this verse (Ecclesiastes v. 1): Keep thy foot when thou goest to the house of God. R. Yosse b. R. Judah says that it is in virtue of the verse (Esther iv. 2): For none might enter into the king’s gate clothed with sackcloth; now, if this be so for a mortal, with more reason must a man behave well before the Lord. Nor may a man make use of it as a short cut, and less still may he spit there; for it is a want of respect to pass there without a religious end in view, and it is self-evident that a man may not show any sign of disrespect. $^6$ Funda. According to Obadia of Bertinoro it was a belt to keep money in (St. Matthew x. 9); according to others, it is a sort of vesture or surtout, which serves to protect the more expensive garments worn beneath it. Guisius remarks that we must distinguish the word used in the Mishna from its homonym, which is derived from the greek ἐπενδύτης, vestment. Cf. tr. Shabbath, x. 3. $^7$ See Sifri, section Ki-Thetsé, §§ 257, 258. $^8$ Observatory of Jerusalem. See De Saulcy, Voyage en Terre Sainte, vol. ii. from p. 150 forward. $^9$ See Deut. xxiii. 14. $^1$ Tossephta on our treatise, section 7. 5. (9). All the seals of the blessings in the Sanctuary used to say, "from eternity." But since the Epicureans $^2$ perversely taught, there is but one world, it was directed that men should say, "from eternity to eternity." It was also directed that every man should greet his friend in The Name (of God), as it is said, And behold Boaz came from Bethlehem, and said unto the reapers, The Lord (be) with you; and they answered him, The Lord bless thee (Ruth ii. 4). And it is also said, The Lord is with thee, thou mighty man of valour (Judges vi. 12). And it is said: despise not thy mother when she is old (Prov. xxiii. 22). And it is also said, (It is) time for (thee), Lord, to work, for they have made void Thy Laws (Ps. cxix. 126). R. Nathan says, They have made void Thy Law, because (it is) time for (Thee), Lord, to work. They have taught that, instead of answering Amen in the Temple, men say: Blessed for ever be the name of His glorious reign. How is it known that one does not answer Amen in the Temple? Because it is written (Nehemiah ix. 5): Stand up and bless the Lord your God, &c. And how do we know that this was said after every blessing? Because it is written (ibid.): He is exalted above all blessing and praise. R. Josuah of Darôm says: There are three things which are decreed by human tribunals, and confirmed by the tribunal above; they are: the ruin of Jericho, the obligation to celebrate the festival of Esther, and the necessity of saluting one's neighbour by the name. For the ruin of Jericho it is said (Joshua vii. 20): Israel hath sinned, &c. Was it not Joshua who put Jericho under an interdiction? His decision has therefore been approved of by the tribunal on high. As regards the obligation to celebrate the festival of Esther, we read that the Jews ordained and took upon them and upon their seed, and upon all such as joined themselves unto them, so as it should not fail that they should keep these two days (Esther ix. 27). Rab says that the acceptance was expressed in the singular number,$^3$ that is to say, by the celestial tribunal alone. As proof of the salutation in the name of God, we read this: Boaz came from Bethlehem and said unto the reapers, The Lord be with you; and the proof of the confirmation of this by the tribunal on high is this, viz., that it is written elsewhere (of Gideon): the Angel of the Lord appeared unto him, and said unto him, The Lord is with thee, thou $^2$ These Epicureans (minim, heretics) are as likely Sadducees as Pharisees, according to Geiger and Schorr, cited by M. Devenbourg, Essai, &c., p. 131. Cf. Revue des Etudes juives, vol. vi p. 73. $^3$ Rab takes into account the method of writing the word KBL in the text, or Ketib, which has the plural sense according to the reading. Cf. Rabba on Ruth ii. 4. mighty man of valour (Judges vi. 12). R. Aboon says, in the name of R. Josuah b. Levi, that it is the same with regard to the tithes, since it is written (Malachi iii. 10): Bring ye all the tithes, &c., and there shall not be room enough to receive it; now, says R. Yosse bar-Simon bar-Aba, in the name of R. Yohanan, an object, of which it cannot be said there is too much (Dai), is an effect of the celestial blessing.⁴ R. Berakhia, R. Helbo, and R. Aba b. Ilai say, in the name of Rab: Your blessings shall be so numerous that you will get tired of returning thanks for them. It is written (Prov. xxiii. 22): Despise not thy mother when she is old. This, according to R. Yosse bar-Aboon, signifies that if the explanation of the Mosaic precepts seems old to thee, thou must not despise them on that account in virtue of the above verse. R. Zeira explains it thus: If thy nation be weakened, rise up to sustain it. Thus Elkana urged Israel to enter into the Temple during the three great feasts, as it is written (1 Samuel i. 3): And this man went up out of his city yearly, &c. It is also written (Ps. cxix. 126): When it is time to work for the Lord, destroy even your Law.⁵ R. Nathan transposed this verse to explain it: Destroy your Law, says he, when it is time to make a manifestation to prove the existence of God (in the same manner as Elias sacrificed to the Lord to this end on a height far from Jerusalem, which was generally forbidden). R. Hilkia says, in R. Simon’s name, that, according to this verse, the meaning of destroy the Law is to study it at intervals of time too distant one from the other. In this same verse, according to what was taught, R. Simon b. Johai found the following interpretation: If thou seest, said he, the manifest sign that men have abandoned the study of the Law, have the courage to approach it, and thou wilt attain as much recompense as all the men together, because it is written: Destroy the Law when it is time to act for the Lord. Hillel the ancient said: When the wise men assemble together (to study amongst themselves), scatter abroad sacred knowledge; but when the wise men propagate science, be attentive. Hillel also said: If thou seest that Israel loves the Thora, and that all rejoice in it, pour out thy teachings; in the contrary case, keep to thyself. R. Eleazar says: Even as a child must be suckled every hour in the day, so also must every man in Israel occupy himself at every moment with the Law. R. Yona says, in the name of R. Yosse b. Nezera: All superfluous words are bad, but those of the Law are good;⁷ ordinarily silence alone is good,⁸ but regarding the Law it is not so. ⁴ See J., tr. Tuanith, chap. iii. § 9; Wavyiqra Rabba, chap. xxxv. ⁵ By a play upon words between Ἐμκνα, thy mother, and Οομαθκνα, thy nation. ⁶ Here, as is often the case, the exegesist has diverted the usual sense of the verse to meet the exigencies of his thesis. ⁷ It is not possible to speak too much while studying the Law. See Medrash Yalqut on the Psalms, § 878 (Schuhl, Sentences, p. 251). ⁸ Certain editions have, instead of the word silence, בְּרִיבָא לְרִיבָא, “all contentment” R. Simon b. Lakish says: I found in the Meghillath ḥassidim (devotions for pious people)⁹ this maxim: If thou abandonest Me for one day, says God to man, I will leave you for two days.¹ This is like two individuals who having journeyed, the one from Tiberias, and the other from Sephoris, meet together in the first place in an inn; they then continue their road. Before they have well accomplished a mile each on their respective roads, they are separated by a distance of two miles; and again if a woman wait for him whom she loves, she will wait as long as he thinks of her; as soon as she hears that he does not think any more of her she hastens to espouse another. We have learnt, in the name of R. Meir: Every Israelite recites one hundred blessings a day; thus, he says blessings before and after the reading of the Shema', before and after meals; he recites thrice the eighteen blessings of the 'Amidâ; and he accomplishes other precepts which he blesses (the total reaches a hundred). Also, says R. Meir, there is no Israelite that is not as it were enveloped in religious symbols; he carries the phylacteries on his forehead and arms, the mezusa on the posts of his door, the circumcision on his body, the four fringes on his garment. Thus said David (Ps. cxix. 164): Seven times a day do I praise Thee, because of Thy righteous judgments; and he also says (Ps. xxxiv. 8): The Angel of the Lord encampeth round about them that fear Him and delivereth them. In entering into a bath the psalmist remarked, in his state of nudity, that he carried on his body no religious symbol, and he said to himself: Alas, I am stripped of every Divine precept. But on noticing the circumcision he began to praise the Lord (Ps. xl. 1): To the chief Musician, a psalm of David. R. Eleazar says, in R. Hanina's name: People who study contribute to the peace of the universe, as it is written (Isaiah liv. 13): And all thy children shall be taught of the Lord; and great shall be the peace of thy children. is good, but the contentment in study is bad" (a man must never think himself clever enough). The sense adopted here is in accordance with the parallelism, and it is confirmed by the text of the Lehmann edition. ⁹ See Derenbourg, ibid. p. 2, note 1, for the analysis of this collection, which is now only met with in the Talmudic books, in the shape of mementoes there mentioned. ¹ Medrash Samuel, chap. i.; Sifri, section Egeb, chap. xlviii. END OF THE FIRST PART. OMISSIONS. Page 5, line 21, add, (Exodus xix. 21). " 40, line 18, add, (Eccles. iii. 2). " 56, line 20, add, morning flutes. " 82, line 4, add, And R. Zinon was ordered to proclaim the close of the meeting. " 97, line 19, . . . in the name of R. Yohanan and his companions the following verse, "O Lord of Hosts, blessed is the man that trusteth in Thee" (Psalm lxxxiv. 13). R. Ezekia said in the name of R. Abahoo. " 98, line 3, Blessed are they that dwell in Thy house (Psalm lxxxiv. 4), and afterwards once. . . . ERRATA. Page 2, lines 28 and 31, read, Nehemiah iv. 15, 16. " 40, line 12, read, Amos iv. 12. " 56, line 1, read, Deut. xvi. 3. " 64, line 5, read, Deut. vi. 9. " 73, line 18, read, Psalm lv. 18. " 74, the last two lines, read, Jerem. xxvii. 18. ALPHABETICAL INDEX OF THE SUBJECTS. A. Ab-BETH-DIN, vice-president of the Supreme Tribunal, 83. Abel. See Mourner. Abraham, his name rectified, 28; from him comes to us the morning-prayer, 74-5; his intercession near God, 102. Adam and the creation of the earth, 145, 151, 157. Additional prayers, or Mussaph, 76-9, 93-4; of Amida’s end, 83. Admission in the enclosure of the school very severe under R. Gamaliel, 82. Adoration of God at the risk of the life, 149. Agrarian repose year, or Shmeta, 18. Akoom, idolator, 147, n. Albino. See Seeing. Amen, liturgical confirmation, 94-5, 109, 133, 145, 148, 171. ’Amida, eighteen benediction prayers, 2, 11, 16, 22, 23, 41-6, 85-8, 107; morning, 73, 94; exemptions, 55-62; at fixed hours, 73; afternoon, 74; evening, 81; a summary, 79, 85-9, 90; of Sabbat, 89, 138; with ten persons, 94; and reverence, 95-6. Amoraim, orators who transmit the oral teaching, 81, 84. Angels, their feet are 515 miles long, 152; An angel took the form of Moses, 153. Asp, what gave birth to it, 144. Assembly (Grand), its number, 43, 134. See Minian. B. Babylonians despised, 32, 119. Balustrade erected on the roof for the safety of the inhabitants, 64. Bath-kol, a mysterious voice in favour of Hillel, 20. Bath (legal) of purification, 66-9, 165; exemption, 72; warm, 90. Beauty, on seeing it, one blesses God, 156 7. Bedsteads, many sorts, 57. Benedictions and maledictions in the Pentateuch, 80. Beth-din. See School. Bible, merit to read it, 18. Bird’s-nest, sent away the mother, 106. Blessings, formulas, 155-9; beginning and ending, 20, 25; of ’Amida, 23-4, 43-5; of Shema’, 31; of phylacteries, 38; after meal, 47, 63, 65, 117, 127-9, 143; by a Cohen, 59, 109, 110; of products, 111, 125, 137, 144; by many men together, 132-6; how long is one obliged to bless, 147; their seals, 171; how many every Israelite recites a day, 173. Body (human) divided in 248 limbs, 91. Bread, to cut a loaf was an honour, 141. Bridegroom exempted from reading the Shema’, 48, 53-4. Bug is useful as a leach, 159. Building a house, say a form of blessing, 164. C. Cab, measure for water, 66. Cahana, power attributed to his prediction, 52. Cemetery, to respect it, 39; in passing through say a formula, 161; a Cohen must not go there, 61. Child, when submitted to religious duties, 129, 130. Circumcision, while performing it, one blesses God, 165; is a religious symbol, 173. Clothes, For new, perform a blessing, 164; one tears them at the news of a decease, 32. Coal, five propositions relative to it, 145. Cock, on hearing it, one says a blessing, 157; its name at Rome, ibid. Cohen, his great purity, 59; he blesses the people, 6, 109, 110; to be at his service, 144. Comets, earthquakes, lightnings, thunder, and tempests, for all say a blessing, 157-9; comets' place in the Zodiae, 158. Commandments, positive and negative, 64. Condolence customs, 50-7. Confusions of letters' sounds, 42. Creation's work, 145; its light, 146. Cup of wine to bless the feasts and Sabbat, 136-8, 143. Cuthean. See Samaritan. Cut the throats of animals according to the rite, 165. D. Daniel saved from lions' den, 149, 153. Day, recite the blessing once in, is sufficient, 159. Daytime, 4, 5, 76. Dead (the) carried by groups of men, 55; honoured by perfumes, 146; and see Mourners, Resurrection. Decalogue compared to Shema', 20, 21. Deluge, those who died by it, 78. Demai, doubtful fruits (if the tithes are taken off), 129. Desert. See Mountain. Dew, representing the Resurrection, 101-2. Doubtful fruits. See Demai. Dream (painful), what to say for it, 99. Duty, A religious, is accomplished by the response Amen, 148. Dwarf. See Seeing. E. Earth From, to heaven, is a journey of 500 years, 152; and rain, 163. Earthquakes, how caused, 158-9. See Comets. East, Turn the face to the, while praying, 170. El, Lord, by this name a brigand saved, 154; sense of this name, 168, n. Epicureans have perversely taught, 171. Esseniens purified themselves with water before meals, 68, n. Ethiopia, relation to Egypt, 8. Euphrates, at sight of it one must bless God, 149. Eve, created from Adam, 151. Evil, one blesses God for it as for good, 167. Exegesis, specimen, 150, 156, 166. See Parables. F. Fast of Ab and of Atonement, 49, 78; additional prayers of it, 86-7. Feasts, during them enter into the Temple, 172. Fire, exists always in principle, 144. Firmament, its breadth, 7; when in all its clearness, say a blessing formula, 161. Flame, five propositions relative to it, 145. Fly, A dead, is a counter poison against the bite of a wasp, 159. Food. See Blessing. Fool feels no fear of sin, 156. Formulas of prayers or blessings must not be modified, 150; for idols, rooting out, 155; for details of creation, 160-7. Fruits. See Products. Funereal panegyries, 51-2. Furnace of Hanania, Michael, and Azaria, 149, 153. G. Geographical notes, 47-8. Giant. See Seeing. Goat's name in Arabia, 157. God's attributions, 134, 150; and the Creation, 144-5; His divine royalty recognized, 149; address him in the second person, Thou, 150; in the plural form, ibid.; holy, 151. Greek domination, or the Seleucides, 75. Greet one's friend in the name of God, 171. Groups of men carried the dead, 55. H. Habdala. See Separation. Hallel, many feasts, psalms cxiii.—cxviii., 25, 31-2, 42-3, 165. Halla. See Paste parcel. Hand-washing before and after meals, 68, 137-9, 141-2; before sacrificing an animal, 11. Hanuca, Macchabean feast, 80, 134, 137. Haphtara, an additional chapter of the Book of Prophets to the reading of the Law, 108. Hazan, officiant and children-teacher, 84, n. Health (good), wished when any one sneezes, 123. Hear a prayer can be sufficient for religious duty, 148. Heaven, distance to earth, 152; for just in the future life, 146. Hillel’s opinion predominates, 20. Hills. See Mountain. Holy Land. See Palestine. Holy of Holies in Jerusalem, 91-3, 170; things, decrees, 97. Honours generally shorten life, 26; to the dead, 56. Hope of forgiveness accompanied by the Prophet’s words, 96. I. Idol, will be a cause of shame, 147; is far from us, 152; from Babel and Rome, 155. Idolator: one must not bless his light or spices, 145-6; one must pray for their conversion, 155. Image of God in the Creation, 150. Impurity. See Hand-washing. Insects, why they are created, 159. Interruption of the Shema’ or the prayers, 33-4, 99, 100. Interests of the country, who is occupied with those is as deserving as a Law student, 97. Isaac, from him the afternoon prayer comes to us, 74. Israel’s misfortunes, 28. J. Jacob, from him is the evening prayer, 74. Jehoshaphat saved from Aram’s sword, 154. Jericho, interdicted and ruined by Josuah, 171. Jerusalem’s destruction, 156. Jonas saved from a whale’s belly, 153-5. Jonathan named head of David’s finances, 161. Josuah. See Jericho. Judgment of two men is valid, 126. Justice: for a capital punishment, one says a blessing, 165-8. K. Keri. See Uncleanliness. Kiddeosh, solemn sanctification of the feasts, 25. Kippur, Atonement Day, what forbidden in it, 66, 79; at evening they bless for light, 145. L. Law, not susceptible of impurity, 67-8; to bless it, 127-9; and read it, 130, 172. Life (future). See Heaven. Lightning. See Comet. Light of Creation, 144; to bless it at Sabbat evening, 143-7; found by Adam knocking two bricks together, 145. Lions’ den of Daniel, 149, 153. Liturgy. See Shema’, ’Amida, Law. Lizard is good for scorpion’s bite, 159. Lulab, branch bundle of Tabernacles’ feast, 105, 164. M. Macchabean feast. See Hanuca. Maladies are dangerous, 90; serpent’s bite, 100. Malkoth. See Thong strokes. Medicinal waters, 124. Megilla, history of Esther, 31-2, 42. Meghillath Hassidim, devotions for pious people, 173. Messiah, what refers to Him, 43-4. Mezuza, door-post’s parchment, 63-4, 173. Minian, 10 men is a religious number, 129, 130-3. Minim, heretics. See Epicureans. Miracles done for Israel, 149. Mishna was learnt by heart, 18, n. Mistake in the prayer, 45-6, 89, 106-7, 110. Moon, its rotation, 4. Moses, how he escaped to Pharaoh, 152-3. Mountain, hill, sea, river, desert, for all them say a blessing, 158. Mountain of the House, or Jerusalem Temple, 170. Mourners’ customs, 48-9, 56-9, 60-3. Mouth, how bad, 17. Mule, how produced, 144. Mussaf. See Additional prayers. N. Names outside Palestine, strange words, 157. Nassi, first chief of the Jews, his dignity, 83. Nazarenes engaged in abstinence, 130. Nebuchadnezzar's palace: at this sight one blesses God, 149. Ne'ila, close of the fast, 77-9, 81. Neomenia, a little feast, 79, 80, 103, 107, 135, 161. News, For good or bad, say a blessing, 158. New year, Judgment Day, 86. See Shofar. Nidda. See Uncleanness. Night, how was divided, 1, n., 9, 14, 73, n.; nightfall, 3. Nigger. See Seeing. O. Oblations, not taking them from the fruits is a sin, 158, 165. Odours, for inhaling good, say a formula, 159. Order of the blessings, 139. P. Pagan, if he blesses, one must answer Amen, 148; he is little esteemed, 156. Parables, 6, 7, 28, 39, 44, 51-4, 97, 100, 146, 154, 160, 168. Particles of the Biblical text interpreted, 169. Paste parcel (Halla), to take off by woman, 140. Patriarchs, length of life, 8. Peace of the universe contributed by students of the Law, 173. Pentateuch contains prohibitions or permissions, 19; how written, 39; to read in the Temple, 108. Perfumes. See Spices. Pharaoh's soldiers became, deaf, dumb, or blind, 153. Pharisees, there are 7 types, 168-9. Phylacteries, religious insignia, 35-8, 70, 165, 173; miracle upon them, 39, 100; exemption from wearing them, 55, 63; bless God for it, 165. Places where signs were wrought for Israel, 149. Plural form of the term Elohim (God), 150-2. Pray together, 126. Prayer, evening and morning, 2, 26; order, 35, 42; hear the head, 148; other formulas, 83-4; granted, 111. See also 'Amida. Priests. See Cohen and Trooma. Products (superior) of Palestine, to bless for them, 112, 118-19. Prophecy of Jeremiah, 96. Purim, festival of Esther, 171. See Megilla. R. Rachel was one of the first prophetesses, 166. Rain, pray and bless God for it, 101-3, 158; compared with good news, 160. Rainbow, on seeing it say a formula, 162. Red-skin. See Seeing. Respect is exigible in the Jerusalem Temple, 170. Resurrection formula, 161-2. See Dews. River. See Mountain. Roots, how long they penetrate into the earth, 164. S. Sabbat's evening songs, 105; blessing, 135, 138. See Sickness. Sabuel named head of David's finances, 161. Sacerdotal blessing, 59, 78. Sacrifices, at the morning, 75-6. Salute one's neighbour by God's name, 171. Samaritan considered sometimes as a no Jew, 125, 129, 148. Satan and demons, 11. Saturday, On, no mourning, 56; to bless God on that evening for new light, 145. School extending under the Nassi, 82; prayer on entering and leaving, 83. Science propagated by the wise men, 172. Scorpion, its bite very serious, 100. Sea (Great) is Mediterranean, 155. See Mountain. Seeing a nigger, a red-skin, an albino, a giant, a dwarf, one says a blessing to God, 156. Sense (simple) taken away from the word, 156, 166, n. Separation between Sabbat and weekdays, or another feast, 25, 79, 101, 104-5, 138, 143. Serpent's bite on Adam's heel, 145; useful for leprosy, 159. Shema, principal formula of liturgy, 1, 2, 10, 29, 30-2, 40-1, 46-8, 169; to read at morning, 16, 22; and evening, 18, 26, 27; exemptions, 48, 54, 62-3. Shmeta, 7th year of repose, 18. Shofar is rung at the New Year, 31, 64, 95, 165; and for earthquakes, 158. Sickness, in that case medicine allowed on the Sabbath, 12; effaces sin, 35. Sight, At the, of Babylon, or of other celebrated places, one says a blessing, 149. Slaughtering of animals. See Cut. Slaves, free from religious duties, 37, 63, 129. Sleep is a sixtieth part of death, 51, n., 83, n. Snail is good for skin diseases, 159. Solar cycle of 28 years, its beginning, 161. Sophim, point of observation of the Temple, 170. Spices, at Saturday evening bless God for it, 146; used in honour of a deed, ibid. Storm wind, 159; of Eliás was universal, 160. Succa, feast of Tabernacles' tent, 65, 122-3, 126-7, 164. Sun, when one sees it complete, say a blessing, 161. Supplication for what is past is vain, 166. Synagogue, in a fixed place, 90, 98; to pray there, 98. T. Tebilah. See Bath. Tefilin. See Phylacteries. Tempest. See Comet. Temple built by Solomon, 33, 92; destroyed, 44-5, 76, 156; of idols, what to say before it, 156. Tetragramme, name of the Lord (Jehovah), 150. Thanksgiving. See Blessings. Thong strokes, a legal punishment, 60. Time's parts and names, 9. Tithes, not taking them from the fruits is a sin, 158; to bless them, 165, 172. Torture undergone by R. Akiba before Turnus Rufus, 169. Town, if it can be enlarged, 147; entering there say prayers, 166; coming out say other prayer, 167. Travel is considered dangerous, 90; if among Pagans, one must pray, 167. Tree of life, its length, 7. Trooma, heave offerings, eaten by the priests, 1, 2. Troops, on seeing them, say a blessing formula, 157. Tsitsith, fringes at the corner of the clothes, 15, 26, n., 64, 165. U. Uncleanness of a priest, 1, n., 59; of a house, 13; recite no prayer before it, 37-8, 59, 65, 72; of a woman, 97. Unity of God, 151. V. Varors, once a month, arise from the deep of the earth, 164. Vault of heaven familiar to Samuel, 158. Vigils, or night's divisions, 1, n., 9. W. Warriors of Bethar late buried, 25, 127. Water must be clean for purification, 68; say a blessing when drinking, 124. Weepers in dead's honour, 56. Winds in the shape of hurricanes, 159; it appeared 3 times out of all bounds, 160. Wine, to drink by mourners, 58; mixed with water, 136-7; bless God for it, 147. Women's duties, 129, 140, 156. Words' play, 30, n., 74, 77-8, 85, 92-3, 97, 125, 146-7, 160, 167, 172. World (future), or eternity's life, 171. Y. Year, solar and lunar, or embolismic, 11. TABLE OF GEOGRAPHICAL AND PROPER NAMES. Aba, 5, 27, 29, 31, 38, 40, 42, 47, 49, 70-1, 79, 80, 90, 94, 98, 105, 113, 120, 126, 131, 137-9, 143, 147, 150, 156, 164-5. — b. Aha, 27, 49, 67. — b. Cohen, 19, 48, 59, 112, 123. — b. Hana, 12, 32, 119, 124, 143, 148. — b. Hoona, 31. — b. Ilai, 172. — b. Jacob, 116. — b. Jeremie, 38-9, 105, 126. — b. Mamal, 79, 80. — b. Papa, 2, 40, 77, 122. — b. Zabda, 23, 25, 42, 69, 74. — b. Zamna, 80, 117, 133, 136. Abahoo, 31, 36, 54, 60, 69, 88, 97-8, 104-5, 112-13, 124, 129, 139, 140-1, 145-6, 150, 167. Aba-Mare, 17, 119, 164. — Scmooka, 152. Aban, 42. Abaye, 110. Abdima, 42, 80, 87, 90, 103. Abdone, 81. Abiatar, 153. Abina, 23, 24, 64, 69, 70, 74, 80, 100, 116, 123, 130, 141. Aboon, 8, 21, 45, 55, 67, 69, 70, 84, 99, 108-9, 112, 116, 133, 150, 153-5. — b. Hiya, 46, 51. Abraham, 27, 74, 102, 162, 165, 169. Ada, 77, 95. — b. Abima, 163. — b. Aha, 16, 71. — b. Hana, 107. Adam, 145, 150-1, 157. Egypt, 8, 26, 28. Africa, 157. Aha, 4, 8, 11, 16, 22, 24, 26, 42-4, 46, 58-9, 65-7, 72, 80, 88, 90, 94, 97, 99, 107, 110, 112, 118, 123, 136, 139, 144, 151, 155-6, 158-9, 161-3, 168-9, 172. — b. Hanina, 44. — b. Isaac, 87. — b Jacob, 111. — b. Zeira, 27, 96. Ahia Soolani, 162. Ahitofel, 88. Aibo, 23. Ajah, 144. Akiba, 12, 32, 51, 82, 85, 104, 112, 124, 128, 134, 169, 170. Alexander, 40, 44, 154. — Jannus, 130-1. Alexandros, 154. Ama, 9, 11, 21, 22, 24, 38, 46, 48, 59, 69, 71, 74, 81, 120-1, 123. Anania b. Sissi, 130. Anathoth, 98, 121. Antiochia, 99. — Epiphanus, 75, n. Arabia, 81, 157. Aram, 154. Arbel, 7. Arni, 80. Ashe, 124. Assai, 38, 90. Azaria, 9, 149, 153. Babel, 26, 27, 52, 77-8, 89, 138, 140, 149, 161. Baisan, 42. Balak, 21. Bar-Kapara, 24, 27, 30, 50, 57, 97, 119, 153, 158. B. Lekonia, 39. B. Merina, 116. B. Shalmia, 80. \| Name \| References \| \|---------------\|------------\| \| Batity \| 108 \| \| Ben-Azaï \| 146, 166 \| \| Benjamin \| 110, 166 \| \| B. Sirah \| 131 \| \| B. Zoma \| 26, 28, 123, 157 \| \| Berakhia \| 9, 22, 40, 75, 101, 129, 136, 146, 152-3, 162, 167, 172 \| \| Berakhta \| 119 \| \| Bethar \| 25, 127 \| \| Bethlehem \| 45 \| \| Bileam \| 21 \| \| Bivi \| 20, 93, 139\| \| Bozzera \| 61 \| \| Cahana \| 52, 93, 116\| \| Cappadocia \| 80 \| \| Carmel \| 4 \| \| Carthage \| 86 \| \| Caesarea \| 60, 99, 141, 156, 161 \| \| Cohen \| 59 \| \| Cyprus \| 95 \| \| Daniel \| 134, 149, 153-4 \| \| Daran \| 3, 65, 108, 171 \| \| David \| 9, 10, 27, 33, 44, 49, 60, 73, 160-1, 169, 173 \| \| Dina \| 166 \| \| Diocletian \| 60 \| \| Eden \| 7 \| \| Edrea \| 101-2 \| \| Elaia \| See Ilai \| \| Eleazar \| 1, 31-2, 36, 55-7, 59, 61, 70, 88, 104, 135-6 \| \| b. Azaria \| 16, 18, 26, 82-3, 93-4 \| \| b. Hanina \| 31 \| \| b. Josef \| 137 \| \| Elia \| 90, 96, 99, 102, 158-9, 160, 172 \| \| Eliezer \| 22, 25, 33, 46, 49, 104, 107, 110, 154, 162, 168, 172-3 \| \| b. Antigon \| 105 \| \| b. Jose \| 96 \| \| b. Menahem \| 10 \| \| b. Oshia \| 105 \| \| b. Yanai \| 105 \| \| b. Zadoc \| 142 \| \| Elisa \| 39, 96 \| \| Elkana \| 172 \| \| En-Tob \| 80 \| \| Esther \| 7 \| \| Ethiopia \| 8 \| \| Euphrates \| 149 \| \| Eve \| 151 \| \| Ezechias \| 27, 47, 54, 105, 112, 118, 121, 146 \| \| Ezra \| 82 \| \| Gabriel \| 153 \| \| Galilee \| 67 \| \| Gallus \| 99 \| \| Gamaliel \| 1, 12, 48-9, 54-6, 58, 81-3, 95, 104, 111, 116-7, 129, 156-7 \| \| Zooga \| 120 \| \| Genoba \| 71, 107, 124\| \| Gidon \| 171 \| \| Gog \| 28, 43 \| \| Goofna \| 60 \| \| Greeks \| 75 \| \| Hagai \| 42, 69, 88, 112, 116, 121 \| \| Halafta \| 70 \| \| b. Saul \| 23 \| \| Hama \| 48, 140 \| \| b. Hanina \| 24 \| \| Hannan \| 7 \| \| Hammonia \| 16, 75 \| \| Hanan \| 90, 93, 97, 107, 121, 124, 127 \| \| b. Aba \| 24, 135 \| \| Hananel \| 123 \| \| Hanania \| 149, 153 \| \| Hanin \| 102 \| \| Hanina \| 4, 8, 23, 27, 40, 35-6, 40-2, 47-8, 56, 63, 70, 81, 86, 99, 102, 104, 109, 115-7, 123, 129, 132, 136, 139, 147, 159, 161-2, 164, 173 \| \| b. Aba \| 139 \| \| b. Abahoo \| 90, 134 \| \| b. Ada \| 19 \| \| b. Akabia \| 17 \| \| b. Andira \| 6 \| \| Antonia \| 121 \| \| b. Dossa \| 81, 100, 110-11 \| \| b. Gamaliel \| 104-6 \| \| b. Ikan \| 164 \| \| b. Kissi \| 121 \| \| b. Papai \| 33, 91 \| \| Hanna \| 73, 77, 86, 124, 127 \| \| Hazna \| 6 \| \| b. Aba \| 74 \| \| Helbo \| 9, 22, 80, 86, 90, 107, 121, 124, 127, 152, 172 \| \| Helkia \| 167, 172 \| \| Hillel \| 18, 47, 137-9, 141-4, 147, 166, 172 \| \| Name \| Page Numbers \| \|-----------------------\|--------------\| \| Hinena b. Isaac \| 114 \| \| Hipa \| 42, 113 \| \| Hisda \| 15, 31, 41-2, 90, 95, 98, 109, 110, 124, 124, 159 \| \| Hiskia \| 9, 22, 30, 59, 60, 70-1, 91, 97, 162-3 \| \| —— b. Abahoo \| 37 \| \| Hiya \| 2, 4, 7, 23, 25, 30, 39, 40, 46, 66-7, 76-7, 79, 87, 90, 93, 98, 107, 112, 114, 121-2, 140, 147, 156, 161-2 \| \| —— b. Aha \| 25, 113 \| \| —— b. Ashe \| 12, 22, 105, 121-3, 134, 141, 145, 160 \| \| —— b. Josef \| 5 \| \| —— b. Papa \| 113 \| \| Hoona \| 5, 10, 14, 16, 21, 22, 25, 30, 31, 34, 41, 47, 66, 69, 70, 85, 87, 95, 98, 100, 103-4, 108, 115, 118, 121, 126-7, 130, 135, 141, 143, 145, 150, 155, 160, 165, 168 \| \| Hoozpath \| 82 \| \| Idi \| 16, 40 \| \| Ilai \| 27, 30, 46, 51, 64, 68-9, 100 \| \| Isaac \| 28, 36-7, 47, 74, 80, 86, 89, 104, 106, 116, 124, 141, 151-3 \| \| —— b. Aba, b. Mehasia\| 123 \| \| —— b. Eliezer \| 26, 98, 100, 105, 134 \| \| —— b. Elijah \| 127 \| \| —— b. Hiya \| 58 \| \| —— b. Mare \| 115 \| \| —— b. Nahman \| 23, 104 \| \| Ismael (R.) \| 5, 18, 19, 28, 32, 75, 84, 87-8, 115, 127-8, 134, 148 \| \| —— b. Eleazar \| 164 \| \| —— b. Gamaliel \| 155 \| \| —— b. Yossé \| 81 \| \| Israel \| 36, 43-4, 50, 76 \| \| Jacob (patriar.) \| 28, 74 \| \| —— (R.) \| 32-3, 47, 65, 102, 145, 150 \| \| —— b. Aba \| 40 \| \| —— b. Aboon \| 66 \| \| —— b. Aha \| 38, 47-8, 56, 59, 66, 68, 70-1, 81, 91, 97, 104, 107, 114-5, 118, 123, 132-3, 137, 140, 146, 161 \| \| —— b. Idi \| 33, 36, 83, 94, 117, 140 \| \| —— b. Sissi \| 82 \| \| —— b. Zabdi \| 16, 69, 70, 113, 129, 164 \| \| Gerossa \| 11 \| \| Jeremia (pro.) \| 96 \| \| —— (R.) \| 2, 11, 17, 23, 25, 31-4, 37, 43, 46, 53, 55, 57, 60-1, 67, 69, 70-1, 77, 80, 86, 97, 100, 105, 112-17, 120, 123, 127, 130-2, 134-5, 145, 159, 162 \| \| —— b. Aba \| 96 \| \| Jericho \| 99, 170 \| \| Jerusalem \| 26, 27, 37, 45, 92, 96, 156-7, 160, 170 \| \| Jethro \| 50 \| \| Joab b. Serouia \| 149 \| \| Job \| 57, 160, 169 \| \| Jona \| 37. See Yona \| \| Jonas \| 153, 160 \| \| Jonathan \| 160 \| \| Josafat \| 154 \| \| Joseph \| 36, 52 \| \| Josef (R.) \| 10, 30, 34 \| \| —— Cohen \| 59 \| \| Josia \| 28 \| \| Josua (R.) \| 8, 15, 54-6, 67, 68, 77, 81-2, 85, 89, 108, 118, 122-3, 170-1 \| \| —— b. Hanania \| 159 \| \| —— b. Aba \| 86 \| \| —— b. Levi \| 11, 20, 23, 27, 32, 39, 43-4, 56-7, 66, 70-1, 74-7, 85, 90-1, 97-9, 107, 109, 111, 115, 119, 120, 123, 129, 134, 139, 141, 153, 167, 172 \| \| —— b. Korha \| 34 \| \| Juda \| 7, 27, 29, 30, 34, 40-1, 59, 65, 69, 71, 73, 93, 97, 104-5, 116, 119, 124, 128-9, 130, 139, 142-3, 149, 151-5, 158, 160, 163, 170 \| \| —— Antoria \| 78, 86 \| \| —— b. Aba \| 76 \| \| —— b. Aibo \| 96 \| \| —— b. Bethera \| 67-8 \| \| —— b. Ezechiel \| 163 \| \| —— b. Ismael \| 100 \| \| —— b. Levi \| 66 \| \| —— b. Papos \| 54 \| \| —— b. Pazi \| 8, 19, 57, 59, 64, 80, 91, 96, 101, 107, 110, 129, 165 \| \| —— b. Pedath \| 168 \| \| —— b. Simon \| 144, 152 \| \| —— b. Titus \| 67 \| \| —— b. Zeboda \| 21 \| \| Judan \| 24-5, 58, 75-6, 78, 80, 84, 89 \| \| —— b. Aibo \| 44 \| \| —— b. Salom \| 160 \| \| Judea \| 45, 156 \| \| Name \| Page Numbers \| \|---------------\|--------------\| \| Karcion \| 145 \| \| Krispa \| 57 \| \| Levi \| 5, 10, 20, 21, 27, 34, 44, 52, 76-7, 90, 105, 120, 139, 145, 152, 156-7, 162-3, 167 \| \| \| b. Nazira \| 33 \| \| \| b. Sissi \| 23, 42, 52 \| \| Lod \| 13 \| \| Lot \| 5 \| \| Lucia \| 60 \| \| Lucius \| 158, 161 \| \| Magbila \| 59, 60 \| \| Magdala \| 163 \| \| Maisa \| See Mesha \| \| Manasse \| 160 \| \| Manhifia \| 80, 90 \| \| Mathna \| 21, 31, 41, 46, 79, 134 \| \| Meir \| 12, 15, 29, 30-4, 41, 49, 69, 91, 118, 140-2, 163, 173 \| \| Mena \| 4, 10, 25, 36, 47, 58, 60, 69, 71, 80, 85, 87, 90, 105, 115, 120-1, 123, 138, 144, 163 \| \| Menahem \| 90 \| \| Mercury \| 149 \| \| Merinas \| 122 \| \| Mesha \| 23, 39, 54, 141 \| \| Micael \| 149, 153 \| \| Mihal \| 37 \| \| Mordecai \| 7 \| \| Moria \| 93 \| \| Moses \| 21, 131, 152-4 \| \| Nahman \| 20, 114 \| \| \| b. Ada \| 42 \| \| \| b. Isaac \| 79 \| \| \| b. Jacob \| 30, 94, 110 \| \| \| Saba \| 42 \| \| Nahum \| 105, 163 \| \| \| b. Sinai \| 145 \| \| Nassa \| 130 \| \| Nassi \| 60-1 \| \| Nathan \| 9, 10, 48, 171-2 \| \| \| b. Tubi \| 76 \| \| Neboria \| 150 \| \| Nebuchadnezzar\| 78, 149, 156 \| \| Necibin \| 67 \| \| Nehardea \| 158 \| \| Nehemia (R.) \| 4, 5, 59, 114, 128 \| \| \| Emsooni \| 169 \| \| Nehonia b. Qana \| 83 \| \| Nehorai \| 65, 158-9 \| \| Nehorea \| 60 \| \| Nineveh \| 103 \| \| Nissim \| 88 \| \| Ookba \| 16, 38 \| \| Oolla \| 107 \| \| Oori \| 30 \| \| Oshia \| 42, 48-9, 68, 95, 97-8, 118, 141, 147-8, 161 \| \| Palestine \| 23, 27, 52, 59, 68, 77, 89, 92, 98, 118-19 \| \| Papi \| 77 \| \| Pedath \| 83 \| \| Peor \| 99 \| \| Pharaoh \| 152-4 \| \| Phineas \| 74 \| \| Pinhas (R.) \| 2, 10, 33, 47, 53, 63, 80, 86, 90, 93, 98, 134, 152-4 \| \| Rab \| 30, 31, 35, 40, 67, 71, 74, 77-9, 81, 87-8, 89, 94, 107, 113, 115, 118, 124, 127, 130, 133-5, 139, 141-3, 145-8, 150, 153, 161, 172 \| \| \| b. Juda \| 78 \| \| Rabbi \| 9, 30, 31, 81, 89, 91, 103, 116, 124, 128-9 \| \| Rachel \| 166 \| \| Rahab \| 50, 90-1 \| \| Roma \| 157 \| \| Sabuel \| 161 \| \| Salomo \| 28, 33, 86, 161 \| \| Samei \| 23 \| \| Samlai \| 110, 150-1 \| \| Samson b. Akiba \| 124 \| \| Samuel (pro.) \| 77 \| \| \| (R.) 4, 9, 21, 22, 24, 30, 46, 52, 70-1, 74, 81, 88-9, 93-4, 104, 113, 118, 123, 126, 130, 133-5, 139, 140-1, 144-8, 150, 158-9 \| \| \| b. Aba \| 49 \| \| \| b. Abdima \| 62, 128 \| \| \| b. Hanina \| 42 \| \| \| b. Hiya \| 4 \| \| \| b. Imi \| 114 \| \| \| b. Isaac \| 47, 53-4, 58, 61, 69, 70, 106, 140 \| \| \| b. Mena \| 24 \| \| \| b. Nahman \| 11, 21, 33, 74, 86, 91, 102, 111, 120, 128, 150, 160-1 \| Samuel, b. Nathan, 24. ——— b. Sadoe, 61. ——— b. Shiloth, 130. ——— b. Zutai, 6. Sara, 28. Sarpite, 101-2. Saul, 37. Sehora, 80. Seforis, 49, 59, 63, 81, 87, 94, 99, 146, 173. Seleucides, 75, n. Sera, 67. Shabtai, 140. Shamai, 18, 69, 120, 122, 137-9, 141-4, 147. Shenar, 78. Shesheth, 89, 127. Shila, 94. Sidania, 89. Sidon, 59, 89. Siḥnin, 77. Simon, 5, 12, 13, 20, 22, 23, 32-3, 40, 47, 56, 64, 75, 80, 85, 94, 103, 106, 116, 124, 129, 133-4, 163, 167, 172. ——— b. Aba, 19, 31-2, 70, 89, 90, 104, 107, 135. ——— b. Azāi, 170. ——— b. Eleazar, 12, 56, 70, 142, 163. ——— b. Gamuliel, 53, 57, 70, 132, 163. ——— b. Halafta, 7, 45, 71, 77, 93. ——— b. Yohai, 12, 17, 100, 162, 172. ——— b. Lakish, 8, 9, 48, 57, 100, 112, 124, 126, 140, 155, 162, 173. ——— b. Levi, 146. ——— b. Nahman, 86, 124. ——— b. Shetah, 130-1. ——— Tossefta, 63. ——— b. Yosadaq, 31. ——— b. Yosse, 39. ——— b. Zebid, 51-2. ——— Kamatria, 160. Sinai, 97. Sodom, 6. Sofim, 170. Somkos, 30. Sunamite, 91. Tabione, 30. Tahlifa, 10, 130. Tanḥoom, 4, 44-5, 75, 101-2, 112, 146, 148-9, 154. ——— b. Hanina, 90, 154. ——— b. Ḥiya, 19, 99, 110. Tanḥoom Isblostika, 84. ——— b. Jéremie, 95, 133. ——— b. Juda, 115, 136, 168. Tarmossra, 36-7. Tarfon, 18, 19, 124. Tebon, 42. Tiberias, 53, 139, 146, 153, 173. Tobee, 13, 49. Todros, 13. Tuba, 58. Turnus Rufus, 169. Tyr, 60. Ursicinus, 99. Vespasian, 154. Yabne, 20, 85. Yammia, 82. Yanai, 35, 60-1, 68, 81, 83, 87-8, 93-4, 100, 105, 117, 120, 152, 166. ——— Zeiri, 58. ——— b. Ismael, 162. Yassa, 53-4, 90, 97, 133. Yavan, 75. Yehia. See Ḥiya. Yohanan, 2, 5, 8, 10, 17, 22, 23, 25, 31-3, 35-8, 40, 46, 48, 52, 57, 60, 70, 76-9, 81, 86, 89, 90, 94-8, 103-5, 107, 112-13, 121, 126-8, 133-6, 145-7, 150, 155-6, 161-2, 165, 172. ——— b. Jacob, 89. ——— b. Levi, 79. ——— b. Zacū, 35, 85. Yona, 34, 42, 44, 57, 61, 66, 69, 71, 74, 79, 87, 90, 94, 99, 116-17, 126, 136, 141, 161, 165, 172. Yonathan, 39, 47, 100, 124, 128, 150. Yoshia. See Josua, or Oshia. Yossa, 2, 5, 10, 16, 17, 22, 23, 26, 29, 31, 40-2, 46-9, 56-9, 61, 65-8, 70, 75, 77, 79, 80, 87, 89, 94, 97, 99, 100-1, 106, 113, 116-9, 120-2, 126, 129, 134-7, 139, 140, 159, 163, 170. ——— b. Abin, 20, 47, 69, 71, 92. ——— b. Aboon, 3, 5, 6, 11, 21, 55, 77, 79, 82, 97, 105-6, 113, 115, 133, 156, 161, 165, 170, 172. ——— b. Cahana, 141. ——— b. Eleazar, 130. ——— Galilean, 30, 31, 61, 102, 121, 133. ——— b. Halafta, 49, 51, 63, 66-8. Yossa b. Hanina, 49, 61, 69, 73, 77, 97, 106, 136, 140, 146, 156. — b. Hoona, 41. — b. Jacob, 163. — b. Jose, 68. — b. Juda, 170. — b. Nehoraï, 161, 165. — b. Nezera, 172. — b. Rabbi, 138. — b. Saül, 129. — b. Simon, 172. Yustes, b. Shoonam, 147. Zabdi, 16, 69. Zaccai, 70. Zebi, 69. Zeira, 2, 11, 12, 22, 23, 27, 31-2, 37-9, 51-5, 58, 60-1, 70, 76, 79, 81, 86-9, 90, 94-5, 102-4, 108, 113-4, 117, 120-3, 126-7, 130, 132-6, 138-9, 141-3, 146-9, 154, 156, 159, 163-4, 172. — b. Abahoo, 154. — b. Hanina, 97. Zerikan, 9, 36, 96, 114, 136-7. Zibeon, 144. Zinoon, 174. Zoar, 5. BIBLICAL CONCORDANCE (IN ACCORDANCE WITH THE HEBREW TEXT). Genesis i. 1, p. 150; 4, p. 146; 6, p. 8; 14, p. 161; 26, pp. 57, n., 151. ii. 1, 3, 4, p. 9; 10, p. 7. iii. 15, p. 145. viii. 21, p. 69. xi. 2, p. 78. xvi. 11, p. 28. xvii. 5, p. 27; 19, p. 28. xviii. 1, p. 75. xix. 15, p. 6; 23, p. 56; 27, p. 74. xxiv. 63, p. 74. xxvii. 28, p. 102; 29, p. 149. xxviii. 13, p. 86. xxx. 22, p. 166; 24, p. 166. xxxiv. 15, p. 147. xxxvi. 24, p. 144. xli. 44, p. 112. xlii. 5, p. 133; 28, p. 52. xliv. 3, p. 5. xlviii. 17, p. 85. Exodus ii. 15, p. 152. iv. 11, p. 153. xii. 1-16, p. 34; 12, p. 14. xiii. 9, pp. 37, 64; 10, p. 36. Exodus xv. 10, p. 78; 11, p. 152; 17, p. 25, p. 99; 26, p. 41. xvi. 21, p. 75. xviii. 4, p. 152. xix. 13, p. 157; 15, p. 67; 21, p. 5. xx. 5, p. 151; 24, p. 90; 26, p. 5; (Décal.) p. 20. xxii. 18, p. 37; 20, p. 156. xxiii. 25, p. 128. xxiv. 12, p. 112. xxxviii. 23, p. 85. xxxix. 3, p. 8. Levit. i. 4, 5, p. 11. ii. 6, p. 115, n. v. 16, p. 3. vi. 2, p. 14, n. vii. 2, 15, p. 14, n. xv. 2, p. 71, n. xvi. 16, p. 68. xix. 24, p. 112. xxi. 1, p. 58, n. xxii. 6, p. 4, n.; 7, p. 1, n.; 40, pp. 106, 164. xxvi. p. 80. Levit. xxvii. 18, p. 163. Numbers vi. 23, p. 110. xv. 38, 39, pp. 15, 35; 37, pp. 26, 34; 39, p. 64. xvi. 21, 24, p. 133. xvii. 10, p. 133. xix. p. 126, n. xxiii. 22, 24, p. 21. xxviii. 4, pp. 75-6. xxxi. 19, p. 13. Deuter. i. 6, 8, p. 39. iii. 25, p. 127. iv. 5, 9, p. 99; 6, p. 42; 7, pp. 152-3, 155; 32, p. 150. vi. 4, p. 63; 5, pp. 167-8; 7, pp. 18, 96; 9, p. 64; 13, p. 169. vii. 3, p. 156; 14, p. 148. viii. 8, p. 119, n.; 10, pp. 2, 64, 127. xi. 12, p. 158; 13, pp. 34, 73; 19, pp. 37, 63; 21, p. 8. xiii. 2, p. 19. xiv. 25, p. 47. xvi. 3, pp. 26, 56. xvii. 11, p. 19. xxii. 6, 7, p. 106; 9, p. 112. xxiii. 5, p. 99; 6, p. 100; 14, p. 170, n. xxviii. p. 80; 2, p. 100. xxxii. 3, p. 128; 35, p. 147. xxxiii. 23, p. 136. Joshua ii. 6, p. 124; 15, p. 91. vi. 12, p. 171; 23, p. 91. vii. 20, p. 171. xxii. 22, p. 151. Judges vi. 12, p. 172. vii. 12, p. 9. xviii. 30, pp. 160-1. 1 Sam. i. 3, p. 172; 12, p. 78; 13, pp. 73, 152; 22, p. 77. ii. 3, p. 89; 10, p. 86. ix. 13, p. 128. xxvi. 6, p. 149. 2 Sam. vii. 12, p. 33. xii. 24, p. 28. xiii. 5, p. 113, n. xv. 32, p. 90. xix. 3, p. 49. xxvi. 6, p. 149. 1 Kings v. 3, p. 92. viii. p. 86; 28, p. 90; 30, p. 92; 44, pp. 90-2; 48, p. 92; 54, p. 23. xiii. 2, p. 28; 11, p. 161. 1 Kings xvii. 1, 21, p. 101. xviii. 1, p. 101. xix. 11, p. 160. xxii. 23, p. 168. 2 Kings ii. 11, pp. 96-7. iii. 15, p. 10. iv. 10, p. 91. xx. 2, p. 90. Isaiah i. 15, p. 78. vi. 2, p. 137. x. 34, p. 45. xii. 6, p. 26. xiv. 23, p. 149. xxvi. 19, p. 102; 20, p. 131. xxvii. 3, p. 164. xxviii. 22, p. 53. xxix. 23, p. 43. xl. 2, p. 96; 22, p. 79; 17, p. 156. xliii. 18, 19, p. 28. xliv. 9, p. 147; 27, p. 77. xlv. 7, p. 42, n., 146; 8, p. 163. xlvi. 7, p. 152. xlix. 21, p. 157. l. 4, p. 147. li. 21, p. 96. lii. 10, p. 151. liv. 13, p. 173. lv. 6, p. 98; 7, p. 43. lvi. 7, pp. 43, 92. lvii. 16, p. 159; 19, p. 111. lxv. 24, p. 88. lxvi. 90, p. 98. Jer. iv. 19, p. 91. vii. 17, p. 74.; 18, p. 3, n. viii. 4, p. 167. x. 10, p. 34. xviii. 6, p. 166. xxii. end, p. 96. xxiii. 7, p. 27. xxv. 30, p. 158. xxvii. 18, p. 74. xxxi. 13, p. 99. l. 12, p. 162. li. 29, p. 159; 39, p. 156; 49, p. 78. Ezek. i. 7, p. 6, 152; 26, pp. 15. viii. 16, p. 92. xviii. 32, p. 39. xxxvi. 8, p. 44. xli. 1, p. 92. xliii. 8, p. 91. Hosea iii. 5, p. 44. v. 15, p. 92. Hosea vi. 2, p. 101; 3, p. 98. Joel iii. 5, p. 153. Jonah i. 4, p. 160. ii. 11, p. 153. Amos iv. 12, p. 40. Micah v. 6, p. 102. vi. 5, p. 22. vii. 8, p. 7. Zech. ii. 9, p. 87. xiv. 5, p. 159. Malachi ii. 5, pp. 24, 74; 10, p. 44. iii. 10, p. 172. Psalm i. 2, pp. 20, 65; 3, p. 7. ii. 11, p. 97. iv. 4, p. 11. x. 17, p. 111. xii. 9, p. 98. xvi. 2, p. 12; 8, p. 39; 10, p. 83. xviii. 51, p. 44. xix. 8, p. 108; 14, p. 11. xx. 2, p. 11; 15, p. 89. xxiv. 1, p. 112. xxix. 2, p. 97; 5, p. 44; 10, 11, p. 45. xxx. 12, p. 99. xxxii. 6, p. 77. xxxiii. 6, p. 96. xxxiv. 8, p. 173. xxxvii. 32, p. 153. xl. 1, p. 173. xlii. 8, p. 163. xlvi. 12, p. 97. xlvii. 9, p. 151. l. 1, p. 151; 23, p. 45. li. 16, p. 89. lv. 18, p. 73; 23, p. 154. lvi. 5, p. 33. lvii. 9, p. 10. lviii. 3, p. 28. lx. 18, p. 73. lxii. 5, p. 33. lxiii. 12, p. 106. lxv. 2, p. 150. lxvii. 14, p. 151. lxviii. 24, p. 151; 36, p. 134; 27, p. 132. lxxi. 7, p. 115; 23, p. 24. lxxii. 5, p. 16; 16, p. 114. lxxvii. 14, p. 151. lxxxii. 2, p. 98. lxxxiv. 6, p. 98; 13, p. 97. xcii. 7, p. 71. xcii. 1, p. 86; 9, p. 167. Psalm ci. 1, p. 168. cii. 1, pp. 74, 90, 152. ciii. 3, pp. 35, 43; 20, 21, 22, p. 6. civ. 32, p. 158. cv. 44, p. 27. cvi. 2, p. 150; 30, p. 74. cvii. 28, p. 87. cviii. 8, p. 151. cix. 22, p. 169. cx. 3, 4, p. 102. cxii. 7, p. 166. cxiii. 3, p. 42. cxvi. 3, 13, p. 168; 27, p. 43. cxix. 62, p. 9; 126, pp. 171-2; 148, p. 9; 164, p. 20. cxxii. 1, p. 33; 6, p. 33. cxxvi. 1, p. 44. cxxxi. 1, p. 40. cxxxiv. 1, 2, 3, p. 6; 2, p. 11. cxxv. 1, p. 148; 10, p. 85. cxxix. 11, p. 145. cxl. 14, p. 98. cxli. 3, p. 77. cxlii. 4, p. 159. cxlv. 1, p. 149; 14, pp. 74, 98; 19, p. 101. cxlvi. 5, 6, p. 154; 8, p. 24. cxlviii. 14, p. 155. Prov. ii. 5, p. 89. iv. 8, p. 131. v. 18, p. 40; 19, p. 100. viii. 27, p. 7; 34, p. 98. x. 22, p. 49. xi. 2, p. 98; 8, p. 153. xiv. 23, p. 77. xv. 25, p. 156. xvii. 5, p. 39. xxi. 3, p. 33. xxii. 9, p. 84, n.; 22, p. 120. xxiii. 22, pp. 171-2; 26, p. 21. xxv. 25, p. 162. Job i. 19, p. 160; 21, p. 168. ii. 13, p. 57. xiv. 16, p. 98. xxii. 14, p. 7. xxvi. 10, p. 163. xxvii. 1-2, p. 52. xxviii. 1, 2, p. 51. xxix. 8, p. 32. xxxvi. 24, p. 157. xxxvii. 3, p. 145; 18, p. 8; 20, 23, p. 150; 21, p. 161. Job xxxviii. 12, p. 146; 36, p. 157; 37, p. 158. Song iv. 4, p. 92. vi. 2, p. 50. vii. 5, p. 153. viii. 10, pp. 19, 33. Ruth ii. 4, p. 171. Lament. v. 22, p. 96. Eccles. ii. 14, p. 19. iii. 2, p. 40. iv. 17, p. 40. v. 1, p. 170; 11, p. 51. vii. 2, p. 62; 12, p. 131. ix. 4, p. 155; 5, p. 39. x. 8, pp. 13, 19. xii. 13, p. 52. Esther iv. 2, p. 170. viii. 9, p. 42. ix. 27, p. 171. Daniel i. 6, p. 149. iii. 28, p. 153. vi. 11, p. 73; 23, p. 153. vii. 16, p. 6. Daniel ix. 4, p. 134. Ezra viii. 28, p. 144. Nehemiah iv. 7, p. 28; 15, 16, p. 2. viii. 6, p. 134. ix. 5, p. 171; 8, p. 169. xiii. 2, p. 22. 1 Chron. xxix. 11, 12, p. 24. 2 Chron. ii. 15, p. 93. xviii. 31, p. 154. Ben Sirah xi. 1, p. 131. Matthew viii. 22, p. 39, n. x. 9, p. 170, n. xiii. 31, p. 97, n. xv. 19, p. 21, n. xx. 1, 17, p. 51, n. xxiii. 5, p. 35, n. Mark ii. 7-19, p. 45, n. iv. 31, p. 97, n. vii. 21, p. 21, n. Luke xiii. 19, p. 97, n. xvii. 6, p. 97, n. Acts x. 9, p. 1, n. The following is a list of the books and pamphlets which have been published by the American Institute of Biological Sciences: 1. The American Institute of Biological Sciences: Its History, Organization, and Activities (1920) 2. The American Institute of Biological Sciences: Its History, Organization, and Activities (1925) 3. The American Institute of Biological Sciences: Its History, Organization, and Activities (1930) 4. The American Institute of Biological Sciences: Its History, Organization, and Activities (1935) 5. The American Institute of Biological Sciences: Its History, Organization, and Activities (1940) 6. The American Institute of Biological Sciences: Its History, Organization, and Activities (1945) 7. The American Institute of Biological Sciences: Its History, Organization, and Activities (1950) 8. The American Institute of Biological Sciences: Its History, Organization, and Activities (1955) 9. The American Institute of Biological Sciences: Its History, Organization, and Activities (1960) 10. The American Institute of Biological Sciences: Its History, Organization, and Activities (1965) 11. The American Institute of Biological Sciences: Its History, Organization, and Activities (1970) 12. The American Institute of Biological Sciences: Its History, Organization, and Activities (1975) 13. The American Institute of Biological Sciences: Its History, Organization, and Activities (1980) 14. The American Institute of Biological Sciences: Its History, Organization, and Activities (1985) 15. The American Institute of Biological Sciences: Its History, Organization, and Activities (1990) 16. The American Institute of Biological Sciences: Its History, Organization, and Activities (1995) 17. The American Institute of Biological Sciences: Its History, Organization, and Activities (2000) 18. The American Institute of Biological Sciences: Its History, Organization, and Activities (2005) 19. The American Institute of Biological Sciences: Its History, Organization, and Activities (2010) 20. The American Institute of Biological Sciences: Its History, Organization, and Activities (2015) 21. The American Institute of Biological Sciences: Its History, Organization, and Activities (2020) The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper: - Demographic Data: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of the population being studied. - Behavioral Data: Information about the behaviors and activities of individuals or groups, such as their consumption habits, travel patterns, social interactions, and use of technology. - Health Data: Information about the health status and outcomes of individuals or populations, including their medical history, symptoms, diagnoses, treatments, and health-related behaviors. - Environmental Data: Information about the physical and chemical properties of the environment, such as air quality, water quality, noise levels, and radiation exposure. - Economic Data: Information about the economic conditions and activities of individuals or populations, including their income, wealth, employment, and financial transactions. - Social Data: Information about the social relationships and interactions of individuals or groups, such as their family structures, friendships, community involvement, and participation in civic and political activities. - Educational Data: Information about the educational experiences and outcomes of individuals or populations, including their academic performance, graduation rates, and post-secondary education attainment. - Legal Data: Information about the legal status and actions of individuals or populations, including their criminal records, court proceedings, and legal proceedings. - Political Data: Information about the political preferences and activities of individuals or populations, including their voting behavior, party affiliation, and participation in political campaigns and elections. - Religious Data: Information about the religious beliefs and practices of individuals or populations, including their attendance at religious services, participation in religious organizations, and adherence to religious teachings. - Cultural Data: Information about the cultural traditions and practices of individuals or populations, including their language, customs, and artistic expressions. - Technological Data: Information about the use of technology by individuals or populations, including their access to and use of computers, smartphones, tablets, and other digital devices. - Geospatial Data: Information about the location and movement of individuals or populations, including their addresses, coordinates, and travel routes. - Biometric Data: Information about the physical and genetic characteristics of individuals, such as their fingerprints, DNA, and facial recognition data. - Financial Data: Information about the financial transactions and assets of individuals or populations, including their bank accounts, credit cards, investments, and tax returns. - Internet Data: Information about the online activities and interactions of individuals or populations, including their web browsing history, social media usage, and online purchases. - Mobile Data: Information about the mobile phone usage and location of individuals or populations, including their call logs, text messages, and GPS coordinates. - Sensor Data: Information about the readings from various sensors, such as temperature, humidity, light, sound, and motion sensors, which can be used to monitor and analyze environmental conditions and human activities. These are just a few examples of the many types of data that can be collected and analyzed using the methods described in this paper. The specific types of data that are relevant to a particular study will depend on the research question and the goals of the analysis. The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper. 1. Demographic Data: This includes information such as age, gender, race/ethnicity, education level, income, employment status, and marital status. Demographic data can be used to identify trends and patterns in consumer behavior, which can help businesses make informed decisions about their marketing strategies. 2. Behavioral Data: This includes information about how consumers interact with products or services, such as purchase history, browsing behavior, and search queries. Behavioral data can be used to understand customer preferences and needs, which can help businesses improve their products and services. 3. Geospatial Data: This includes information about the location of consumers, such as their zip code, city, state, and country. Geospatial data can be used to identify areas where there is a high concentration of potential customers, which can help businesses target their marketing efforts more effectively. 4. Social Media Data: This includes information about what consumers are saying online, such as their tweets, posts, and comments. Social media data can be used to monitor public opinion and sentiment, which can help businesses stay ahead of emerging trends and issues. 5. Financial Data: This includes information about the financial transactions of consumers, such as their credit card purchases, bank account balances, and investment portfolios. Financial data can be used to assess the financial health of consumers, which can help businesses make informed decisions about their lending and underwriting policies. 6. Healthcare Data: This includes information about the health and wellness of consumers, such as their medical records, prescription drug usage, and fitness tracking data. Healthcare data can be used to identify potential health risks and opportunities for improvement, which can help businesses develop targeted interventions and programs. 7. Environmental Data: This includes information about the natural environment, such as weather patterns, air quality, and water quality. Environmental data can be used to monitor and predict changes in the environment, which can help businesses adapt to new challenges and opportunities. 8. Educational Data: This includes information about the educational attainment of consumers, such as their school attendance, graduation rates, and test scores. Educational data can be used to assess the effectiveness of educational programs and policies, which can help businesses support and promote lifelong learning. 9. Legal Data: This includes information about the legal status of consumers, such as their criminal records, civil lawsuits, and regulatory compliance. Legal data can be used to assess the risk and liability of consumers, which can help businesses make informed decisions about their operations and partnerships. 10. Political Data: This includes information about the political affiliations and opinions of consumers, such as their voting history, campaign contributions, and social media activity. Political data can be used to monitor and predict political trends and outcomes, which can help businesses adapt to new political landscapes and opportunities. In conclusion, the collection and analysis of data can provide valuable insights into the behavior, preferences, and needs of consumers. By leveraging these insights, businesses can improve their products and services, enhance their marketing strategies, and stay ahead of emerging trends and issues. RETURN TO the circulation desk of any University of California Library or to the NORTHERN REGIONAL LIBRARY FACILITY Bldg. 400, Richmond Field Station University of California Richmond, CA 94804-4698 ALL BOOKS MAY BE RECALLED AFTER 7 DAYS • 2-month loans may be renewed by calling (510) 642-6753 • 1-year loans may be recharged by bringing books to NRLF • Renewals and recharges may be made 4 days prior to due date. DUE AS STAMPED BELOW MAY 02 1999 GENERAL LIBRARY - U.C. BERKELEY B000970150
EEG delta oscillations as a correlate of basic homeostatic and motivational processes Gennady G. Knyazev* Institute of Physiology, Siberian Branch of the Russian Academy of Medical Sciences, Timakovka str., 4, Novosibirsk, 630117, Russia Article history: Received 23 July 2011 Received in revised form 23 September 2011 Accepted 8 October 2011 Keywords: Delta oscillations EEG Evolution Motivation Salience detection Attention Abstract Functional significance of delta oscillations is not fully understood. One way to approach this question would be from an evolutionary perspective. Delta oscillations dominate the EEG of waking reptiles. In humans, they are prominent only in early developmental stages and during slow-wave sleep. Increase of delta power has been documented in a wide array of developmental disorders and pathological conditions. Considerable evidence on the association between delta waves and autonomic and metabolic processes hints that they may be involved in integration of cerebral activity with homeostatic processes. Much evidence also supports involvement of delta activity in motivation. They increase during hunger, sexual arousal, and in substance users. They also increase during panic attacks and sustained pain. In cognitive domain, they are implicated in attention, salience detection, and subliminal perception. This evidence shows that delta oscillations are associated with evolutionary old basic processes, which in waking adults are overshadowed by more advanced processes associated with higher frequency oscillations. The former processes rise in activity, however, when the latter are dysfunctional. © 2011 Elsevier Ltd. All rights reserved. Contents 1. Introduction ........................................................................................................................................... 678 1.1. MacLean's triune brain concept .................................................................................................. 678 1.2. Delta oscillations from an evolutionary perspective ................................................................. 679 2. Delta oscillations and basic biological processes .................................................................................. 680 2.1. Delta oscillations in lower vertebrates ....................................................................................... 680 2.2. Delta oscillations and development ............................................................................................ 680 2.3. Delta oscillations and sleep ........................................................................................................ 681 2.4. Delta activity and autonomic regulation ..................................................................................... 682 2.5. Pathological states and delta oscillations .................................................................................. 682 2.6. Interim discussion ...................................................................................................................... 684 3. Delta oscillations, motivation, and cognition ....................................................................................... 684 3.1. The place of generation of delta activity .................................................................................... 684 3.2. Delta oscillations and motivation .............................................................................................. 685 3.2.1. Delta oscillations and the brain reward systems ................................................................. 685 3.2.2. Delta oscillations and primitive defensive mechanisms ..................................................... 688 3.3. Cognitive processing and delta oscillations ............................................................................... 689 3.4. Conclusion .................................................................................................................................. 689 4. General Conclusion ............................................................................................................................. 689 Acknowledgements .................................................................................................................................. 689 References .................................................................................................................................................. 690 * Tel.: +7 383 333 48 65; fax: +7 383 332 42 54. E-mail address: firstname.lastname@example.org 0149-7634/$ – see front matter © 2011 Elsevier Ltd. All rights reserved. doi:10.1016/j.neubiorev.2011.10.002 1. Introduction Some time ago electroencephalogram (EEG) was considered to be useful only for making inferences about global states of sleep and wakefulness (e.g. Duffy, 1962; Thayer, 1989). The recent resurgence of interest in neuronal oscillations is a result of several developments, which showed that mammalian cortical neurons form behavior-dependent oscillating networks that bias input selection, temporally link neuronal assemblies, and facilitate synaptic plasticity (Buzsaki and Draguhn, 2004). The synchronous activity of oscillating networks is now viewed as the critical “middle ground” linking single-neuron activity to behavior. Growing body of evidence suggests that different levels of cerebral integration mediated by spatial and temporal synchrony over multiple frequency bands could play a key role in the emergence of percepts, memories, emotions, thoughts, and actions (Cantero and Atienza, 2005; Nunez, 2000; Varela et al., 2001). This understanding implies that different frequency oscillations must be associated with different processes. Ongoing and event-related oscillations are usually categorized into five frequency bands: delta (0.5—3.5 Hz), theta (4—7 Hz), alpha (8—12 Hz), beta (13—30 Hz), and gamma (>30 Hz). These five bands could be meaningfully divided into two categories. Delta, theta, and alpha oscillations are examples of the so-called global processing modes which span relatively large cortical regions and have been hypothesized to serve the purpose of integration across diverse cortical sites by synchronizing coherent activity and phase coupling across widely spatially distributed neural assemblies. Oscillations of beta, gamma, or even, or local EEG activity, are higher in frequency, lower in amplitude, and distributed over a more limited topographic area (Nunez, 1995). It is suggested that dynamic coordination at a timescale of hundreds of milliseconds (such as delta oscillation) may be essential for optimization of distributed representations in the brain, whereas patterns of synchronous local interactions may be coordinated dynamically on a faster timescale. Processes occurring at these two timescales can mutually constrain each other through mechanisms of time-dependent plasticity and experience-dependent consolidation of architectures selected by synchronization (Engel et al., 2010). Fast oscillations (beta and gamma) are essential for coordination of computations in tens of millisecond range in specific cognitive processes. Slow oscillations modulate fast oscillations on a higher level of hierarchy and thus determine the general mode of processing. Highly localized computations may be able to oscillate at higher frequencies while more complex, integrative, or inherently slower computations may result in slower oscillations (Engel et al., 2010). Therefore, oscillations are hierarchically organized with slower oscillations being at higher levels of the hierarchy, meaning they are linked to more basic and general classes of processes). A large body of evidence suggests that oscillatory activity in all frequency bands is linked to a broad variety of perceptual, sensorimotor, and cognitive operations (Singer, 1999; Basar et al., 2000; Klimesch, 1996; Palva and Palva, 2007). This evidence, however, yields a rather complex picture. While it provides clear cases of task- or context-related modulation of different frequency bands, it does not yet allow making conclusions regarding functional significance of these bands. One way to approach this difficult question would be from an evolutionary perspective (Knyazev and Slobodskaya, 2003; Knyazev et al., 2004). Such approach is inevitably speculative, but having considerable explanatory value it allows unifying data coming from different research domains. The evolutionary interpretation of brain oscillations mostly considers the global mode oscillations of delta, theta, and alpha ranges. It suggests that these three oscillatory modes are associated with brain systems that have different significance at different evolutionary stages. Specifically, delta oscillations are associated with the most ancient system, which was dominant in the brain of lower vertebrates (reptilian, amphibian, and fish). Theta oscillations dominate in lower mammals. Alpha oscillations are associated with the most advanced system, which dominates in adult humans (Knyazev and Slobodskaya, 2003). This idea is clearly reminiscent of the well known triune brain concept by Paul MacLean (MacLean, 1990), but Knyazev et al. (2004) emphasized that the truine brain concept was used more as a metaphor and the three oscillatory systems do not have to correspond exactly to the anatomical borders of their three brains of the MacLean’s model. This review will concentrate on delta oscillations. First, predictions derived from the evolutionary point of view will be formulated. Next, available empirical evidence will be matched against these predictions. But I begin by discussing the viability of the truine brain concept. 1.1. MacLean’s truine brain concept MacLean originally formulated his model in the 1960s and pro- pounded it at length in his 1990 book (MacLean, 1990). It posits that evolutionary processes have endowed humans with essentially three brains: the reptilian complex, the paleomammalian complex, and the neomammalian complex, viewed as structures sequentially added to the forebrain in the course of evolution. The reptilian complex was the name MacLean gave to the set of brain structures comprising the brain stem including much of the reticular system and basal ganglia. MacLean contended that the reptilian complex was responsible for species typical instinctual behaviors involved in aggression, dominance, territoriality, and ritual display. The paleomammalian complex consists of the thalamus, amygdala, hypothalamus, hippocampal complex, and the cingulate cortex. Most of these structures are parts of the so-called limbic system (the term coined by MacLean), and MacLean maintained that these structures were responsible for the motivation and emotion involved in feeding, reproductive behavior, and parental behavior. The neomammalian complex consists of the cerebral neocortex. MacLean regarded its addition as the most recent step in the evolution of the human brain, conferring the ability for language, abstraction, planning, and perception. Subsequent findings have invalidated the traditional neuroanatomical ideas upon which MacLean based his hypothesis. The model of evolution characterized by accretion of parts that MacLean proposed has been entirely replaced by another model that emphasizes conservation of fundamental segmental structure (Rubinstein et al., 1994, 1998). For instance, most areas of neocortex (the neomammalian complex in the MacLean’s model) have homologues in amphibian and other vertebrate brains, suggesting that the mammalian neocortex was not added like icing onto an already baked cake, but was radically transformed from the outset of presozos (Striedter, 2005). Moreover, Striedter (2005) observes that “brains are like companies – they must reorganize as they increase in size in order to stay functional” (p. 127). Firstly, the brain’s average connection density must decrease with increasing brain size: otherwise the number of axons would increase explosively with neuron number, racking up enormous costs in terms of space and metabolic energy (Striedter, 2005). This decrease in average connection density implies that brains become more modular, both structurally and functionally, as they increase in size (Jacobs and Jordan, 1992). Local connections alone place major constraints on global synchrony in growing brains. The densely connected local neuron networks are supplemented by a small fraction of long-range connections (Braitenberg and Schutz, 1998). Despite the progressively decreasing fraction of long-range connections in larger brains, synchronization of local and distant networks can be readily accomplished by oscillators because of the low energy costs involved in coupling rhythms (Buzsaki and Draguhn, 2004). That means that significance of oscillations must increase in large brains. Available evidence shows that this is indeed the case. Invertebrates have much more obvious unit spiking than vertebrates, but much less relative amplitude of slow (<50 Hz) waves (Bullock, 1993). EEG-like activity could be recorded in the octopus brain but not in other, less developed invertebrates (Bullock, 1984; Bullock and Basar, 1988). Among vertebrates the degree of synchronization also increases during evolution. There is evidence of less synchrony or more rapid coherence decline with distance in reptiles, amphibians, and fish than in mammals (Bullock, 1984; Bullock and Basar, 1988). Secondly, the principle ‘late equals large’ causes late-born regions, such as the neocortex, to become disproportionately large as absolute brain size goes up (Striedter, 2005). As brain regions increase in absolute and/or proportional size, they frequently change in internal organization. Another principle that helps explain some variation in neuronal connectivity is Deacon’s (1990) displacement hypothesis, which Striedter (2005) calls the rule of ‘large equals well-connected’. It holds that, whenever a brain region increases in proportional size, it tends to receive more inputs and project to more targets than it did ancestrally. The human neocortex projects directly to and throughout the brain stem and spinal cord (Barrett et al., 2007). As a result, humans (and other great apes) have greater direct and indirect cortical control over the subcortex and spinal cord than do rats, allowing greater autonomic and behavioral diversity and flexibility. All these recent developments largely invalidate evolutionary ideas that were put in the base of the MacLean’s truine model. However, this model continues to hold interest for some psychologists and neurobiologists of the general public because of its focus on the recognizable difference between most reptiles, early mammals, and later mammals. Reasons for the success are its simplicity: the theory in this form recognizes three major evolutionary periods in the development of the brain that are characterized by three recognizably distinct ways of solving adaptive challenges. The three functional domains described by the original truine model, wherever located, remain useful organizing themes and concepts. Indeed, it is difficult to deny that evolution tends to preserve devices that proved to be useful at a certain stage, and late-born more advanced devices do not usually replace the old ones but coexist with them. Thus, neurobiologically, mammals are distinguished mainly by their neocortex, which has non-mammalian precursors but is highly modified and genuinely new. Looking beyond the neocortex, we find that mammal brains are similar, though not identical, to reptile brains (Striedter, 2005). These ‘old’ devices that are preserved in the mammal brain continue to do their job in much the same way they did it in lower vertebrates, though closely supervised by advanced new devices. Much evidence shows that modern advanced brain mechanisms are last to appear and first to extinct in the course of individual development and are most vulnerable to detrimental environmental influences. As Jackson (1958) once famously said, “The higher nervous arrangement inhibit (or control) the lower, and thus, when the higher are suddenly rendered functionless, the lower rise in activity”. Hence, although modern advances in the field of evolutionary neuroscience show that the general picture is much more complicated than perhaps John Huglings Jackson and even Paul MacLean once described, their core idea about coexistence in the human brain of functional domains that in the evolution were associated with distinct ways of solving adaptive challenges is still viable and productive. 1.2. Delta oscillations from an evolutionary perspective The most important difference between the MacLean’s model and the evolutionary interpretation of brain oscillations is that the former deals with anatomically defined parts of the human brain whereas the latter deals with brain oscillations whose relation to specific brain structures is a complicated and not fully resolved question. Contemporary neuroanatomy emphasizes conservation of fundamental segmental structure as the main principle of the evolution of vertebrates (Rubenstein et al., 1994, 1998). Even neocortex, the most advanced part of the mammalian brain, is hypothesized to evolve from tri-laminar reptilian dorsal cortex (Puelles, 2001; Reiner, 1993). Applying this principle to oscillations, it is reasonable to suggest that the three oscillatory systems should exist at all stages of vertebrate evolution. Indeed, beta, theta and alpha rhythms can be found in each vertebrate (Barbar, 1998), but their relative amplitudes are remarkably different in different species. Accordingly, functions, which are presumably linked with the three global oscillatory systems, should be present in all vertebrates, but emphasis and dominance of some functional and behavioral patterns should differ across different species. In this review I will try to defend the thesis that delta oscillations manifest the most ancient oscillatory mode, comparative to higher frequency oscillations. To comply with this thesis, delta oscillations must (1) dominate in EEGs of lower vertebrates (particularly reptiles, the direct mammal’s ancestors). ‘Dominate’ in this context means that they not only must have the highest power in the spectrum (comparative to theta and alpha frequencies), but be the most functionally ‘active’ oscillations, which are more pronounced during typical to these species activity and in response to environmental challenges. (2) In humans, in compliance with the principle first formulated by Jackson (1958), delta oscillations must be more pronounced in conditions that are associated with diminished activity of the ‘higher’ or more advanced ‘nervous arrangements’. These conditions include: (a) earlier developmental stages when ‘higher nervous arrangements’ are not yet in process of maturation; (b) deep sleep, when the brain is in a state of functional decortications (Rial et al., 2007b); (c) pathological states caused by detrimental environmental factors, developmental pathology, or damage to brain tissue. Besides these general predictions, evolutionary interpretation allows a number of more specific predictions about association of delta oscillations with behavior and physiological processes. These predictions could be derived basing on the main premise of the evolutionary interpretation, namely, that the oscillatory system, which dominates the EEG of particular species, should be linked to functions and behavioral patterns that dominate the behavior of these species. The behavior of lower vertebrates is dominated by patterns directly oriented to the acquisition of biologically important goals such as physical maintenance, survival, dominance, and mating. To be adaptive, such behavior requires constant feedback from sensors signaling deviation from optimal homeostasis. Hence, delta activity is expected to be sensitive to internal stimuli signaling such deviations (e.g., during hypoxia, hypoglycemia, fatigue, pain), as well as to the signals signaling a need for sexual activity (e.g., the level of sexual hormones). It should be implicated in monitoring of autonomic functions, such as breathing and heartbeat, because these functions are critical for survival. Since behavior that is oriented to satisfaction of basic biological needs is mostly guided by activity of the brain reward systems, delta oscillations are expected to be sensitive to signals coming from these systems. In particular, that should be evident with respect to drugs of abuse which directly influence the brain reward systems. Because the detection of motivational salience of environmental stimuli is supposed to be the main function of the brain reward systems (Gray, 1999), delta activity is expected to play a leading part in this process. Besides, delta activity is expected to be associated with primitive defense mechanisms which in humans are mostly rudimentary. In the following text, available empirical evidence will be matched against these predictions. This text will be divided into two sections. The first section will review the evidence on the presence of delta oscillations in lower vertebrates and at different developmental and circadian cycle stages, as well as the evidence on association of delta oscillations with autonomic regulation and pathological processes. The second section will review the evidence on the place of generation of delta activity and its association with motivation and cognitive processes. 2. Delta oscillations and basic biological processes 2.1. Delta oscillations in lower vertebrates If delta oscillations indeed represent an evolutionary old oscillatory mode, they must dominate in EEGs of lower vertebrates, particularly during typical for these species behavior. During his fruitful career, Theodore Bullock has undertaken the most considerable effort to collect comparative EEG data. Analysis of these data allowed him to formulate two basic generalizations. The first one reflects a drastic difference in the EEGs between all vertebrates and all invertebrates (with the exception of cephalopods, Bullock, 1984). The typical invertebrate record of ongoing electrical activity is spiky with single unit and compound spikes of one or a few milliseconds width, riding on slow waves that are usually inconspicuous, whereas in all vertebrates, slow waves are omnipresent and relatively stronger. This observation is in line with the above discussed idea that oscillations appear in vertebrates as a mechanism for integration of cerebral activity which is only needed in large brains and is not necessary in small brains of most invertebrates, with the exception of cephalopods, which have relatively larger brains. The second generalization affirms that the raw EEGs of and the power spectra look alike in all vertebrates falling quite steeply on each side of a maximum around 5–15 Hz (Bullock, 1993), meaning that oscillations of all frequency ranges could be found in EEGs of all vertebrates. However, different species differ on which frequency dominates the EEG spectrum. In all poikilotherm vertebrates, the highest EEG power is found in the delta range (Bullock and Basar, 1988; Bullock, 2003; Nicolaua et al., 2000), whereas mammalian EEG is dominated by theta or alpha oscillations. Several studies have been performed recently to directly compare reptilian EEG to that of mammals. To compare the ongoing electrical activity in possibly homologous structures of reptiles and mammals, Gaztelu et al. (1991) recorded the EEG from major parts of the cortex of unanesthetized turtles (Pseudemys) and geckos (Gekko) with and without acute and chronic stimuli. In both species, the EEG spectrum was dominated by a single maximum at about 2 Hz. The immobility-related theta activity, so characteristic of the hippocampus in a number of mammals, was also found in the medial cortex (the possible homolog of the mammalian hippocampus) of either species of reptile under a variety of conditions. De Vera et al. (1994) computed the power spectrum of Caltotia galloti lizard’s EEG at different body temperatures. EEG power spectra were mainly characterized by a low frequency peak between 0.5 and 4 Hz which was present at the different body temperatures. Flash evoked potentials were characterized by a slow triphasic component upon which a spindle was superimposed, adopting morphology similar to the K complexes of mammalian sleep. The authors conclude that characteristics of this EEG and evoked potentials support the hypothesis of homology between the waking state of the reptiles and the slow-wave sleep of mammals. This hypothesis was further confirmed by comparing the presence of fractal or nonlinear structure in lizard G. galloti during open and closed eyes with those reported for human slow-wave sleep (Gonzalez et al., 1999). On the other hand, many earlier studies repeatedly recognized the absence of delta waves in EEGs of turtles (Strelkowa and Servit, 1973; Walker and Berger, 1973; Flanigan, 1974; Flanigan et al., 1974), lizards (Flanigan, 1973), snakes (Peytren and Dusan-Peytren, 1969) and crocodiles (Flanigan et al., 1973; Warner and Huggins, 1978). Basing on these observations, Rattenborg (2006) put forward a hypothesis that the evolution of slow waves is linked to the independent evolution of extensive palliopallial connectivity in mammals and birds. The absence of slow waves in sleeping reptiles suggests that the neuroanatomical and neurophysiological traits necessary for the genesis of slow waves evolved independently in the mammalian and avian ancestors and are absent in reptiles (Rattenborg, 2006). This idea has been criticized by Rial et al. (2007a), who noted that the review by Rattenborg (2006) missed important aspects in relation to the characteristics of sleep in poikilotherm vertebrates and in the evolution of sleep. Poikilotherms continuously show an EEG dominated by slow waves, but its highest amplitude appears not during sleep, but during active waking. In addition, they show an arousal reaction which consists in an increase in EEG delta amplitude and synchrony, opposite to mammals and birds (Rial et al., 2007a). Indeed, as Rial et al. (2010) show, the above noted contradiction may be explained by taking into account the relationship between EEG amplitude and animal’s activity: cool and resting reptiles show minimal EEG amplitude. However, warm and active animals show slow waves with amplitudes which often surpass the normative value of 75 μV to be included within the delta EEG range (De Vera et al., 1994). Further, Rial et al. (2010) dismiss the assertion that the reptilian delta waves might be a reflection of respiratory activity (Rattenborg, 2007). They show that although EEG delta and breathing indeed significantly correlate with each other in Gallotia lizards, the power in the low frequency range turns out to be high during apneic episodes while in mammals occlusion occurs in states of maximal arousal. This fact confirms that the highest EEG delta amplitude occurs in these animals in parallel with behavioral activation. The authors conclude that reptilian wakefulness could be named Slow-Wave Wakefulness (Rial et al., 2010). In their comprehensive review of this issue, Rial et al. (2010) propose that (1) the active state of reptiles is a form of subcortical waking, without homology with the cortical waking of mammals; (2) reptilian waking gave origin to mammalian sleep; (3) reptilian basking behavior evolved into non-rapid eye movement sleep (NREM); (4) post-basking risk assessment behavior, with motor suspension, head dipping movements, eye scanning and stretch attending postures, evolved into phasic rapid eye movement sleep (REM); (5) post-basking, goal directed behavior evolved into tonic REM and (6) nocturnal rest evolved to shallow torpor. From this brief review of comparative data we may conclude that there is a clear distinction between mammals and lower vertebrates in the spectral composition of their EEG and its correlation with behavior. During wake, mammalian EEG is dominated by theta and alpha oscillations and typical reactions to environmental events consist of alpha desynchronization and theta synchronization (Klimesch, 1999), although event-related delta enhancement is also frequently observed. During slow-wave sleep (SWS) theta and alpha disappear and delta oscillations dominate the EEG of mammals. In reptiles (and probably other lower vertebrates), theta and alpha oscillations are not conspicuous in the EEG, which in active states is dominated by delta oscillations. The typical reaction to environmental challenges consists of prominent increase of the amplitude of delta waves. During sleep, oscillations (including delta) are extinguished and EEG shows arrhythmic sporadic activity. Table 1 presents a summary of main EEG features in reptiles, rodents, and humans during sleep, quiet wake, and arousal. 2.2. Delta oscillations and development In accord with the principle that ontogeny recapitulates phylogeny, low frequency oscillations dominate the human EEG during early developmental stages. The so-called delta brushes are the dominant pattern of oscillatory activity in the human cortex during the third trimester of gestation (Scher, 2008). Random or briefly rhythmic 0.3–1.5 Hz delta activity of 50–250 µV is associated with a superimposed rhythm of low to moderately faster frequencies of 10–20 Hz. Historically, different authors have described these complexes as spindle delta bursts, brushes, spindle-like fast waves or ripples of prematurity (Scher, 2008). Delta patterns in the central or midline locations are predominant for the infant at less than 28 weeks’ gestation. Other delta rhythms occur in the temporal and occipital locations particularly after 28 weeks’ gestation (Selton et al., 2000). Between 30 and 34 weeks’ postmenstrual age, temporal and occipital delta rhythms become quite prominent and rhythmic, with durations that may exceed 30 s to 1 min (Scher, 2008). In infants who were < or ≥30 weeks of gestation, the median relative power of the delta band increased significantly from 68% on day 1 to 81% on day 4 (Bell et al., 1991; Victor et al., 2005). In healthy infants in the eyes open awake condition, the delta activity does not substantially change at the end of the first year of life, compared with the first month of life, but theta and alpha activity gradually increases (Vladimirov, 1991). During further development, off-resting-state activity, there is a reduction in the amplitude of slow-wave (delta and theta) rhythms, while faster rhythms (alpha, beta, and gamma) increase during childhood and adolescence (John et al., 1980; Matousek and Petersen, 1973). This dynamic is generally considered as a sign of maturation (Clarke et al., 2001). ### 2.3. Delta oscillations and sleep From the standpoint of this review, sleep is an interesting natural model of functional decortication (Rial et al., 2007b), when advanced operational brain systems are inactive and, in accordance with the principle formulated by Jackson (1958), ‘lower nervous arrangements’ must rise in activity. Indeed, in adult humans, delta oscillations are most evident during the slow-wave sleep (SWS) and till now overwhelming majority of delta oscillation-related publications concern sleep. Abundance of these publications precludes their adequate coverage here and reader is referred to many recently published reviews discussing different aspects of sleep including its evolutionary roots (Lee Kavanau, 2002; Rattenborg, 2002; Rattenborg et al., 2004; Rial et al., 2010) and possible functional significance (Diekelmann and Born, 2010; Frank, 2006; Rial et al., 2007b; Vassalli and Dijk, 2009). Most animals have been found to sleep or exhibit a sleep-like state (Siegel, 2005). The fact that animals die when deprived of sleep (Montagna et al., 2003; Rechtschaffen and Bergmann, 2002), indicates that sleep serves a vital function. This function, however, is still a matter of debate (Rechtschaffen and Bergmann, 2002; Siegel, 2005; Stickgold and Walker, 2005; Vertes and Siegel, 2005). Although most animals have sleep-like states, only mammals and birds exhibit the electroencephalographic patterns that characterize the sub-states of mammalian sleep, slow-wave sleep (SWS) and rapid eye movement (REM) sleep (Campbell and Tobler, 1984). The SWS consists in a general slowing of most bodily functions and in a diminished responsiveness to sensory stimuli. The EEG is characterized by high voltage low frequency activity, spindles in the 14 Hz range, and high voltage isolated waves, which often occur either spontaneously or after sensory stimulation (K-complexes). REM sleep shows a deep muscular relaxation, but sudden eye movements and muscular twitches occur. EEG is similar to that of waking with low voltage, mixed frequencies (Nicolaia et al., 2000). The taxonomy of SWS waves is not always clear in humans. Unit recordings have shown that neuronal activity during SWS is characterized by a fundamental oscillation of membrane potential. This so-called ‘slow oscillation’ (<1 Hz) is recorded in all major types of neocortical neurons during SWS (Steriade and McCarley, 2005; Steriade et al., 1993b). Delta rhythm (1–4 Hz) is another characteristic oscillation of SWS. The neural underpinnings of SWS delta rhythm remain uncertain. In the dorsal thalamus, a clock-like delta rhythm is generated by the interplay of two intrinsic membrane currents, although another delta rhythm survives complete thalamectomy (Steriade and McCarley, 2005). Whether the difference between slow waves and delta waves is qualitative or quantitative remains unclear (Dang-Vu et al., 2008). It is suggested that the slow waves are generated directly within cortical circuits, whereas delta rhythm is derived from intrinsic properties of thalamocortical cells and from intracortical network interactions (Steriade and McCarley, 2005). Therefore, the slow and the delta waves should be considered distinct processes. In line with this hypothesis, EEG power densities within slow, and delta frequency bands differ in their dynamics through the night (Achermann and Borbely, 1997). The other hypothesis views slow waves and delta waves as realizations of a unique process, which varies in a continuous parameter space. The amplitude and slope of the waves reflect the level of synchronization achieved in cortical neural ensembles, which depends on the local homeostatically regulated average synaptic strength (Esser et al., 2007). In keeping with this hypothesis, Dang-Vu et al. (2008) have not found significant difference in brain activation when comparing slow waves and delta waves at the macroscopic systems level. Because the distinction between delta oscillations and the ‘slow waves’ (i.e., <1 Hz) is not definitely determined, for the purpose of this review, I will consider all oscillations below 4 Hz as a single phenomenon. Another important question is whether SWS delta and waking delta represent the same oscillation. Studies correlating positron emission tomography (PET) and EEG showed a positive correlation between waking delta and PET metabolism in the medial frontal cortex (Alper et al., 1998, 2008). On the other hand, earlier studies of SWS sleep by using PET (Mauguié, 2000) or block-design fMRI (Kauffmann et al., 2006) found decreased brain activity during SWS sleep, suggesting that SWS delta differs from waking delta in its relation to brain metabolism (e.g. Alper, 1999). However, a later more stringent fMRI study have found only positive correlations between slow waves and delta on the one hand and fMRI BOLD signal on the other (Dang-Vu et al., 2008). Three theories have been proposed to explain the evolution of the two mammalian sleep stages. The ‘REM first’ hypothesis suggests that REM should be considered the primitive sleep (Tauber et al., 1966). The opposite hypothesis (‘SWS first’) was proposed by Allison and collaborators (Allison and Van Twiwer, 1970). Finally, Rial et al. (1993, 2010) proposed that the SWS is the result of converting what could be called the Slow-Wake Waking of poikilotherms into the SWS (Nicolaia et al., 2000). This latter theory has been criticized by Rattenborg (2007) who argued that although waking and active reptiles indeed show delta activity similar to the one observed in mammals during SWS, this activity is still less synchronized or lower in amplitude. Besides, the proposed conversion ### Table 1 Summary of main EEG features in reptiles, rodents, and humans during sleep, quiet wake, and arousal (relevant literature is cited in the text). \| \| Sleep \| Wake \| Arousal \| \|----------------\|--------------------------------------------\|-------------------------------------------\|--------------------------------------------\| \| Reptiles \| No waves, or low amplitude delta \| EEG is dominated by delta \| Increase of delta amplitude + spindles 7–14 Hz \| \| Rodents \| SWS-EEG is dominated by delta \| EEG is dominated by theta \| Increase of theta amplitude + alpha desynchronization \| \| Humans \| SWS-EEG is dominated by delta \| EEG is dominated by alpha \| Mostly alpha desynchronization \| of reptilian wakefulness into SWS is untenable from behavioral, mechanistic, and functional perspectives. A more parsimonious explanation is that the precursor state to SWS in homeotherms was a state comparable to reptilian sleep, rather than wakefulness, with the primary difference being that the reptilian dorsal cortex lacks the interconnectivity necessary to generate sleep-related slow waves in the EEG. Actually, the hypotheses proposed by Rial et al. (1993, 2004) and by Ramnathong (2006) do not seem mutually exclusive. The fact that oscillatory amplitudes and the degree of their synchronization are larger in mammals than in reptiles (Bullock, 1997) is in line with current understanding that the need for oscillation as a mechanism for cerebral integration dramatically increases with increasing brain size. In keeping with that, mammals have larger synchrony of all oscillations, including the delta waves. This, however, may not deny the fact that in mammals delta waves dominate only during SWS, whereas in reptiles they are most pronounced during active waking. Interestingly, both in cats and humans, EEG responses to external stimuli during SWS are predominantly evident in the delta range of frequencies (Basar, 1999), which again is similar to what is observed in waking reptiles. This similarity makes it possible to consider mammalian SWS and reptilian waking as possible evolutionary homologues in relation to delta oscillations. Such understanding has profound implications for deducing possible significance of delta oscillations in mammals. Indeed, we have to accept that in reptiles, delta oscillations represent the dominant oscillatory mode which is most prominent during active behavioral states, and determine the salient autonomic regulatory response to environmental challenges, while EEG of behaviorally active mammals is dominated by theta and alpha oscillations, which in these animals show the most salient responses to environmental challenges. During SWS, when active behavior is not on agenda, the dominant operational oscillatory modes pass away and, in line with the John Hughlings Jackson’s principle, more ancient and fundamental oscillatory mode rises in activity. It could be speculated that this periodic return to an evolutionary prototypal state is necessary for reconciling the experience acquired during the active state with the fundamental biological self. Indeed, the most currently popular hypothesis about functional significance of SWS posits that it is necessary for consolidation of memory traces acquired during the wake (Ji and Wilson, 2007; Marshall et al., 2006; Peigneux et al., 2004; Rasch et al., 2007). Using simultaneous EEG and fMRI recording, Dang-Vu et al. (2008) have recently shown that during SWS, significant increases in activity were associated with slow waves (<1 Hz, >140 µV) and delta waves (1–4 Hz, 75–140 µV) in several cortical areas, including the inferior frontal, medial prefrontal, precuneus, and posterior cingulate areas. Compared with baseline activity, slow waves were associated with significant activity in the parahippocampal gyrus, cerebellum, and brainstem, whereas delta waves were related to frontal responses. However, no significant difference in brain activation was found when comparing slow waves and delta waves at the macroscopic systems level. The pattern of activation that is related to delta and slow-wave oscillations during SWS allows put forward an interesting hypothesis. The brain regions that are obviously integrated by slow oscillations during SWS include ‘old’ pontine tegmentum and midbrain nuclei, the parahippocampal gyrus, a major relay area between the hippocampus and neocortex (Mohedano-Moriano et al., 2007), and a set of cortical regions associated with the so-called default mode network (DMN, Raichle, 2006). Ample evidence suggests that this latter network, which is mostly active during resting wakefulness, is associated with self-referential processes that constitute the core of the self (Gobbini et al., 2007; Mitchell, 2006). Noteworthy, the association of sleep slow waves with DMN structures has been confirmed in a study using high-density EEG source modeling (Murphy et al., 2009). Therefore, the triangle of co-activated areas consists of the ‘old’ brainstem structures involved in major homeostatic regulation, the parahippocampal areas associated with acquisition and interpretation of new experience, and the DMN structures representing the core self-referential processes. It appears that this every-night reconciliation of daytime experience with basic biological and self-referential processes is vital for preserving integrity of the self. 2.4. Delta activity and autonomic regulation If delta oscillations are implicated in coordination of behavior with basic biological and homeostatic needs, they must participate in synchronization of brain activity with autonomic functions. That may be particularly so during sleep, when active behavior is not on agenda and mostly restorative physiological processes take place. It has been shown that the prevalence and amplitude of delta oscillations during sleep are critically dependent on the time we are awake before we fall asleep, as well as the time passed since sleep onset. This observation led Alexander Borbely (1982) to propose that delta power is an EEG correlate of a homeostatically regulated sleep-dependent process, which he coined ‘Process S’. Although later observations indicate that it is not all that simple and that differences in waking ‘quality’ do affect EEG delta power during subsequent SWS sleep (Meerlo et al., 1997), slow-wave activity is still thought to mediate the restorative function of SWS (Borbely and Achermann, 2000; Tononi and Cirelli, 2006). It is suggested that slow oscillations might help synapse stabilization or produce synaptic depression, leading to increase signal-to-noise ratio (Tononi and Cirelli, 2006). Another important function of the restorative action of slow-wave activity is replenishment of the glycogen that is depleted during wakefulness (Benington and Heller, 1995). SWS may have restorative properties not only for the brain, but also for peripheral organs. A selective reduction in SWS and slow-wave activity for only a few nights was shown to result in a clear adverse effect on glucose homeostasis and increased risk of type 2 diabetes in young healthy adults (Tasali et al., 2008). Taken together, these studies suggest that delta wave generation is important for normal functioning of both the brain and peripheral organs. This implies that measures of delta activity must correlate with measures of autonomic activity and metabolism. In this section, evidence showing that this is indeed the case will be reviewed. Within the so-called common brainstem system (CBS), which implements basic regulation and exerts influences on cardiovascular system, respiration, motor systems, processing of the afferences, and on vigilance (Moruzzi, 1972; Langhorst et al., 1992), mainly respiratory-related rhythms, cardiac rhythms, and rhythms related to the delta–theta rhythms of the EEG occur (Langhorst et al., 1981; Lambertz and Langhorst, 1998). Lambertz et al. (2000) showed that the functional organization of this system seems to be dependent on the coupling between the cortical and the reticular formation (RF) delta oscillations. The authors suppose that “either higher brain structures signalize the beginning of the phase transition to the RF or – even more probable – the CBS in the RF induces a general activation in the CNS via its ascending pathways” (Lambertz et al., 2000). These results confirm and complement previous investigations on the rhythmic coordination of different peripheral and central subsystems which occurs within the range of low EEG frequencies (Lambertz and Langhorst, 1998). The bulk of evidence suggests that the cortical delta rhythm may not be implemented in the direct on-line autonomic regulation but rather reflects a central representation of peripherally occurring autonomic changes (Lambertz and Langhorst, 1998). Heart rate variability is one of the most frequently used indicators of autonomic regulation. High-frequency (HF) heart rate variability is associated with breathing and depends on vagal regulation (for a review and theory see Porges, 1995). Low frequency (LF) heart rate variability is believed to more reflect sympathetic than parasympathetic influences (e.g. Snidman et al., 1995). Existing evidence shows an association between heart rate variability and delta activity during NREM and REM sleep. Modifications in HF heart rate variability show parallel changes with changes in delta EEG band both in young and in middle-aged men (Jurysta et al., 2005). Contrariwise, LF heart rate variability moderately negatively relates to the sleep delta power (Aki et al., 2003). Correspondingly, the LF/HR ratio is significantly negatively correlated with delta power in humans (Yang et al., 2002), and in rats (Yang et al., 2003) which is taken as an evidence of negative association between delta and sympathetic activity. The link between cardiac autonomic activity and sleep delta power is altered in patients with major depressive disorder (Jurysta et al., 2010) and sleep apnea-hypopnea syndrome (Jurysta et al., 2006), as well as in patients with chronic primary insomnia (Jurysta et al., 2009). The association between delta power and heart rate variability was also observed during REM sleep (Pedemonte et al., 2005). Overnight delta activity also negatively relates to the mean arterial pressure (Charloux et al., 2002) and the cortisol secretory rate (Gronfier et al., 1999), which again suggests that during sleep, power of delta oscillations is negatively related to sympathetic activity. It is important to emphasize that observed in these studies modifications in autonomic measures precede changes in delta EEG band activity by several minutes (Brandenberger et al., 2001) implying a reflective rather than a regulative role for the EEG delta activity. In patients with periodic limb movement disorder, the periodic limb movement onset is heralded by changes of the EEG delta activity (Huang et al., 2004; Allen et al., 2008). The authors suggest that this and similar phenomena can be linked to the activity of a common brainstem system, which receives peripheral inputs, regulating the vascular, cardiac, and respiratory activities and synchronizing them to cortical oscillations of EEG. It is shown also that SWS delta power is sensitive to interleukin-1β (Yasuda et al., 2005) and lipopolysaccharide (Lancel et al., 1995), suggesting a role in information exchange between immune and nervous systems. Preoptic/anterior hypothalamic warming has been shown to increase EEG delta activity within NREM sleep with no effect on theta or sigma frequencies (McCinty et al., 1994). SWS delta power also correlates with the restorative biosynthetic processes occurring during sleep in the brain (Dworak et al., 2010). In one of a few studies where an association of delta activity with autonomic measures was observed in waking, the total severity of cybersickness during exposure of subjects to virtual reality had a significant positive correlation with gastric tachyarrhythmia, eyeblink rate, heart period, and slow delta power (Kim et al., 2005). EEG delta power recorded in 1831 healthy subjects aged 6–86 years in eyes open condition correlated positively with basal metabolic rate at rest in human lifespan (Boutros et al., 2007). It has been also shown that in 28 hypertensives, audiovisual entrainment in the subdelta frequency (0.5–1 Hz) had marked effects on blood pressure, reducing the systolic 20 points and diastolic 15 points (Siever and Berg, 2002). The authors suggest that this treatment directly impacts physiological functions rather than psychological ones. In sum, reviewed in this section data support the idea that delta oscillations (particularly during sleep) may participate in synchronization of brain activity with autonomic functions. 2.5. Pathological states and delta oscillations Because the new-born more advanced brain devices specialize on performing more complex computations, they should be generally more sensitive to detrimental influences, and, when these devices are rendered functionless, ‘lower nervous arrangements’ must rise in activity (Jackson, 1958). Indeed in the pre-quantitative EEG era, appearance of prominent delta waves during wake was treated as a sign of pathology. Existing evidence shows that delta activity increases in almost any pathological state associated with brain tissue damage, developmental disorder, or even more subtle disorders without known organic cause. Localized delta activity appears in cortex overlying a circumscribed white matter lesion, or after a localized thalamic or midbrain tegmentum lesion (Gloor et al., 1977). The number of lesions was correlated with delta power and the location of the equivalent dipole. Delta oscillations was shown to be within the range of the lesion (Harmony et al., 1995). The so-called frontal intermittent rhythmic delta activity (FIRDA) is associated with a wide range of lesions and encephalopathic conditions (Ettorre et al., 2011). Delta amplitude is overall higher in chronic aphasic patients with structural lesion in the left cortical–subcortical perisylvian areas. Delta band, in addition to its ability to reflect structural damage, was effective in the assessment of functional impairment in these patients as well (Spironelli and Angrilli, 2009). Hypoxia is yet another condition associated with brain tissue damage or suppression, because the brain is particularly sensitive with respect to its oxygen requirement (Sudarsky, 1990). In EEG, hypoxia is associated with a decrease of alpha and prevalence of slow waves. Thus, the reduction of cerebral blood flow caused by cerebral ischemia has been suggested to be related to the slowing of the background EEG activity (Ingvar and Sulg, 1969). Increased slow-wave components have also been observed in patients with cerebral ischemia caused by reduction of the cortical blood flow (Nagata et al., 1988; Tolonen and Sulg, 1981). The EEG pattern in hypoxic hypoxia has been shown to be similar to that in ischemia (Mehta and Waltz, 1986; Saleta and Grunberger, 1985; Kraier et al., 1988b). In the experimental study of cerebral hypoxia, Kraier et al. (1988a) compared the spectral power under the normobaric normoxic condition with that recorded under the hypobaric hypoxic condition corresponding to the altitude of 6096 m. They found a significant increase in slow activity as well as a significant decrease in alpha activity under the simulated hypobaric condition. Ozaki et al. (1995) reported similar results. EEG study during a Himalayan expedition showed that subjects who later developed symptoms of acute mountain sickness exhibited an increase of slow cerebral activity in the right temporal region already at 3440 m. These findings indicate that regional brain dysfunction, which can be documented by slow–wave EEG, heralds the appearance of clinical symptoms of acute mountain sickness (Feddersen et al., 2007). Wide range of developmental disorders is associated with the increase of relative power in low EEG frequencies, including delta and theta waves. The most consistent finding in EEG studies of attention-deficit/hyperactivity disorder (ADHD) has been increased low frequency activity, predominantly theta, but also delta EEG activity in children with ADHD compared with control children (for a review, see Barry et al., 2003). Excess of spectral power in low frequency bands is also associated with disorders of learning and attention in children (Barry et al., 2003; Chabot et al., 2001). Children with dyslexia showed greater overall delta amplitude (Penolazzi et al., 2008). Studies which have examined the influence of adverse early rearing conditions or sociocultural risk factors on the development of the EEG in children have generally reported higher EEG power at low frequencies to be associated with detrimental aspects of the child’s living environment (Harmony et al., 1990; Kreppner et al., 2001; Marshall and Fox, 2004; Otero et al., 1997; Raine et al., 2001; Vorria et al., 1998). Moreover, increases in delta and theta activity were found in the EEGs of fetal alcohol syndrome and Down syndrome children (Babiloni et al., 2009a; Kaneko, 1995). In adult populations, increase of baseline delta power was observed in patients with schizophrenia (Alifimova and Uvarova, 2003; Bates et al., 2009; Boutros et al., 2008; Fehr et al., 2001; Karson et al., 1987), Parkinson’s disease (Solkkel et al., 1991; Alzheimer’s disease (Babiloni et al., 2009b; Valladares-Neto et al., 1995), depression (Bjork et al., 2008; Gatt et al., 2008; Korb et al., 2008; Saletu et al., 2010), anxiety disorder (Gauthier et al., 2009), phycogenetic fears (Bornas et al., 2009), obsessive compulsive disorder (Obrich et al., 2009; Velikova et al., 2010), and in young adults born at extremely low birth weight (Miskovic et al., 2009). It has been shown also that dissociative experiences which appear in torture victims are associated with slow waves generated in the left ventrolateral frontal cortex (Ray et al., 2006). Because anhedonia, the reduced propensity to experience pleasure, is a vulnerability factor for several psychiatric disorders, including depression and schizophrenia, it is important to note that in a non-clinical sample, anhedonia, but not other symptoms of depression or anxiety, was correlated with increased resting delta current density in the rostral anterior cingulate cortex (Wacker et al., 2009). Increased theta and delta power have been associated with poor antidepressant treatment response in patients with depression (Knott et al., 2000). However, conflicting evidence has also been reported. For example, Courin-Churchman et al. (2003) compared 67 normal human beings and 340 psychiatric patients on EEG spectral power measures and found increase in slow bands in only 24 recordings that were scattered between various conditions, including polysubstance dependence, epilepsy, bipolar disorder, and also two normal subjects, whereas decrease in slow bands was found in 75 recordings from psychiatric patients. These discrepancies could be attributed to the different methodologies used for the calculation of EEG measures (e.g., absolute vs. relative power), different conditions (e.g., eyes open vs. eyes-closed condition), different periods of time (e.g., evening vs. morning: see e.g., Gauthier et al., 2009) and so on. Summing up, a variety of mental conditions associated with brain tissue damage or pathology, like Alzheimer’s disease, as well as developmental disorders and prominent psychopathologies, like schizophrenia or Down syndrome are undoubtedly associated with an increase of resting state delta oscillations. Some more subtle disorders, like depression, obsessive compulsive, and anxiety disorder have also been reported to be associated with an increase of delta power, although further research is needed to clarify whether this is indeed so. 2.6. Interim discussion Reviewed so far evidence shows that delta oscillations dominate the EEGs of waking and active reptiles. In humans, delta oscillations are prominent during early developmental stages and decrease in the course of normal development. In adult healthy humans, EEG dominated by delta activity would usually occur when entering SWS. That prompted Rial et al. (1992) to consider reptilian waking as evolutionary antecedent of mammalian sleep. Increase of delta power in resting EEG has been documented in a wide array of developmental disorders and pathological conditions. The lack of specificity of this effect prompts one to suggest that increase of slow waves and/or decrease of alpha are almost universal responses to any brain damage or pathology, or even deviation from homeostatic optimum. The appearance of delta oscillations in EEG is traditionally interpreted as a correlate of inhibition. This interpretation, however, has little support in contemporary neuroscience. Many studies have described event-related increase of delta power as a correlate of ‘active’ cognitive processes (see later in this review). Moreover, even during SWS, which is considered a state of generalized inhibition, delta oscillations continue to respond to environmental signals with an increase of power (Basar, 1999) in much the same way as they do in waking reptiles or humans. Besides, simultaneous EEG and fMRI recording during SWS shows that delta waves correlate positively with BOLD signal (Dang-Vu et al., 2008). Compared with baseline (a state with no delta waves), delta waves are associated with increase of activity in many brain regions. This prompted authors to suggest that SWS is not a state of brain quiescence, but rather is an active state during which brain activity is consistently synchronized to the slow oscillation in specific cerebral regions (Dang-Vu et al., 2008). Recent studies suggesting a role for slow oscillations in memory consolidation are also in line with the emerging understanding of these waves as a set of active functional processes rather than inhibition. Considerable evidence on the association between delta waves and autonomic and metabolic processes during SWS shows that integration of cerebral activity with homeostatic processes might be one of these waves’ functions. As for the increase of delta waves in pathological conditions, a bulk of evidence shows that these conditions are rather associated with behavioral disinhibition (see Knyazev, 2007 for a review) than inhibition. Overall, all this evidence is reconcilable with the idea that slow EEG oscillations are associated with evolutionary old basic processes, which in waking adult humans are overshadowed by more advanced and operationally flexible processes associated with higher frequency oscillations. The former processes rise in activity, however, when the latter are dysfunctional. In the following sections I will review evidence showing that in waking adult humans, delta oscillations are associated with basic biological motivations and the detection of motivationally salient stimuli in the environment, but first I will discuss evidence about the place of generation of delta activity. 3. Delta oscillations, motivation, and cognition 3.1. The place of generation of delta activity If we suppose that the function of delta oscillations is somehow linked with motivation, we should expect that the generation of delta activity should be associated with motivational brain circuits. Unfortunately, most of these circuits are located deep in the brain and their electrical activity is not directly accessible on the scalp. Although we may learn much from findings that come from fMRI, PET, and animal research, caution should be exercised when these findings are applied to the explanation of human EEG data. All of these tools provide very different points of view of the underlying neuronal activity and it is not obvious, for example, if findings from cell recordings in rodents will have strong bearing for scalp EEG in humans. There is no definitive evidence regarding the place of origin of delta activity in the brain. Low-frequency (<1 Hz) oscillations are presumably generated in sleep directly in the thalamus (Steriade et al., 1993b). This ultra-slow activity is supposed to reflect cortical reorganization of waking circuits (Steriade et al., 1993b). According to Steriade et al. (1990, 1993a) the ascending cholinergic subcortical–cortical projections from the thalamus are critical to the generation of slow-wave EEG rhythms. However, studies using dipole modeling place the site of waking delta generation in anterior medial frontal cortex, rather than in thalamus (Michel et al., 1992, 1993). Neuroimaging of sleep by means of low-resolution brain electromagnetic tomography (LORETA) has also found that in the delta frequency range, activity was maximal in the medial prefrontal cortex and spread into the anterior cingulate and orbitofrontal cortex (Anderer et al., 2002). Murphy et al. (2009) using high-density EEG source modeling showed that SWS individual spontaneous slow waves (0.5–6 Hz) have distinct cortical origins, propagate uniquely across the cortex, and involve unique subsets of cortical structures. However, when the waves are examined en masse, diffuse hot spots of slow wave origins could be noted. These hot spots are centered at the left insula and the medial cingulate gyrus. Slow-wave propagation along the anterior posterior axis of the brain is largely mediated by a cingulate high-way. The highest density of streamlines was in the anterior portions of the cingulate. As a group, slow waves are associated with large currents in the medial frontal gyrus, the middle frontal gyrus, the inferior frontal gyrus, the anterior cingulate, the precuneus, and the posterior cingulate. Studies using resting positron emission tomography (PET) and EEG indicate a positive correlation between waking delta and PET metabolism in the medial frontal cortex (Alper et al., 1998, 2006). This positive correlation contrasts with the negative relationship of the delta of SWS to PET metabolism (Maquet et al., 1997) or regional blood flow in the medial frontal cortex (Holle et al., 1997). These apparently opposite relationships of delta to metabolism and blood flow in medial frontal cortex in sleep vs. waking states have been taken as an argument of the functional dissection between the waking and SWS delta (e.g. Alper, 1999). However, as Dang-Vu et al. (2008) note, the statistical contrasts used in many of these earlier studies compared the distribution of brain activity during sleep and wakefulness. Besides, because of its low temporal resolution, PET is poorly adapted to detect transient brain activities compared with event-related fMRI. fMRI analysis describing the transient changes in regional brain activity associated with discrete SWS delta waves relative to a baseline consisting of low-power theta, alpha, and beta activity during NREM sleep has found no positive correlations between delta waves and BOLD signal in the medial frontal gyrus (Dang-Vu et al., 2008). The source modeling and correlation of EEG with PET and fMRI signal consistently show location of both waking and SWS delta sources in the medial prefrontal, orbitofrontal, and anterior cingulate cortices. Direct registration of electric activity in subcortical regions of waking animals show existence of delta oscillations in the common brainstem system (Lambertz and Langhorst, 1998), the nucleus accumbens (Leung and Yim, 1993), the ventral pallidum (Lavin and Grace, 1996), and dopaminergic neurons in the ventral tegmental area (VTA, Grace, 1995). Noteworthy, most of these structures (i.e. the VTA, the nucleus accumbens, the medial prefrontal cortex, and the nucleus reticularis thalami) are implicated in the brain reward system (Gray, 1999). Fig. 1 shows localization of potential sources of EEG delta activity superimposed on localization of brain reward circuitry. Summing up, much evidence converges on showing that both waking and sleep delta waves mostly originate from the medial frontal cortical regions. Other hot spots include the insula, which is a higher association area for bodily signals (Mesulam and Mufson, 1982), the nucleus accumbens, and tegmental brainstem area. Because all these brain regions are highly involved in motivational brain circuits, in the following sections I will discuss evidence linking delta oscillations with motivational states. Much of this evidence has been reviewed elsewhere (Knyazev, 2007), so I will mostly concentrate on topics that were not covered in this previous review. ### 3.2. Delta oscillations and motivation Corr (2009) in his chapter devoted to the Reinforcement Sensitivity Theory of Personality cites Jeremy Bentham, an English 18th century jurist and philosopher: “Nature has placed mankind under the governance of two sovereign masters, pain and pleasure”. In this view, organisms are seen as maximizing exposure to rewarding ('appetitive') events and minimizing exposure to punishing ('aversive') events. Rewarding or appetitive events consist of the presentation of a reward, termination of a punishment, or omission of an expected punishment, while punishing or aversive events consist of the punishment, termination of reward, and omission of an expected reward (Fowles, 2006). An important point to note here is the fact that reward itself and the termination of a punishment or omission of an expected punishment, share much in common in terms of their functions and pharmacology; and in a complementary way, punishment itself and the termination of reward, and omission of an expected reward, are similarly common (Corr, 2009). In the following, I will summarize evidence linking delta oscillations with brain reward and punishment systems. #### 3.2.1. Delta oscillations and the brain reward systems For a better understanding of different effects of the rewarding drugs, a basic sketch of the brain reward systems has to be presented (for a fuller description of the reward systems and their implication in the addictive behavior see e.g. Gianoulakis, 2004). A midbrain–forebrain–extrapyramidal circuit centered on the nucleus accumbens composes the anatomical pathway of the brain reward system. Significant experimental evidence suggests that the reinforcing effects of many drugs of abuse are mediated by the mesolimbic dopamine pathway (Koob, 1992; Spanagel and Weiss, 1999; Zadina et al., 1997). The cell bodies of these neurons are located in the ventral tegmental area and project to nuclei of the forebrain, mainly the nucleus accumbens, caudate, olfactory tubercles, medial frontal cortex, amygdala and septum (see Fig. 1). Both behavioral and pharmacological evidence suggests an important role of the dopaminergic pathways of the nucleus accumbens in drug reward. Furthermore, there is significant evidence indicating an interaction between the opioid and dopaminergic systems in mediating reward of opiates as well as of some other drugs of abuse, such as ethanol (Gianoulakis, 2004). Systemic administration of any drug of abuse increases dopamine release in the nucleus accumbens. This increase is proposed to be a sufficient condition to produce reward (Chick and Erickson, 1996; Koob 1992; Spanagel and Weiss, 1999). Activation of μ and δ opioid receptors by morphine-like drugs increases dopamine release (Cheesselet et al., 1983; Devine et al., 1993; Di Chiara and Imperato, 1988). Cocaine increases extracellular dopamine by acting at the level of the dopamine transporter and blocking its reuptake (Heikkila et al., 1975). It is argued however that the assertions that dopamine mediates 'reward' or 'reinforcement' is inaccurate and grossly oversimplified. A hypothesis has been put forward that dopamine systems are rather involved in 'wanting', but not 'liking' (Berridge and Robinson, 1998). It is suggested that 'wanting' has both directional aspects (e.g. appetite to consume food) and activational aspects (e.g. activation for initiating and sustaining instrumental actions; tendency to work for food, Salamone and Correa, 2002). A distinction between functions of phasic and tonic dopamine release has also been recognized. It has been shown that dopamine neurons demonstrate phasic firing in response to unpredicted reward (Schultz, 1998). It has been proposed that this phasic dopamine response drives learning by signaling a prediction error that effectively labels events as ‘better than expected’. Although not rewarding in itself, the phasic dopamine release must evoke feelings pleasant enough to prompt self-stimulation of areas conducive to this release. It is suggested that intense interest-, engaged attention- and ‘eager anticipation’ are the types of feelings that reflect arousal of reward systems in humans (Panksepp, 1998). More on the evidence linking delta oscillations with the brain reward circuits has been reviewed elsewhere (Knyazev, 2007) and will be only briefly mentioned here with more emphasis on recently published data. I will start with natural rewards and continue with drugs of abuse. 220.127.116.11. Food and sex reward and delta oscillations. Both food-related and sexual arousal is associated with the increase of delta waves and their coherence (see Knyazev, 2007 for a review). In a recent study, magnetoencephalographic recordings were performed in obese and lean female adolescents during an eyes-closed resting state condition. The obese adolescents had increased synchronization in delta and beta frequency bands compared to lean controls (Dubbelink et al., 2008). The authors suggest that these differences might be related to disturbed motivational pathways. In restricted-fed chickens, relative powers in delta and theta frequency bands were highest during feeder directed behavior (Savory and Kostal, 2006). Another study investigated EEG activity in the orbital-frontal cortex in rats during the description of food reward and craving in the food-related environment; the EEG activity peaking in the delta band (2–4 Hz) was significantly correlated with the stimulus, increasing during food reward and decreasing during food craving when compared with that in the control environment (Fu et al., 2008). It is important to note that in this study, the animals were not actually hungry. In the craving condition they were presented with a tasty food, but had no access to it, whereas the access was offered in the reward condition. 18.104.22.168. Fatigue and delta oscillations. Need for rest and sleep is one of the basic biological needs. Empirical evidence shows that fatigue is mostly associated with increase of delta and theta oscillations (Kiroy et al., 1996; Lal and Craig, 2002, 2005; Makeig and Jung, 1996; Yamamoto and Matsuoka, 1990) although some increase of alpha activity could also be observed (Ninomiya et al., 1993; Forsvall and Akerstedt, 1988). It should be noted that different spectral constituents of the EEG may correlate with different components of such a complex phenomenon as e.g. driver fatigue. For example, enhanced theta oscillations may be associated with appearance of drowsiness, whereas increase of alpha may reflect attempts to overcome this drowsiness. However, in normal conditions a distinct increase of delta oscillations is usually evident only with the sleep onset (Tanaka et al., 1997) which is not the case of fatigued subjects. In this case delta increase probably signals an urgent need for rest. 22.214.171.124. Drugs of abuse and delta oscillations. This topic has been extensively reviewed in a review by Knyazev (2007), as well as in some other reviews (e.g., Alper, 1999), so it will be only briefly summarized here. The evidence that has been reviewed previously appears to indicate that the amplitude of delta oscillations increases in states of craving and decreases upon actual reward. From this point of view, administration of drugs of abuse must decrease the amplitude of delta oscillations. Indeed, acute administration of cocaine in rats results in diminished slow EEG power with this effect being mediated by dopamine (Chang et al., 1995; Ferger et al., 1994; Kiyatkin and Smirnov, 2009; Kropp and Kushnitsky, 1993; Luoh et al., 1994); However, in humans, the picture is more complex. While most studies note changes in delta power at different stages following the intake of these drugs, the direction of these changes is not straightforwardly reconcilable with the above-presented simple idea. It should be borne in mind, however, that in human beings, drugs of abuse produce complex effects which are not reducible to just simply turning on the brain’s natural ‘reward system’ (Salamone and Correa, 2002). In opioid-abusing individuals (Fink et al., 1971; Phillips et al., 1994; Volavka et al., 1970) and in surgical patients (Bovill et al., 1983; Saletu et al., 1991; Saletu et al., 1981; Waquaier et al., 1984), morphine-like drugs increase wake EEG power in the delta and theta frequency range. Cocaine produces complex effects consisting of an increase in beta, alpha, and delta power (Herning et al., 1985, 1994; Lukas, 1991) and delta coherence over the prefrontal cortex (Reid et al., 2006), with delta and theta EEG activity being related to the rewarding properties of cocaine (Reid et al., 2003, 2006). Thus, it appears that in humans, contrary to what has been observed in rats, morphine-like drugs and cocaine produce an increase of delta power. This discrepancy may reflect the dynamics of craving and reward in humans that takes place after administration of these drugs. It appears that in humans, the initial stages after administration of drugs of abuse are associated with an increase of craving and, respectively, with an increase of delta activity (Reid et al., 2006). Indeed, the effects of cocaine on ratings of high and ‘good drug effect’ are rapid and somewhat short lasting and are accompanied by increased ratings of cocaine craving, which persist at or near their peak levels for a longer duration (Foltin and Haney, 2000; Hart et al., 2004; Reid et al., 2006; Ward et al., 1997). Moreover, evidence for a more prolonged effect on cocaine craving is consistent with previous neuroimaging study that reported a short high followed by a longer period of cocaine craving following intravenous dosing (Breiter et al., 1997). Most importantly, the increase of delta power during the first 5 min following cocaine was correlated with increased ratings of cocaine craving (Reid et al., 2006). Reward-related decrease of delta activity has been observed after administration of legal psycho-active drugs, such as alcohol (Sanz-Martin et al., 2011), tobacco (Knott et al., 2008) and caffeine (Hammond, 2003). If we assume that reward-related dopamine release is associated with a decrease of delta activity, then abstinence in addicted persons should be associated with an increase of delta activity. Indeed, opiate addicts show increase of delta and decrease of alpha waves during abstinence (Shuffman et al., 1996; Synytsky et al., 2002). Methamphetamine dependent patients with 4 days of abstinence also had increased EEG power in the delta and theta bands with no differences in the alpha and beta bands (Newton et al., 2003). MDMA (‘ecstasy’) abusers show significantly higher absolute delta power than control subjects (Herning et al., 2005). In a sample of native Americans, increases in spectral power in the delta frequency band were significantly correlated with marijuana dependence (Ehlers et al., 2010). There is also evidence that high-binge alcohol drinkers exhibit more spectral power in the delta band (Courtney and Polich, 2010). Increases in delta and theta power were also observed during withdrawal from caffeine (Hammond, 2003). On the other hand, alcoholic patients show decreased power in slow (delta and theta) bands both in wake (Coutin-Churchman et al., 2006; Saletu-Zyhlarz et al., 2004) and during SWS (Colrain et al., 2009a). Moreover, in contrast to non-alcoholic population, alcoholic patients with clinical depression show lower current density than non-depressed alcoholic patients in delta band (Coutin-Churchman and Moreno, 2008). EEG studies in cocaine-dependent patients show deficits in slow-wave brain activity and reduced interhemispheric coherence in delta and theta bands during drug-abstinence (Alper et al., 1998b; Prichep et al., 1996; Roemer et al., 1995). This seemingly contradicts the idea that craving in drug-abstinent alcohol- or cocaine-dependant humans should be associated with enhanced delta activity. It should be borne in mind, however, that the clinical syndrome of drug dependence may include severe changes in the brain neurochemistry and electrophysiology as well as in motivational and emotional spheres which may pervert the observed relationships between psychological and physiological variables. For example, the EEG changes observed in the drug-abstinent, cocaine-dependant humans may reflect a general adaptation to past illicit use, possibly sensitization (Alper, 1999; Biganda et al., 2003). Studies that have been conducted, adult male rats, repeated exposures to cocaine resulted in a significant decrease in electrocorticogram delta power paralleled by marked increases in DA concentrations in caudate nucleus and frontal cortex. The DA turnover decreased significantly. Further studies are necessary to establish whether regional alterations in blood flow and metabolic activity may underlie such observations. Frequently observed increase of alpha and high-frequency oscillations in cocaine-dependent patients during drug-abstinence (Alper, 1999) might be attributed to high anxiety and depressive comorbidity in these samples in view or reports of increased alpha power both in anxiety (Herrmann and Winterer, 1996; Knyazev et al., 2004, 2005, 2006) and depression (Costa and Bauer, 1997; Alper, 1995). Much evidence shows that event-related delta oscillations are disrupted in drug- or alcohol-dependent individuals as well. Thus, significantly lower amplitude of the P3 event-related potential (ERP) component has been reported for human subjects at high risk for alcohol dependence (for review, see Porjesz et al., 2005). Numerous studies have shown also that chronic nicotine use reduces the P3 amplitude and delta power of brain. This applies to alcoholism (Attou et al., 2001; Papageorgiou et al., 2003, 2004) and cocaine (Biggins et al., 1997; Moeller et al., 2004) users. Even smoking has a significant reducing effect on P3 amplitude but only in the presence of the A1 allele of the D2 dopamine receptor gene locus (Anokhin et al., 1999). Many studies have demonstrated that delta and theta event-related oscillations (ERO) are the primary contributors to the P3 ERP component (Demiralp et al., 2001; Basar-Eroglu et al., 1992; Karakas et al., 2000; Schurmann et al., 2001; Stampfer and Basar, 1985). These oscillations have been linked to several relevant genes associated with alcohol dependence phenotypes (Edenberg et al., 2004; Jones et al., 2004; Porjesz et al., 2005; Begleiter and Porjesz, 2006; Rangaswamy et al., 2007). Accordingly, several studies have shown that ERO measures of EEG activity recorded in P3 tasks provide comparable or even more powerful biomarkers of alcoholism than ERP measures (Andrew and Fein, 2010; Rangaswamy et al., 2007). It has been shown that the decrease in P3 amplitude in genetic mouse models of high as compared to low alcohol preference is related to reductions in evoked delta oscillations energy and delta power and phase locking (Colrain and Ehlers, 2009). Beyond the P3 paradigm, it was found that alcohol (Kamarajan et al., 2006) and their offspring (Kamarajan et al., 2006) showed significant reduction in event-related delta and theta power in the Go/No-Go paradigm and had lower evoked delta frequency responses to auditory stimuli during SWS (Colrain et al., 2009b). In sum, much evidence shows that drugs of abuse definitely influence delta oscillations. Although in humans actual effect depends on a host of circumstances, such as the kind of drug, time after administration, mode of administration, previous experience with drugs, and so on, the general pattern fits the idea that actual reward associated with the dopamine release is accompanied by a decrease of delta activity whereas withdrawal and craving are associated with an increase of delta activity. Animal data show that delta oscillations are diminished by electrical stimulation of the VTA and acute administration of cocaine with this effect being mediated by dopamine (Chang et al., 1995; Ferger et al., 1994; Kropf and Kuschnik, 1993; Leung and Yim, 1993; Luoh et al., 1994). In the context of neuroimaging, a direct linkage between delta-band activity and fMRI signal in the nucleus accumbens of the rat brain after heroin challenge was reported by Li et al. (2006). Chronic alcohol or cocaine use causes neureadaptation, possibly sensitization (Alper, 1999), which results in a decrease in delta power and disruption of event-related delta responses. 126.96.36.199. Reward deficiency and delta oscillations. 188.8.131.52.1. Anhedonia. There is considerable evidence suggesting that the nucleus accumbens reward system is dysfunctional in patients who suffer from depression (Berton et al., 2006; Tremblay et al., 2005). We have already discussed the evidence showing increase of delta power in patients with major depressive disorder. Pizzagalli et al. (2004) have shown that melancholia, a subtype of depression characterized by anhedonia, was associated with increased delta activity in the subgenual prefrontal cortex. Following antidepressant treatment, depressed subjects with the largest reductions in depression severity showed the lowest post-treatment subgenual prefrontal cortex delta activity. Wacker et al. (2009) have shown that delta activity in the rostral anterior cingulate cortex correlates negatively with the nucleus accumbens responses to reward and is positively associated with anhedonia scores. Knyazev (2011) using independent component analysis and source localization techniques showed that when subjects expected bad news delta power and connectivity increased in a network of cortical areas which includes the orbitofrontal and the anterior cingulate cortices as its main node. This increase was more pronounced in subjects with higher scores of negative anxiety. These data imply the frontal medial delta activity increases when this area receives less dopaminergic firing from the nucleus accumbens. In the domain of evoked responses, the most common ERP finding in depression is a reduction of P3 amplitude during the oddball task (Bruder et al., 1991; Gangadharan et al., 1993; Urrutavizcaya et al., 2003). 184.108.40.206.2. Reward deficiency syndrome and impulsive behavior. Comings and Blum (2000) have proposed that defects in various combinations of the genes for ‘reward’ neurotransmitters result in a Reward Deficiency Syndrome (RDS) and that such individuals are at risk for abuse of the unnatural rewards including alcohol, drug, tobacco, and food and other related behaviors, such as pathological gambling, Tourette’s syndrome, and ADHD (Blum et al., 2008). All these behaviors frequently co-occur (Comings et al., 2005) and are associated with traits that fall into category of impulsivity or sensation seeking (Cloninger, 1987; Gray, 1987; Zuckerman, 1994). Behavioral impulsivity is characterized by intolerance of delayed reward (Corr, 2002). Cloninger (1987) suggested lower basal dopamine activity in high sensation seeking individuals. Indeed, tonic dopamine release is supposedly linked with a prediction or anticipation of delayed future rewards (Grace, 1995) and it is shown that dopamine depletion shifts the preference in favor of the small ‘proximal’ rewards (Wade et al., 2000; Cardinal et al., 2001) thus making the animal behavior more ‘impulsive’. From the perspective of this review, it is suggested that the RDS and impulsivity must have excess of slow waves in EEG as one of its markers. The association between delta waves and addictive behavior has been already discussed above. The prevalence of slow waves (both theta and delta) in EEGs of ADHD subjects is also well established (see e.g., Barry et al., 2003 for a review). It is also shown that stimulant medication with drugs targeted to dopamine circuits, such as methylphenidate, frequently improves symptomatology, concomitantly ‘normalizing’ the EEG (Clarke et al., 2002a). Moreover, good responders to methylphenidate had EEG profiles that suggested that they were more cortically ‘hippoaroused’ (i.e., had more slow waves) than poor responders (Clarke et al., 2002b). Considerable literature links unconstrained urge towards biological rewards with impulsive, aggressive, and antisocial behavior. Prevalence of slow-wave activity in the EEG of aggressive, antisocial, and criminal individuals was noted in earlier observations and was confirmed in later quantitative EEG studies (see Knyazev, 2007 for a review). In addition to the slowing of ‘spontaneous’ EEG, considerable literature shows impairment of the evoked P3 responses in impulsive and antisocial individuals (Bond and Surguy, 2000; Gao and Raine, 2009; Kiehl et al., 2006; Mathias and Stanford, 1999; Raine and Venables, 1987). The behavior and EEG abnormalities in violent and antisocial subjects tend to be explained as a consequence of hypoarousal. Hare (2000) suggested that antisocial individuals were hypoadaptive compared with normal individuals and consequently existed in a chronic stage of ‘stimulus hunger’. The hypoarousal hypothesis seems to stem from Eysenck’s (1967) theory which suggested that individual differences in the activity of the corticoreticular loop are responsible for the individual’s position on the extraversion–introversion dimension. Interestingly, for an EEG index of hypoarousal Eysenck suggested high amplitude alpha oscillations whereas the above-theories imply that hypoarousal is manifested by increase of slow waves which is frequently accompanied by a decrease of alpha oscillations. The hypoarousal theory of delinquent and aggressive behavior is supported by autonomic regulation data consistently showing low skin conductance (for a review see Raine, 1993) and heart rate in antisocial population (see e.g. a meta-analysis by Ortiz and Raine, 2004). However, the low autonomic arousal registered in the antisocial population does not necessarily mean that it itself causes aggressive and antisocial behavior. Existing evidence rather suggests that anger-induced or emotionally driven aggression is facilitated by increased arousal and especially activation of parasympathetic nervous system (for a review see Zillmann, 1982). Scarré and Raine (1997) suggested that under-arousal may be more relevant to milder forms of aggression, whereas overarousal is more relevant to the facilitation of emotional aggression. One plausible explanation of low autonomic arousal registered in the antisocial population during mildly stressful psychophysiological test sessions would be low level of fear and anxiety (Ortiz and Raine, 2004) which also implies a low sympathetic tone. In framework of the evolutionary approach, prevalence of slow oscillations could be considered (in a metaphorical sense) as an evidence of ‘sleepiness’ of higher regulatory mechanisms. Thus, a ‘lazy’ frontal lobe has been suggested to underlie disinhibition of motor activity in ADHD patients (Niedermeyer and Naidu, 1998a,b). However, linking delta oscillations with inhibition is not supported by recent evidence showing positive correlations of both SWS (Dang-Vu et al., 2008) and waking (Lu et al., 2007) delta with brain activity. Summing up, it appears that need for reinforcement increases delta oscillations whereas actual reinforcement ‘causes’ their decrease. Pathological states associated with anhedonia or reward deficiency are associated with increase of slow waves in ‘spontaneous’ EEG and impairment of slow wave-related evoked responses. ### 3.2.2. Delta oscillations and primitive defensive mechanisms The behavior of lower vertebrates is not guided exclusively by reward motivation. The delta oscillatory system is also expected to participate in atavistic defensive responses and reactions to unavoidable aversive stimuli. The most primitive circuits that coordinated defensive responses in ancient vertebrates are located within the periacqueductual gray region (PAG). As a primitive defensive mechanism, there are several noteworthy characteristics of the PAG (Bandler and Keay, 1996). First, cells in this region are relatively cut off from direct exteroceptive sensory input and are primarily responsive to somatosensory and visceral information. Moreover, there appears to be a specialization for painful input, with different sets of cells responding predominantly to cutaneous pain (lateral PAG) and to deep pain from the joints and viscera (ventrolateral PAG). These sensory inputs suggest that, at its most primitive levels, defensive behavior is based upon stimulation that actually contacts the individual and requires an immediate response (Luu et al., 1998). The following is a brief discussion of two examples of the PAG-related behaviors and their association with the EEG delta activity. These are the states of panic attacks and the enduring pain. A number of researchers have related activity within primitive structures such as the PAG to emotional states of ‘panic’ (Bandler et al., 1995; Gray and Bandler, 1991; Heller et al., 1997). These states, which are often triggered by somatic sensations (e.g., breathlessness), involve an abrupt onset, rapidly intensifying autonomic reactions, feelings of immediate danger, and an overwhelming urge to escape. If, as is hypothesized here, delta oscillatory system is linked with evolutionary primitive behavioral patterns, panic should be associated with increase of its activity. And, vice versa, in individuals predisposed to panic attacks, increased background delta activity should favor appearance of these attacks. Existing evidence seems to confirm such a claim. Thus, patients vulnerable to lactate-induced panic exhibit higher than normal pre-panic autonomic activity, elevated autonomic-somatic activity during lactate-induced panic and an EEG response to provoked panic which appears to be comprised of a ‘paradoxical’ shift towards slow-wave delta activity and an altered brainstem evoked response (for a review see Knott and Lapiere, 1988). EEG recordings throughout a lactate challenge indicate that slow-wave activity associated with panic does not appear to be characterized by an abrupt, sudden onset but tends to increase gradually throughout the infusion (Knott, 1980). In patients with panic disorder who experience panic attacks during sleep, the panic attacks occur suddenly, moving from stage 2 to 3 (delta sleep) or during a transition from stage 2 towards delta sleep (Lesser et al., 1985; Melman and Uhde, 1989). In a study designed to examine the sensitivity of different sleep stages to the pharmacological provocation of nocturnal panic attacks, cholecystokinin tetrapeptide (CCK-4), which demonstrates an abrupt onset of action making it possible to provoke panic attacks precisely during a particular sleep stage, was used as a challenge agent (Kronenberg et al., 2001). In a balanced cross-over design, healthy participants were challenged with identical doses of CCK-4 both during REM sleep and during delta sleep. Stimulation with 50 microg CCK-4 during REM sleep failed to elicit a full-blown panic awakening, while the same dose, administered during delta sleep, did produce full-blown panic attacks. Similarly, stimulation of six subjects with 100 microg CCK-4 during REM sleep resulted in only one panic response, whereas four of nine subjects awoke experiencing a panic attack following stimulation with the identical dose during delta sleep. Severity of panic symptomatology, as measured by the self-rated Panic Inventory, was also significantly increased when CCK-4 was administered during delta sleep. The authors conclude that sensitivity to the panicogenic effects of CCK-4 seems to be higher during delta sleep than REM sleep. Short-lasting painful stimuli mostly induce appearance of high-frequency oscillations although parametric spectral analysis of late cerebral potential components (later than 80 ms) evoked by brief painful somatosensory stimuli does reveal a stimulus-induced increase of power in the low frequencies, delta and theta (Bromm et al., 1989). In this placebo-controlled double-blind cross-over study with 20 healthy male subjects, the effect kinetics of the opioid meperidine and the antidepressant imipramine on spontaneous EEG activity and EEG activity that was evoked by brief painful electrical stimuli were investigated. Both drugs increased the power in the low frequencies in the pre-stimulus and decreased it in the post-stimulus EEG, thus effectively abolishing the EEG effect of painful stimulation. The pre-/post-stimulus relationship of the delta power was found to be the most sensitive measure for monitoring the cerebral bioavailability of the tested drugs (Bromm et al., 1989). Increase of delta power and coherence was observed during tonic pain evoked by the cold pressor test (Chang et al., 2002; Chen et al., 1998; Ferracuti et al., 1994; Stevens et al., 2000), by a series of heat pulses (Huber et al., 2006), during tonic experimental muscle pain (Le Pera et al., 2000), in patients with chronic pancreatitis (Olesen et al., 2011), and in migraine patients (Bjork et al., 2009; Gencio et al., 1994; Muellerbach and Mamoli, 1994; Passier et al., 1994; Ramelli et al., 1998; Sand, 1991; Seri et al., 1993; Siniatchkin et al., 1999; Thomaidis et al., 1996). All these data appear to confirm that primitive defensive behaviors associated with PAG activity are accompanied by an increase of delta oscillations. ### 3.3. Cognitive processing and delta oscillations In sharp contrast to clinical EEG researchers who tend to treat delta oscillations as a correlate of pathological processes or inhibition, cognitive neuroscientists tend to consider delta as a ‘cognitive’ rhythm (e.g., Basar et al., 1999; Schurmann et al., 2001). Perhaps the most significant finding in cognitive studies concerning the delta activity is its commonality with the P3, an evoked response to stimuli that are unexpected, infrequent, or motivationally salient. This association has already been briefly discussed above and the relevant literature has been reviewed elsewhere (e.g., Basar-Eroglu et al., 1992; Knyazev, 2007). In short, delta and theta ERO have been shown to be the primary contributors to the P3 ERP component (Demiralp et al., 2001; Basar-Eroglu et al., 1992; Karakas et al., 2000; Schurmann et al., 2001; Stampfer and Basar, 1985). In view of the evidence linking delta to the dopaminergic-motivational system (Berman and Noble, 1997; Berman et al., 2006; Blum et al., 1994; Mulert et al., 2006; Noble et al., 1994), Knyazev (2007) suggested that the motivational relevance of the task and the salience of the target stimulus seem to be related to the enhanced delta activity in the P3 paradigm, because the brain motivational systems signal salience and make the brain paying attention to biological relevant stimuli (Gray, 1999). This interpretation implies an important role for delta oscillations in attention. Indeed, many investigators have linked delta oscillations with attention processes (Harmony et al., 1996; Schroeder and Lakatos, 2009; Lakatos et al., 2008; Will and Berg, 2007). The entrainment of cortical delta oscillations has been suggested as a key mechanism of selective attention to rhythmic auditory or visual stimulus streams (Lakatos et al., 2008). Interestingly, a recent combined fMRI and EEG study has shown that the resting state networks (RSN) associated with higher cognitive functions such as self reflection, working memory and language all displayed a positive association with higher EEG frequency bands while negatively related to delta and theta. In contrast, the RSNs that delineate the sensory cortices, i.e. somatomotor, auditory and visual cortices showed positive associations with the lower EEG frequencies but negative association with the higher frequencies (Jann et al., 2010). If, as the evidence discussed in the previous sections implies, delta oscillations are associated with basic motivational processes, they might be involved in constant screening of internal and external stimuli in search of motivationally salient cues that signal potential threat or reward. Existing evidence implies that this screening does not stop even in deep sleep (Basar, 1999) and includes stimuli that fall below the threshold of conscious perception. Study of evoked oscillations on the hearing threshold in waking humans show that the stimulus intensity is one of the factors determining which frequency component of the auditory ERP is dominant. At high stimulation intensities, the dominant frequency component is in the alpha to theta range. At 40–20 dB stimulation, the dominant frequency component is in the theta range. At threshold stimulation, the frequency characteristics are dominated by a clear delta activity (Parnefjord and Basar, 1999). A waveform observed in response to deviant stimuli not attended by the subject, the mismatch negativity (Naatanen, 1992) is shaped by a delayed delta response superimposed with a theta response. Interestingly, for near-threshold visual stimuli, it has been shown that the pre-stimulus state of alpha oscillations determines whether the stimulus will be consciously perceived or not (Ergenoglu et al., 2004). Thus, the conscious perception depends on alpha activity whereas subconscious perception could be attributed to the low frequency oscillations. Much data show that delta (along with theta) oscillations are also implicated in processing emotional stimuli (e.g., Bhattacharya and Petsche, 2002; Riaños et al., 2009). In sum, it appears that existing data linking delta oscillations with cognitive processes do not contradict the defended in this review idea that these oscillations are mostly associated with evolutionary old basic motivational processes. Indeed, much psychological data show that cognition in humans is inseparably linked with motivation and emotion and the above reviewed evidence emphasizes that the involvement of delta oscillations in cognitive processes is mostly limited to the function of salience detection which is undoubtedly related to motivational brain circuits. ### 3.4. Conclusion The reviewed evidence appears to confirm the involvement of delta oscillations in motivational processes. Generation of delta oscillations seems to depend on activity of the VTA, the nucleus accumbens, the medial prefrontal cortex, and the nucleus reticularis thalami which are implicated in the dopaminergic system. Delta oscillations appear to increase in states of motivational urges, which are triggered by biological rewards and dangers. They are implicated in attention and salience detection. All this fits to the hypothesis that delta oscillations represent the most basic evolutionary old oscillatory mode which dominated in lower vertebrates, but in waking adult humans it is overshadowed by more advanced and operationally flexible processes associated with higher frequency oscillations. This oscillatory mode rises in activity when some or another region the most advanced systems loses their priority. These conditions include earlier developmental stages, sleep, and a array of pathological states. Functionally delta oscillations appear to be implicated in synchronization of brain activity with autonomic functions, in motivational processes associated both with reward and atavistic defensive mechanisms, and in cognitive processes mostly related to attention and the detection of motivationally salient stimuli in the environment. 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Information Retention During Competitive Interactions: Siblings Need to Constantly Repeat Vocal Displays Amélie N. Dreiss · Charlène A. Ruppli · Sévrine Antille · Alexandre Roulin Received: 26 May 2014 / Accepted: 13 November 2014 / Published online: 28 November 2014 © Springer Science+Business Media New York 2014 Abstract Memory is essential to adjust behaviour according to past experience. In societies where animals interact on numerous occasions, memory of previous social interactions may help optimise investment in competition. How long information about the resource holding potential and motivation to compete of conspecifics is retained depends on how fast the value of this information fades, but also on the cost and benefit of retaining information. Information retention has never been investigated in the context of interactions prevailing within the family and more specifically sibling competition. In the absence of parents, barn owl (Tyto alba) nestlings vocally compete for priority of access to the next indivisible food item brought by a parent. The finding that owlets eavesdrop on vocal interactions between siblings to adjust investment in vocalization once competing with them suggests that they memorize siblings’ vocal interactions. Playback experiments showed that owlets take into account the past siblings’ vocal performance that signals hunger for at least 15 min, but only if the performance was witnessed during a sufficiently long period of time (30 min). Moreover, using natural vocal exchanges in another set of individuals, we showed that sibling signalling was no more taken into account after a few minutes. This suggests that young barn owls need to continuously display their motivation to trigger siblings’ withdrawal from the current competition. Repeating a vocal display may ensure its honesty. Studying the extent to which individuals retain past information is important to understand how individuals adjust their competitive investment over resources. Keywords Eavesdrop · Memory · Negotiation · Sibling competition · Communication · Signalling · Parent–offspring conflict Introduction Information retention can be of great adaptive value if it helps individuals to remember the location of the best food patches and nest sites (Martin 1995; Clayton and Dickinson 1998) or to adjust behaviour to predation risk (Brown et al. 2006). Relying on memory is beneficial as long as the derived benefits of taking the correct behavioural decision based on past interactions outweigh the associated cognitive costs of retaining information (Dukas 1999; Mery and Kawecki 2005). Memory can though become useless when the retention of past information loses relevance, because external factors (such as food supply) or internal factors (such as individual condition) have modified the competitive environment (Dunlap et al. 2009). The way animals memorize and forget information (Killeen 1981; McNamara and Houston 1987) has important implications on the evolution of cooperation (Moreira et al. 2013) and on decision-making at different life stages, for mate choice (Castellano et al. 2012), foraging (Greggers and Menzel 1993; Devenport et al. 1997) or agonistic interactions (Dedeo et al. 2010). However, to the best of our knowledge, the duration of memory retention has never been considered as an important component of interactions prevailing between members of the same family. For instance, if an individual memorizes the previously witnessed signals of need displayed by siblings, this information about siblings’ hunger level and motivation to compete for parental food resources should influence the way this individual will adjust the level of competitive investment once parents are back with food. In a socially complex environment, memory of previous social interactions in terms of recognizing competitors and their competitive level is found in various species including fish, birds, mammals and crustaceans (Mennill and Ratcliffe 2004; Grosenick et al. 2007; Aquiloni and Gherardi 2010), but the duration of social information retention has rarely been tested experimentally. In social groups, animals can present long-term memory of the identity of group members based on face characteristics for over 2 years in sheep Ovis aries (Kendrick et al. 2001) or on song characteristics during 8 months in hooded warblers Wilsonia citrina (Goddard 1991). Ravens Corvus corax have also recently been shown to differentiate individuals with which they had shared a valuable affiliate relationship up to 3 years ago (Boeckle and Bugnyar 2012). In the hermit crab (Pagurus longicarpus) only one competitive interaction is sufficient for individuals to identify an opponent, evaluate the probability of success when competing again against this opponent and to form a stable dominance hierarchy (Gherardi and Atema 2005). Thus, based on only a single interaction crabs memorize their relative position in the social hierarchy during several days without having to interact again with competitors (Gherardi and Atema 2005). In territorial birdsongs, memory of social relationships between males can last at least one night, but has not been tested for longer periods of time (Erne and Amrhein 2008; Schmidt et al. 2007). Social information can hence be retained for very long periods of time, as long as it concerns stable traits such as position in social hierarchy. In contrast, it is still unknown for how long individuals memorize information about traits that are more variable in time (e.g. hunger level and motivation to compete). In young altricial animals, siblings compete over the share of parental resources on multiple occasions during their development (Godfray 1995). Young animals might not only remember the outcome of their own social interactions with given conspecifics, but also the outcome of previous interactions they could observe between two or several conspecifics (i.e. social eavesdropping) in order to adjust their own behaviour (Dreiss et al. 2013a). Memory of siblings’ previous interactions may be beneficial if it allows young to assess more accurately the motivation of their siblings to compete, and hence to optimally adjust their own competitive effort. However, not taking into account past interaction may oblige competitor siblings to constantly repeat their signal of motivation to reinforce the honesty of sibling communication. Moreover, memorizing sibling interactions may not be an easy task due to the dynamic nature of competitive interactions taking place between young animals competing over resources that parents provide at regular time points. For instance, in passerines, parents can bring food to their nest thousands of times per day and the numerous offspring compete at each parental feeding visit. Because the hunger level of each nestling can change rapidly, retention of siblings’ motivation to compete should not be longer than the time span between two siblings’ meals. Here, we investigate information retention of social interactions taking place between young siblings in the barn owl Tyto alba. In this nocturnal species, nestlings exchange hissing calls thousands of times per night when waiting for the next parental feeding visits (Roulin 2002a). The outcome of these sib–sib vocal interactions, so-called “sibling negotiation”, influences which individual will have priority access to the next delivered indivisible food item (Johnstone and Roulin 2003; Roulin et al. 2000; Dreiss et al. 2010b). Typically, hungry individuals vocalize intensely in the absence of parents to deter their siblings from competing at the parents’ arrival, producing higher call rate and longer calls and responding faster to siblings’ calls (Dreiss et al. 2013a; Roulin et al. 2009). As a consequence, at a given level of hunger, an individual will call at a lower level when its siblings are highly motivated to compete for food than when its siblings are sated, since the probability to obtain the next delivered food item is lower in front of hungry than food-satiated siblings (Roulin et al. 2000). A recent playback experiment showed that nestling birds eavesdrop on conspecifics’ behavioural interactions to gain information about the state of surrounding competitors without having to directly participate in these interactions (Dreiss et al. 2013a), similarly to interactions taking place between adult animals (McGregor 1993). After having listened to two siblings that interacted vocally, singleton owlets were allowed to interact with only one of these two individuals. Singletons vocalized less rapidly when interacting with the individual that previously displayed a higher motivation to compete compared to when interacting with the other individual, formerly less motivated (Dreiss et al. 2013a). This study demonstrates the ability not only to recognize the identity of individuals taking part in a social contest, but also to memorize during at least 1 min the outcome of these vocal interactions in order to use this information once interacting with only one of the participants. This recognition is facilitated by the presence of vocal signatures (Dreiss et al. 2014). Barn owls have been shown to have the cognitive ability to perceive information on social context, such as motivation of nest mates (Ruppli et al. 2013a) and amount of competing siblings (Ruppli et al. 2013b), but the duration of social information retention is unknown. Because parent feeding visits occur at unpredictable time points (Roulin and Bersier 2007), siblings vocal exchange between two feedings can last up to several hours (Roulin 2002b). We hence investigated how long information on sibling motivation influence young competitive behaviour. To answer this question, we first investigated for how long a signal experienced at a given time point influences opponent’s behaviour. Although the duration of calls emitted at different time points is repeatable within individuals (Dreiss et al. 2014), it fluctuates over time independently of hunger, since siblings constantly adjust their call duration to one another (Roulin et al. 2009). As a consequence, the call durations of a vocalizing pair of siblings fluctuates synchronously (Roulin et al. 2009). Using correlative data, we therefore analysed for how long the duration of siblings’ calls was taken into account by focal nestlings to adjust the duration of their own calls. Second, we used the barn owl’s ability to eavesdrop on vocal interactions (Dreiss et al. 2013a) to test experimentally (1) how long nestlings retain an eavesdropped interaction between two competitors and use this information to adjust vocal behaviour, i.e. the duration of the “memory window”, and (2) whether repetition of the eavesdropped vocal interaction (i.e. the number of “training”) consolidates young propensity to use the eavesdropped information. The key issue is after how long without any vocal information, nestlings stop responding differently to two competitors that previously displayed different motivation levels. Under the hypothesis that the memory decreases with the time lapse since the social information was witnessed, the response to the two competitors should only differ after shorter memory windows. Under the hypothesis that memory increases with the repetition of the social information, the response to the two competitors should only differ after more trainings. We indeed expected that nestlings would better remember the vocal interaction when they heard it repeatedly. Under the hypothesis that nestlings memorize vocal interactions that took place between siblings, singleton nestlings should show lower motivation to vocalize (i.e. produce fewer and shorter calls but also vocalize with longer time latency after playback calls) when hearing an individual that was previously witnessed as “motivated” (i.e. high call rate) compared to “demotivated” (Dreiss et al. 2013a; Roulin et al. 2009). Materials and Methods General Procedure We performed the study in western Switzerland (46°4′N, 6°5′E) on a population of wild barn owls breeding in nest boxes. In this species, incubation starts as soon as the first egg has been laid and since eggs are laid every 2.5 days, the two to nine siblings can differ strongly in age. Nestling age was estimated shortly after hatching by measuring the length of the left flattened wing from the birds’ wrist to the tip of the longest primary (Roulin 2004). To record young vocal exchange and their response to an owlet playback, we temporarily brought young in an experimental nest box similar to the one where they were reared in naturally (62 × 56 × 37 cm³), but separated into two equal parts by a thin wooden wall pierced with holes. One owlet was placed at one side of a box, while the other side contained either a sibling or a loudspeaker to broadcast pre-recorded calls (near05 experience, ESI Audiotechnik GmbH, Leonberg, Germany). During the course of the experiments, owlets did not receive any food item, simulating a situation where nestlings wait for parental feeding. The relative motivation level of each individual should thus have remained the same during these 4 h. We recorded each individual with a microphone (MC930, Beyerdynamic GmbH & Co KG, Heilbronn, Germany) oriented towards it and fixed on the inside roof of the box. We tested owlets on average 22 days before fledging, which takes place at ca. 55 days. At the tested age owlets are already thermo-independent and their parents are naturally sleeping outside their nest box. Natural Vocal Exchange Between Siblings In 2008, we analysed the correlation of call durations between pairs of siblings in 98 nestlings issued from 35 broods (51 males, 45 females and two of unknown sex; aged 25–45 days, mean ± SD: 35 ± 5 days) during a vocal exchange. Pairs of siblings were recorded during 4 h from 19:30 to 23:30, two consecutive nights, alternatively in food-satiated and food-deprived states (see Ruppli et al. 2013a for further details on procedure). We analysed the temporal auto-correlation of continuous vocal exchanges between food-deprived pairs. We used hungry nestlings, because they vocalized more (Ruppli et al. 2013a) and we could analyse long series with continuous call production. Playback Experiment In 2011, we brought 115 owlets to the laboratory, including 52 males, 58 females and 5 nestlings of unidentified sex, from 32 broods (aged 20–42 days, mean ± s.e.: 33.4 ± 0.4). At their arrival to the laboratory at around 12:00 and on the next morning at 8:00 nestlings received ca. 50 g of laboratory mice, which is slightly below their daily food requirement of ca. 67 g (Durant and Handrich 1998). The playback experiment was carried out on the second and last night of captivity starting at 21:30. We first constructed an artificial vocal exchange between two individuals, so-called “competitors”, each presenting a different level of motivation to negotiate. This training playback lasted 10 min and comprised 16 calls per minute, 12 calls from one “motivated” individual and 4 calls from the second unrelated “demotivated” individual We generated this asymmetry in call rate to mimic a situation where the singleton nestling hears two competitors showing a clear difference in the motivation to compete. This call rate is in the natural range of call rates observed in dyadic interaction (Ruppli et al. 2013a). In nature, hungry nestlings call on average nine times more often than their satiated sibling (unpublished data) and hungry nestlings produce longer calls than satiated ones (Roulin et al. 2009; Ruppli et al. 2013a). Our experiment is therefore conservative and a larger difference in the intensity of the competitors’ motivation (in terms of repetition and magnitude) during the training playback, as well as more repetitions of this playback, may elicit a longer memory. Calls were inserted in a random order along the soundtrack and at random time onset (with a minimum 1 s pause between two successive calls), so that each nestling heard three different soundtracks and no nestlings heard the same soundtrack. After having broadcast the training playback to the singleton nestlings, we examined their vocal reaction when facing again the calls of only one of the two broadcast competitors during a testing playback (Fig. 1). To test nestlings’ memory, we inserted a silent “memory window” of 1, 15 or 30 min between the end of the training playback and the beginning of the testing playback. We chose these memory windows because parents visit their nest on average every half an hour during the night in natural conditions (median of 17 broods of 2.4 nestlings, median = 27 min, range (1 min–5 h), unpublished data). As nestlings’ hunger levels should not importantly vary between two feeding events, it may be biologically relevant to memorise the hunger level of siblings during this time lapse. In this testing playback, we sequentially broadcast the “motivated” and the “demotivated” competitors alone in a random order: during 5 min the calls of a first competitor followed by a period of 30 s of silence and then the calls of the second competitor during 5 min (Fig. 1). Playback calls of formerly “motivated” and “demotivated” individuals were broadcast at a rate of 5 calls per minute. Each singleton heard three times in a row a sequence containing a training playback, a silent memory window and a testing playback with a period of 10 min of silence after the testing playback (Fig. 1). The duration of silent memory window varied between the three repetitions from 1, 15 to 30 min, the order being randomized for each singleton nestling. For a given singleton nestling, in each of the three training playbacks, we used the same individual to play the role of a “motivated” competitor and the same individual to play the role of a “demotivated” competitor. However, the playback calls used to build the training playbacks were reallocated at random timing and random order in each of the three training playbacks so that the three sequences of calls were different. For a given nestling, the order at which the “motivated” competitor was broadcast during the testing playback (first or second) was the same the three times. Playback Soundtracks To build the playback soundtracks, we used calls we had recorded in 2008, of food-deprived nestlings (Roulin et al. 2009; Ruppli et al. 2013a). We selected calls from five individuals of similar age (33–35 days old; three males and two females) issued from five different broods. For each of these five unrelated individuals, we isolated 10 calls of about 0.6 s (mean ± s.e.: 0.597 ± 0.002), which corresponds to the first quartile of call duration computed from 54 experimentally food-satiated pairs of nestlings recorded in 2008 (0.61 s, based on 96,666 recorded calls) (Ruppli et al. 2013a). We choose to broadcast calls of relatively short durations, because at the beginning of the night when ![Fig. 1](image-url) Fig. 1 Design of the experimental playback sequence used to test the ability of barn owl nestlings to memorize vocal interactions taking place between two siblings. The sequence was broadcast three times in a row to each singleton nestling with each time a different silent memory window of 1, 15 or 30 min, the order of each window being randomized across nestlings. The order at which the “motivated” and “demotivated” individual was broadcast in the testing playback was randomised across singleton nestlings (but for each nestling the order was the same for the three testing playbacks) the experiment started, nestlings were relatively satiated and would probably not respond to highly motivated individuals producing long calls. We normalised the maximum loudness of all playback calls at $-3$ dB using the Audacity software (http://www.audacity.sourceforge.net); this manipulation did not affect the other acoustic features of calls (such as call duration or frequency distribution). Calls of the motivated and demotivated nestlings during the training and the testing playbacks were hence of same intensity. The five playback individuals were equally used to play the role of “motivated” and “demotivated” competitor ($\chi^2 = 1.88$, $df = 4$, $P = 0.77$). Acoustic Analyses We used Matlab v.7.7 (MathWorks, Natick, MA, U.S.A.) to assign the recorded calls to the broadcast individuals and to live nestlings (see Ruppli et al. 2013a for further details on procedure) and (see script in Dreiss et al. 2013a). For playback experiment, we measured the duration and the number of calls produced by the singleton nestlings during the 10 min of the three testing playbacks. We also determined the timing when each call had been emitted in order to measure the latency of response by the singleton nestlings after the broadcast calls, i.e. the duration of the pause between every broadcast calls that were followed by a call of the live singleton nestlings. This duration, referred to as “calling latency”, was defined as the amount of time between the beginning of a broadcast call and the beginning of the singleton nestling’s call. Statistical Analyses Natural Vocal Exchanges For each focal individual, we analysed the relationship between its call duration and the duration of the preceding calls emitted by its sibling. To simplify the analyses, we averaged the duration of the calls produced each minute $t$. In order to control statistically for the temporal autocorrelation of call durations, we extracted the residuals from the regression of mean duration of sibling’s calls at minute $t - 1$ against mean duration of sibling’s calls at minute $t$. This value allows us to estimate the residual effect of minute $t - 1$, given the temporal correlation between sibling call duration at $t$ and $t - 1$. We repeated this procedure for each time step (i.e. minute $t - 2$ against minute $t - 1$ and $t$, and so on until minute $t - 10$). Sibling’s call duration at minute $t$ and the sibling’s call duration residual values at minutes $t - x$ were by construction not correlated (Pearson correlations, all $P$ values >0.10). The entire procedure was repeated for the calls produced by focal nestlings. In this way, we had repeated measures for each pair of individuals that could be analysed without the problem of temporal autocorrelations. We used linear mixed models with call duration of focal individual at minute $t$ as dependent variable and as covariates sibling call duration at minute $t$ and residuals of sibling call duration at minutes $t - 1$ to $t - 10$. In a second model, covariates were the residuals of focal individual call duration at minutes $t - 1$ to $t - 10$. The identity of each nestling nested in the pair of siblings was set as random factors and time of the night in minutes as covariate. The estimates of model effects give an indication on whether past call duration was taken into account. Playbacks To investigate whether singleton nestlings adjusted their vocal behaviour during the testing playback in relation to the role played by the broadcast competitors (“motivated” vs. “demotivated”) during the training playback, we analysed three vocal parameters as dependent variables in separate mixed models (number of calls, mean call duration and mean calling latency). As independent factors, we fitted (1) the competitor motivation during training playback (i.e. “motivated” or “demotivated”), (2) the duration of the memory window after the previous training playback (i.e. 1, 15 or 30 min), (3) the number of times singleton nestlings heard the training playback (1, 2 or 3 times), and (4) the order with which the calls of the “motivated” individual had been broadcast during the testing playback (i.e. before or after the “demotivated” individual). We predict that if nestlings take into account the information gathered during the training playback, they would respond differently to the two playback competitors during the testing playback, and the factor “competitor motivation” would be significant. If this discrimination depends upon the duration of the silence between the training and test playbacks, the interaction term “competitor motivation × duration of the memory window” would be significant. If it depends upon the number of training playbacks heard, the term “competitor motivation × number of training playback” would be significant. Analyses were based on six average values per nestlings, as all nestlings were tested during three testing playbacks following three different levels of “Duration of memory window”; and each testing playback comprised the two levels of “Motivation of competitors”. Because some nestlings did not call during some testing playbacks, sample size of call duration and calling latency is smaller than sample size of number of calls. We included the identity of the singleton nestlings nested in the brood from which they were issued as random factor. As we broadcast calls of five competitor nestlings to several singleton nestlings, we also controlled for the identity of the two broadcast competitor nestlings as random factor in all models. Call duration and calling latency of singleton nestlings were analysed with linear mixed models, while number of calls was analysed with generalized Poisson mixed model for zero-inflated over-dispersed count data (Joe and Zhu 2005). In all analyses, age and sex of the singleton nestlings did not affect the way they vocalized when hearing the testing playbacks and hence we did not include these variables in the models presented in the paper for the sake of clarity. Assumptions for the models (homoscedasticity and normal distributions of variables or residuals) were verified in each test. 51 nestlings (44%) did not produce any call during the testing playbacks and were thereby not included in analyses. This is not surprising because the testing phase lasted only 10 min and nestlings were not very hungry, as they received food during the daylight hours and playback was performed at the beginning of the night. Depending on when the food was eaten (which was not standardized), some nestlings were hungrier than others. We predicted that singleton nestlings should call more in front of “demotivated” competitor than “motivated” competitor as predicted by the “sibling negotiation hypothesis” (Roulin et al. 2000); this prediction holds whatever the level of hunger of the singleton nestlings, as long as they are hungry enough to enter the contest. However, nestlings are predicted not to call at all in front of vocal competitors if not enough hungry as predicted by a game-theoretical model and as already shown in natural conditions (Johnstone and Roulin 2003; Roulin 2002a). These silent individuals did neither differ in age nor sex from the vocal individuals (age: ANOVA: $F_{1,113} = 0.16$, $P = 0.67$; sex: $\chi^2 = 0.27$, $df = 1$, $P = 0.60$). The probability that a singleton nestling was silent did not depend on which of the 5 playback individuals was used for the training playback (“motivated” competitor: $\chi^2 = 2.28$, $df = 4$, $P = 0.69$; “demotivated” competitor: $\chi^2 = 2.05$, $df = 4$, $P = 0.73$). To control for the randomization of our protocol, we verified that among the 64 nestlings that vocalized, they neither differed in age nor sex according to the six different possible orders of silent memory windows (1/15/30, 1/30/15, 15/1/30, 15/30/1, 30/1/15, 30/15/1 min; age: ANOVA: $F_{5,58} = 0.45$, $P = 0.81$; sex: $\chi^2 = 6.54$, $df = 5$, $P = 0.26$) and to the order at which the “motivated” and “demotivated” competitor nestlings were first broadcast (for a given singleton nesting, the same individual was broadcast first in all three testing playbacks, age: ANOVA: $F_{5,62} = 1.61$, $P = 0.21$; sex: $\chi^2 = 0.07$, $df = 1$, $P = 0.80$). We used SAS v.9.1 (SAS Institute Inc., Cary, NC, USA) for all statistical analyses. Model selection was performed by backward elimination of the non-significant ($P < 0.05$) terms beginning with the highest order interaction terms. Elimination of non-significant terms did not significantly modify the Akaike information criterion (AIC). Final models only contained significant effects and when a two-way interaction term was significant, the main effects involved in the interaction were retained in the model. Ethical Note In the laboratory, barn owl nestlings behave as in nature (Roulin et al. 2009) and are not physiologically stressed (Dreiss et al. 2010a). The stay at the laboratory did not affect nestlings’ growth and survival, as there was no significant differences between siblings tested in the laboratory and siblings that remained in their natural nest (Wilcoxon tests: body mass at fledgling: $Z = 0.69$, $P = 0.49$; survival: $Z = 1.16$, $P = 0.25$). See (Dreiss et al. 2013b) for further details on transportation and feeding in the laboratory. Results Natural Vocal Exchange Between Siblings The mean duration of calls produced by focal barn owl nestlings at minute 0 was positively correlated with the duration of calls produced by their sibling during the same minute and during the preceding 12 min (Fig. 2a). The focal nestling’s call duration was positively correlated with residual value of sibling call duration (which controls for temporal auto-correlation) of the preceding 6 min (Fig. 2b; Table 1). This means that the call duration at minute 0 was positively correlated with sibling call duration at minute $-6$, independently of the minutes $-1$ to $-5$. As shown is Fig. 2b, the potential influence of sibling calls faded rapidly. By comparison, within individuals, nestling call duration was highly positively correlated with duration of own calls emitted the preceding 20 min (Fig. 2a). The residual value of focal call duration was highly correlated with own call duration during the preceding 3 min, but this correlation dropped after 3 min (Fig. 2b; Table 1). Playback Experiment Call duration of singleton nestlings during the testing playbacks was related to the interaction between competitor motivation during the training playback and the number of training playbacks they already heard (term “Motivation × Number” in Table 2b). Nestlings produced longer calls when interacting with the former “demotivated” than “motivated” competitor but only after having heard three times the testing playback (Fig. 3). The effect of competitors’ motivation was significant only after having heard the 3rd training playback (call duration: $-0.032 \pm 0.015$, $F_{1,32} = 4.68$, $P = 0.038$) but not after having heard the 2nd (call duration: $0.004 \pm 0.014$, $F_{1,23} = 0.11$, $P = 0.75$) or 1st training playback (call duration: $-0.011 \pm 0.019$, $F_{1,23} = 0.34$, $P = 0.56$). Nestlings adjusted call duration independently of the duration of the last memory window (as terms “Motivation $\times$ Duration $\times$ Number” and “Motivation $\times$ Duration” were not significant, Table 2a). This suggests that the duration of memory window within the experience had little effect on the discrimination of playback motivation. However, the only significant discrimination during the 3rd testing playback was found after 15 min of silence window (same models performed on the 3rd testing playback, when broadcast 1 min after training: estimate: $-0.01 \pm 0.02$, $F_{1,10} = 0.17$, $P = 0.6$; 15 min after: $-0.06 \pm 0.02$, $F_{1,13} = 0.78$, $P = 0.037$; 30 min after: $-0.03 \pm 0.02$, $F_{1,7} = 0.78$, $P = 0.4$). Table 1 Relationship between nestling call duration at minute 0 and (a) sibling call duration the same minute and the residual of sibling call duration the 10 preceding minutes and (b) own call duration the preceding minute and the residual of own call duration the 2–10 preceding minutes, in two linear mixed models \| Min \| a. Sibling call duration \| b. Own call duration \| \|-----\|--------------------------\|----------------------\| \| \| df \| F \| P \| df \| F \| P \| \| 0 \| 1 \| 5572\| 170.8\| <0.0001\| – \| – \| – \| \| 1 \| 1 \| 5572\| 60.6 \| <0.0001\| 1 \| 9787\| 10,985.9\| <0.0001\| \| 2 \| 1 \| 5572\| 70.6 \| <0.0001\| 1 \| 9787\| 119.2 \| <0.0001\| \| 3 \| 1 \| 5572\| 17.1 \| <0.0001\| 1 \| 9787\| 23.0 \| <0.0001\| \| 4 \| 1 \| 5572\| 19.5 \| <0.0001\| 1 \| 9787\| 1.1 \| 0.30 \| \| 5 \| 1 \| 5572\| 13.9 \| 0.0002\| 1 \| 9787\| 0.4 \| 0.54 \| \| 6 \| 1 \| 5572\| 4.6 \| 0.03 \| 1 \| 9787\| 0.2 \| 0.66 \| \| 7 \| 1 \| 5572\| 0.7 \| 0.41 \| 1 \| 9787\| 5.2 \| 0.02 \| \| 8 \| 1 \| 5572\| 0.0 \| 0.86 \| 1 \| 9787\| 0.9 \| 0.34 \| \| 9 \| 1 \| 5572\| 0.4 \| 0.51 \| 1 \| 9787\| 4.0 \| 0.05 \| \| 10 \| 1 \| 5572\| 0.5 \| 0.48 \| 1 \| 9787\| 0.1 \| 0.80 \| Terms in bold are significant ($p < 0.05$) Nestling nested in sibling pair was set as random factor The latency that singleton nestlings took before calling after a playback call was related to the interaction between competitors’ motivation in the vocal exchange during the training playback and the duration of the memory window (term “Motivation $\times$ Duration” in Table 2c). Nestlings called significantly more rapidly (with shorter calling latency) after we broadcast calls of the “demotivated” compared to “motivated” individual, but only if the memory window following the training playback did not exceed 1 min (Fig. 4; after 1 min silence: $0.905 \pm 0.433$ (estimate $\pm$ s.e.), $F_{1,22} = 4.37$, $P = 0.048$; after 15 min silence: $-0.263 \pm 0.374$, $F_{1,20} = 0.49$, $P = 0.49$; after 30 min silence: $0.065 \pm 0.337$, $F_{1,26} = 0.04$, $P = 0.85$; same models, but separately for each memory window). This effect was not significantly related to the number of times the training playback was broadcast (as terms “Motivation $\times$ Duration $\times$ Number” and “Motivation $\times$ Duration” were not significant, Table 2c). However, if we analysed the effect of competitor motivation according to the number of training playbacks, the only significant discrimination after 1 min of silence window was found after the 3rd testing playback (same models performed after 1 min of silent window, on the 1st testing playback: estimate: $1.2 \pm 1.2$, $F_{1,5} = 0.98$, $P = 0.37$; 2nd testing playback: $0.2 \pm 0.6$, $F_{1,6} = 0.82$, $P = 0.037$; 3rd testing playback: $1.1 \pm 0.3$, $F_{1,9} = 11.35$, $P = 0.008$). Discussion By analysing vocal exchange between pairs of barn owl siblings, we found that the duration of calls of focal Table 2 Vocal response of barn owl nestlings to competitors previously heard in a vocal exchange \| Effect \| a. Number of calls \| b. Call duration (s) \| c. Calling latency (s) \| \|---------------------------------------------\|--------------------\|----------------------\|------------------------\| \| \| df \| F \| P \| df \| F \| P \| df \| P \| P \| \| Motivation of competitors during training \| \| \| \| \| \| \| \| \| \| \| playbacks (“Motivated” or “demotivated”) \| 1,314 \| 0.41 \| 0.52\| 1,143 \| 0.51 \| 0.48\| 1,134 \| 0.72 \| 0.40\| \| Duration of memory window after previous \| \| \| \| \| \| \| \| \| \| \| training playback (1, 15 or 30 min) \| 2,314 \| 1.13 \| 0.33\| 2,140 \| 0.21 \| 0.81\| 2,134 \| 0.06 \| 0.94\| \| Number of training playbacks heard \| \| \| \| \| \| \| \| \| \| \| (1, 2 or 3) \| 2,318 \| 6.83 \| 0.001\| 2,143 \| 6.51 \| 0.002\| 2,134 \| 0.78 \| 0.46\| \| Order of competitor during testing playback \| \| \| \| \| \| \| \| \| \| \| (1st or 2nd) \| 1,314 \| 2.55 \| 0.14\| 1,140 \| 0.28 \| 0.60\| 1,134 \| 0.28 \| 0.60\| \| Motivation × duration \| \| \| \| \| \| \| \| \| \| \| 2,306 \| 0.65 \| 0.52 \| \| 2,134 \| 0.24 \| 0.78\| 2,134 \| 3.70 \| 0.027\| \| Motivation × number \| \| \| \| \| \| \| \| \| \| \| 2,306 \| 0.63 \| 0.53 \| \| 2,143 \| 4.31 \| 0.015\| 2,134 \| 0.82 \| 0.44\| \| Duration × number \| \| \| \| \| \| \| \| \| \| \| 4,306 \| 1.48 \| 0.20 \| \| 4,134 \| 1.02 \| 0.40\| 4,134 \| 0.14 \| 0.96\| \| Motivation × duration × number \| \| \| \| \| \| \| \| \| \| \| 4,302 \| 1.33 \| 0.26 \| \| 4,130 \| 0.57 \| 0.69\| 4,130 \| 1.02 \| 0.40\| Terms eliminated from initial models are italicized. Interactions in bold are described in the “Results” section Fig. 3 Nestling call duration according to the previous motivation of competitors, witnessed once, twice or three times. Mean call duration (s) of singleton barn owl nestlings (±s.e.) during testing playbacks, according to the number of training playbacks that these nestlings heard. Nestlings responded to competitors which formerly displayed a different level of motivation (during training playback). The broadcast individuals displayed either a high or low motivation with “motivated” individuals emitting 12 calls per minute and “demotivated” individuals 4 calls. The asterisk indicates significant difference in the mixed model reported in the results Fig. 4 Nestling calling latency according to the motivation of competitors witnessed 1, 15 or 30 min before. Calling latency (s) of barn owl nestlings (±s.e.), responding to competitors which formerly displayed a different level of motivation, according to the duration of silent memory window after the previous training playback. The calling latency was estimated as the mean amount of time between the beginning of a broadcast call and the beginning of the singleton nestling’s call during testing playback. The asterisk indicates significant difference in the linear mixed model nestlings was correlated with the duration of sibling’s calls emitted up to 6 min before. This suggests that at each time point nestlings adjust their calling behaviour in relation to the way their siblings called up to 6 min before. Our playback experiment allowed us to test whether nestlings identify which of two siblings is the hungriest and retain this information for longer periods of time to adjust their calling behaviour. We report the first test and evidence that young animals that are still dependent on their parents assess and memorize during at least 15 min the outcome of social interactions taking place between two opponents. Although the duration of memory reported here is not necessarily exceptional, the study question of whether memory plays a role in family interactions is not trivial. Indeed, existing theoretical models about sibling competition (Godfray 1995; Godfray and Parker 1992; Royle et al. 2012) implicitly consider that young animals assess current sibling’s physical and signalling behaviour to adjust their own levels of effort invested in the competition over parental resources. In other words, the decision to escalate begging behaviour in a young animal is taken at the exact time when its siblings increase effort in sibling competition rather than based on previously witnessed siblings’ behaviour (Leonard and Horn 1998; Madden et al. 2009). Furthermore, considering information retention has important implication on the honesty of signalling as discussed below. Information Retention During Natural Exchange To examine the extent to which nestlings memorize the calling behaviour of siblings to adjust their own calls, we made use of the observation that the duration of calls emitted by two barn owl siblings are correlated through time. In other words, when a nestling increases (or decreases) the duration of its calls, its sibling increases (vs. decreases) the duration of its own calls. Here, we therefore investigated whether the duration of calls produced by an individual is correlated with the duration of sibling’s calls emitted several minutes ago. Our correlative analysis suggests that nestlings retained information on sibling calling behaviour for only a few minutes. During continuous vocal interaction between two nestlings, calls emitted by a sibling more than 6 min ago were no more taken into account by a focal nestling to adjust its vocal behaviour. This does not necessary mean that information cannot be memorized for a longer period of time, but that this information is constantly updated. Because we used a correlative approach, the adjustment of call duration could be related to other factors than own and sibling call duration that we did not control for. However, nestling modulation of call duration was unlikely due to hunger or circadian rhythm, as duration increases and decreases within a few minutes (Roulin et al. 2009). Furthermore, in our experiment siblings were physically separated, which limited other influences than acoustic signals. Information Retention and Consolidation of Eavesdropped Vocalizations Singleton nestlings modulate their investment in call duration according to the eavesdropped information even after 15 min of silence, but only after three training playbacks of 10 min, i.e. only if they could eavesdrop on competitors during a sufficiently long period of time. This finding is in line with the hypothesis that repetition of an eavesdropped vocal interaction consolidates individual ability to retain social information. The fact that significant discrimination was only found after 15 min of silence window might in part be due to a lack of statistical power as slightly fewer nestlings were calling during testing playback after 1 and 30 min (see degrees of freedom). In line with the hypothesis that nestlings’ ability to remember vocal behaviour of competitors decreased with time, nestlings also adjusted the time taken to call after a competitor (i.e. calling latency), but only if they witnessed the motivation of competitors no more than 1 min ago. This latter result confirms that nestlings adjust their calling latency to recently eavesdropped information (Dreiss et al. 2013a). Our results hence suggest that the vocal signals of competitors’ motivation must be recent or witnessed 30 min to be remembered or taken into account. Four alternative scenarios could explain why nestlings adjust their call duration to former competitors’ motivation only if witnessed during a sufficiently long period of time (i.e. after three training playbacks in our experimental setup). First, nestlings may have been incapable to discriminate between the two opponents after the first and second training playbacks of 10 min, because they did not have time to identify which individual was calling at high level. Indeed, in our previous eavesdrop experiment (Dreiss et al. 2013a) that induced differential vocal responses in singleton nestlings to the two broadcast nestlings, the training playback was much longer (26 min). Second, this lack of discrimination response after the first and second training could be attributed to a lack of memory (no recollection of former interaction after silence window) or, third, to a decision to ignore the collected information. Forgetting or not taking into account information may be adaptive in barn owl nestlings if information is no more valid or if this constrains sibling competitors to repeat their display of motivation (see discussion below). Fourth, as more than 1 h has elapsed between the first and the third testing playbacks, the increased discrimination between “motivated” and “demotivated” could be related to the slightly increased hunger level of experimental nestlings. This seems however unlikely, as an individual is expected to vocalize relatively less intensely when facing “motivated” than “demotivated” nestmates independently of its own level of hunger. Implication of Information Retention on the Honesty of Signalling Information retention is predicted to be long when (1) the gathered information remains valid during a sufficiently long period of time, (2) memory is not too costly and (3) the benefit of memory retention is high. Information retention is expected to be shorter in variable than in stable environments, as information retained is less likely to persist over a long period of time, implying that signals have to be updated to convey the correct information (McNamara and Houston 1987). For instance, Rana sylvatica tadpoles remember the odour of a predator after a longer period of time when odour was associated with a high rather than low threat (Ferrari et al. 2010) and with a high rather than low certainty of threat (Ferrari et al. 2012). The ability to memorize social information is expected to evolve and be maintained if memory retention is not too costly. In very large groups, investment in memory of all group members may be cognitively costly, a situation that may select for direct assessment rather than memory of past social interactions to optimize behaviour when competing with a given individual. For instance, gelada Theropithecus gelada do not recognize adult males they had met outside their small reproductive group (le Roux and Bergman 2012). Even if primates are known for their high social cognition ability, living in large social groups (>1,000 individuals in gelada) may increase the cost/benefit ratio of memory (le Roux and Bergman 2012; Bergman 2010). In the barn owl, the benefit of remembering the displayed motivation level of competitor siblings is based on the verified assumption that owlets reduce investment in vocalization behaviour when facing a highly competitive and hence vocal sibling (Johnstone and Roulin 2003). Because the probability of winning the contest over a prey item delivered by a parent is low in front of hungry siblings, nestlings would spare energy by avoiding to challenge hungry siblings that are motivated to compete and hence likely to monopolize the impending food resources (Johnstone and Roulin 2003). We show here that nestlings indeed remember the level of motivation displayed at least 15 min ago. Nestling memory ability can hence allow individuals to spread signal investment over time. Hungry individuals can indeed stop calling for a while and still elicit a withdrawal from their nestmates who remember the level of motivation, reducing the global cost of sibling competition. However, barn owl nestlings’ memory of vocal competition is expected to be short for several reasons. First, the hunger levels of siblings change continuously during the course of the night (but probably not over 15 min unless an individual has been fed) and along the feeding events (Roulin 2002b). Because of the dynamic nature of sibling competition, information on competitors’ motivation should lose value and become obsolete relatively rapidly. Second, in a competitive context, we speculate that the absence of memory would oblige conspecifics to repeat a display on several occasions, which would reinforce the honesty of communication. If signalling is energetically costly to produce, repetition could enhance the accuracy of the estimate of conspecific motivation (Payne and Pagel 1997, 1996). By taking into account only the signals emitted by competitors that repeatedly advertise their motivation level and only when the vocal signal has been emitted less than a few minutes ago may be a way to ensure the honesty of this vocal signal of hunger. Hence, to ensure that the emitted vocal signals of need are taken into account by siblings, nestlings would have to constantly repeat their display until parents come back at the nest with food. Accordingly, nestlings are producing thousands of calls during a single night (Roulin 2002a). Differential Use of Information Retention on Different Vocal Features Barn owl nestlings adjusted two out of three call features to the motivation of competitors witnessed in a previous training playback: call duration and calling latency, but not the number of calls. Call rate is more closely related to hunger level and more sensitive to current vocal competition than call duration (Ruppli et al. 2013a). Furthermore, compared to the duration of calls, the number of calls produced in parent absence is a better predictor of which nestling will monopolize the next delivered food item brought by a parent (Dreiss et al. 2010b). Since call rate is more related to the time spent vocalizing (and hence to the amount of vocal sound produced) than call duration and calling latency, call rate may be more costly to produce than long calls (Ruppli et al. 2013a) and calling rapidly after a sibling. Although the three different vocal features all signal motivation to compete over parental food resources (Dreiss et al. 2013a; Roulin et al. 2009), they play a slightly different role in the vocal contest. Interestingly, it appears that only less costly vocal features, i.e. call duration and calling latency, are modulated according to past motivation of competitors. In contrast, the more reliable component of vocal signals, i.e. call rate, is adjusted to the current level of siblings’ signals which is probably more closely associated to the exact level of sibling motivation. Memory of Siblings’ Identity The finding that barn owl nestlings responded differently to the two broadcast nestlings during the testing playback implies that they remembered the identity and past motivation level of competitor siblings experienced during the training playback. This ability can be explained by the fact that nestlings learnt the vocal signature (Dreiss et al. 2014) of the two broadcast nestlings and simultaneously measured their relative or absolute motivation level. Alternatively, they could have learnt the identity of only one of the two broadcast individuals (e.g. the “motivated” but not “demotivated” one) and in turn responded differently to this competitor compared to the forgotten individual. The later hypothesis seems unlikely because a previous study showed that nestlings assess the relative age rather than absolute age between two vocally competing siblings and the relative timing of their calls (Dreiss et al. 2013a). This finding suggests that they compare the vocal behaviours of the two broadcast individuals and rank them. In our experiment, the difference in motivation to compete between the two broadcast competitors during the vocal exchange was not very pronounced (the “motivated” individual called only at a three times higher rate than the “demotivated” individual). It would be interesting to further test whether the intensity of the signal (in terms of call duration and call rate) affects the amount of time the information is taken into account, in the same way as the duration of the signal (in terms of number of training playbacks). Conclusion Behavioural adjustment in sibling competition may not necessarily require memory of previous sib–sib interactions, but sometimes solely depends on individual own need and on the intensity with which their surrounding siblings are currently contesting the same pool of parental resources (Madden et al. 2009; Godfray 1995; Leonard and Horn 1998, 2001). However, repeated interactions have long-lasting consequences on the establishment of a hierarchy among the siblings in some species (Drummond 2006) or on nestling signalling behaviour (Kedar et al. 2000; Grodzinski et al. 2008). The present study, as well as the previous study on the ability to eavesdrop on siblings competitive interactions (Dreiss et al. 2013a) showed that in barn owl nestlings the investment in sibling competition could be understood in the light of past vocal behaviour. 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Patterns of sedentary and active time accumulation are associated with mortality in US adults: The NHANES study Junrui Di\textsuperscript{1}, Andrew Leroux\textsuperscript{1}, Jacek Urbanek\textsuperscript{1}, Ravi Varadhan \textsuperscript{2,3}, Adam P. Spira \textsuperscript{3,4,5}, Jennifer, Schrack \textsuperscript{3,6}, Vadim Zipunnikov\textsuperscript{1,3} \textsuperscript{1} Department of Biostatistics, Johns Hopkins Bloomberg School of Public Health; \textsuperscript{2} Department of Oncology, Johns Hopkins School of Medicine; \textsuperscript{3} Johns Hopkins Center on Aging and Health; \textsuperscript{4} Department of Mental Health, Johns Hopkins Bloomberg School of Public Health; \textsuperscript{5} Department of Psychiatry and Behavioral Sciences, Johns Hopkins School of Medicine; \textsuperscript{6} Department of Epidemiology, Johns Hopkins Bloomberg School of Public Health Corresponding author: Junrui Di Department of Biostatistics Johns Hopkins Bloomberg School of Public Health 615 N Wolfe St. E3039 Baltimore, MD, 21205 Tel: (410)955-4394 Email: firstname.lastname@example.org Abstract Purpose: Sedentary behavior has become a public health pandemic and has been associated with a variety of comorbidities including cardiovascular disease, type 2 diabetes, and some cancers. Previous studies have also shown that excessive amount of sedentary behavior is associated with all-cause mortality. However, no studies investigated whether patterns of sedentary and active time accumulation are associated with mortality independently of total sedentary and total active times. This study addresses this question by i) comparing several analytical ways to quantify patterns of both sedentary and active time accumulation through metrics of fragmentation of objectively-measured physical activity and ii) exploring the association of these metrics with all-cause mortality in a nationally representative US sample of elderly adults. Methods: The accelerometry data of 3400 participants aged 50 to 84 in the National Health and Nutrition Examination Survey 2003-2006 cohorts were analyzed. Ten fragmentation metrics were calculated to quantify the duration of sedentary and active bouts: average bout duration, Gini index, average hazard, between-state transition probability, and the parameter of power law distribution. The association of these fragmentation metrics with all-cause mortality followed through December 31, 2011 was assessed with survey-weighted Cox proportional hazard models. Results: In models adjusted for age, sex, race/ethnicity, education, body mass index, common comorbidities, and total sedentary/active time, four fragmentation metrics were associated with lower mortality risk: average active bout duration (HR=0.72 for 1SD increase, 95% CI = 0.59-0.88), Gini index for active bouts (HR = 0.75, 95% CI = 0.64-0.86), the parameter of power law distribution for sedentary bouts (HR = 0.75, 95% CI = 0.63-0.90), and sedentary-to-active transition probability (HR = 0.77, 95% CI = 0.61-0.96), and four fragmentation metrics were associated with higher mortality risk: the active-to-sedentary transition probability (HR = 1.40, 95% CI=1.23-1.58), the parameter of power law distribution for active bouts (HR = 1.33, 95% CI = 1.16-1.52), average hazard for durations of active bouts (HR = 1.32, 95% CI = 1.18-1.48), and average sedentary bout duration (HR =1.07, 95% CI = 1.01-1.13). After sensitivity analysis, average sedentary bout duration and sedentary-to-active transition probability became insignificant. Conclusion: Longer average duration of active bouts, a lower probability of transitioning from active to sedentary behavior, and a higher normalized variability of active bout durations were strongly negatively associated with all-cause mortality independently of total active time. A larger proportion of longer sedentary bouts were positively associated with all-cause mortality independently of total sedentary time. The results also suggested a nonlinear association of average active bout duration with mortality that corresponded to the largest risk increase in subjects with average active bout duration less than 3 minutes. Key Words: objectively-measured physical activity, accelerometry, sedentary behavior, fragmentation, mortality, NHANES. Introduction Sedentary behavior is a significant risk factor for a wide range of chronic diseases, comorbidities, and mortality [1–10]. As people age, sedentary behaviors increase [7, 11, 12]. However, little is known about the detailed changes in daily sedentary patterns that accompany these shifts. A better understanding of temporal patterns of sedentary behavior in the characteristics of daily activities may clarify the role sedentary behaviors play in the progression of disability and disease, and thus provide more relevant public health recommendations regarding aging and diseases. Recently, the proliferation of wearable accelerometers has provided researchers with high-resolution, continuous activity data. As a result, accelerometer-measured physical activity (PA) offers the potential for both exploring detailed patterns of sedentary behaviors and providing more accurate estimates of overall sedentary behaviors, which have traditionally been underestimated by subjective methods [13, 14]. Frequently, studies quantify sedentary behavior via an absolute amount (total sedentary minutes per day) or proportion (percentage) of waking hours spent sedentary [7, 11, 15, 16]. Isotemporal substitution (ITS) model has been recently proposed to examine effects of replacing sedentary behavior with light PA (LiPA) and moderate-to-vigorous PA (MVPA) on weight, cardiovascular disease biomarkers, and mortality [2, 17–19]. Compositional data analysis (CoDA) has been applied recently [20–22] to study the combined effects of time spent in LiPA and MVPA, sedentary behaviors and sleep while taking into account the codependence between those behaviors due to the finite time during a day. CoDA considers the time budget composition of the day without encountering issues of spurious correlations and collinearity. Both ITS and CoDA study the effect of allocation of the 24-hour budget between time spent in sedentary behavior, LiPA, MVPA and sleep and do not take into account how those total times have been accumulated. Several methods have been recently proposed to quantify the patterns of sedentary time accumulation to better understand how these patterns affect health and functional status. Conceptually, these methods segment objectively-measured daily activity into alternating bouts of sedentary and active time and the patterns are quantified via summaries of duration of frequency of switching between sedentary and active bouts. From a statistical perspective, these methods can be grouped into two categories: nonparametric and parametric. Nonparametric approaches do not impose any distributional assumptions and summarize the distribution of bout durations via average duration, variability of durations, or describe properties of durations via hazard function. Paraschiv-Ionescu [23] used the area above the cumulative distribution function curve (AAC) of bout durations to study the relationship between chronic pain and PA. Mathematically, AAC is equivalent to the average bout duration. Healy et al. [5,24–26] and Chastin et al. [27] both proposed to use the reciprocal of average sitting or sedentary bout duration, which is shown in this paper to be related to the sedentary-to-active transition probability. The Gini index, a normalized measure of the variability of durations of sedentary bouts, has been proposed and applied by Chastin [13]. Lim [28] proposed to use two non-parametric summaries, $k_{ar}$ and $k_{ra}$, to quantify the frequency of switching from active to resting (sedentary) and from resting (sedentary) to active state and defined them as the constant level of corresponding hazard functions. Parametric approaches assume that bout durations follow a specific probability distribution, and then estimate the parameters that characterize the chosen distribution [13,23,27,29]. The most popular distribution used to quantify patterns of sedentary time accumulation is the power law distribution [13,23]. The parameter of power law has demonstrated stronger associations with clinical outcomes than total sedentary time in many studies [13,23,27,29]. However, the power law distribution is not always appropriate for describing the distribution of sedentary time accumulation [13,23,27,29]. For example, the power law distribution does not fit the distribution of sedentary time accumulation in some studies [13,23,27,29]. In addition, the power law distribution is not always appropriate for describing the distribution of sedentary time accumulation in some studies [13,23,27,29]. clinical populations [13,23,27]. Another choice is the exponential distribution, a commonly used parametric distribution for time-to-event data [30]. Nakamura [29] modeled the duration of active periods using the stretched exponential distribution. Paraschiv-Ionescu [23] compared the performance of several heavy tail distributions to model sedentary and active duration, including the lognormal and the double Pareto distribution (Pareto2). This work studies patterns of sedentary and active time accumulation with the fragmentation metrics outlined above using accelerometry data from 50 year and older participants of 2003-2006 National Health and Nutrition Examination Survey (NHANES). It compares the fragmentation metrics from both a practical and a statistical perspective and investigates whether these metrics are associated with mortality independently of total sedentary and total active time. Methods Study Populations and Measures The National Health and Nutrition Examination Survey (NHANES) is a stratified, multistage, probabilistic sample representative of the civilian non-institutionalized U.S. population, described in detail elsewhere [31]. Fragmentation metrics were calculated from NHANES 2003-2004 and 2005-2006 waves, in which NHANES recruited a representative subsample aged 6 years and older to objectively evaluate PA using accelerometry. Since a survival analysis was conducted, subjects under the age of 50 years were excluded from the analysis to minimize potential biases induced by including younger individuals who were susceptible to genetic and/or atypical virulent diseases not related to habitual physical activity. NHANES data have been linked to death records from the National Death Index through December 31, 2011. If a participant is deceased, the duration of time in months between the NHANES examination and death is provided. Accidental deaths were excluded from the analysis. Demographic and comorbidity information that are available included, age, gender, race, education level, smoking status (never, former, current), drinking status (former or current drinker, heavy drinker, moderate drinker, non-drinker), body mass index (BMI; kg/m2), mobility difficulty (yes, no), diagnosis of diabetes, coronary heart disease, congestive heart failure, stroke, and cancer. Subjects with missing covariates were also excluded. In total, 3400 participants aged 50 to 84 years who fulfilled the inclusion criteria remained in the analysis, where 1773 were from cohorts 2003-2004, and 1627 were from cohorts 2005-2006. There were 542 reported deaths in the sample over an average of 6.4 follow-up years (7.2 for cohort 2003-2004, and 5.6 for cohort 2005-2006). Physical activity was measured with the ActiGraph AM-7164 accelerometer (ActiGraph, LLC, Fort Walton Beach, Florida). The device was placed on an elasticized fabric belt, custom-fitted for each subject, and worn on the right hip. Participants were instructed to remove the belt while sleeping, bathing, and swimming. The monitors were programmed to record activity counts in successive 1-minute epochs for up to 7 consecutive days. Non-wear time was defined as any interval of 90 minutes or longer in which all count values were 0 with allowance for up to two minutes of non-zero counts between 1 and 99 [32,33]. Subjects were included if they had at least one valid day of accelerometer data, defined as at least 10 hours of wear time and all NHANES generated quality flags for the data were deemed valid [34]. Following previous work [35,36], minutes with activity counts < 100 are defined as sedentary, and minutes with activity counts ≥100 are defined as active without further distinguishing between light physical activity (LIPA) and moderate to vigorous physical activity. (MVPA). A sedentary or active bout is defined as being sedentary or active for at least one minute. Notations First, necessary notations are introduced. To define fragmentation metrics, the following notations are introduced: the duration of the longest active bout is denoted by $D_A$, the number of bouts of length $t$ is denoted by $n_A(t)$, the number of active bouts of length $\leq t$ is denoted by $n_A^c(t)$. Total active time can be represented as $T_A = \sum_{t=1}^{D_A} n_A(t) \cdot t$, and the total number of active bouts can be represented as $n_A = \sum_{t=1}^{D_A} n_A(t)$. Notations for sedentary bouts can be defined similarly, with all subscripts changed to “S”. When introducing and defining the fragmentation metrics, the subscripts are sometimes dropped since they are defined for both sedentary and active. For simplicity of exposition, most of the conceptual derivations below will assume continuous $t$. Necessary adjustments are required to account for the fact that observed durations are integers. In this context, the continuity assumption is reasonable as a minute-level epoch assumption may be relaxed and a much finer resolution can be considered for high-frequency accelerometry data. Nonparametric metrics We now review nonparametric fragmentation metrics. 1. Average duration The simplest and the most intuitive fragmentation metric is the average bout duration. Some previous studies have demonstrated usage of average bout durations. Paraschiv-Ionescu used the area above the cumulative distribution function curve (AAC) of bout durations (which statistically is equivalent to average duration) to study the relationship between chronic pain and PA [23]. To study how “breaks” of sedentary was associated with metabolic risk, Healy et al. considered the mean duration of the breaks [25]. Similarly, Lynch et al calculated the average length of active and sedentary bouts and studied their association with breast cancer biomarkers [37]. Average bout duration is denoted by $\mu$ and estimated as $$\mu = \frac{T}{n} = \frac{\sum_{t=1}^{D} n(t) \cdot t}{\sum_{t=1}^{D} n(t)} \quad \text{(Equation 1)}$$ respectively. 2. Normalized variability Second most common method for nonparametrically summarizing a distribution is to estimate its variability. The Gini index was originally developed in econometrics to study the statistical dispersion of the distribution of incomes [38] and was used by Chastin et al [13] as a measure of the accumulation of sedentary time. Here, the Gini index is denoted by $g$, and defined and estimated as $$g = \frac{\sum_{t_1=1}^{D} \sum_{t_2=1}^{D} n(t_1)n(t_2)\|t_1-t_2\|}{2n^2\mu} \quad \text{(Equation 2)}$$ respectively. The Gini index can be seen as a measure of (absolute, not squared) variability of bout durations normalized by the average duration. It can be shown that $g$ is bounded between 0 and 1 [38]. When Gini index is close to 1, it indicates that total time is accumulated via a small number of longer bouts. Conversely, when Gini index is close to 0, it indicates that all bouts contribute equally to total time. 3. Average hazard Lim et al. [28] proposed two metrics $k_{ra}$ and $k_{ar}$ to quantify the frequency of switching from active to resting (sedentary) and from resting (sedentary) to active states, respectively, and studied their association with cognitive impairment in older adults [39]. Similarly, they adopted this concept to study sleep fragmentation and its effects on Alzheimer’s Disease (AD) [40,41]. The estimation procedure focused on estimation of “transition probability” as a function of bout duration, applied smoothing, and identified a range of durations when the “transition probability” function flattened out. The constant values of the “transition probability” from those “constancy” ranges have defined $k_{ra}$ and $k_{ar}$. From a statistical point of view, the “transition probability” function constructed by Lim et.al is exactly the hazard function widely used and studied in survival analysis. Modeling the hazard function is a principal approach for analyzing time-to-event data. The hazard function can be seen as the instantaneous probability of failure at time $t$ given that the subject has survived until time $t$ [30,42,43]. In this sense, the hazard is a measure of risk: the greater the hazard, the greater the risk of failure. Thus, in terms of dichotomous sedentary-active states, the hazard function can be used to study the probability of transitioning from sedentary to active or from active to sedentary state. There are a few statistical reservations and modeling limitations to directly use the proposal of Lim et al. [28]. First and the most important, their proposal does not provide a well-defined estimand of interest. Second, the estimation of $k_{ra}$ and $k_{ar}$ tries to identify the “constancy range” of hazard function - a restrictive and hard-to-verify assumption. Third, the proposal employs LOWESS smoothing to identify the “constancy” range, thus, requires “ad hoc” decisions to make. To avoid these limitations, but stay close to the original proposal, we suggest the average hazard (AH) as the primary estimand to non-parametrically summarize the hazard function as a function of bout duration. Next, we outline our proposed procedure to estimate the AH. For observed durations $t_1, ..., t_n$, it is assumed that there are $m$ unique values, which are denoted in increasing order by $\{t_{n_1}, t_{n_2}, ..., t_{n_m}\}$. Then, hazard rates can be estimated at these distinct bout durations nonparametrically using the Nelson-Aalen approach [43] while treating all bout durations as non-censored (i.e., all active bouts will transition to sedentary bouts, and vice versa) $$h(t_{n_i}) = \frac{n(t_{n_i})}{n - n^c(t_{n_{i-1}})} \quad \text{(Equation 3)}$$ where $i = 1, ..., m$. Note that Nelson-Aalen approach does not estimate the hazard function at time points that are not observed. The AH is then estimated as $$\bar{h} = \frac{1}{m} \sum_{t \in D} h(t), \quad \text{(Equation 4)}$$ where $D = \{t_{n_1}, t_{n_2}, ..., t_{n_m}\}$. Larger $\bar{h}_S$ indicates a higher frequency of transitioning from sedentary to active state; and larger $\bar{h}_A$ indicates a higher frequency of transitioning from active to sedentary state. 4. Transition probability Several studies have considered to use the reciprocal of average bout duration. To investigate the efficacy of a multicomponent intervention to reduce office workers’ sitting time, Healy et al. considered “sit to stand transition” which is defined as “number of sit-to stand transitions per hour of sitting” [24]. Chastin [27] studied the accumulation of sedentary time in older adults with obesity and low muscle strength by using the ratio of the number of sedentary bouts divided by the total sedentary time. Here the reciprocal of average bout duration is denoted by $\lambda$. It can be shown (see proof in S1 Text) that $\lambda$ is equal to between-states (i.e. sedentary-to-active or active-to-sedentary) transition probability, namely \[ \lambda_S = \frac{n_S}{T_S} = \Pr(y_{t+1} = 1\|y_t = 0) \quad \text{(Equation 5)} \] \[ \lambda_A = \frac{n_A}{T_A} = \Pr(y_{t+1} = 0\|y_t = 1), \quad \text{(Equation 6)} \] where $ y_t $ is the indicator of activity type (sedentary or active) at time epoch $ t $, and 0 and 1 denote sedentary and active states, respectively. Larger/smaller values of $ \lambda $ correspond to more/less frequent switching between the states and as a result, may indicate more/less fragmented activity pattern. It is important to note that larger/smaller values of $ \lambda $ also correspond to shorter/longer average bout duration. From a parametric point of view, if the bout durations follow an exponential distribution, frequently used to model time-to-event data [30], $ \lambda $ is exactly the parameter that fully defines the exponential distribution with the following cumulative distribution function (CDF): \[ F(t) = 1 - e^{-\lambda t}, t \geq 0 \quad \text{(Equation 7)}. \] Note that any parametric assumptions should be validated through an appropriate goodness-of-fit tests. Parametric metrics In this section, Power law, one of the most popular and widely used distribution to model bout duration, is discussed. The CDF of a Power law or Type I Pareto distribution is defined as \[ F(t) = 1 - \left(\frac{t}{t_{\min}}\right)^{-\alpha + 1}, t \geq t_{\min}, \quad \text{(Equation 8)} \] where $t_{\text{min}}$ is the lowest bout duration, the scaling parameter $\alpha$ summarizes information about the pattern of accumulation of total sedentary or total active time. Larger values of $\alpha$ indicate that the subject tends to accumulate sedentary (active) time with a larger proportion of shorter sedentary (active) bouts. The parameter $\alpha$ is typically estimated through maximum likelihood [44, 45]. For the analysis of bout durations, the distribution is assumed to be discrete and the approximation to MLE estimator is used as follows $$\hat{\alpha} = 1 + n \left[ \sum_{i=1}^{n} \ln \frac{t_i}{\hat{t}_{\text{min}} - 0.5} \right]^{-1} \quad \text{(Equation 9)}$$ [44]. Here $\hat{t}_{\text{min}}$ is the lower bound and can be estimated by the minimum bout length. Most studies [13, 46] assess the goodness-of-fit of a power law through a visual assessment of the histogram of bout durations on doubly logarithmic plot. While Paraschiv-Ionescu employed a formal statistical goodness-of-fit test based on Anderson-Darling test [23]. Table 1 summarizes all five metrics described above along with their estimation method and interpretation. \| Metrics \| Interpretation \| Estimation \| \|---------\|----------------\|------------\| \| Nonparametric \| \| \| \| $\mu$ \| Average duration \| $\frac{T}{n}$ \| \| $g$ \| Normalized variability \| $\frac{\sum_{t_1=1}^{D} \sum_{t_2=1}^{D} n(t_1)n(t_2)\|t_1 - t_2\|}{2n^2\mu}$ \| \| $\bar{h}$ \| Average hazard \| $\bar{h} = \frac{1}{m} \sum_{t \in D} h(t)$ \| \| $\lambda$ \| Transition probability \| $\frac{n}{T}$ \| \|-----------\|-----------------------\|---------------\| \| Parametric \| \| \| \| $\alpha$ \| Power law distribution \| $1 + n \left[ \sum_{i=1}^{n} \ln \frac{t_i}{\hat{t}_{\text{min}} - 0.5} \right]^{-1}$ \| ### Statistical analysis Descriptive statistics were grouped by the survival status at the end of follow-up. For each subject, distributions of sedentary and active bouts were calculated by aggregating data from all bouts across valid days. Marginal densities for each metric was plotted by the survival status (deceased/alive). Survey-weighted Cox proportional hazard models [47–49] were fitted to model mortality. All models were adjusted for the covariates and comorbidities described in the Measures subsection. Two groups of models were fitted. Models in Group A studied the individual effect of each fragmentation metric on the relative risk of death by including one metric at a time. Models in Group B studied the individual effect of each metric on the relative risk of death independently of total sedentary/active times by including total sedentary time in the models with fragmentation metrics summarizing sedentary bouts and including total active time in the models with fragmentation metrics summarizing active bouts. For additional interpretability of the results, each fragmentation metric included in the models was standardized by subtracting population-level mean and dividing by population-level standard deviation, resulting in hazard ratios that correspond to one standard deviation change. ### Results #### Baseline characteristics Descriptive statistics stratified by survival status at the end of follow-up period are presented in Table 2. All descriptive statistics are survey weighted to be representative of the U.S population. The average age of the participants was 64 years. Slightly more than half of participants were female (54%). Participants recorded as deceased tended to have greater daily sedentary time and lower daily active time. In addition, deceased participants tended to be older and have higher prevalence of comorbidities, mobility problems, and tobacco use. Table 2: Baseline characteristics for all 3400 subjects, and by the end of follow-up status \| Variables \| Status at end of follow up \| Total \| \|----------------------------\|----------------------------\|-------\| \| \| Alive \| Deceased \| \| \| n \| 2858 \| 542 \| 3400 \| \| Age (mean (sd)) \| 62.82 (9.62) \| 72.35 (10.16) \| 64.07 (10.21) \| \| Male (%) \| 44.9 \| 53.3 \| 46 \| \| Education (%) \| \| \| 46 \| \| Less Than High School \| 30.8 \| 48.7 \| 33.1 \| \| High School \| 40.3 \| 35.7 \| 39.7 \| \| More Than High School \| 28.9 \| 15.3 \| 27.2 \| \| Missing Education \| 0 \| 0.3 \| 0.1 \| \| Race (%) \| \| \| 80 \| \| White \| 79.7 \| 82.1 \| \| \| Black \| 9.5 \| 10.1 \| \| \| Mexican \| 4 \| 3.6 \| \| \| Other Hispanic \| 2.5 \| 1 \| \| \| Other Race \| 4.3 \| 3.2 \| \| \| Alcohol History (%) \| \| \| 13.4 \| \| Never Drinker \| 13.3 \| 14.1 \| \| \| Former Drinker \| 22.1 \| 40.8 \| \| \| Current Drinker \| 60 \| 38.7 \| \| \| Missing Information \| 4.6 \| 6.4 \| \| \| Alcohol Usage (%) \| \| \| 50.4 \| \| Moderate Drinker \| 53.2 \| 31.9 \| \| \| Heavy Drinker \| 6.7 \| 6.7 \| \| \| Missing Information \| 40 \| 61.3 \| \| \| Smoking (%) \| \| \| 45.6 \| \| Never Smoker \| 47.9 \| 30.4 \| \| \| Former Smoker \| 35.7 \| 48 \| \| \| Current Smoker \| 16.4 \| 21.6 \| \| \| Mobility Difficulty(%) \| 15.4 \| 29.6 \| 17.2 \| \|------------------------\|------\|------\|------\| \| CHF (%) \| 3.8 \| 17.3 \| 5.5 \| \| CHD (%) \| 6.7 \| 16.2 \| 8 \| \| Cancer (%) \| 15.4 \| 28.5 \| 17.1 \| \| Stroke (%) \| 4 \| 13.6 \| 5.2 \| \| Diabetes (%) \| 12.8 \| 25.5 \| 14.5 \| \| $T_S$ : total sedentary time \| 532.68 (137.29) \| 623.81 (179.83) \| 544.57 (146.79) \| \| $T_A$ : total active time \| 341.08 (103.46) \| 247.40 (108.16) \| 328.85 (108.75) \| \| $\mu_S$ \| 6.39 (2.71) \| 9.12 (7.42) \| 6.75 (3.79) \| \| $\mu_A$ \| 3.89 (1.24) \| 3.05 (1.02) \| 3.78 (1.25) \| \| $\delta_S$ \| 0.18 (0.06) \| 0.14 (0.06) \| 0.17 (0.06) \| \| $\lambda_A$ \| 0.28 (0.08) \| 0.36 (0.11) \| 0.29 (0.09) \| \| $g_S$ \| 0.61 (0.05) \| 0.63 (0.05) \| 0.61 (0.05) \| \| $g_A$ \| 0.50 (0.06) \| 0.45 (0.08) \| 0.50 (0.07) \| \| $\bar{h}_S$ \| 0.17 (0.04) \| 0.15 (0.04) \| 0.17 (0.04) \| \| $\bar{h}_A$ \| 0.27 (0.08) \| 0.35 (0.11) \| 0.28 (0.09) \| \| $\sigma_S$ \| 1.57 (0.07) \| 1.52 (0.08) \| 1.56 (0.07) \| \| $\sigma_A$ \| 1.65 (0.07) \| 1.72 (0.10) \| 1.66 (0.08) \| Differences by survival status Density plots of all metrics and total sedentary and active times categorized by the survival status are shown in Fig 1. These plots along with Table 2 estimates marginal associations between the fragmentation metrics and mortality status. Participants in the deceased group (red) tended to have longer sedentary time ($T_S$) and shorter active time ($T_A$), longer average sedentary bout ($\mu_S$) and shorter average active bout ($\mu_A$) durations than participants in the alive group (blue). Deceased participants were also more likely to have larger $g_S$ and smaller $g_A$, indicating that their (normalized by the mean) sedentary bout durations are more variable while their (normalized by the mean) active bout durations are less variable. Considering the average hazard metrics, alive participants were more likely to transition from sedentary to active behavior (higher $\bar{h}_S$), and deceased participants were more likely to transition from active to sedentary behavior (higher $\bar{h}_A$). Deceased participants also had smaller $\lambda_S$ and higher $\lambda_A$ that corresponded to smaller chances of switching from sedentary to active behavior and higher chances of switching from active to sedentary behavior. Similarly, deceased participants tended to accumulate total active time with shorter active bouts (larger $\alpha_A$), and accumulate total sedentary time with longer sedentary bouts (smaller $\alpha_S$). Another interesting observation is that while the distributions of $\mu_S$ and $\mu_A$ exhibit considerable skewness, $\lambda_S$ and $\lambda_A$ had near-symmetric population-level distributions, a highly desirable statistical property. Note also that because of the skewness in distributions, the population averages of $\mu_S$ and $\mu_A$ are quite different from the reciprocals of the population averages of, $\lambda_S$ and $\lambda_A$. Fig 1. The estimated probability distribution functions of total sedentary time and sedentary fragmentation metrics (TOP) and total active time and active fragmentation metrics (BOTTOM) for deceased (red) and alive (blue) participants. Pairwise scatterplots and correlations of fragmentation metrics Fig 2 shows the pairwise scatterplots (bottom triangle) and correlations (upper triangle) between all metrics. As expected, there was a clear parabolic association shape between $\mu$ and $\lambda$ due to their definitions and estimation procedures. A parabolic relationship between $\mu$ and $\alpha$ was observed for both sedentary and active bouts. Meanwhile, $\lambda$ and $\bar{h}$ were highly positively correlated with a linear trend ($\rho = 0.84$ for sedentary bouts, and $\rho = 0.93$ for active bouts); and $\lambda$ and $g$ were highly negatively correlated with a linear trend ($\rho = -0.77$ for sedentary bouts, and $\rho = -0.92$ for active bouts). Moreover, $\lambda$ and $\alpha$ had an almost linear relationship ($\rho = 0.94$ for sedentary bouts, and $\rho = 0.97$ for active bouts). The correlation between the total sedentary time and the five sedentary bout fragmentation metrics were equal to 0.67, 0.57, -0.74, -0.74, -0.71. The correlations between the total active time and the five active bout fragmentation metrics were equal to 0.76, 0.74, -0.80, -0.81, -0.79. The shape and variability in the pair-wise scatterplots seem to indicate that fragmentation metrics may provide information about mortality beyond that of already provided by the total sedentary and total active times. In addition to revealing pairwise dependences between fragmentation metrics, Fig 2 allows to visually explore pairs of fragmentation metrics and their potential to separate deceased (red) from alive (blue) participants. Fig 2: Pairwise scatterplots (lower triangular) and correlations (upper triangular) for the fragmentation metrics for deceased (red) and alive (blue). Deceased group was plotted over the alive group. Cox PH models Table in S1 Table shows the results of the baseline models adjusted for all covariates and comorbidities described in Measures and adjusted for the total sedentary time (Model 1) or the total active time (Model 2). The results were consistent with those reported in previous studies [35,50,51] and demonstrate that one minute increase of total active time is associated with lower mortality risk (HR = 0.99, 95% CI = 0.99-1.00), and one minute increase of total sedentary time is associated with higher mortality risk (HR = 1.002, 95% CI = 1.001-1.002). The left panel of Table 3 shows the odds ratio based on 1 SD increase for models in Group A (unadjusted for total sedentary and total active time). All ten fragmentation metrics were significantly associated with the relative odds of mortality. Five fragmentation metrics had a negative significant association with the relative odds of mortality: $\mu_A$ (HR = 0.50, 95% CI = 0.42-0.60), $g_A$ (HR = 0.61, 95% CI = 0.55-0.69), $\bar{h}_S$ (HR = 0.80, 95% CI = 0.70-0.92), $\lambda_S$ (HR = 0.67, 95% CI = 0.57-0.79), and $\alpha_S$ (HR = 0.69, 95% CI = 0.60-0.78). Conversely, the other five fragmentation metrics had a positive association with the relative odds of mortality: $\mu_S$ (HR = 1.11, 95% CI = 1.05-1.16), $g_S$ (HR = 1.18, 95% CI = 1.04-1.34), $\bar{h}_A$ (HR = 1.52, 95% CI = 1.39-1.66), $\lambda_A$ (per SD HR = 1.59, 95% CI = 1.45-1.75), and $\alpha_A$ (HR = 1.56, 95% CI = 1.42-1.72). Table 3: The results of fully adjusted Cox proportional hazard models (HR corresponding to 1SD increase) \| Metrics \| Group A \| \| \| Group B \| \| \|---------\|---------\|----------\|----------\|---------\|----------\| \| \| HR (95% CI) \| p values \| \| HR (95% CI) \| p values \| \| $\mu_S$ \| 1.11* (1.05, 1.16) \| 4.88e-05 \| \| 1.07* (1.01, 1.13) \| 2.82e-02 \| \| $\mu_A$ \| 0.50* (0.42, 0.60) \| 4.26e-13 \| \| 0.72* (0.59, 0.88) \| 1.44e-03 \| \| $g_S$ \| 1.18* (1.04, 1.34) \| 9.33e-03 \| \| 1.00 (0.85, 1.18) \| 0.97 \| \| $g_A$ \| 0.61* (0.55, 0.69) \| 6.66e-16 \| \| 0.75* (0.64, 0.86) \| 9.70e-05 \| \| $\lambda_S$ \| 0.67* (0.57, 0.79) \| 8.56e-07 \| \| 0.77* (0.61, 0.96) \| 2.07e-02 \| \| $\lambda_A$ \| 1.59* (1.45, 1.75) \| <2e-16 \| \| 1.40* (1.23, 1.58) \| 1.86e-07 \| \| $\bar{h}_A$ \| 1.52* (1.39, 1.66) \| <2e-16 \| \| 1.32* (1.18, 1.48) \| 9.04e-07 \| \| $\alpha_S$ \| 0.69* (0.60, 0.78) \| 4.05e-08 \| \| 0.75* (0.63, 0.90) \| 1.95e-03 \| \| $\alpha_A$ \| 1.56* (1.42, 1.72) \| <2e-16 \| \| 1.33* (1.16, 1.52) \| 2.85e-05 \| * Indicates significant association at 5% significance level. HR: hazard ratio associated with one standard deviation increase CI: confidence interval The right panel of Table 3 shows the odds ratio based on 1 SD increase for models in Group B. Models in Group B additionally included total sedentary time in the models with sedentary bouts fragmentation metrics and included total active time in the models with active bouts fragmentation metrics. After the adjustment for the total sedentary/active times, four fragmentation metrics had a negative significant association with the relative odds of mortality: $\mu_A$ (HR=0.72, 95% CI = 0.59-0.88), $g_A$ (HR = 0.75, 95% CI = 0.64-0.86), $\alpha_S$ (HR = 0.75, 95% CI = 0.63-0.90), $\lambda_S$ (per SD HR = 0.77, 95% CI = 0.62-0.96), and four fragmentation metrics had a positive significant association with the relative odds of mortality: $\mu_S$ (HR = 1.07, 95% CI = 1.01-1.13), $\bar{h}_A$ (HR = 1.32, 95% CI = 1.18-1.48), $\alpha_A$ (HR = 1.33, 95% CI = 1.16-1.52), and $\lambda_A$ (HR = 1.40, 95% CI=1.23-1.58). Sensitivity Analysis Two sensitivity analyses were conducted. The first explored possible effects of reversed causality by excluding all deaths within the first year of follow-up. The second excluded days with wear time longer than 20 hours to eliminate any bias from days when subjects wore accelerometers during sleep. The first sensitivity analysis excluded deaths within the first year of follow-up. After the exclusion, 3334 (with 476 deaths) subjects remained and the same Cox PH models were re-estimated. The results are shown in Table 4. The exclusion of the 1-st year follow-up deaths slightly attenuated results, but has not changed neither the significance or direction of most of the associations, with the exception of $\lambda_S$ that became insignificant in the model of Group B. Table 4: The results of fully adjusted Cox proportional hazard models after excluding deaths within the first year of follow-up (HR corresponding to 1SD increase) \| Metrics \| Group A \| \| \| Group B \| \| \|---------\|---------\|----------\|----------\|---------\|----------\| \| \| HR (95% CI) \| p values \| \| HR (95% CI) \| p values \| \| $\mu_S$ \| 1.11* (1.07, 1.16) \| 7.18e-07 \| \| 1.07* (1.02, 1.13) \| 9.11e-03 \| \| $\mu_A$ \| 0.54 (0.45, 0.66) \| 1.76e-09 \| \| 0.71* (0.57, 0.87) \| 1.30e-03 \| \| $g_S$ \| 1.15 (0.99, 1.34) \| 0.056 \| \| 0.98 (0.82, 1.17) \| 0.83 \| \| $g_A$ \| 0.64 (0.57, .73) \| 4.77e-13 \| \| 0.74* (0.64, 0.86) \| 1.01e-04 \| \| $\bar{h}_S$ \| 0.83 (0.73, 0.95) \| 8.67e-03 \| \| 1.05 (0.90, 1.24) \| 0.52 \| \| $\bar{h}_A$ \| 1.45* (1.32, 1.59) \| 1.48e-14 \| \| 1.31* (1.16, 1.47) \| 7.37e-06 \| \| $\lambda_S$ \| 0.73 (0.62, 0.85) \| 4.92e-05 \| \| 0.86 (0.69, 1.07) \| 0.18 \| \| $\lambda_A$ \| 1.51* (1.37, 1.67) \| <2e-16 \| \| 1.39* (1.20, 1.60) \| 5.75e-06 \| \| $d_S$ \| 0.73* (0.64, 0.84) \| 3.60e-06 \| \| 0.82* (0.68, 0.99) \| 0.04 \| \| $\alpha_A$ \| 1.48 (1.34, 1.63) \| 7.66e-15 \| \| 1.31* (1.13, 1.52) \| 2.97e-04 \| The second sensitivity analysis excluded days with wear time longer than 20 hours. “Valid” days in the original analysis is defined based on the wearing time longer than 10 hour. However, there are numbers of subject-days that had more than 20 hours of wear time, with up to 24 hours of wear per day. Including days with wear time longer than 20 hours might lead to counting sleep time as sedentary that in turn could result in biased estimated summaries for sedentary and active time. Therefore, for the second sensitivity analysis, valid day was defined as a day with wear time between 10 and 20 hours. The threshold of 20 hours has been previously used to identify “bed-time” periods in NHANES [52]. After exclusion of invalid subject-days from the original samples, 3362 (with 534 deaths) subjects remained and same Cox PH models where re-estimated. The results are shown in Table 5. Although, the direction of association and significance for majority of the metrics remained the same, both $\mu_S$ and $\lambda_S$ became insignificant. Table 5: The results of fully adjusted Cox proportional hazard models after excluding invalid days with either too short or too long wear time (HR corresponding to 1SD increase) \| Metrics \| Group A \| \| \| Group B \| \| \|---------\|---------\|----------\|----------\|---------\|----------\| \| \| HR (95% CI) \| p values \| \| HR (95% CI) \| p values \| \| $\mu_S$ \| 1.11 (1.05, 1.16) \| 1.05e-04 \| \| 1.05 (0.99, 1.11) \| 0.13 \| \| $\mu_A$ \| 0.52* (0.43, 0.62) \| 1.19e-11 \| \| 0.78* (0.65, 0.95) \| 1.24e-02 \| \| $\lambda_S$ \| 0.67* (0.58, 0.79) \| 5.70e-07 \| \| 0.79 (0.62, 1.02) \| 0.07 \| \| $\lambda_A$ \| 1.54 (1.40, 1.70) \| <2e-16 \| \| 1.30* (1.14, 1.48) \| 6.24e-05 \| \| $g_S$ \| 1.21* (1.06, 1.38) \| 3.82e-03 \| \| 1.05 (0.90, 1.22) \| 0.53 \| \| $g_A$ \| 0.63* (0.56, 0.71) \| 2.78e-14 \| \| 0.78* (0.68, 0.90) \| 5.23e-04 \| \| $\bar{\mu}_S$ \| 0.84 (0.74, 0.96) \| 8.64e-03 \| \| 1.03 (0.91, 1.16) \| 0.68 \| \| $\bar{\mu}_A$ \| 1.49 (1.36, 1.63) \| <2e-16 \| \| 1.27* (1.15, 1.41) \| 2.03e-06 \| \| $a_S$ \| 0.70 (0.61, 0.80) \| 3.15e-07 \| \| 0.79* (0.63, 1.00) \| 4.99e-02 \| \| $a_A$ \| 1.51* (1.37, 1.66) \| <2e-16 \| \| 1.23* (1.08, 1.42) \| 2.62e-03 \| Nonlinear effect of average active bout and average sedentary bout durations Among all considered fragmentation metrics, average bout duration, $\mu$, is probably the most straightforward to calculate and communicate. Below, we show that, when modeled via $\lambda (=1/\mu)$, the effect of $\mu$ on proportional HR is highly nonlinear and the largest risk increase is observed in subjects with average active bout duration less than 3 minutes. To illustrate our argument, we refer to Table in S2 Table that reports estimated effect for non-standardized fragmentation metrics with respective to 1 unit increase for $\mu_A$ and $\lambda_A$, which equal to -0.26 and 3.88, respectively. The top panel in Fig 3 shows the hazard ratios with respect to a 1 minute increase of average activity bout calculated based on $\mu_A$ (dashed line) and $\lambda_A$ (solid line). When estimated from the Cox-PH model with $\mu_A$, the effect on the hazard ratio is constant and equal to $e^{-0.27} = 0.77$ (dashed line in the top panel). This implies that increasing average active bout by 1 minute always reduces hazard by approximately 23%, regardless of “original” average bout duration. On contrary, when considering the effect of increasing $\mu_A$ by 1 minute estimated in the Cox-PH model with $\lambda_A$, the nonlinear change is given by $$\exp \left( 3.88 \left( \frac{1}{\mu_A+1} - \frac{1}{\mu_A} \right) \right) = \exp \left( -\frac{3.88}{\mu_A(\mu_A+1)} \right). \quad \text{(Equation 10)}$$ The solid black line on top panel of Fig 3 demonstrates this nonlinear effect on the hazard ratio. This shows that effect is drastically large and nonlinear when $\mu_A$ is small, and as $\mu_A$ gets larger, the effect flattens out. For example, if $\mu_A = 1$, then the hazard ratio corresponding to one-minute-increase is 0.14, i.e. increasing from a 1-minute to 2-minute average active bout makes hazard almost 86% (or 7 times) smaller. However, if $\mu_A = 4$, a one-minute increase in the average active bout reduces hazard ratio to 0.82, which translates to roughly 18% decrease. The observed non-linear effect is consistent with the density plots of average active bout durations shown at the bottom panel of Fig 3. It also shows that participants with average active bout shorter than 3 minutes are at highest risk of non-surviving. Fig 3. Effect of the change in $\mu_A$ on hazard ratio. Top: Change in hazard ratios as a function of 1-minute change in $\mu_A$, based on $\mu_A$ (dashed) and $\lambda_A$ (solid). Bottom: density of $\mu_A$ for deceased (red) and alive (blue). Discussion To our knowledge, this study is the first that demonstrated that patterns of sedentary and active time accumulation are strongly associated with all-cause mortality independently of total sedentary and total active time, respectively. The major findings suggest that patterns of active time accumulation have much stronger significant associations with mortality than patterns of sedentary time accumulation. Longer average duration of active bouts, a lower probability of transitioning from active to sedentary behavior, and a higher normalized variability of active bout durations were strongly negatively associated with all-cause mortality independently of total active time. Although, the main analysis showed that a longer average duration of sedentary bouts and a lower probability of transitioning from sedentary to active behavior were positively associated with all-cause mortality, these associations became non-significant during sensitivity analysis. A larger proportion of longer sedentary bouts remained positively significantly associated with all-cause mortality during both sensitivity analyses. The results for durations of active bouts suggest nonlinear associations of average active bout duration with mortality. The largest nonlinear risk increase was observed in subjects with average active bout duration less than 3. These results are consistent with previous studies showing positive health effects of accumulating active time in prolonged active bouts [25,37], but provide more insight in developing further individualized guidelines of physical activity. The results regarding sedentary bout duration may imply that subjects that accumulate their sedentary time through prolong sedentary bouts may benefit from breaking those long bouts. This is consistent with the emerging evidence that breaking up prolong sedentary time can have multiples positive effects including improvement of cardiovascular and cardiometabolic health [3,5,6,24,26,53,54]. Methodologically, this work compared various approaches to quantify patterns of sedentary time accumulation through fragmentation of accelerometry measured physical activity. Active-to-Sedentary and Sedentary-to-Active transition probabilities, co-expressed as reciprocals of average active bout and average sedentary bout durations, are easily interpretable modifiable fragmentation metrics with insightful connection to other metrics of fragmentation, and stronger associations to mortality. Importantly, the use of $\lambda$ results in a non-linear effect on hazard ratio that could potentially help with providing more subject-specific guidelines. The parameter of power law distribution, $\alpha$, has been a popular metric in a few recent studies on accumulation patterns of sedentary time [13,46,53]. Fig 2 demonstrates a close-to-linear relationship between $\alpha$ and $\lambda$ with correlation coefficients of 0.94 for sedentary bouts and 0.97 for active bouts. Nevertheless, $\alpha_S$ was the only sedentary time fragmentation metric that remained significant through the sensitivity analyses. This supports recent findings where among several sedentary fragmentation metrics only $\alpha_S$ was significantly associated with biomarkers of glucose metabolism [53]. There are a few limitations in the present study. First, the minimum bout length was defined based on the Actigraph epoch duration of 1 minute. The results may change, if the sedentary and active bouts are defined in a different way. Second, the threshold of 100 AC used to define sedentary state is a widely accepted for the NHANES data. However, there is an ongoing debate on whether this threshold can be uniformly applied across all age groups and genders and whether such uniform thresholds induce bias in classifying sedentary behaviors. Therefore, it is imperative to fragmentation metrics as a function of different threshold values in future work. 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Epidemiology of Objectively Measured Bedtime and Chronotype in the US Adolescents and adults: NHANES 2003-2006. 2017; Available: http://arxiv.org/abs/1706.05416 Bellettiere J, Winkler EAH, Chastin SFM, Kerr J, Owen N, Dunstan DW, et al. Associations of sitting accumulation patterns with cardio-metabolic risk biomarkers in Australian adults. Hu C, editor. PLoS One. 2017;12: e0180119. doi:10.1371/journal.pone.0180119 Chastin SFM, Egerton T, Leask C, Stamatakis E. Meta-analysis of the relationship between breaks in sedentary behavior and cardiometabolic health. Obesity. 2015;23: 1800–1810. doi:10.1002/oby.21180 Supporting Information S1 Table. Results of the baseline models adjusted for all covariates and comorbidities described in Measures and adjusted for the total sedentary time (Model 1) or the total active time (Model 2). S2 Table. Results of Cox PH models in original scale without standardization. S1 Text. Heuristic Proof that $\lambda$ is equivalent to the between states transition probability. S2 Text. Expressing nonparametric metrics using the empirical CDF. \| Parameter \| Description \| \|-----------\|-------------\| \| $T_S$ \| Temperature of the source \| \| $\mu_S$ \| Mean of the source distribution \| \| $g_S$ \| Growth rate of the source \| \| $\bar{h}_S$ \| Height of the source \| \| $\lambda_S$ \| Latency of the source \| \| $\alpha_S$ \| Alpha parameter of the source \| \| $T_A$ \| Temperature of the agent \| \| $\mu_A$ \| Mean of the agent distribution \| \| $g_A$ \| Growth rate of the agent \| \| $\bar{h}_A$ \| Height of the agent \| \| $\lambda_A$ \| Latency of the agent \| \| $\alpha_A$ \| Alpha parameter of the agent \| \| \| $T_S$ \| $\mu_S$ \| $g_S$ \| $\bar{h}_S$ \| $\lambda_S$ \| $\alpha_S$ \| $T_A$ \| $\mu_A$ \| $g_A$ \| $\bar{h}_A$ \| $\lambda_A$ \| $\alpha_A$ \| \|-------\|--------\|---------\|--------\|-------------\|-------------\|------------\|--------\|---------\|--------\|-------------\|-------------\|------------\| \| $T_S$ \| 0.67 \| 0.57 \| -0.74 \| -0.74 \| -0.71 \| -0.49 \| -0.58 \| -0.50 \| 0.49 \| 0.61 \| 0.63 \| \| \| $\mu_S$ \| 0.61 \| -0.63 \| -0.83 \| -0.84 \| -0.70 \| -0.42 \| -0.46 \| 0.58 \| 0.57 \| 0.58 \| \| \| \| $g_S$ \| -0.74 \| -0.77 \| -0.53 \| -0.41 \| -0.16 \| -0.13 \| 0.19 \| 0.20 \| 0.23 \| \| \| \| \| $\bar{h}_S$ \| 0.84 \| 0.74 \| 0.52 \| 0.40 \| 0.31 \| -0.27 \| -0.40 \| -0.43 \| \| \| \| \| \| $\lambda_S$ \| 0.94 \| 0.76 \| 0.47 \| 0.41 \| -0.50 \| -0.54 \| -0.57 \| \| \| \| \| \| \| $\alpha_S$ \| 0.82 \| 0.56 \| 0.51 \| -0.60 \| -0.64 \| -0.67 \| \| \| \| \| \| \| \| $T_A$ \| 0.76 \| 0.74 \| -0.80 \| -0.81 \| -0.79 \| \| \| \| \| \| \| \| \| $\mu_A$ \| 0.85 \| -0.77 \| -0.87 \| -0.84 \| \| \| \| \| \| \| \| \| \| $g_A$ \| -0.90 \| -0.92 \| -0.80 \| \| \| \| \| \| \| \| \| \| \| $\bar{h}_A$ \| 0.93 \| 0.86 \| \| \| \| \| \| \| \| \| \| \| \| $\lambda_A$ \| 0.97 \| \| \| \| \| \| \| \| \| \| \| \| \| $\alpha_A$ \| \| \| \| \| \| \| \| \| \| \| \| \| - Alive - Deceased HR w.r.t. 1-minute increase Density of $\mu_A$ $\mu_A$
MASHAV Annual Report 2010 Israel’s Agency for International Development Cooperation # Table of Contents \| Section \| Page \| \|----------------------------------------------\|------\| \| Foreword \| 3 \| \| Guiding Principles \| 4 \| \| Mashav 2010 Highlights \| 6 \| \| Mashav at a Glance \| 14 \| \| Mashav Activities Around the World \| 20 \| \| Regional & Country Report \| 22 \| \| Africa \| 22 \| \| Asia & Oceania \| 29 \| \| Central Europe & Eurasia \| 32 \| \| Latin America & the Caribbean \| 35 \| \| Mediterranean Basin \| 39 \| \| Middle East & North Africa \| 40 \| \| North America & the European Union \| 41 \| \| Extensions & Affiliates \| 42 \| \| Shalom Clubs \| 54 \| \| Organizational Chart \| 56 \| MASHAV For the past 53 years MASHAV – Israel’s Agency for International Development Cooperation, has been sharing its know-how and experience with developing countries around the world in order to make a difference. Issues of food security, climate change, environment, desertification, water management, rural and community development, empowerment of women, health, education, and human capacity building are high on our agenda. Eradicating extreme poverty continues to be one of the main challenges of our time, and is a major concern of the international community. As part of our long tradition of Horizontal Partnership, MASHAV is continuously adjusting and creating new programs and forging partnerships to face new challenges. Following this vision, MASHAV has recently signed agreements with many international and U.N. development agencies and partner countries. We aim to share our respective strengths and resources to support initiatives that advance our common goal of eradicating hunger and improving the lives of the world’s poor. These agreements promote professional capacity building, mainly in the field of agriculture in arid and semi-arid areas. In addition they provide more opportunities for further collaboration to address development challenges and improve the livelihood of rural communities; and to boost local and regional economies. Today, young people from the rural areas are moving to the cities and joining thousands and millions of other youngsters who are looking for employment and opportunities to make a living and improve their standard of life. We have to make sure they have those opportunities at home. They don’t have to migrate; they don’t have to be poor or to be hungry. They have and can invest – invest energy and effort. We have to see the youth as entrepreneurs in the agricultural sector. Young women and men who live in rural areas are the world’s future farmers, entrepreneurs and leaders. The challenges of meeting future food demand, developing vibrant rural centres and promoting broad-based economic growth in developing countries depend on them. These are compelling reasons to place rural young people and smallholder farmers at the forefront of global strategies for food security, poverty reduction and income growth. The General Assembly of the UN has adopted for the second time the Israeli initiated resolution on “Agricultural Technology for Development”. The resolution, introduced by Israel, with the support of like-minded Member States, supports the use of know-how and technology and the promotion of research and development to increase agricultural productivity and food security in poor rural areas focusing on the smallholder farmer and on women. In this Report, we present MASHAV’s efforts, through its specialized training professional extensions, in promoting development cooperation, human resources development and capacity building, towards the 2015 target date for reaching the Millennium Development Goals. The challenges we face in reaching these goals are significant, yet we are proud that we can contribute our expertise to make for thousands of people the difference between a life of deprivation and suffering and a future of hope and opportunity. Sincerely, Ambassador Haim Divon Head of MASHAV Israel’s Agency for International Development Cooperation Israel’s official international development cooperation program was launched in late 1957 with the aim of sharing with the rest of the developing world the know-how and technologies which provided the basis for Israel’s own rapid development. MASHAV, the Hebrew acronym for Israel’s Agency for International Development Cooperation, was established as a division of the Ministry of Foreign Affairs. What started as a modest program focused on grassroots-level human capacity building at a time when Israel itself was still very much a developing country, has blossomed into an extensive program of cooperation throughout the developing world with the aim of ensuring social, economic and environmental sustainable development. Since its establishment, MASHAV has trained close to 270,000 course participants from approximately 132 countries in Israel and abroad and has developed dozens of demonstration projects worldwide. MASHAV has consistently made its priority the goal of poverty alleviation, provision of food security, empowerment of women and upgrade of basic health and education services. The formalization of these priorities in the Millennium Development Goals (MDGs) has only caused us to redouble our longstanding efforts to put Israeli solutions at the service of developing countries in order to further their implementation. MASHAV’s guiding principles are the following: - MASHAV activities focus on areas in which Israel has a comparative advantage and accumulated expertise. MASHAV believes that our greatest possible contribution to developing countries can be made in fields where Israel has relevant expertise accumulated during its own development experience as a young country facing similar challenges. The list of such fields is extensive, including: water resource management and irrigation, desert agriculture and combat of desertification, early childhood education, rural and community development, emergency and disaster medicine, public health, empowerment of women, and many others. - MASHAV’s focus is on human capacity building and training. Our belief is that training of trainers and other capacity building activities is the best way to achieve maximum impact in development activity. Education and the transfer of skills and capacities lead to empowerment – the surest guarantee of sustainable growth. - MASHAV operates according to international agreed standards and principles. Among them, aid effectiveness principles including: demand driven programs (as opposed to supply driven programs); country program ownership; alignment to national development programs; more coordination; and others. MASHAV adheres to the accepted international principles as stated, among others, in the Earth Summit in Rio de Janeiro; the Johannesburg Summit on Sustainable Development; the Monterrey Consensus; the Paris Declaration on Aid Effectiveness; the Accra Agenda for Action; and the Doha Conference on Financing for Development. - MASHAV believes in active consultation with local partners. For development cooperation to work, it is not enough assist developing countries acquire new technologies and methodologies which have had positive effect elsewhere. The solutions that may work in one culture or geographical area can be inappropriate or even harmful in another environment. Thus, we emphasize the importance of developing local solutions in partnership with local organizations, working jointly to create new ideas or adapt ideas to local needs rather than just blindly adopt them. - MASHAV’s approach to development states that every program must be comprehensive, inclusive and carried out in an integrative fashion. MASHAV, as part of the implementation of aid effectiveness principles and in order to become more effective and result-oriented; has commenced a process of focusing on target countries by implementing and endorsing a more comprehensive and holistic approach to meeting all basic human needs. - MASHAV prefers small-scale activities aimed at “bottom-up”, community-driven development. MASHAV endeavors to identify relevant micro-project activities that can serve as a catalyst for wider-scale development, targeting the grassroots in many of our activities. - MASHAV seeks cooperative projects with other development organizations. As part of the efforts towards achieving the MDGs, the international community was called to create more partnerships. MASHAV is making a special effort in this direction and offers partnerships in subjects in which Israel has a comparative advantage to development agencies (governmental and non-governmental), international organizations and development banks. MASHAV’s experience with such joint projects, often on a cost-sharing basis, has been very positive, broadening the impact of the potential contribution and the efficacy of the projects undertaken. - MASHAV believes that development cooperation can and should be used to forge bonds of peaceful cooperation between Israel and its neighbors. Consequently, MASHAV implements bilateral and regional development cooperation programs with our neighbors and endeavors to be even more active throughout the Middle East, regardless of the political climate. Development is a global issue requiring immense attention, resources and political efforts. Guided by the Millennium Development Goals (MDGs) adopted by the UN General Assembly, MASHAV shares the goals set by the international community for greater synergy among donor and partner countries. MASHAV’s approach is to ensure social, economic and environmental sustainable development. Since its inception, MASHAV’s work in the developing world has been guided by the basic approach that development work is organic in nature. It is impossible to concentrate efforts in one area, such as food security, without providing proper attention to health care, community building and education. Only through a sustainable and comprehensive development program can measured results be obtained and the desired impact felt by those who need assistance the most. As no one country or aid agency can single-handedly tackle the causes leading to extreme poverty, the need to coordinate and combine efforts and resources is essential if the donor community and client countries are to realize the Millennium Developing Goals. In 2010 MASHAV’s activities included a wide spectrum of international partnerships and programs for development. A total of 2,459 professionals from 97 countries participated in 114 courses offered in Israel, while 3,979 took part in 76 on-the-spot courses (in host countries) offered in a total of 38 countries. MASHAV experts were dispatched throughout the world on 130 short-term consultancies and humanitarian medical missions to 43 countries, and eight long-term experts were serving on MASHAV demonstration projects around the world in a total of six countries. MASHAV hosted 17 professional delegations, and organized and participated in an impressive number of international conventions. The following are highlights of some of MASHAV’s activities in the year 2010. President of the State of Israel Addresses UN Millennium Development Goals Summit The President of the State of Israel, Shimon Peres, addressed the UN Millennium Development Goals Summit held in New York, in August 2010. In his speech, President Peres stated that: “We are committed to the Millennium Development Goals. We share the burden of saving the world from war and hunger. Without peace, poverty will remain. Without food, peace will not prevail. Statesmen have to mobilize political power to achieve peace. Scientists can enable the land to produce more food. We developed an agriculture based on science. Our farmers produce eight times as much per acre compared with the nation’s early days. The need for water has been cut in half. We employed desalination, recycling, drip and electronic irrigation and bio-engineering to create new seeds and richer crops. Five decades ago, an Israeli farmer produced food for 15 persons. Today, he produces for 120. The farmer’s contribution to the GDP equals that of a high-tech engineer. To cultivate land, you have to cultivate education and improve health. “So we introduced free compulsory education for all, from age five to 18. It put an end to illiteracy and provided us with the highest proportion of scientists per square mile in the world. The national health-care system provides world-class treatment for every citizen. We are also one of the few countries in the world that entered the 21st century with more trees than it had when it entered the 20th century. I am confident that our path is available to everyone. Our experience is replicable. We are ready to share our experience as we did already with many countries, both through UN agencies and bilaterally. Our call includes also nations that don’t have diplomatic ties with us.” Israel’s Official Development Assistance (ODA) The ODA consists of the Funds for Development Cooperation extended by governments to developing countries or for international development efforts. A significant proportion of the Israeli ODA is aimed at promoting sustainable development particularly through human capacity building programs. In 2010, the State of Israel’s Official Development Assistance Program amounted over 140 million US dollars. This data includes funding through bilateral and multilateral development cooperation programs, funding transferred to the international financial institutions and humanitarian assistance. The State of Israel’s international development cooperation program, as implemented by MASHAV, is carried out with the aim of reducing poverty; contributing to the achievement of the Millennium Development Goals; and supporting sustainable growth. Although a small player in the international assistance arena, MASHAV is considered a significant contributor to sustainable development through human capacity development. FM Avigdor Liberman Addresses MASHAV Course Participants Deputy Prime Minister and Minister of Foreign Affairs Avigdor Liberman arrived in Haifa in August 2010 for an official visit to The Golda Meir Mount Carmel International Training Center (MCTC). FM Liberman attaches great importance to Israel’s development assistance program being carried out by MASHAV. During his visit, the Minister met with the participants at the MCTC workshop on “Women Entrepreneurs and Information and Communication Technologies (ICTs)”, held in cooperation with the United Nations Economic Commission for Europe (UNECE). Twenty-three participants, from Belarus, Georgia, Kazakhstan, Kyrgyzstan, Russia, Tajikistan and Uzbekistan attended the workshop. The guest lecturer was Ms. Malinka Koparanova, UNECE’s Senior Social Affairs Officer and Gender Focal Point, Office of the Executive Secretary. Establishing Burns Center in Eastern Congo MASHAV, together with the Israeli nonprofit aid organization Moriah Africa and the Los Angeles-based Jewish World Watch Organization, joined hands to establish a Burns Center in the Democratic Republic of Congo, the first ever established in Eastern Congo. Working together with Israel’s Rambam and Soroka hospitals, the medical exchange effort will bring expertise and initiative together for the purpose of expanding the surgical skills level and for creating a center for reparative plastic surgery for the Congolese population. MASHAV Completes ER Construction in Kisumu, Kenya MASHAV experts, together with a team of 10 Israeli engineers, completed the construction of a fully equipped Emergency Room (ER) at Kisumu East District Hospital, the first ever in Kenya’s third largest city. This ER will serve as the center for the city’s emergency response, as well as a center for multiple training for medical professionals. Beyond donating and actually building this state-of-the-art facility, MASHAV sent Israeli specialists to train local medical professionals in emergency medicine. The local professionals gained essential knowledge and the clinical skills necessary to facilitate advanced decision-making while treating acute and critically ill patients. These skills will enable Kisumu’s medical professionals to better respond to emergencies and traumas, significantly improving the level of care available in the city and its periphery. Promoting Economic Cooperation: Public-Private Partnership As part of its activities, MASHAV acts as a liaison for the inclusion of the private sector in its assistance activities, promoting the integration of Israeli companies and technologies in the various projects carried out in Israel and overseas. Within this framework, MASHAV organized in 2010 an extensive series of professional visits for delegations from overseas incorporating the relevant Israeli industries. International Partnerships Israel Officially Joins OECD Israel has officially become the 33rd member state of the Organization for International Cooperation and Development (OECD). In signing the OECD Convention, Israel pledged its full dedication to achieving the organization’s fundamental aims. OECD recognized Israel’s achievements, economic strength and ability to contribute to the organization and to the world’s economy. Becoming a member state of the OECD will lead to economic advances and enhance Israel’s image, as well as improve the functioning of various sectors in Israel’s society and economy, including in the fields of environment, education and employment. OECD Anti-Bribery Convention: According to Israel’s obligations as a member of the OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions, the Ministry of Foreign Affairs is committed to act in accordance with the Convention, ensuring that it is implemented at all levels and at all diplomatic missions. Within this framework, in June 2010 MASHAV’s Director of Planning and External Relations delivered a presentation during a special gathering of MASHAV’s training centers and affiliates, to increase awareness of the Convention. Cooperation between Israeli and Turkish Rescue Units A delegation including 10 professionals from AKUT, the Turkish Rescue Unit, arrived in Israel in April 2010, to train together with members of Israel’s Arava Search and Rescue Unit. This special program, under MASHAV’s auspices, was held within the framework of a cooperation program existing between the two units, which includes the exchange of professional knowledge and training in rescue techniques in the face of natural disasters. Cooperation activities take place three times a year both in Turkey and in Israel. Israel-Brazil Cooperation in Disaster Management MASHAV, in cooperation with the Israeli Embassy in Brazil, the Brazilian Agency for Cooperation (ABC), and the Federal Military Firefighters Corps (CBMDF), conducted in November 2010 in Brasilia a specially designed course on “Forces Mobilization, Recruitment and Response in the Face of Emergency Situations.” More than 60 Brazilian professionals participated in the course, which covered topics such as disaster management and triage, and included simulation of possible scenarios. Seminars and Conventions The First Israeli International Conference on Healthcare System Preparedness and Response to Emergencies and Disasters (IPRED) In order to provide an opportunity for professionals from around the world to share the latest findings and new experience regarding health system readiness for disasters and emergencies of all types, the Israeli Ministry of Health and Home Front Command, in cooperation with MASHAV, organized the IPRED Conference in January 2010. IPRED provided a platform for the exchange of ideas, experiences and lessons learned about preparedness and response to emergencies and disasters, and an opportunity for networking and promoting the potential for international research collaboration in the field of emergency and disaster medicine. Global Climate Change Seminar A Seminar on “Israel’s Preparations for Climate Change” took place at the Ministry of Foreign Affairs in January 2010. The seminar was jointly organized by MASHAV and the Training Bureau of the Ministry of Foreign Affairs, in cooperation with the Ministry of Environmental Protection. Topics at the seminar included reducing greenhouse gas emissions, the implications for the energy industry and the local economy, and uniquely Israeli aspects of coping with the problem in the fields of research, technology and business. Israeli Delegation Addresses IFAD’s Governing Council The 33rd session of Governing Council of IFAD, the International Fund for Agricultural Development, took place in February 2010 in Rome. MASHAV’s Director of Policy Planning and External Relations Department addressed the forum, stating that: “As the title of the meeting today says, we have witnessed many summits, meetings and international resolutions and commitments. Now is time to make a difference and implement those commitments for the good of smallholder farmers and the rural poor. The solutions are in our hands: technology, R&D, technology transfer and know-how; capacity building, empowerment and good farm management are part of the way forward. We have now to implement them.” MARKING WORLD WATER DAY AND THE PRESENTATION OF THE WORLD BANK DEVELOPMENT REPORT A special seminar marking World Water Day was held in Israel in March 2010, following a close cooperation between MASHAV, the Water Authority and the Ministry of National Infrastructures. During the seminar, the World Bank Development Report (WDR) 2010 on Development and Climate Change was presented by leading World Bank representatives. The special event ended with a visit to the recently opened Hadera Desalination Plant. The plant, considered the largest of its kind in the world and Israel’s third desalination plant, is now transferring desalinated seawater to the system of Mekorot, Israel’s national water company. ISRAELI DELEGATION PARTICIPATES IN THE FIFTH WORLD URBAN FORUM UN-HABITAT and the Government of Brazil hosted the World Urban Forum (WUF) fifth session in Rio de Janeiro in March 2010. The Israeli delegation, including representatives from MASHAV; Kisumu’s Municipal Council, Kenya; the Weitz Center for Development Studies, Israel; and strategic planning and development consultants, organized two special activities: a side event on “Municipal Platforms for Local Strategic Development” and a training event on “How to Leverage Local Assets for Strategic Local Development – Establishing a Municipal Strategic Planning Unit (MSPU).” Both activities were presented by Israeli and Kenyan facilitators. THE UN COMMISSION ON POPULATION AND DEVELOPMENT The 43rd annual meeting of the UN Commission on Population and Development (CPD) was held in April 2010, and focused on the issue of “Health, Morbidity, Mortality and Development.” Israeli Ambassador Daniel Carmon, Deputy Permanent Representative, acted as Chairman of the Commission. Two leading Israeli experts offered statements regarding the importance of such issues to sustainable development. MASHAV-CICA SEMINAR ON ADVANCED WATER MANAGEMENT FOR AGRICULTURAL AND URBAN USE The Conference on Interaction and Confidence Building Measures in Asia (CICA) is a multinational forum for enhancing cooperation towards promoting peace, security and stability in Asia. The seminar on “Advanced Water Management for Agricultural and Urban Use” with the participation of representatives from nine member states of CICA (Korea, Thailand, India, Kazakhstan, Uzbekistan, Tajikistan, Turkey, Jordan, Israel) and from the CICA Secretariat, took place in Israel in May 2010. The seminar was organized by MASHAV and CINADCO, the Center for International Agricultural Development Cooperation with the aim of bringing together representatives from CICA member states, both at the political and professional level, to share national experiences and exchange views on common challenges, innovative technologies and effective instruments for water management issues. MASHAV AND InWent SEMINAR ON AID EFFECTIVENESS The first joint seminar between MASHAV and InWent, the German Aid Agency, took place in June 2010 at MASHAV’s International Training Center in Shefayim. MASHAV and InWent development experts introduced their respective organizations and discussed different approaches of aid effectiveness. German Federal Minister of Economic Cooperation and Development Dirk Niebel, who was visiting Israel at the head of a large delegation at the time, joined the seminar and greeted the participants. German Federal Minister of Economic Cooperation and Development Dirk Niebel (left) and Ambassador Haim Divon, Head of MASHAV, during the joint seminar MASHAV DevCom SEMINAR A seminar entitled “Maximizing Outcomes with Minimum Resources for Development Communication,” jointly organized by MASHAV and DevCom, the Informal Network of DAC Development Communicators, whose secretariat is hosted by the OECD Development Centre, took place at the Golda Meir Mount Carmel International Training Center in Haifa in June, 2010. Participants were encouraged to bring examples of good practice and share their perspectives on development communication with limited resources, and case studies were presented from Poland, Spain, Slovakia, Estonia, Slovenia and the Czech Republic. MARKING WORLD DEVELOPMENT INFORMATION DAY MASHAV in cooperation with civil aid organizations in Israel organized in October 2010 a special conference to mark World Development Information Day. The conference was held at Israel’s Ministry of Foreign Affairs and included participation of representatives from civil society, government ministries, the business sector, academia and the media. This was the first time a conference of this sort was held in Israel, and was a reminder of Israel’s commitment to participate in the international efforts to achieve the Millennium Development Goals. Following the conference, a festive evening was held at the Israeli Ministry of Foreign Affairs in the presence of Israeli Minister of National Infrastructure Dr. Uzi Landau and the Foreign Diplomatic Corps for over 250 professionals from all over the world, who were participating in MASHAV professional training courses at the time. DEPUTY FM AYALON ADDRESSES ROUNDTABLE ON HEALTH AND EDUCATION AT UN MDG SUMMIT Deputy FM Danny Ayalon addressed the Roundtable on Health and Education at the UN Summit on the Millennium Development Goals in October 2010. During his address he stated that: “This meeting recognizes the inherent linkage between health and education, as well as the need to streamline policy coherence between these two sectors. At the highest levels, the Government of Israel remains committed to the achievement of the MDGs. Such work affirms the timeless value of tikkun olam, a Jewish principle that mandates us to better our surroundings, to repair the world.” SYMPOSIUM ON EDUCATION TOWARDS SUSTAINABLE DEVELOPMENT The Ofir International Training Center organized and hosted in November 2010 an International Symposium on Education towards Sustainable Development (ESD) – A Window to Innovations in Education. ESD is a multifaceted and dynamic field based on multi- and interdisciplinary thinking and action, so as to come up with solutions for complex environmental and social problems that involve different systems at the individual and community levels. Participants included Deputy Ministers of Education, General Directors of Education Ministries, and high-level educational professionals. INTERNATIONAL CONFERENCE ON DRYLANDS, DESERTS AND DESERTIFICATION The Third International Conference took place at Ben-Gurion University of the Negev, Sde Boker Campus, in November 2010 in cooperation with MASHAV and the United Nations Educational, Scientific and Cultural Organization (UNESCO). This important global gathering brought together scientists, field workers, industry, government, NGO and international aid agency officials from more than 50 countries, concerned about land degradation and development. More than 120 participants in four MASHAV international seminars (in English, Spanish, French and Russian) held in cooperation with the Jewish National Fund (KKL-JNF) at CINADCO’s International Training Center in Kibbutz Shefayim, attended the conference, which was followed by a tree-planting ceremony. Partnership for Development A key component in today’s concept of international development cooperation – one which finds expression in the Paris Declaration on Aid Effectiveness and the Millennium Declaration 2000 – is the need for greater coordination and cooperation between the many donors providing development and humanitarian assistance around the world, in an attempt to attain maximum efficiency and effectiveness. This process must be implemented in alignment with the development strategies of partner countries throughout the developing world. MASHAV shares the goals set by the international community for greater synergy and coordination among donor and partner countries. Towards this end, MASHAV has signed agreements in partnership with governments, civil society, international organizations and Jewish organizations in order to achieve maximum coordination of international development activities. The following are some of the agreements MASHAV signed with international partners in 2010: Israel and Germany Sign Memorandum of Understanding Israeli Deputy Foreign Minister Danny Ayalon and German Minister for Economic Cooperation and Development Dirk Niebel signed an MOU in Berlin in January 2010, regarding development cooperation with emphasis on water and agriculture. Following the cooperation agreement signed between the two parties in March 2008, the Israeli Ministry of Foreign Affairs through MASHAV and the German Federal Ministry for Economic Cooperation and Development (BMZ) will join forces to contribute to the achievement of the Millennium Development Goals by enhancing cooperation in the Middle East, Africa and Central Asia with particular emphasis on water management, agricultural development and public health. Within this framework, an MOU was signed between Israel-Germany and Ghana in December 2010, to strengthen Ghana’s agricultural sector focusing on citrus production, including development of agro-technologies and transfer of know-how. MASHAV and UNWFP Sign Memorandum of Cooperation in Nepal The United Nations Food program (WFP) and MASHAV signed in February 2010 a Memorandum of Cooperation (MOC) in the field of Water Management, including Irrigation and Drinking Water Systems. The MOC aims at providing a framework for collaborative efforts on international program and activities by identifying areas of common interest and priorities based on Nepal’s development strategies. This framework of cooperation includes enhancing capacity building programs and the strengthening of institutional capabilities. Israel-OAS Sign MOU Israel and the Organization of American States (OAS) signed a MOU consolidating decades of development cooperation. The agreement signed in May 2010 at OAS headquarters in Washington pledges to advance existing collaboration on education, environment, economic and social development, poverty, gender equity, disaster prevention and relief, agriculture, security and combating terrorism, and crisis management. Israel has operated in the OAS sphere since at least 1972, when it was granted permanent observer status, and offers a number of fellowships and training programs for Latin Americans. Israeli Ambassador to Washington Michael Oren signed the memorandum with OAS Secretary General José Miguel Insulza. Israel and Italy Sign Cooperation Agreement Promoting their bilateral relationship, the Governments of Israel and Italy signed in May 2010 a cooperation agreement to further the international community’s efforts to promote poverty reduction and sustainable development in Africa, within the framework of the Millennium Development Goals. FAO/SFE and MASHAV sign MOU for International Development Cooperation The Food and Agriculture Organization of the United Nations (FAO) Sub-regional Office for Eastern Africa (SFE) and MASHAV signed in Addis Ababa in July 2010 a Memorandum of Understanding (MOU) to promote technical collaboration and the development of capacity building strategies in East Africa’s Sub-Region. The agreement between the two organizations was signed by FAO Sub-regional Coordinator for Eastern Africa Mr. Maia E. Chipeta and Head of MASHAV Ambassador Haim Divon. The MOU was signed following an overall agreement of cooperation, which was endorsed in November 2008 in Rome with the aim of assisting developing countries to reach their Millennium Development Goals, through the implementation of a joint project focused on capacity building. Agricultural Agreement between Israel and China’s Heilongjiang Province Deputy Foreign Minister Danny Ayalon and Heilongjiang Governor Du Jiahao signed an agricultural cooperation agreement between MASHAV and Heilongjiang province, in Jerusalem in September 2010. The agreement relates primarily to assistance in establishing dairy demonstration farms. MASHAV and WFP Sign MOU for Cooperation in Armenia A Memorandum of Understanding was signed in December 2010 between the United Nations World Food Program (WFP), and MASHAV to cooperate in Armenia’s School Feeding Project. Also participating in the project is the Russian Foreign Aid Agency, marking MASHAV’s first ever cooperation with the agency. The School Feeding Project will provide a nutritionally balanced meal for 50,000 primary schoolchildren in six of the country’s most vulnerable and food-insecure regions. Within this framework, MASHAV will provide funding for professional capacity building programs in the areas of education, health and nutrition to assist in the development of a sustainable school feeding program. MASHAV-UNICEF-UNESCO-Save the Children Cooperation in Nepal A Memorandum of Cooperation (MOC) in the field of Early Childhood Education and Development (ECED) in Cooperation with the Government of Nepal was signed between the parties in December 2010 in Kathmandu. The MOC provides a framework for collaborative efforts on programs and activities with special focus on ECED. Regional Agricultural Program The Regional Agricultural Program, in which Egypt, Jordan, Israel and the Palestinian Authority participate, with Denmark as the initiator and main supporter, is well into its second five-year phase. The program is comprised of six main subjects of agricultural development and is governed by a semi-annual steering committee with representatives of all partners. This unique program is being carried out under the sponsorship of the Danish International Development Agency (DANIDA), and encompasses a number of topics in the field of agriculture: small ruminants, dryland agriculture, saline and marginal water resources, post-harvest technology and marketing, and aquaculture. The program was established in 2000, and has been successfully carried out even during times of regional tensions. It includes on-site and regional training programs, meetings between experts, joint applied research, publication of guidelines and participation in international conferences. During 2010, some 109 participants took part in regional courses that were conducted in Israel on Low Cost Fodder, Dryland Agriculture, Post-Harvest and Marketing, Marginal Water and Small Ruminants. Eleven meetings of partner experts were held, as were two meetings of the Program’s Steering Committee. A third phase, for the years 2011-2013, was approved by the Danish government. Humanitarian Assistance Israel is often called upon to dispatch aid to countries in the wake of earthquakes, floods, famine and other natural disasters. MASHAV is the body responsible for coordinating Israel’s official humanitarian assistance program. In these cases, MASHAV is able to use its vast experience in crisis response in order to rapidly dispatch needed supplies, medicines, and medical assistance to countries in crisis. Following are some of MASHAV’s humanitarian assistance missions which took place in 2010: Haiti: Following the devastating earthquake that hit Haiti, an emergency Israeli delegation comprised of medical and search-and-rescue personnel arrived in Port-au-Prince in January 2010 and set up a field hospital in a soccer field near the airport. The field hospital included 40 doctors, 25 nurses, paramedics, a pharmacy, a children’s ward, a radiology department, an intensive care unit, an emergency room, two operating rooms, a surgical department, an internal department and a maternity ward. The hospital was able to treat approximately 500 patients each day, and in addition perform preliminary surgeries. MASHAV is in the process of establishing a Trauma and Emergency Unit in a hospital in Cap-Haïtien, including provision of medical equipment and training of the local medical staff. In November 2010, the Israeli Ministry of Foreign Affairs through MASHAV shipped over 200,000 doses of medication against the cholera outbreak. A primary care clinic, established in the city of Leogane, following cooperation between MASHAV, Sheba Medical Center and the Israeli NGO IsraAID, took part in the efforts to stop the cholera epidemic. Maldives: A team of MASHAV experts headed by MASHAV’s medical advisor arrived in the Maldives in January 2010 to conduct a professional training program on emergency preparedness, with the purpose of transferring Israeli know-how in the field of emergency relief, while practicing different models of reaction to various scenarios. During the two-week course Israeli and Maldivian professionals developed joint protocols for all relevant agencies to follow in times of emergencies. In December 2010, a delegation of ophthalmologists from the Israeli NGO “Eye of Zion” organized by MASHAV, the Joint Organization and the Israeli Embassy in New Delhi, arrived in the Maldives to perform sight-restoring procedures. During their mission, the Israeli doctors treated over 700 patients in Male’ and other island hospitals. During their mission, the Israeli doctors met with the President of the Maldives, Mohamed Nasheed. Micronesia and the Marshall Islands: In June 2010, a team of four leading Israeli ophthalmologists arrived in Micronesia and the Marshall Islands to perform cataract, oculoplastics and sight-restoring surgical operations with emphasis on diabetes complications. The two-week mission was jointly organized by MASHAV and Israeli NGO “Eye from Zion.” During their stay the doctors performed more than 100 procedures, and demonstrated surgical techniques to local medical teams. Moldova: The Israeli Ministry of Foreign Affairs through MASHAV responded to Moldova’s Prime Minister Vladimir Filat’s request for aid, sending an urgent shipment of blankets and tents to Moldova following the heavy rains and floods which hit the country leaving thousands of people homeless. The emergency assistance is a testimony of the cooperative relations existing between the two countries. Uzbekistan: In mid June 2010, tens of thousands of people were displaced inside Kyrgyzstan as well as across the border into Uzbekistan, victims of conflict between two ethnic communities. Following an official request for international assistance, MASHAV dispatched humanitarian aid including medications, hygiene products and baby equipment. Israel’s Ambassador to Uzbekistan, coordinated and delivered the humanitarian aid to the Uzbek-Kyrgyz border for further distribution among the refugees. Albania: Following the devastating floods which hit Albania in December 2010 and the subsequent call for help from the Albanian Government and NATO, Israel’s Ministry of Foreign Affairs through MASHAV delivered 307 family-sized tents to aid the thousands of people who needed to be evacuated from the affected areas. Rain and melting snow caused the worst floods in Albania in almost half a century, with some 2,500 homes having to be evacuated from the northwestern and western regions of the country. Colombia: An Israeli jumbo plane arrived in Bogota in December 2010, carrying 55 tons of humanitarian aid for hundreds of thousands of people affected by the severe winter floods which hit Colombia. The shipment included tents, mattresses, blankets, food and medicines to address the emergency situation. Participants in Israel: 2,459 In 114 Courses and Individual Training from 97 countries According to Region - Africa (35 countries) 572 - Asia and Oceania (14 countries) 461 - Central Europe & Eurasia (20 countries) 398 - Latin America & the Caribbean (20 countries) 603 - Mediterranean Basin and the E.U (5 countries) 44 - Middle East & North Africa (2 countries) 377 - North America (1 country) 4 According to Subject - Agriculture 994 - Communication 50 - Community Development 316 - Education 387 - Gender Issues 194 - Medicine and Public Health 57 - Regional Planning 98 - Rural and Urban Development 122 - Science and Technology 58 - Small and Medium Enterprises 183 Participants in Courses Abroad ("On-The-Spot"): 3,979 In 76 courses in 38 countries According to Region - Africa (13 countries) 787 - Asia & Oceania (5 countries) 1,204 - Central Europe & Eurasia (4 countries) 704 - Latin America & the Caribbean (15 countries) 1,269 - Middle East & North Africa (1 country) 15 According to Subject - Agriculture 2,213 - Community Development 189 - Education 257 - Gender Issues 47 - Management 25 - Medicine and Public Health 696 - Rural and Urban Development 99 - Science and Technology 15 - Small and Medium Enterprises 438 Short-Term Consultancies Abroad: 130 In 43 countries According to Region - Africa (11 countries) 34 - Asia & Oceania (8 countries) 40 - Central Europe & Eurasia (8 countries) 15 - Latin America & the Caribbean (9 countries) 16 - Mediterranean Basin and the E.U (4 countries) 6 - Middle East and North Africa (2 countries) 17 - North America (2 countries) 2 According to Subject - Agriculture 81 - Communication 3 - Community Development 3 - Education 8 - Gender Issues 2 - Management 5 - Medicine and Public Health 18 - Regional Planning 3 - Rural and Urban Development 3 - Science and Technology 1 - Small and Medium Enterprises 3 Long-Term Consultancies Abroad: 8 In 6 countries According to Region - Africa (3 countries) 4 - Asia & Oceania (2 countries) 3 - Central Europe & Eurasia (1 country) 1 According to Subject - Agriculture 8 --- Professional Delegations in Israel: 17 According to Subject - Agriculture 9 - Education 3 - Medicine and Public Health 3 - Regional Planning 1 - Rural Tourism 1 Courses in Israel: 114 According to Language - Arabic: 3 - English: 71 - French: 5 - Russian: 13 - Spanish: 22 According to Subject - Agriculture: 52 - Communication: 2 - Community Development: 12 - Education: 17 - Gender Issues: 9 - Medicine and Public Health: 3 - Regional Planning: 4 - Rural and Urban Development: 4 - Science and Technology: 3 - Small and Medium Enterprises: 8 Courses Abroad: 76 According to Subject - Agriculture: 28 - Community Development: 5 - Education: 7 - Gender Issues: 12 - Management: 1 - Medicine and Public Health: 12 - Rural and Urban Development: 3 - Science and Technology: 12 - Small and Medium Enterprises: 16 According to Region - Africa: 23 - Asia & Oceania: 17 - Central Europe & Eurasia: 9 - Latin America & the Caribbean: 26 - Middle East & North Africa: 1 MASHAV around the World Canada United States of America Mexico Belize Guatemala El Salvador Costa Rica Jamaica Haiti Nicaragua Panama Venezuela Dominican Republic Dominica Trinidad and Tobago Saint Lucia Grenada Suriname Guyana Marshall Islands Micronesia Solomon Islands Colombia Ecuador Peru Brazil Bolivia Chile Paraguay Argentina Uruguay MASHAV activities in Partners countries in 2010 ### Angola Total Number of Participants - Agriculture: 1 - Gender Issues: 1 ### Benin Total Number of Participants - Community Development: 1 - Gender Issues: 1 - Small and Medium Enterprises: 1 On-the-Spot Courses - Agriculture: 1 Total Number of Participants: 38 Short-Term Consultancies - Rural and Urban Development: 1 - Small and Medium Enterprises: 1 ### Botswana Participants in Israel - Education: 3 ### Burkina Faso Participants in Israel - Agriculture: 8 - Education: 2 - Community Development: 3 On-the-Spot Courses - Community Development: 1 Total Number of Participants: 32 Short-Term Consultancies - Agriculture: 1 ### Burundi Participants in Israel - Agriculture: 5 - Education: 1 - Community Development: 3 - Communication: 1 ### Central African Republic Participants in Israel - Community Development: 1 - Small and Medium Enterprises: 2 ### Cameroon Participants in Israel - Agriculture: 42 - Education: 3 - Regional Planning: 1 - Community Development: 5 - Rural and Urban Development: 2 - Gender Issues: 3 - Small and Medium Enterprises: 3 On-the-Spot Courses - Agriculture: 1 Total Number of Participants: 35 ### Cote d’Ivoire Participants in Israel - Agriculture: 4 - Gender Issues: 4 - Small and Medium Enterprises: 4 - Communication: 1 ### Democratic Republic of Congo Participants in Israel - Community Development: 1 Short-Term Consultancies - Medicine and Public Health: 1 Establishing Burn Center in Eastern Congo MASHAV, together with the Israeli nonprofit aid organization Moriah Africa and the Los Angeles based Jewish World Watch Organization, joined hands to establish a Burn Center in the Democratic Republic of Congo. The burn center is the first ever established in Eastern Congo. Working together with Israel’s Rambam and Soroka hospitals, the medical exchange effort will bring expertise and initiative together for the purpose of expanding the surgical skills level and for creating a center for reparative plastic surgery for the Congolese population. ### Cameroun CEMAC-MASHAV Cooperation Following a professional visit in 2009 of the Permanent Secretary of The Central Africa Inter-State Pesticides Committee (CPAC), a sub-regional inter-state body in charge of pesticide registration, MASHAV designed a professional course of Registration and Identification of Pesticides for high level professionals from each of CEMAC’s (Central African Economic and Monetary Community) Member States. Cooperation between the parties continued in 2010 for the establishment of a professional laboratory for pesticides registration in Douala. Equatorial Guinea Participants in Israel Regional Planning Ethiopia Participants in Israel Agriculture 47 Medicine and Public Health 20 Education 5 Regional Planning 2 Rural and Urban Development 4 Gender Issues 17 On-the-Spot Courses Agriculture 1 Total Number of Participants 45 Short-Term Consultancies Agriculture 8 Education 1 Community Development 2 Management 1 Long-Term Consultancies Agriculture 2 Ethiopia USAID-MASHAV-MoARD Cooperation to Assist the Development of Ethiopia’s Agriculture The joint program focuses on the development of horticultural plant propagation in Ethiopia through nursery cultivation and tissue culture propagation. This goal is achieved by introducing and supplying improved facilities, equipment and materials as well as intensive capacity building activities. The joint program demonstrates large-scale plant production with timely production planning and quality control inspections. The program’s nurseries produce high yielding and internationally marketable varieties of avocado, citrus and mango. Various rootstocks are introduced for adaptation to different soil and water conditions and for tolerance to soil-borne diseases. The program upgrades small tissue culture research laboratories into semi-commercial scale production of pineapple, banana, potato, enset, vanilla, cassava, coffee, and more. Through collaboration with other international and national aid agencies the Joint Technical Program’s scope will increase to cover additional aspects of fruit tree and vegetable cultivation. This will enable empowerment of small holders through addressing horticultural production from A to Z in a coordinated and resources-saving manner thus overcoming the inconclusive character of a single aid program. The program’s Steering Committee met in Ethiopia in July 2010. MASHAV-Ethiopia-GTZ Germany Tripartite Agricultural Project In June 2009, Ethiopia, Israel, and Germany launched a three-year tripartite agricultural development project, to enable Ethiopia to enhance small-scale irrigation development activities in different parts of the nation. Expected to benefit over 1,000 farmers, the project is being implemented in the regions of Amhara, Tigray, Oromia, and South Ethiopia Peoples’ States. The project complements the government’s efforts geared toward ensuring food security and self-sufficiency. In 2010 activities included, among others, a first meeting of the steering committee in Ethiopia, as well as establishing criteria for selection of watersheds for intervention and selecting the 12 watersheds to be included in the project, a survey and assessment of needs at the selected watersheds by Israeli Experts, and an institutional assessment on treated wastewater use for irrigation. Joint Program with Save the Children Norway MASHAV and Save the Children Norway Ethiopia (SCNE) signed a cooperation agreement aimed at establishing a joint program to support child development activities and women empowerment in Ethiopia. The agreement is part of an on-going and growing collaboration with SCNE. According to the agreement, MASHAV will also assist in bringing Israeli experts both for on-the-spot training and Short-Term Consultancies that will take place in Ethiopia as well as facilitate and coordinate the participation of Ethiopian trainees in international and specially created programs in Israel. The Cooperation Agreement between MASHAV and SCNE was extended until 2011. MASHAV-Millennium Village Initiative Cooperation in Mekelle MASHAV is working together with the Millennium Village Initiative Project in Mekelle, Tigray region in Ethiopia. Following a request by Tigray Authorities it was decided to establish an Agricultural Demonstration Training Center in Mekelle. The center will offer training and consultation services for farmers in the areas of development of agricultural practices and advance irrigation techniques. The two parties are also cooperating in the area of eradicating Neglected Tropical Diseases (NTDs). Gambia Participants in Israel - Agriculture: 5 - Education: 2 - Rural and Urban Development: 1 On-the-Spot Courses - Education: 1 Total Number of Participants: 39 Ghana Participants in Israel - Education: 14 - Rural and Urban Development: 10 On-the-Spot Courses - Education: 3 Total Number of Participants: 60 Short-Term Consultancies - Agriculture: 3 - Medicine and Public Health: 2 Kumasi, Ghana, through training local professionals in the teacher training college, coordinators and kindergarten teachers. These professionals will be responsible for disseminating knowledge and training other ECD teachers. The Israeli team is also working to establish a new role in the college, in the shape of a nucleus of pedagogical mentors to integrate the teaching program and to accompany the newly-trained teachers in their practical work in the field. The team has built an integrative learning program based on the local curriculum and has written a training program for the leading teachers, in order to help them train new groups of teachers and establish demonstration kindergartens. Israel-Ghana-Germany Sign Memorandum of Understanding Following a cooperation agreement signed between Israel and Germany, the Israeli Ministry of Foreign Affairs through MASHAV and the German Federal Ministry for Economic Cooperation and Development (BMZ) are joining forces to contribute to the achievement of the Millennium Development Goals by enhancing cooperation in the Middle East, Africa and Central Asia with particular emphasis on water management, agricultural development and public health. Within this framework, an MOU was signed between Israel-Germany and Ghana in December 2010, to strengthen Ghana’s agricultural sector focusing on the citrus value chain, including development of agro-technologies and transfer of know-how. Early Childhood Education (ECD) This project involves cooperation between MASHAV, its training extension, the Golda Meir Mount Carmel International Training Center (MCTC) and the MCI. Its objectives are to introduce change in ECD in Guinea Participants in Israel - Small and Medium Enterprises: 1 Guinea-Bissau Participants in Israel - Small and Medium Enterprises: 1 Kenya Participants in Israel - Agriculture: 49 - Education: 30 - Regional Planning: 6 - Community Development: 2 - Rural and Urban Development: 29 - Gender Issues: 14 - Communication: 2 On-the-Spot Courses - Agriculture: 4 - Education: 1 Total Number of Participants: 222 Short-Term Consultancies - Medicine and Public Health: 1 - Education: 1 - Rural and Urban Development: 2 - Communication: 1 --- Lesotho Participants in Israel - Agriculture: 1 - Gender Issues: 1 --- Liberia Participants in Israel - Agriculture: 1 - Education: 1 - Gender Issues: 5 On-the-Spot Courses - Small and Medium Enterprises: 1 Total Number of Participants: 27 --- Madagascar Participants in Israel - Agriculture: 1 - Community Development: 2 - Small and Medium Enterprises: 2 --- Kenya MASHAV-MCI-UN-HABITAT Cooperation A local economic development program is being carried out by MASHAV and MCI, the Millennium Cities Initiative, together with UN-HABITAT in Kisumu, Kenya, emphasizing capacity-building and setting up Municipal Strategic Planning Units (MSPU) in the council as well as developing a plan for the city structure. Also addressed are environmental development issues, with an emphasis on technology for waste management, greening the city and capacity-building; education development, with emphasis on school planning and early childhood development; and youth development, focusing on employment creation and opportunities for income generation. In March 2010, Israeli and Kenyan experts presented the project during the Fifth World Urban Forum held in Brazil. MASHAV Completes ER Construction in Kisumu, Kenya MASHAV experts, together with a team of 10 Israeli engineers completed in 2010 the construction of a fully equipped Emergency Room (ER) at Kisumu East District Hospital, the first ever in Kenya’s third largest city. This ER will serve as the center for the city’s emergency response, as well as a center for multiple trainings for medical professionals. Beyond donating and actually building this state-of-the-art facility, MASHAV also sent Israeli specialists to train local medical professionals in emergency medicine. The local professionals gained essential knowledge and the clinical skills necessary to facilitate advanced decision-making while treating acute and critically ill patients. These skills will enable Kisumu’s medical professionals to better respond to emergencies and traumas, significantly improving the level of care available in the city and its periphery. ### Malawi Participants in Israel - Agriculture: 2 - Regional Planning: 3 - Community Development: 1 Short-Term Consultancies - Agriculture: 1 ### Niger Participants in Israel - Agriculture: 1 ### Rwanda Participants in Israel - Agriculture: 2 - Rural and Urban Development: 2 - Gender Issues: 2 Short-Term Consultancies - Agriculture: 1 ### Nigeria Participants in Israel - Agriculture: 29 - Regional Planning: 4 - Community Development: 29 - Rural and Urban Development: 7 - Gender Issues: 9 - Communication: 1 On-the-Spot Courses - Agriculture: 9 Total Number of Participants: 83 ### Mauritius Participants in Israel - Regional Planning: 1 ### Mozambique Participants in Israel - Agriculture: 1 ### Nigeria ECOWAS-MASHAV Cooperation Agreement A cooperation agreement was signed between ECOWAS (The Economic Community of West African States) and MASHAV with emphasis on reducing poverty and preservation and protection of the environment. Senegal MASHAV-UNDP Cooperation Following the 2008 cooperation agreement signed between the two parties, during 2010 MASHAV conducted various activities in Senegal providing knowledge and technological abilities in the fields of agriculture, water, food, health and education. The partnership is aimed at strengthening the capacities of regional, national and local level institutions and other end users to promote and integrate environmentally sustainable and income generating agro-practices. Techo-Agricultural Innovation for Poverty Alleviation – TIPA A project based on the concept of the African Market Garden (AMG), and focusing on poverty reduction and crop productivity was established in four different sites in Senegal. The project involves a small-scale horticultural production package developed by Israeli experts, based on low-pressure drip-irrigation, a mix of annual and tree crops, and an “operating system” which leads the farmer to irrigate according to scientific principles. The benefits of using the AMG system include higher yields of improved quality vegetables and fruits, the ability to produce crops year round, the most efficient utilization of water resources, decreased labor requirements for irrigation and weeding, and greater likelihood of maintaining the productive capacity of the soil. Drip irrigation facilitates year round production of vegetables and fruits. The project in Senegal is accompanied by a local long term expert. Seychelles Participants in Israel Education 2 Community Development 2 Sierra Leone Participants in Israel Education 1 Rural and Urban Development 3 Gender Issues 5 On-the-Spot Courses Medicine and Public Health 1 Total Number of Participants 25 South Africa Participants in Israel - Agriculture: 1 - Rural and Urban Development: 1 - Gender Issues: 1 Long-Term Consultancies - Agriculture: 1 Tanzania Participants in Israel - Agriculture: 4 - Education: 2 - Regional Planning: 1 - Rural and Urban Development: 7 - Gender Issues: 3 Zambia Participants in Israel - Gender Issues: 1 - Communication: 1 On-the-Spot Courses - Gender Issues: 1 Total Number of Participants: 24 South Africa Techno-agricultural Innovation for Poverty Alleviation – TIPA A project based on the concept of the African Market Garden (AMG), and focusing on poverty reduction and crop productivity was established in different regions in South Africa as a result of Israel’s participation in the World Summit on Sustainable Development (WSSD) in Johannesburg in August 2002. Both TIPA and the African Market Garden are specialized horticultural production systems for small landholders, making use of the Family Drip Irrigation System. During 2010 the TIPA project was applied in: Diepsloot in Gauteng Province, Hazy View in Mpumalanga Province, and Scabazini and Kokstad in KwaZulu Natal. The projects are run by the farmers themselves and accompanied by a MASHAV long-term expert. Togo Participants in Israel - Agriculture: 5 - Community Development: 5 - Small and Medium Enterprises: 4 Zimbabwe Participants in Israel - Education: 2 - Community Development: 1 - Gender Issues: 1 Short-Term Consultancies - Medicine and Public Health: 1 Uganda Participants in Israel - Agriculture: 17 - Community Development: 2 - Rural and Urban Development: 4 - Gender Issues: 3 On-the-Spot Courses - Medicine and Public Health: 3 Total Number of Participants: 119 Short-Term Consultancies - Agriculture: 1 - Medicine and Public Health: 1 - Education: 1 Bhutan Participants in Israel: 1 Gender Issues: 1 China Participants in Israel: 140 Agriculture: 108 Medicine and Public Health: 4 Gender Issues: 3 Science and Technology: 21 Communication: 4 On-the-Spot Courses: 10 Agriculture: 8 Medicine and Public Health: 2 Total Number of Participants: 917 Short-Term Consultancies: 3 Agriculture: 2 Medicine and Public Health: 1 Long-Term Consultancies: 2 Agriculture: 2 India Participants in Israel: 31 Agriculture: 26 Regional Planning: 1 Rural and Urban Development: 2 Gender Issues: 2 Short-Term Consultancies: 23 Agriculture: 23 Long-Term Consultancies: 1 Agriculture: 1 India Agricultural Cooperation In March 2006 an Agricultural Cooperation Agreement was signed between the Israeli and Indian Ministers of Agriculture. Within this framework, a Plan of Action was formulated and is being implemented by MASHAV in India. The first phase of the cooperation program (2009-2011) is taking place in Haryana, Maharashtra, Rajasthan and Gujarat States, and focuses in the transfer of agricultural technologies including the establishment of demonstration centers in each one of the four States. In Haryana and Maharashtra the main focus is given to mangoes, olives, pomegranates and citrus crops, as well as to vegetables and spices. In Rajasthan and Gujarat, agricultural practices focus in irrigation and water management including utilization of wastewater purification technologies for irrigation. MASHAV’s professional training is to take place both in India and in Israel, including courses and consultation missions. A long-term MASHAV agricultural expert accompanies the program. Agricultural Agreement between Israel and China’s Heilongjiang Province An agricultural cooperation agreement between MASHAV and Heilongjiang province was signed in Jerusalem, in September 2010. The agreement relates primarily to assistance in establishing dairy demonstration farms. Xinjiang Sino-Israeli Demonstration Center for Arid Zone Agriculture The Xinjiang Sino-Israeli Demonstration Center for Arid Zone Agriculture was established in Northwestern China in 2003, following the joint cooperation of the Chinese Ministry of Agriculture and the Israeli Ministry of Foreign Affairs. The project is operated by MASHAV and the People’s Government of the Xinjiang Uygur Autonomous Region. This is the first ever Sino-Israeli agricultural cooperation project to be launched in China’s arid northwestern region. The agricultural industry of the area is dependent on irrigation and agricultural technology due to limited water resources and soil salinization. The project’s objective is to promote agricultural development in the area by improving the efficiency of agricultural practices and training agricultural staff and farmers in modern agricultural technologies for maximizing crop yields and profitability under conditions of water scarcity, and to engage in commercial agricultural production. In 2010 results showed that by utilizing Israeli irrigation techniques, over 60% of water can be saved. Using greenhouse technology and open field crops, the demonstration farms operate as demonstration centers for adapting methodologies, technologies and seed varieties for local needs. Yongledian Dairy Cattle Demonstration Farm The Sino-Israel Demonstration Dairy Farm at Yongledian, near Beijing, continues to spread its positive influence throughout the dairy industry of the entire region. The farm design was made according to the Israeli experience and includes: calves hatches, heifers shed, milking-cows sheds, dry-cows sheds, calving pen, cows “hospital” – treatment shed, milking center and feed Center. All the activity in the farm such as milk production and quality, herd health and herd fertility is monitored on daily basis in the main computer, with most advanced herd management software which is developed and made in Israel. Applying the latest Israeli designs, technologies and expertise on its herd of 800 milking cows and 650 heifers, it raised milk production in 2010 to over 11,500 kg. per cow – the highest in China. The farm serves as a training center for thousands of dairy producers from China and from neighboring countries as well. Maldives Disaster Management Training in the Maldives The tsunami that hit the Maldives in 2004 brought up the critical need to be prepared for action in case of any future large scale natural disaster. With that aim in mind, the President of the Republic ordered the creation of a governmental office, under the responsibility of the Presidential Office, which will centralize all activities relating to dealing with large scale emergencies and disasters in the national level. On January 2010 a team of MASHAV experts headed by MASHAV’s medical advisor arrived in the Maldives to conduct a professional training program on emergency preparedness, with the purpose of transferring Israeli knowhow in the field of emergency relief, while practicing different models of reaction to various scenarios. During the two-weeks course Israeli and Maldivian professionals developed joint protocols for all relevant agencies to follow in times of emergencies. --- Nepal MASHAV and UNWFP Sign Memorandum of Cooperation in Nepal The United Nations Food program (WFP) and MASHAV signed on February 2010 a Memorandum of Cooperation (MoC) in the field of Water Management, including Irrigation and Drinking Water Systems. The MoC aims at providing a framework for collaborative efforts on international program and activities by identifying areas of common interest and priorities based on Nepal’s development strategies. This framework of cooperation includes enhancing capacity building programs and the strengthening of institutional capabilities. MASHAV-UNICEF-UNESCO-Save the Children Cooperation in Nepal A Memorandum of Cooperation (MoC) in the field of Early Childhood Education and Development (ECED) in Cooperation with the Government of Nepal was signed between the parties in December 2010 in Kathmandu. The MoC provides a framework for collaborative efforts on programs and activities with special focus on ECED. Philippines Philippines-Israel Center for Agricultural Training In May 2005, an Implementation Agreement was signed for the establishment of the Philippines-Israel Center for Agriculture Training (PICAT). The new training center became fully operational in June 2006. Its main goal is to achieve a more efficient delivery of extension and outreach for the benefit of surrounding farmers. It also provides extension services to farmers in growing high value and off-season crops and in livestock breeding and production. The project is jointly managed with the agricultural university in the area, and serves as a demonstration site for advanced agricultural practices, and the use of innovative Israeli agricultural technologies regarding irrigation and fertigation, among others. Republic of Korea Participants in Israel Agriculture 3 Education 37 Regional Planning 1 Solomon Islands Participants in Israel Agriculture 2 Regional Planning 1 Short-Term Consultancies Regional Planning 1 Vietnam Participants in Israel Agriculture 59 Education 20 Community Development 1 Rural and Urban Development 3 Gender Issues 2 Communication 2 On-the-Spot Courses Agriculture 2 Science and Technology 1 Total Number of Participants 116 Taiwan Short-Term Consultancies Agriculture 1 Thailand Participants in Israel Agriculture 29 Community Development 1 Gender Issues 2 Up-Kapong Pomegranate Plantation Within the framework of cooperation between MASHAV and the Thai Ministry of Agriculture, and with the occasion on the King of Thailand 80th birthday, Israeli experts delivered 120 pomegranates trees especially brought from Israel. The project, located at Up Kapong in Phetchaburi District was officially inaugurated in June 2008, in the presence of her Royal Highness princess Maha Chakri Sirindhorn. During 2010 Israeli experts continued the professional monitoring of the project. Sri Lanka Participants in Israel Agriculture 3 Community Development 2 Gender Issues 2 Vietnam Dairy Demonstration and Experimental Farm in Vietnam A Memorandum of Understanding was signed between MASHAV and with Ho Chi Minh City’s People’s Committee on the establishment of a Dairy Demonstration and Experimental Project. The Dairy Demonstration Farm in Vietnam will be based on Israeli technologies and know-how and is located in the vicinity of Ho Chi Minh City. All professional activities will be carried out under the guidance of Israeli experts, operating in accordance with Israeli working standards. This project initiative to develop Vietnam’s dairy sector will form a joint base for technical cooperation between the two countries and will further strengthen cooperative endeavors and the long-standing close ties between the governments of Vietnam and Israel. Albania SHORT-TERM CONSULTANCIES 1 Medicine and Public Health 1 Azerbaijan PARTICIPANTS IN ISRAEL 6 Agriculture 4 Education 2 Armenia PARTICIPANTS IN ISRAEL 11 Agriculture 2 Education 1 Community Development 5 Rural and Urban Development 3 ON-THE-SPOT COURSES 1 Management 1 TOTAL NUMBER OF PARTICIPANTS 25 Belarus PARTICIPANTS IN ISRAEL 33 Agriculture 4 Education 4 Community Development 5 Rural and Urban Development 14 Small and Medium Enterprises 4 Communication 2 SHORT-TERM CONSULTANCIES 1 Medicine and Public Health 1 Bosnia Herzegovina PARTICIPANTS IN ISRAEL 1 Agriculture 1 Croatia PARTICIPANTS IN ISRAEL 2 Agriculture 2 Georgia PARTICIPANTS IN ISRAEL 61 Agriculture 32 Education 3 Community Development 14 Rural and Urban Development 2 Gender Issues 1 Small and Medium Enterprises 8 Communication 1 Hungary SHORT-TERM CONSULTANCIES 1 Science and Technology 1 Kazakhstan PARTICIPANTS IN ISRAEL 26 Agriculture 7 Education 1 Community Development 3 Rural and Urban Development 5 Small and Medium Enterprises 10 SHORT-TERM CONSULTANCIES 3 Agriculture 2 Medicine and Public Health 1 Armenia MASHAV and WFP Sign MOU for Cooperation in Armenia A Memorandum of Understanding was signed in December 2010 between the United Nations World Food Program (WFP), and MASHAV to cooperate in Armenia’s School Feeding Project. Participating in the project is also the Russian Foreign Aid Agency, marking MASHAV’s first ever cooperation with the agency. The School Feeding project will provide a nutritionally balanced meal for 50,000 primary schoolchildren in six of the country’s most vulnerable and food-insecure regions. Within this framework, MASHAV will provide funding for professional capacity building programs in the areas of education, health and nutrition to assist in the development of a sustainable school feeding program. Kyrgyzstan Participants in Israel: 11 - Agriculture: 2 - Rural and Urban Development: 3 - Small and Medium Enterprises: 6 Agribusiness Consulting Center MASHAV operates a Consulting Center in Bishkek, Kyrgyzstan. The center assists farmers interested in planning, financing and implementing improved systems and support former MASHAV demonstration farms in the region. Application of advanced technologies has resulted in diversification of crops and higher yields for local farmers. Agribusiness consultation services are given in close cooperation with the Ministry of Agriculture and other donors and organizations that provide agricultural credits to Kyrgyz farmers. Macedonia Participants in Israel: 8 - Agriculture: 8 Short-Term Consultancies: 2 - Agriculture: 2 Romania Participants in Israel: 1 - Community Development: 1 Russian Federation Participants in Israel: 125 - Agriculture: 8 - Education: 49 - Community Development: 19 - Gender Issues: 2 - Science and Technology: 33 - Small and Medium Enterprises: 14 On-the-Spot Courses: 3 - Medicine and Public Health: 3 Total Number of Participants: 153 Short-Term Consultancies: 1 - Education: 1 Montenegro Participants in Israel: 4 - Agriculture: 3 - Gender Issues: 1 Latvia Participants in Israel: 1 - Community Development: 1 Poland Participants in Israel: 1 - Medicine and Public Health: 1 Litvania Participants in Israel: 1 - Gender Issues: 1 Serbia Participants in Israel: 13 - Agriculture: 10 - Gender Issues: 2 - Communication: 1 On-the-Spot Courses: 2 - Agriculture: 1 - Medicine and Public Health: 1 Total Number of Participants: 324 Tajikistan Participants in Israel - Agriculture: 3 - Community Development: 3 - Rural and Urban Development: 5 - Small and Medium Enterprises: 5 Uzbekistan Participants in Israel - Agriculture: 12 - Education: 2 - Community Development: 5 - Rural and Urban Development: 13 - Small and Medium Enterprises: 3 On-the-Spot Courses - Agriculture: 2 - Education: 1 Total Number of Participants: 202 Short-Term Consultancies - Agriculture: 2 Long-Term Consultancies - Agriculture: 1 --- Uzbekistan MASHAV-UNDP Cooperation for Livestock Sector Upgrading Livestock plays an important role in the agricultural sector of the economy of Uzbekistan. Following an in-depth analysis of the livestock sector at a national level, and within the framework of Uzbekistan’s National Project on Sustainable Development of the Livestock Sector, a Cooperation Agreement was signed between the UNDP and MASHAV to strengthen local capacity for sustainable livestock development in the country. The agreement includes transfer of Israeli know-how and new technologies, professional training programs, and the provision of high quality genetic materials and equipment for artificial insemination. The project is being implemented in 5 dairy farms in two areas west of Tashkent. This unique project is a model of successful partnership between Uzbekistan, Israel and the UNDP, to contribute to a sustainable development of the livestock sector in Uzbekistan, and the further enhancement of its people’s livelihood. ### Argentina Participants in Israel - Agriculture: 3 - Regional Planning: 4 - Community Development: 16 - Small and Medium Enterprises: 2 - Communication: 2 On-the-Spot Courses - Agriculture: 1 - Small and Medium Enterprises: 1 Total Number of Participants: 124 ### Brazil Participants in Israel - Agriculture: 7 - Education: 3 - Regional Planning: 6 - Community Development: 12 - Gender Issues: 1 - Science and Technology: 4 - Communication: 7 Short-Term Consultancies - Agriculture: 1 - Education: 2 - Regional Planning: 1 - Management: 1 MASHAV-ABC Cooperation In May 2010, MASHAV organized a professional visit for representatives from the Brazilian Agency for Cooperation (ABC), to examine future cooperation between the two agencies. Israel-Brazil Cooperation in the Field of Public Safety MASHAV, in cooperation with the Israeli Embassy in Brazil, the Brazilian Agency for Cooperation (ABC), and the Federal Military Firefighters Corps (CBMDF), conducted in November 2010 in Brasilia, a specially designed course on “Forces Mobilization, Recruitment and Response in Face of Emergency Situations.” Over 60 Brazilian professionals participated in the course which covered topics such as disaster management and triage, and included simulation of possible scenarios. ### Chile Participants in Israel - Agriculture: 1 - Education: 9 - Regional Planning: 3 - Community Development: 4 - Small and Medium Enterprises: 2 - Communication: 2 On-the-Spot Courses - Small and Medium Enterprises: 1 Total Number of Participants: 20 ### Chile MASHAV-AGCI Cooperation Following a visit by the Director of AGCI, the Agency for International Cooperation of Chile (AGCI) and her team, collaboration in the field of Early Childhood Education began in Latin America with a training activity for 31 professionals from 12 countries. Based on the evaluations, AGCI will continue cooperating in 2011 in courses in Israel and in organizing a Regional Seminar in Chile with the participation of Israeli lecturers. ### Colombia Participants in Israel - Agriculture: 31 - Education: 33 - Regional Planning: 11 - Community Development: 14 - Gender Issues: 5 - Small and Medium Enterprises: 5 - Communication: 1 On-the-Spot Courses - Agriculture: 1 - Community Development: 1 - Small and Medium Enterprises: 1 Total Number of Participants: 386 Short-Term Consultancies - Agriculture: 1 \| Country \| Participants in Israel \| Agriculture \| Education \| Regional Planning \| Community Development \| Small and Medium Enterprises \| Communication \| \|------------------\|------------------------\|-------------\|-----------\|-------------------\|-----------------------\|----------------------------\|---------------\| \| Costa Rica \| 18 \| 3 \| 4 \| 7 \| 2 \| 2 \| \| \| Ecuador \| 76 \| 3 \| 40 \| 7 \| 19 \| 2 \| 3 \| \| Grenada \| 63 \| 1 \| 2 \| 2 \| 3 \| \| \| \| Dominica \| 9 \| 2 \| 1 \| 5 \| 1 \| \| \| \| Guatemala \| 51 \| 4 \| 12 \| 9 \| 14 \| 9 \| 2 \| \| Dominican Republic\| 2 \| 1 \| 1 \| \| \| \| \| \| El Salvador \| 21 \| 5 \| 7 \| 7 \| 2 \| \| \| \| Guyana \| 3 \| 3 \| \| \| \| \| \| \| Country \| On-the-Spot Courses \| Community Development \| Total Number of Participants \| \|------------------\|---------------------\|------------------------\|------------------------------\| \| Costa Rica \| 2 \| 2 \| 58 \| \| Ecuador \| 1 \| 1 \| 60 \| \| Grenada \| 3 \| 1 \| 63 \| \| Dominica \| 1 \| 1 \| 9 \| \| Guatemala \| 2 \| 1 \| 52 \| \| Dominican Republic\| 2 \| 1 \| 2 \| \| El Salvador \| 2 \| 1 \| 52 \| \| Guyana \| 3 \| 3 \| 3 \| Haiti SHORT-TERM CONSULTANCIES - Medicine and Public Health: 1 - Community Development: 1 Establishing Trauma and Emergency Unit in Haiti MASHAV is in the process of establishing a Trauma and Emergency Unit in a hospital in Cap-Haitien, including provision of medical equipment and training of the local medical staff. In November 2010, the Israeli Foreign Ministry through MASHAV shipped over 200,000 doses of medication against the cholera outbreak. A primary cares clinic, established in the city of Leogane, following cooperation between MASHAV-the Sheba Hospital and the Israeli NGO IsraAID, took part in the efforts to stop the cholera epidemic. Jamaica ON-THE-SPOT COURSES - Small and Medium Enterprises: 1 TOTAL NUMBER OF PARTICIPANTS: 35 Panama PARTICIPANTS IN ISRAEL - Education: 2 - Regional Planning: 4 - Community Development: 13 - Gender Issues: 1 - Small and Medium Enterprises: 5 - Communication: 2 SHORT-TERM CONSULTANCIES - Agriculture: 1 Mexico PARTICIPANTS IN ISRAEL - Agriculture: 3 - Education: 2 - Regional Planning: 1 - Community Development: 40 - Rural and Urban Development: 2 - Gender Issues: 4 - Small and Medium Enterprises: 5 - Communication: 1 ON-THE-SPOT COURSES - Community Development: 1 - Rural and Urban Development: 1 - Small and Medium Enterprises: 2 TOTAL NUMBER OF PARTICIPANTS: 151 Paraguay PARTICIPANTS IN ISRAEL - Agriculture: 3 - Education: 2 - Regional Planning: 7 - Community Development: 5 - Small and Medium Enterprises: 2 - Communication: 1 TOTAL NUMBER OF PARTICIPANTS: 37 Honduras PARTICIPANTS IN ISRAEL - Agriculture: 1 - Education: 2 - Regional Planning: 4 - Community Development: 3 - Small and Medium Enterprises: 4 - Communication: 1 Nicaragua PARTICIPANTS IN ISRAEL - Small and Medium Enterprises: 1 Peru PARTICIPANTS IN ISRAEL - Agriculture: 7 - Education: 40 - Regional Planning: 8 - Community Development: 8 - Small and Medium Enterprises: 2 - Communication: 2 ON-THE-SPOT COURSES - Agriculture: 2 - Small and Medium Enterprises: 1 TOTAL NUMBER OF PARTICIPANTS: 213 SHORT-TERM CONSULTANCIES - Medicine and Public Health: 1 ## Latin America & Caribbean ### St. Lucia On-the-Spot Courses - Rural and Urban Development: 1 Total Number of Participants: 21 Short-Term Consultancies - Agriculture: 1 ### Uruguay Participants in Israel - Education: 5 - Regional Planning: 3 - Community Development: 7 - Small and Medium Enterprises: 28 - Communication: 1 Short-Term Consultancies - Small and Medium Enterprises: 2 ### Suriname On-the-Spot Courses - Rural and Urban Development: 1 Total Number of Participants: 24 ### Venezuela Participants in Israel - Community Development: 1 ### Trinidad and Tobago On-the-Spot Courses - Small and Medium Enterprises: 1 Total Number of Participants: 18 Malta Short-Term Consultancies Agriculture Turkey Participants in Israel Agriculture 23 Medicine and Public Health 12 Communication 10 Turkey Cooperation between Israeli and Turkish Rescue Units A delegation including 10 professionals from AKUT- the Turkish Rescue Unit arrived in Israel in April 2010, to train together with members of Israel’s Arava Search and Rescue Unit. This special program, under MASHAV’s auspices, was held within the framework of a cooperation program existing between the two units, and which includes the exchange of professional knowledge and training in rescue techniques in face of natural disasters. Cooperation activities take place three times a year both in Turkey and in Israel. Regional Agricultural Program The Regional Agricultural Program, in which Egypt, Jordan, Israel, and the Palestinian Authority participate, with Denmark as the initiator and main supporter, is well into its second five-year phase. The program is comprised of six main subjects of agricultural development and is governed by a semi-annual steering committee with representatives of all partners. This unique program is being carried out under the sponsorship of the Danish International Development Agency (DANIDA), and encompasses a number of topics in the field of agriculture: small ruminants, dryland agriculture, saline and marginal water resources, post-harvest technology and marketing, and aquaculture. The program was established in 2000, and has been successfully carried out even during times of regional tensions. It includes on-site and regional training programs, meetings between experts, joint applied research, publication of guidelines and participation in international conferences. During 2010, some 109 participants took part in regional courses that were conducted in Israel on Low Cost Fodder, Dryland Agriculture, Post Harvest and Marketing, Marginal Water and Small Ruminants and 11 meetings of partner experts were held, as were two meetings of the Program’s Steering Committee. A third phase, for the years 2011-2013 was approved by the Danish government. Israel-Jordan Joint Projects Beekeeping: MASHAV provides know-how and expertise to the project located near the city of Irbid. The project involves upgrade of local bee stock and research. Olive Trees Growing in Arid Zones: Israel and Jordan renewed cooperation at the Mafrak Research Station to improve soil quality for growing olive trees. The project includes transfer of Israeli know-how regarding irrigation with brackish water. Palestinian Authority Participants in Israel 260 Agriculture 142 Education 33 Gender Issues 51 Small and Medium Enterprises 34 Seminars for Palestinian and Israeli Women The joint seminars ‘Women Building a New Reality’, begun as a direct consequence of the 2003 International Women Leaders’ Conference on Women’s Voice in Conflict Resolution and Peace Building. Five seminars took place in 2010, one with special emphasis on leadership and another designed for the particular interest of educators. A key component in today’s concept of international development cooperation – one which finds expression in the Paris Declaration on Aid Effectiveness and the Millennium Declaration 2000 – is the need for greater coordination and cooperation between the many donors providing development and humanitarian assistance around the world, in an attempt to attain maximum efficiency and effectiveness. This process must be implemented in alignment with the development strategies of partner countries throughout the developing world. MASHAV shares the goals set by the international community for greater synergy and coordination and the creation of partnerships among donor and partner countries. Towards this end, MASHAV conducts and participates in professional discussions and meetings with the donor community. \| Country \| Participants in Israel \| Short-Term Consultancies \| \|------------------\|------------------------\|--------------------------\| \| Canada \| \| \| \| \| 1 \| 1 \| \| \| Medicine and Public Health \| Management \| \| France \| 2 \| 1 \| \| \| Community Development \| \| \| \| Gender Issues \| \| \| United States of America \| 4 \| 1 \| \| \| Agriculture \| \| \| \| Gender Issues \| \| \| Germany \| 8 \| 1 \| \| \| Rural and Urban Development \| Gender Issues \| \| Ireland \| 3 \| \| \| \| Gender Issues \| \| \| Italy \| 2 \| 1 \| \| \| Regional Planning \| \| \| \| Gender Issues \| \| \| Netherlands \| 1 \| 1 \| \| \| Gender Issues \| \| \| Switzerland \| 2 \| 2 \| \| \| Communication \| \| \| United Kingdom \| 7 \| 7 \| \| \| Gender Issues \| \| Flag Graphics Courtesy of 3DFFlags.com MASHAV conducts its extensive human capacity building program through specialized training extensions and affiliated professional study centers, which provide the technical skills and personnel to conduct the courses. Following is a review of their activities during 2010: CINADCO – Center for International Agricultural Development Cooperation The Center for International Agricultural Development Cooperation (CINADCO), of Israel’s Ministry of Agriculture and Rural Development, is MASHAV’s main professional and operational affiliate for international agricultural rural development cooperation. CINADCO Headquarters operate from the Ministry of Agriculture and Rural Development Center in Beit-Dagan, located near Tel Aviv. CINADCO’s activities focus on key issues and topics of the global Agenda to enhance agricultural development, improve food supply, employment and economic growth in developing countries. The professional “hallmark” of CINADCO’s activities is based on Israel’s own agricultural and rural development experience, to develop the agro- and rural-sector under semi-arid and arid climatic conditions and management of limited natural production resources together with the integration of appropriate agro-technologies, water and irrigation, research and development (R&D) and agricultural extension, and delivering know-how to farmers and to the rural areas at large, to enhance overall national employment and economic growth. CINADCO’s Main Professional Functions: - Human resource development and capacity building. - Transfer of know-how in different agricultural and resource base conditions. - Professional and operational support for planning and implementation of agricultural programs and projects. - Professional consultancy services for agri-business development projects. - Long-and short-term consultancy missions of experts to support overseas programs and projects. - Applied research and special programs in agriculture-related subjects. CINADCO’s activities take place in Asia, Africa, Eastern Europe, CIS Republics, the Middle East, Latin America and Oceania. Activities are conducted in English, Spanish, French, Russian, Arabic and other local languages. The prime aim is to enhance development, economic growth and employment through human capacity building, transfer of expertise and technologies that have assisted Israel’s own path to agricultural and rural development. CINADCO draws upon the development experience and professional skills of the pool of experts in the Israel Ministry of Agriculture and Rural Development, universities, institutes and the agro-sector of Israel at large. Participants from Colombia in the Course on Irrigation and Fertigation in Intensive Agriculture A professional and operational network has likewise been developed with international institutions, organizations, and NGOs, through networking and development cooperation worldwide. CINADCO’s programs and implementation modalities are based on international agricultural training courses in Israel, overseas on-the-spot courses and workshops, joint agricultural research projects, development and operation of “demonstration via training” oriented agricultural/technological projects, professional consultancy advisory missions, and the publication of specialized professional learning publications and materials. Training Activities in Israel The overall agricultural training program in 2010 included 38 training activities (international courses and “tailor made” country specific courses). In summation, 688 participants from 41 countries have attended CINADCO’s annual training program, which has also collaborated with international organizations such as WHO, WMO, UNESCO, UNDP, USAID, FAO, GIZ, SENA, ICWC, ADBL, CAIEP, CCPAT, MEDRC. Forty one professional and high level official delegations were hosted in the Shefayim Training Center. Agricultural training activities were held at both CINADCO training campuses (Kibbutz Shefayim and Bet Dagan). Thirty training activities were held at Kibbutz Shefayim, four of which were within the framework of MASHAV’s ongoing agricultural projects in Ethiopia (a part of the MASHAV trilateral agreements with GIZ-MoARD and USAID-MoARD), and in the Philippines (PICAT). Seven training activities were held at the Ministry of Agriculture and Rural Development headquarters at Beit Dagan, two focused on Research and Development issues and five - for Jordan extension services, as a part of the JICA-MASHAV-NCARE trilateral agreement. Three international courses on issues related to adaptation to climate change, combating desertification, afforestation, water management and sustainable agriculture development in arid zones were conducted in cooperation with the Israel National Fund. Participants also attended the Third International Conference on Drylands, Deserts and Desertification - The Route to Restoration, held in Ben-Gurion University of the Negev, Sede Boker Campus. Four short-term training activities were carried out as a part of the Regional Agricultural Program in cooperation with DANIDA (The Development Agency of the Government of Denmark) for Jordanian and the Palestinian Authority professionals. Overseas Training Program The Overseas Training Program, more commonly known as “On-the-Spot” or Mobile Courses, is an integral part of the overall human capacity program and of CINADCO activities at large. During 2010, a total of 24 mobile courses were conducted in 15 countries involving 1900 participants in Ethiopia, Nigeria, Cameroon, Kenya, Jordan, Uzbekistan, Argentina, Belize, Colombia, Peru, Vietnam, Myanmar, Nepal, Mongolia and China. Training activities are usually based on a team of two Israeli agricultural experts carrying out the courses in collaboration with organizations both from the public and private sectors. Programs are also conducted in collaboration with international organizations and donor countries. The courses are tailor-made to meet specific local needs and requirements, thus assisting and addressing particular development issues and constraints. The Overseas Training Program is based on some 70 different professional subject-matter topics pertaining to agriculture and rural development. This is aimed at reaching and being relevant to a wide range of respective professionals, development managers, field operators, leading farmers, scientists, and decision makers in the agricultural and rural sector. The Overseas Training Program also manages Research and Development and Special Programs. In this context a joint regional cooperation program is conducted in collaboration and co-financing with DANIDA. The program includes cooperation between Egypt, Jordan, the Palestinian Authority, Israel and Denmark. The aim is to develop and improve professionally sound practices relating to: Low-cost feed for small ruminants; marginal water for irrigation; agriculture in arid regions, marketing and post-harvest care and aquaculture. The program is implemented by joint professional teams of the participating parties, conducting training courses, as well as publication of professional and technical manuals relating to the various topics of the program. During 2010, more than 13 separate activities, professional meetings, field experiments, study tours, seminars, regional and national workshops were held, in Egypt, Jordan and Israel. Short-Term Consultancy Missions and Professional Study Tours During 2010, 55 short-term Consultancy Missions were conducted in 20 countries. This involved the preparation of professional Mission Reports by the teams assigned to undertake the consultancy missions. The topics covered involved a wide range of agricultural and technology-related subjects such as: field crops; nurseries; vegetables; dairy husbandry; dairy, small... ruminants; aquaculture; horticulture and green house technologies; water resources development, irrigation and technology and other development related topics. The missions involve preparation of technical reports, recommendations and implementation programs, which provide the professional basis for future long-term joint cooperation projects. Senegal: An outline for a trilateral joint cooperation program (Senegal-Italy-Israel) has been drawn focusing on advanced agricultural technologies (family drip irrigation systems and a training and demonstration center. The program, which has recently been approved, will start in 2011. Ghana: A MASHAV team conducted a consultancy mission within the framework of the trilateral cooperation between Germany-Ghana-Israel for the upgrading of the local citrus sector. The project includes a comprehensive agricultural rehabilitation program and will be carried out during 2011. Macedonia: A professional team assessed the implementation of a joint cooperation program on nurseries, horticulture aspects and vegetables seeds cultivation has commenced. DEVELOPMENT AND DEMONSTRATION PROJECTS This area of activity involved the planning of development programs, project implementation work and the in-country management and technical support of actual development and professional management of demonstration trainiing of agro-technology projects, operating as “Centers of Excellence” to enhance agricultural and rural development. These centers are professionally managed by on-site Israeli agricultural experts on long-term missions jointly with a professional counterpart acting on behalf of the in-country project management. During 2010, eight such demonstration training projects continued to be operated, managed by Israeli experts on long-term missions. The experts were recruited and assigned to the projects following the completion of the planning process and the signing of an implementation agreement between the parties. A joint MASHAV/CINADCO committee selects the experts to manage the projects. Demonstration projects, including long-term assigned experts, are operated in the following countries: China: Two demonstration and training projects. The first on Arid Crops Agriculture and the second, a national dairy development project, operated in the vicinity of Beijing. Ethiopia: Two major demonstration projects are in operation now. The first project is jointly operated between the Ministry of Agriculture and Rural Development in Ethiopia, USAID and MASHAV. The professional components of the program are: tissue culture, high quality fruit-tree planning materials, modern biotechnology practices; efficient water and irrigation technologies and management. The second project is a joint cooperation program with Germany’s GIZ, managed by a long-term Israeli agriculture expert. The program deals with soil and water resources management, better agriculture practices, training and extension. India: A number of demonstration and training programs on horticulture (vegetables cultivation and orchards) were conducted in Haryana, Maharashtra, Karnal, Tamil Nadu, Rajasthan, and Nagpur. South Africa: The project focuses on the development and enhancement of small-scale farmers, introduction of irrigation technologies for small scale, family farm operations. The aim is to improve food security and income of families and village communities. Philippines: The project focuses on training of extension-staff and demonstration of improved farm practices, and the establishment of agricultural extension support services. The project is jointly managed with the agricultural university in the area. Vietnam: A Demonstration Dairy Farm will be operated in the vicinity of Ho Chi Ming City. The professional aspects and the management of the program will be carried out by an on-site Israeli agricultural expert assigned to the program on a long-term mission. Uzbekistan: A Sustainable Livestock Sector Development and Know-how Join Project between MASHAV-UNDP and the Uzbek Ministry of Agriculture is being managed by an Israeli agricultural livestock expert on a long-term mission. OTHER ACTIVITIES AND INITIATIVES During 2010 a wide range of new agri-business activities were initiated and carried out. These activities reflect the changing approach and direction of project-linked planning and implementation of MASHAV’s technical cooperation program. --- The Golda Meir Mount Carmel International Training Center (MCTC) The Golda Meir Mount Carmel International Training Center (MCTC) is one of the first training centers for adults working in the developing world. Founded in Haifa in 1961 by MASHAV, to conduct training activities in the socio-economic arena, with an emphasis on gender equality, it has already trained... close to 16,000 people at MCTC (two thirds of them women) and many thousands more on its training activities abroad. The year 2010 was a very busy one for the Center, with thirty one training activities taking place in Israel for 907 professionals (78% of them women). A further twenty five on the spot activities were conducted for 765 people in Argentina, Benin, Burkina Faso, Chile, Colombia, Costa Rica (2), El Salvador, Ghana, Grenada (2), Guatemala, Guatemala/Belize, Jamaica, Liberia, Mexico (3), Peru, Saint Lucia, Surinam, Trinidad & Tobago, Uganda, Uzbekistan and Zambia. In 2010 we marked 15 years since the UN Fourth World Conference on Women was held in Beijing and produced the Platform for Action, guiding policy for the advancement of women in many different areas. To mark this occasion, several training activities at MCTC particularly emphasized the topics set out in the Beijing Platform for Action: - Women’s Entrepreneurship and Productive Capacity Development - Violence against Women and Children - Gender and Water - Support Systems for Women - Women Girls, Gender and Aids - Rural Tourism as a Tool for Rural Women’s Empowerment - Gender and Development - Gender and Local Governance Several of the above topics were new, as was the introduction of a workshop, in Russian, on Care and Support of Children Infected and/or Affected by HIV/AIDS and their Reintegration into Society, in cooperation with UNAIDS. Israel became a member of the Organization for Economic Cooperation and Development (OECD) this year and a workshop was held at MCTC on Maximizing Outcomes with Minimum Resources for Development Communications, in cooperation with the OECD/DAC DevCom development communications group. A capacity-building workshop on Development of Entrepreneurial Activities and Management of Microenterprises for Job Creation and Poverty Alleviation was conducted exclusively with members of the Soroptimist International, Awka Club, Anambra State, Nigeria, stemming from links with a former participant in one of our mainstream workshops at MCTC. Several on-the-spot activities this year were also the direct consequence of contacts made by participants while attending an activity at MCTC. Israel Deputy Prime Minister and Minister of Foreign Affairs, Hon. Avigdor Lieberman, made an official visit to MCTC in August. The Minister met with the participants in the MCTC workshop on Women Entrepreneurs and Information and Communication Technologies (ICTs), held in cooperation with the United Nations Economic Commission for Europe (UNECE), for participants from Belarus, Georgia, Kazakhstan, Kyrgyzstan, Russia, Tajikistan and Uzbekistan. The field of Early Childhood Education has thrived again this year. In Latin America, following a visit by the Director of the Agency for International Cooperation of Chile (ACCI) and her team, collaboration began with a training activity for 31 professionals from 12 countries, chosen from over 200 applicants. Based on the evaluations, ACCI will continue cooperating in 2011 in courses in Israel and in organizing a Regional Seminar in Chile with the participation of Israeli lecturers. In Africa, continued cooperation with the Millennium Cities Initiative (MCI) in Kumasi, Ghana towards reform of the kindergarten systems in the city has entailed, this year alone, 1 on-the-spot visit, an in-house training workshop, the publication of a training manual and an article, written by the trainers, documenting the work done. Also in Africa, within the framework of the agreement signed between UNDP and MASHAV, 5 activities took place in the field of entrepreneurship development, two at MCTC, two at the Songhai Centre in Benin and one in Liberia. MCTC has extended its collaboration with the Young Americas Business Trust (YABT) of the Organization of American States (OAS) through 16 on-the-spot training activities in Latin America and the Caribbean, training trainers in the field of small business development and support from many different aspects, as well as in 2 activities for young entrepreneurs at MCTC. MCTC’s program of cooperation with its Palestinian neighbors continued steadily throughout the year. The seminars for Palestinian and Israeli women, ‘Women building a New Reality’, begun as a direct consequence of the 2003 International Women Leaders’ Conference on Women’s Voice in Conflict Resolution and Peace Building, continue to flourish and took place 5 times this year, once with special emphasis on leadership and once designed for the particular interest of educators. Links were also forged with the Peres Center for Peace and the Keren Kayemeth L’Yisrael, who sent a group of Palestinian Agri-Engineers and Foresters to a Seminar on Foresters for a Sustainable Environment, at MCTC in July. The MCTC Director represented Israel at international conferences at the United Nations (CSW and ECOSOC) and presented a paper on behalf of MCTC/MASHAV in Italy (Mediterranean Women’s Forum and the UNESCO Centre in Turin). She also took part in MASHAV missions to Senegal, for the UNESCO-BREDA Steering Committee for TISSA and to Ethiopia. At home, she and other members of the MCTC staff gave numerous talks on the history and work of MCTC/MASHAV during the year to different interest groups. These included women from the Bedouin and the Arab sector of Israel, members of Rotary and Soroptimist International, students, etc. Some 950 VIPs, including Ministers of State, Members of Parliament, Senators, Ambassadors, heads of academic departments, directors of NGOs and international agencies, members of the judiciary and diplomats visited the Center this year. We received delegations from Canada (Canada – Israel Committee), Luxembourg (accompanying the Minister for Gender Equality) and from Belarus, among others. The coming year marks 50 years since the establishment of the Mount Carmel Training Center. MCTC’s jubilee celebrations will include a high-level International Women Leaders’ Conference, in cooperation with UNESCO and MASHAV, on the topic of Science, Technology and Innovation; Education and Training for Women and Girls. Activities in 2010 bear testimony to MCTC’s bottom line of outreach and promotion of developmental projects, creating commitment among our trainees and producing a critical mass of people able to transfer the knowledge acquired through their MASHAV/MCTC training. The fact that several of this year’s activities were the outcome of recommendations or links with past-participants, demonstrates that continuity in training professionals who can make a difference in the fields of education, community empowerment and microenterprise development is ensured. The Aharon Ofri International Training Center The Aharon Ofri International Training Center was established in 1989 by Haigud Society for Transfer of Technology, as a professional affiliate of MASHAV. The Ofri Center works in cooperation with Israel’s Ministry of Education. Since its establishment, the Ofri Center has trained thousands of participants from all over the world, introducing them to the wealth of knowledge and experience accumulated in Israel, and presented by top experts in the field of social development. The Ofri Center contributes to the sustainable development of human resources. The main area of activities is in the field of education. As stated in the Dakar Framework for Action: “Education for All: Meeting our Collective Commitments”, and adopted by the World Education Forum in April 2000, “Education is a fundamental human right. It is the key to sustainable development and peace and stability within and among countries, and thus an indispensable means for effective participation in the societies and economies of the twenty-first century.” The Ofri Center offers a holistic and inclusive approach to education-related issues, the belief being that education should be flexible and adapt itself to the individual, focuses on learning at all levels, from elementary and secondary school to adult education, and provides professional training for developing basic skills, civic awareness and education for special populations. The Center’s international activities are designed for senior staff of formal and informal educational systems, government officials and senior staffs of NGOs – all of whom can serve as agents of change. The Center’s guiding principle is to address the specific needs of each country and organization requesting human resource development following a demand-driven approach. The Center maintains direct contact with the participants and their affiliated institutions both prior to and following the programs, whether in Israel or abroad. The Ofri Center cooperates with senior staff at Israel’s Ministry of Education, academic experts and governmental and non-governmental organizations. In addition, it cooperates with key international organizations such as UNESCO, OECD, USAID, UNOCD, IOM, the World Bank and the OAS. Following a holistic and integrative approach, the Ofri Center combines the educational experience of Israel as a living laboratory. Programs are designed based on: 1) commitment and engagement; 2) implementing functions or tasks; 3) attracting resources and support; 4) adaptation and self-renewal; 5) balancing coherence and diversity. Key Subject Areas include: Education at the Service of National Projects; Curriculum Development; Teacher Training; Training of Principals, Teachers and Educational Inspectors; Training Teachers towards Education for Developing Sustainability; Training Teachers in Indigenous Areas; Information and Communication Technologies (ICT) in Education; Education for Science and Technology; Special Education; Community Schools and Educational Initiatives; Adult Education; Education for gifted students and education for excellence; Programs for youth at risk and the reintegration into the educational system. The Ofri Center conducts professional training and workshops introducing programs for raising public awareness and encouraging citizens’ involvement. The program proposes methods for encouraging citizens’ participation in civic life and raising awareness of governmental work processes. Topics and goals include: raising citizens’ civil and democracy awareness in the community; e-government including citizens’ access to governmental processes; migration, immigration, and dispersion; AIDS treatment methods; prevention of drug abuse. The Center’s 2010 program placed particular emphasis on the goals of MASHAV’s vision, designed to plan activities aimed at reaching the Millennium Development Goals by focusing on target countries, and adopting an interactive approach. The Center devoted its efforts to create appropriate contexts and learning in depth about the needs of partner organizations and countries. During 2010, over 600 professional participated in 19 training activities, including 7 On-the-Spot courses in Gambia, Kenya, Uganda, Sierra Leone and Vietnam. --- The Weitz Center for Development Studies The Weitz Center for Development Studies is a nonprofit NGO engaged in training, planning, consulting and research on regional and local development in Israel and in the developing world. The Center has long term cooperation with MASHAV, mainly in training activities. The Weitz Center courses are interdisciplinary by nature, and participants are professionals in the fields of development, planning, agriculture, economy, sociology and more. More than 4,000 professionals from developing countries have taken part in the Weitz Center training programs, based in the internationally recognized “Rehovot Approach” of Integrated Regional Development, which aims at the eradication of poverty and the promotion of social-economic rural & urban development. The “Rehovot Approach” views the region as the basic unit for development and planning and has been applied in many less-developed areas of developing countries. Additional areas of specialization include: Regional & Local Competitiveness; LED and strategies for poverty reduction, Income Generating Activities in Rural Areas; Strategic Planning for Local Development; Sustainable Services Delivery Systems; Local Economic Development; Urban Rehabilitation Projects; Development Projects Formulation; Development of Sustainable Tourism; Entrepreneurship Promotion; Promoting Urban-Rural Sustainable Development, and Poverty Alleviation Strategies. During 2010 the Weitz Center conducted a variety of activities in Israel and abroad: Training in Israel Over 240 professionals from 44 countries participated in training and capacity building activities of the Weitz Center which included: 7 international courses and seminars and 6 Study Visits. Courses included subjects such as: Sustainable tourism development as a tool for regional development in Sub Saharan Africa; Local assets for community-economic development; Municipal capacities for slums upgrading and delivery of services to the urban poor; Mainstreaming poverty-environment linkages into planning and development; Development strategies for poverty reduction; Tools for promoting local economic development; Promotion of local economic development through strategic planning. Some of the courses were carried out in cooperation with UN Habitat. Study visits were organized for high ranking officials from Brazil, Chile, India, Nigeria and Rwanda, focusing on rural and regional development and support systems. Training Abroad - Ukraine: A workshop on “Leveraging Local Assets for Local Economic Development”, co-organized with Kennan Institute and Chernihiv Oblast Local Government Training Center, with the support of MASHAV, the Israeli Embassy in Kiev, The US Embassy in Kiev, TAG international Development and JDC Kiev. - The Republic of Korea: A joint training course on “Sustainable Urban Management”, co-organized with the IUTC-International Urban Training Center, Gangwon Province, Republic of Korea, and UN-HABITAT. - Solomon Islands: A workshop on “Economic Development Planning” in Malaita province. Follow up Activities The Weitz Center continues, in the framework of MASHAV to assist in the establishment of a Strategic Planning Unit in Kisumu, Kenya. This year we presented the MSPU model to representatives from local governments around Lake Victoria, and we hope to establish new ones next year. International Events The main event of the year was The Rehovot Conference 2010 on “Inclusive Sustainable Development Initiatives” which took place successfully on December 5-7, 2010. About 250 professionals participated in the Conference, 67 of them from 29 countries abroad. Prominent international representatives and decision makers took part in the Conference, among them Prof. Kwi-Gon Kim, Director of International Urban Training Center, South Korea and Angelino Garzon, Vice-president of Colombia. During the Conference, awards were presented to the winners of the fifth “Integrated Development Projects Competition” in Memoriam of Prof. Raanan Weitz. Ninety projects from 25 countries participated in the competition. The Weitz center team participated in the World Urban Forum 5 (WUF 5), Rio de Janeiro, Brazil where they facilitated a side event on “Municipal Platforms for Local Strategic Planning” and a training event on “How to Leverage Local Assets for Strategic Local Development – Establishing an MSPU.” --- Course on Local Assets for Community Economic Development The Weitz Center Director participated in VI European Meeting of Pamplona, Spain on “The fight against poverty-the challenge of the European Local Governments”. Her Plenary speech was on “The Complex Challenge of Poverty – the Case of Israel.” The Hebrew University’s Robert H. Smith Faculty of Agriculture, Food and Environment The Robert H. Smith Faculty of Agriculture, Food and Environment is the only institute of higher education in Israel offering university degrees in agriculture and is also home to the only Schools of Nutritional Sciences and of Veterinary Medicine. Established in 1942, the Faculty today has a student body of 2,523 students. The Faculty offers academic programs leading to B.Sc., M.Sc. and Ph.D. degrees in Agriculture, B.Sc. and M.Sc. degrees in Nutrition, and a Doctor of Veterinary Medicine degree. The Faculty also offers through its Division for External Studies international short-term postgraduate courses on various agricultural subjects, and a Masters of Science in Agriculture degree program in Plant Sciences and/or Nutritional Sciences, and/or Animal Sciences all of which are conducted in English for foreign students. Six international postgraduate courses were conducted in the year 2010 in which participants received MASHAV scholarships: - Water Management-Decision Making, Environmental Aspects & Risk Assessment (East Africa: Kenya, Uganda, Tanzania, Ethiopia, Malawi) - Biotechnology in Agriculture in a World of Global Environmental Changes - Ensuring Food Safety in Times of Global Change - Water and Health - Aquaculture: Production & Management - Commercial Beekeeping in Modern Agriculture The Faculty is aware of the need to continue and accelerate its research and teaching activities in order to enable Israeli agriculture to produce on a sustainable basis and preserve its competitive position in the world. Research at the Faculty is aimed at meeting future agricultural requirements, with a focus on the areas of agricultural plant physiology, genetics and molecular breeding, cell biology, genomics, proteomics and biotechnology. At the same time, research focuses on environmental sciences and ecology, in order to prevent further soil, water and air pollution. Research in animal sciences includes animal physiology and nutrition, environmental effects on animals and aquaculture. Research at the Faculty also includes biochemistry, food sciences and human nutrition, as well as agricultural economics and hotel management. The Faculty has long been at the forefront of agricultural research. Its scientists have developed such groundbreaking innovations as drip irrigation, soil solarization, long shelf-life vegetables, and efficient utilization of brackish water, to name a few. The alleviation of hunger is also dealt with by the Faculty’s School of Nutritional and Food Sciences. Malnutrition is caused not only by a lack of produce, but also by a surfeit of limited types of produce. Oversupply sometimes provides inexpensive solutions for the problem of hunger, while simultaneously creating new health problems. It should be the aim of the balance of the two: food production on the one hand, and nutritional knowledge and policies on the other. One of the advantages of the Faculty’s relations with foreign countries is the ability to provide knowledge which fits the needs for both modest and extensive modes of change, the teaching of problem-solving rather than the giving of solutions, the encouragement of the adaptation of techniques to meet local needs rather than the adoption of existing ones which may not suit a given situation elsewhere. The Negev Institute for Strategies of Peace and Development – NISPED The Negev Institute for Strategies of Peace and Development (NISPED) focuses on the role of civil society – the voluntary, people-centered, non-governmental groups and organizations – in furthering conflict resolution and sustainable human development and in working effectively with governments and international institutions to these ends. NISPED serves as a center for education, training and project development in societies undergoing fundamental processes of transformation. These processes include transition from conflict to conflict resolution; from poverty and dependence to selfhood and social advance; from dictatorship to democracy and economic freedom. NISPED conducts courses, seminars and workshops for leaders, activists and trainers drawn from relevant civil society and government bodies. NISPED operates through its three divisions: - International Development (Israel Cooperative Development Agency) - Middle East Department - AJECC -the Arab-Jewish Center for Equality, Empowerment and Cooperation. NISPED courses are conducted in partnership with MASHAV and with other bodies including the International Cooperative Alliance, the ILO, AFAN, SCC, He’atid - South Africa, the Economic Division of the Israeli Embassy in Nigeria, Palestinian NGOs and others. In 2010 NISPED conducted the following courses with MASHAV: - A course on “Cooperatives and Enterprise Promotion in Rural Africa” in cooperation with the Swedish Cooperative Center (SCC) designed for participants from East Africa (Kenya, Tanzania, Rwanda and Uganda). - A course for Palestinians participants on “Economic Empowerment of Palestinian Women” in cooperation with the Government of Belgium and a Palestinian Women NGO. The Center for Cooperation and Advancement The Center for Cooperation and Advancement (CCA) was established in 2003. The center’s activities are conducted in Russian, in partnership with MASHAV and in cooperation with governmental and non-governmental international organizations, including USAID, IOM, the Soros Foundation, the World Bank, UNDP, and others. CCA focuses on societies undergoing significant processes of transformation: - From centralized to free markets economies, - From political dictatorship to democracy - From poverty to social and economic advance. In addition, the CCA supports: Research for new technologies, the initiation and promotion of start-up projects and the transfer of technologies. The professional programs are application oriented: Participants learn to combine theory and reality by developing creative thinking and finding both traditional and modern responses; Training courses and workshops aim to develop a process which may be described as “self-doing” by adapting the methods learned in Israel to the realities of the participant’s home country. CCA’s activities focus in the following areas: - Education- “Integration of disabled children in educational system” (A 10 year-old program jointly led by the government of Moscow) - “Police and Community”, public and community leaders for Local Security - The role of NGOs as significant factors in providing social welfare and fundraising services and activities Integration of Disabled Children - Leadership in Democratic Societies - Transition to a Market Economy - Innovation and Entrepreneurship - The Role of Mass Media in Civil Society - Media Strategies for Social Change - Scientific Research in Israel and Development of technologies, and their transfer as a mean of fostering economic growth - Technological Innovation and Entrepreneurship through enhancing the knowledge base of industry in Israel, stimulating high value-added R&D and encouraging R&D collaboration internationally. In 2010, over 140 professionals from 8 countries participated in: - Three international courses in Israel - One “On the Spot” course for 2 groups (with a total of 100 participants) in Moscow - Three “tailor-made” tailor-made courses for Russian organizations. The Israel Meteorological Training Center The Regional Training Center (RTC) is a joint enterprise of MASHAV and the Israeli Meteorological Service. Recognized by the World Meteorological Organization (WMO) as a training center providing postgraduate training in applied meteorology, the RMTC has trained thousand of meteorologists, agronomists and hydrologists from developing countries. The center provides training both in Israel and abroad. In addition, it provides consultancies to meteorological services and undertakes research activities in applied meteorology and agrometeorology. During 2010 a total of 37 professionals from around the world participated in RTC training activities, including: Advanced International Workshops on The Operation of Meteorological and Agrometeorological Station Networks and The Application of Information to Renewable Energy and Green Building. The International Institute – Histadrut The International Institute was founded by the General Federation of Workers in Israel, the Histadrut, in 1958 and is a non-profit organization. Today the International Institute incorporates the Afro-Asian Institute (ILDEC), the Latin America, Spain and Portugal Institute (CECLAL), the Institute for Eastern and Central Europe, and the Middle East Division. The International Institute, located on the Beit Berl Campus near Kfar Saba, promotes tolerance, social justice, development, peace and democracy. The Institute programs are geared to a wide spectrum of organizations, including trade unions, professional associations, cooperatives, journalists, women and youth organizations, rural development organizations, grass-root people’s organizations, urban community development centers and others. During 2010 the International Institute conducted five international courses in cooperation with MASHAV: Police and Community (2 courses), Preventative approaches to juvenile delinquency, Municipal Projects for Citizen Security and Social Integration for Marginal Youth. This year we continued working with the sponsorship of OAS, the Organization of American States. The Arava Institute for Environmental Studies The Arava Institute for Environmental Studies is the premier environmental teaching and research program in the Middle East. Located in the heart of Israel’s Arava desert, the Arava Institute is a unique oasis of environmental education, research, and international cooperation. Students and researchers at the Arava Institute explore a range of environmental issues from a regional, interdisciplinary perspective while learning peace-building and leadership skills. The Arava Institute gives Jewish, Arab and other students a unique opportunity to study and live together for an extended period of time; building networks and understanding that will enable future cooperative work and activism in the Middle East and beyond. Here, the idea that nature knows no political borders is more than a belief. It is a fact, a curriculum, and a way of life. In 2010, the Arava Institute offered the following activities in cooperation with MASHAV: - A first special course on “Gender and Water,” in collaboration with The Golda Meir Mount Carmel International Training Center - An on-the-spot course in Kisumu, Kenya, in collaboration with MASHAV and the Millennium Villages Project on integrated water management. Individual Professional Training MASHAV offers in cooperation with Israeli leading medical institutions individualized training to qualified and experienced physicians. The participants take an active part in the daily routine of the medical departments. During 2010 MASHAV’s Individual Professional Training Program included: - A doctor from Ethiopia at Bene Zion Medical Center in the field of Neonatology - Four doctors from China at Schneider Children’s Medical Center in cooperation with HOPE organization in the field of Pediatric medicine - A medical intern from Dakar at the Tel Aviv Sourasky Medical Center in the field of Emergency Medic MASHAV maintains contact with its former course participants through its network of more than 70 Shalom Clubs worldwide. These clubs serve as a forum for MASHAV alumni to participate in professional and social activities. Members are invited to attend local lectures by skilled experts, to exchange ideas and to organize technical cooperation and humanitarian assistance as well as holding cultural functions. Among the many activities that have been organized by Shalom Clubs in their home countries have been workshops on professional topics ranging from AIDS education to business management, organization of events to raise funds for local charities, mobilization of club members to donate their professional services for community development and humanitarian activities. Members of the Shalom Clubs play an integral role in determining the focus and scope of programming of their clubs. Here follow some examples of Shalom Club activities in 2010: Ecuador The annual gathering of the MASHAV graduates from Ecuador, took place in June 2010 in the city of Manta. This special event was held within the framework of celebrating the State of Israel’s 62nd Independence Day. Over 150 graduates of MASHAV courses participated in the event, as well as many representatives of governmental bodies in various fields and members of the media. The event was organized by SEADI (the Organization of Friends of Israel) and was hosted by the Ambassador of Israel in Ecuador, Eyal Selah and the Embassy’s staff. During the professional panels held during the gathering, the participants discussed ways to implement the knowledge they had acquired in Israel for the benefit of their country. Peru A group of members of the Shalom Club Peru joined the volunteer members of the Emergency System Institution in Peru. They participated in a National Earthquake drill that was held in November 2010. During the drill at the National Emergency Center, they simulated offering assistance to people in need. Georgia The annual gathering of the Shalom Club Georgia took place in April 2010, with the participation of over 300 Shalom Club members. The event included a reception, a concert and welcome notes by the Ilia II, the Patriarch of the Georgian Orthodox Church, the Georgian Deputy Prime Minister, Temur Jakobashvili and Israeli Ambassador to Georgia Itzhak Gerberg. Kenya The Embassy of the State of Israel in Kenya held its annual Shalom Club meeting on December, 2010 in Nairobi. The event gathered over 100 participants who shared their experiences of their training in various fields both in Israel and in Kenya, and how they applied their knowledge in benefit of their communities. The event also marked the closing ceremony of the on-the-spot course on, “Prevention of Drug and Alcohol Abuse”, which was conducted by Israeli experts in conjunction with National Campaign against Drug Abuse Authority in Kenya. --- Shalom Magazine for the Alumni of MASHAV Training Courses is published once a year in English, Spanish, French, Russian and Arabic, and is sent to all MASHAV’s courses former participants around the world. The magazine is a strong link between MASHAV and its graduates worldwide, addressing the many issues that lie at the core of development. MASHAV’s Official Website focuses on international development cooperation issues in general and the ongoing activities of MASHAV in particular, providing access to all MASHAV publications. The website at: [http://mashav.mfa.gov.il](http://mashav.mfa.gov.il) is part of the overall Internet framework of Israel’s Ministry of Foreign Affairs. Follow MASHAV on Twitter (MASHAVisrael) and on Facebook (MASHAVisrael) Deputy Director General, Israel Ministry of Foreign Affairs and Head of MASHAV Israel's National Agency for International Development Cooperation Haigud - Society for Transfer of Technology* Evaluation Unit Office of the Deputy Director General Special Advisor on Medical Activities Special Advisor on Agriculture Coordinator for Middle Eastern Activities Training Department Projects Department Policy Planning and External Relations Department Finance and Budget Department MASHAV EXTENSIONS Center for International Agricultural Development Cooperation – CINADCO, Ministry of Agriculture Golda Meir Mount Carmel International Training Center – MCTC Aharon Ofrí International Training Center TRAINING AFFILIATES IN 2010 Weitz Center for Development Studies Hebrew University’s Robert H. Smith Faculty of Agriculture, Food and Environment The International Institute – Histadrut Israel Meteorological Training Center-RMTC Negev Institute for Strategies of Peace & Development-NISPED The Center for Cooperation and Advancement The Arava Institute for Environmental Studies Bene Zion Medical Center Shneider Children’s Medical Center Tel-Aviv Sourasky Medical Center * Haigud Society for Transfer of Technology Haigud serves as the financial and administrative arm of MASHAV, and functions as a professional unit to assist in the implementation of MASHAV activities. Haigud acts as liaison with government agencies and voluntary organizations. MASHAV Israel’s Agency for International Development Cooperation http://mashav.mfa.gov.il firstname.lastname@example.org Tel. 972-2- 5303220 Fax. 972-2- 5303727
AWA MEMBER HANDBOOK 2023 AUSTRALIAN WAGYU ASSOCIATION Welcome to the Australian Wagyu Association (AWA) Member Handbook. This guide will help you with the AWA’s animal DNA testing and animal registration process. Materials used to produce this document are selected to reflect our sensitivity towards the natural environment on which our industry relies. We only use eco-friendly inks from vegetable oil or soybeans and paper sourced from managed regrowth or planted forests where the cycle of planting, growing and harvesting is carefully controlled. We encourage you to recycle all paper-based products after use. VERSION: 042023-SC11609 CONTENTS 04 The Wagyu Portal 06 DNA testing to registration overview 08 DNA testing and registration – 9 steps 10 DNA testing process 12 Collecting a DNA sample 20 DNA testing options 22 DNA testing labs 23 Parent Verification 24 DNA results 28 Animal registration process 31 Animal transfers and disposals 33 BREEDPLAN and EBVs 38 Wagyu BREEDPLAN EBVs and BreedObject $Indexes explained 43 Useful contacts SCAN ME Hover your phone camera over the code, to link to the AWA forms and guides. The Wagyu Portal is the AWA online “Member area”. Through the Wagyu Portal members have online access to the following Australian Wagyu Association member services: » Herd maintenance and management » Performance data entry for calf and dam (birth, weaning, yearling, scan and final traits) » Animal transfers » Membership updates (contact details, property address etc) » Account management (billing, payment etc) Information on how to use all areas of the Wagyu Portal is available in the Portal “Help” button. TRANSACTIONS AND PAYMENTS International payments can be completed by either bank transfer or Credit Card payments. As bank transfers attract additional fees, Credit Card payments are the preferred method of payment. Credit card payments can be completed through the Portal, with the ability to save Credit card details for future transactions. Please see steps below to save a card for future use. More in-depth detail can be found under the “Help” button shown on the previous page. Please note: » We can no longer accept international Cheques » Members can only pay their entire account balance through the Wagyu Portal; if they wish to pay a lesser amount, they need to provide card details to accounts to process » The Pay Now button and Manage Payment Methods are only visible where there is an account balance to pay. STEP 1 Select Previous Transactions from the Transactions drop-down menu. STEP 2 Select “Pay now” You will be able to add and save Credit Card details for future use here. STEP 3 If you wish to save Credit Card details for future use, select the tick box at the bottom of the page. DNA TESTING, ANIMAL REGISTRATION and PERFORMANCE RECORDING is important to confirm the pedigrees of animals, assist with genetic selection and future mating decisions, and to confirm Wagyu breed claims. Animal registration is the fundamental building block for seedstock production. It aims to record the animal along with its sire and dam, which must already be registered, therefore establishing the pedigree ‘tree’. To ensure the sire and dam are correct, DNA Parent Verification is required prior to calf registration. Full members of the AWA may register Fullblood, Purebred and Crossbred Wagyu breeding animals and commercial slaughter animals. This enables the recording of performance data for genetic analysis through Wagyu BREEDPLAN leading to increased accuracy of EBVs and the BreedObject $Indexes. 1. BECOME MEMBER OF THE AWA To register animals with the AWA you will need to become a full member by submitting a completed Membership Application Form (download from the website) to the AWA by either post or email. Payment can be made by credit card or electronic funds transfer. Once your membership has been created you will receive a BREEDPLAN enrolment form. Please complete this and return to the address on the enrolment form. 2. COLLECT DNA SAMPLES 3. REQUESTING DNA TESTING Complete the DNA test request and email it to the AWA. DNA test requests can be downloaded from the AWA website. For each DNA test request, please download a new test request to ensure the most up-to-date forms. 4. SENDING SAMPLES TO THE LAB Once the AWA has received and processed your DNA test request, you will receive an acknowledgement letter by email. Please print the acknowledgement letter and enclose with your samples when sending to your nominated laboratory (see lab options and addresses on page 22). Maintain a record of your postage tracking number so that your samples can be tracked if they are not received by the lab. 5 DNA RESULTS The AWA will send all DNA results to you. Once Parent Verification results have been received, any animals with qualifying parents will be eligible to submit for registration. 6 SUBMITTING REGISTRATIONS Upon completion of the DNA results, registrations can be submitted to the AWA by: » Stockbook Herd Management Software (recommended) » AWA Registration Form (online) » AWA Registration Form (hard copy). Please note, a processing fee will apply. 7 REGISTRATION CERTIFICATES Once the animal is registered a copy of the certificate will be emailed to the current owner of the animal and will also be available online in the Wagyu Portal. Please note: you must be a BREEDPLAN member to be able to submit data and have herd reports generated. You will receive an enrolment form when your membership is processed, please complete and email it back to us. 8 COLLECT STANDARD PERFORMANCE INFORMATION Collect and submit weights and scanning, and carcase data to BREEDPLAN once your animals are registered with AWA. For more information on BREEDPLAN visit our website. 9 ESTIMATED BREEDING VALUES (EBVs) Animals must have registration forms submitted to the AWA, or have been registered via the Wagyu Portal prior to the 3rd of each month to be included in the monthly BREEDPLAN run. Updated EBVs are published around the 20th of each month. DNA TESTING PROCESS Applies to all Labs – Neogen (Australia and international) and Zoetis (Australia and international) STEP 1 Collect your samples STEP 2 Email completed DNA Test Request Form to the AWA STEP 3 AWA submits DNA Test Request Form to lab STEP 4 You are emailed an acknowledgment letter once form submitted STEP 5 Print and post the acknowledgment letter with samples to lab STEP 6 The lab sends the results to the AWA once testing is complete RESULTS SNP results loaded onto AWA system and member sent results RESULTS Genetic conditions and other testing results loaded onto AWA system and member sent results RESULTS CWT tests results loaded onto AWA’s system and member sent results RESULTS AWA completes PV and results sent to member Member uses PV or CWT results for registration using AWA’s registration form STEP 1 Collect your samples using permitted (lab specific) collection kits (hair or TSU). Talk to AWA if you do not have these STEP 2 Download a new DNA test request form from the AWA website, complete with all the details of the testing you require for your collected samples. (see pages 20 and 21 for different testing options) STEP 3 Email completed DNA test request form to firstname.lastname@example.org STEP 4 AWA will process your submitted request into the system and submit to the lab for testing. You will be invoiced at this time STEP 5 The required paperwork will be emailed to you, this needs to be printed and sent with your samples to the nominated address on the paperwork. Record the tracking number for reference if required. STEP 6 The lab sends the results to AWA once testing has been completed SNP RESULTS (blue) 1. SNP results loaded into the AWA system 2. Where requested, a PV is run by AWA and member is sent results 3. A summary of your recent SNP testing is emailed CWT RESULTS (orange) 1. SNP results loaded into the AWA system 2. A summary of your recent SNP testing is emailed 3. SNP genotype is sent to AGBU for CWT testing 4. CWT result emailed to member once returned GENETIC CONDITION & OTHER TESTING RESULTS (green) 1. Results loaded into the AWA System 2. Results emailed to the member STEP 7 Member uses PV or CWT results for registration using AWA’s Registration Form NOTE Results may be reported from the lab in batches, this means that you may not receive all the results for a batch/animal in one email from the lab. AWA sends the results as soon as they are available, where additional testing (eg: PV or CWT) is required, this may take a week after the results have been reported to AWA. COLLECTING A DNA SAMPLE A sample of an animal’s DNA is required to be submitted to a laboratory for parent verification and optional genetic recessive genetic condition testing. DNA can be collected using: » Tissue Sampling Unit (TSU) samples (preferred method) » Tail hairs » Semen Please ensure that hair samples are submitted on the correct hair cards for the laboratory that they are being submitted to. These can be obtained from the AWA. Refer to page 22 for a list of approved testing laboratories and the testing capabilities of each. Tissue Sampling Units (TSUs) are particularly beneficial and are recommended for collecting samples on young animals. TSUs are no longer single use and can be re-used in the future. When collecting a sample, please ensure that a full sample is contained in the tube. Please note that if testing TSU samples through Neogen, Allflex are the only TSU brand that will be accepted. TSU SAMPLING PROCEDURE Follow steps 1 through to 13 1. Take an assembled TSU. (cutter + connection piece + collection tube) 2. Turn the black end so that the TSU applicator is open. 3. Insert the TSU as shown in the picture. 4. Turn the black end so that the TSU applicator is closed and the TSU is locked into place. 5. Carefully squeeze the applicator handles until the large piston comes to a stop against the red connection piece. 6. The cutter has now been grabbed. Release the pressure on the handles. Collecting a DNA sample Remove the red connection piece while holding the red tabs and pushing sideways The pliers are now ready to use Slide the charged pliers over the ear and position the cutter about 1cm to 2cm from the edge of the ear. Try to avoid large veins and ridges. The sample should be taken in a very swift, fluid motion Remove the TSU tube from the applicator by twisting the black end and sliding the tube out A tissue sample should be clearly visible in the tube You should see the red plug in the end of the TSU if it has sealed correctly Remove the used cutter from the pliers by pushing the handles apart \| Wagyu Bundle \| NLIS Matched Management Set \| NLIS Tag and TSU \| Individual TSU’s \| \|--------------\|----------------------------\|-----------------\|-----------------\| \| WSAMP123 \| S23456 \| M00123 \| AL0000196 \| \| WSAMP123 \| 982 XXXXXXXXXXXX \| ABCD1234XYZ00000 \| AL0000196 \| \| WSAMP123 \| 982 XXXXXXXXXXXX \| ABCD1234XYZ00000 \| AL0000196 \| Extra Sample Details \| NLIS \| Sample Code (from Hair card or TSU) \| \|------\|-------------------------------------\| \| #B1230000700003 \| 12/08/1967 \| Collecting a DNA sample TAIL HAIR SAMPLING PROCEDURE Follow steps 1 through to 7 STEP 1 Pull (do not cut) hair from the tail switch (tip of the tail) not the tail head. Pull hair in the opposite direction from which the hair is laying, this will result in less breakage. STEP 2 Make sure hair is free from fecal material and dirt. Save the hair roots (follicles), which contain the DNA. Roots must be clearly visible. Approximately 30 hair roots are needed. For animals with finer hair, a minimum of 50 hairs are needed. For animals younger than three months, TSUs are recommended since hair roots will likely not be visible. Grab the Neogen Australasia Hair Collection Kit card, place the hair roots on the instructed section. Using the supplied ID label (or tape of your own). Stick the hair to the card as instructed on the card. Trim the hair on the directed “trim here” line. Clearly label the ID onto the hair card, this is the same ID that needs to be entered into the AWA DNA Test Request form. Place the Collection card with the hair into the supplied plastic bag. Collecting a DNA sample 1. Grab the Zoetis Hair Collection kit, open it up and place the hair roots onto the white card. 2. Peel the instruction sheet off the clear adhesive plastic. 3. Seal by pressing the clear adhesive firmly over the sample. 4. Trim excess hair outside collector. 5. Clearly label the ID onto the hair card, this is the same ID that needs to be entered into the AWA DNA Test Request form. SEmen Sampling Procedure Semen samples can be used for bulls where no other type of DNA is able to be collected. » Remove the semen straw from the liquid nitrogen and allow it to gently thaw in the refrigerator or at room temperature – do not store at room temperature for long periods of time as it may cause mold. » Thawed semen straws need to be packaged in a way that they can’t bend or break in the mail. » Best practice is to place the semen straw inside an empty pen cartridge, by removing the ink tub and sliding the semen straw inside the plastic shell. STEP 1 Place the semen straw inside an empty pen cartridge, by removing the ink tub and sliding the semen straw inside the plastic shell. STEP 2 Once semen straw is inside, put the lid back on the pen so it can’t move. SNP – A SNP (Single Nucleotide Polymorphism) is the variation in a single nucleotide (or base pair) which occurs at a specific position in the DNA. These SNPs are of interest as they can directly cause some genetic conditions or they can be used as markers to study economically important traits where they are closely aligned with (or linked to) genes impacting the production trait of interest. GENOMIC SNP – A Genomic SNP is a SNP panel consisting of greater than 20,000 markers. Where the genotype can be used for parent verification and parent discovery. Genomic SNPs may also be used for genetic analysis through Single-Step Wagyu BREEDPLAN, producing genomically enhanced EBVs and determining the percentage of Japanese Black content of an animal through the Crossbred Wagyu Test (CWT). PARENTAGE SNP – A parentage SNP is a SNP panel consisting of approximately 500 markers. The genotype can be used for parent verification only. CHEDIAK HIGASHI SYNDROME (CHS) – Cattle that are homozygous (two copies of the recessive allele) have a reduced immune response to disease which reduces their ability to resist bacterial infection. Blood is slow to coagulate so often the first indicator is unusual umbilical cord bleeding at calving. Cattle with this syndrome often have an unusually pale coat colour. SPHEROCYSTOSIS (B3) – Cattle that are homozygous (two copies of the recessive allele) have pernicious anaemia (bleeding caused by the abnormal red blood cells). Death normally occurs within the first seven days after birth. Some cases live to adulthood but there is a severe retardation in growth. FACTOR XI DEFICIENCY (F11) – Cattle that are homozygous (two copies of the recessive allele) show prolonged bleeding time after castration or dehorning. It is also possible that Carrier x Carrier matings have increased difficulty producing viable fertilised embryos or full-term pregnancies and may be repeat (return to cycle) breeders. ISOLEUCYL-TRNA SYNTHETASE (IARS) – PERINATAL WEAK CALF SYNDROME – IARS Disorder results in a high frequency of death in affected calves within the last few weeks of gestation or first few days of life. The mutation results in a reduction in activity of a key enzyme that is important for the protein synthesis process in the developing embryo and newborn. Calves affected by this disorder exhibit anemia, depression, weakness, variable body temperature, difficulty nursing, growth retardation, and increased susceptibility to infection. In addition to deaths associated with weak calf syndrome, more than half of affected embryos – those carrying two copies of the IARS gene mutation – died prenatally. CLAUDIN 16 DEFICIENCY (CL16) – Cattle that are homozygous (two copies of the recessive allele) have terminal kidney failure and the onset can occur any time from late adolescence. Cattle are unlikely to live more than six years. POLL GENE TEST – Uses recently identified genetic markers (Celtic Poll, Pc or Friesian Poll, Pf) to identify whether animals carry the genes associated with POLLED phenotype. This MUST be completed in order to register an animal as ‘Polled’. STEAROYL–COA DESATURASE (SCD) – SCD is the enzyme which changes stearic acid into oleic acid. Stearic acid makes deposited fat harder and increases the melting point. Conversely oleic acid makes the fat soft with a low melting point. The test identifies 2 allele types – A and V. Igenity Tenderness Profile (ITP/TEND) – Tenderness is an estimate of the animals’ genetic potential for carcass tenderness as measured by the Warner-Bratzler Shear Force test. Measured on a scale of 1–10, with a higher score indicates greater tenderness. COAT COLOUR – The coat colour test is run on the Melanocortin 1 Receptors (MC1R) gene and is used to identify the combination of black and red pigments in an animal. The test for coat colour looks for combinations of 3 alleles (Dominant black – ED, Wildtype – E+ and Recessive red – e) DILUTION FACTOR – Dilution factors are genes that cause diluted pigment in cattle. Where the dilution gene is present it can cause coat colours such as dun, silver dun, yellow and cream due to the interaction with the MC1R gene that determines coat colour. --- CROSSBRED WAGYU TEST (CWT) The CWT can be used when one or both parents have Wagyu content, but DNA from one or both parents is either unregistered, or cannot be registered. A GENOMIC SNP must be completed for a CWT test to be requested. The Australian Wagyu Association (AWA) has developed a genomic test to measure Japanese Black Wagyu genetics in non-pedigreed crossbred animals. This development, known as the Crossbred Wagyu Test (CWT) is intended to help the supply chain determine the potential of individual cattle to produce a ‘genuine Wagyu’ eating experience, prior to induction onto feed. The CWT measures the genomic “distance” between the genotype of a particular animal being tested and the “clouds” or reference sets of genotypes available in Australia for Wagyu and other breeds. This delivers the estimated breed content level of each breed within the individual being tested. For Wagyu, caution is required because genetic diversity studies in Japan has identified significant genetic variation between different prefectural herds. DNA TESTING LABS AWA APPROVED LAB SERVICES AUSTRALIA / NEW ZEALAND SERVICES - Genomic SNP - Parentage SNP - Genetic conditions: CHS, B3, F11, CL16, IARS - HORN / POLL - TEND / SCD - BVDV / PI - CWT - Coat colour and Dilution factor NEOGEN AUSTRALASIA 14 Hume Drive, Bundamba QLD 4304 📞 07 3736 2134 ✉️ email@example.com ZOETIS AUSTRALIA PO Box 75 Banyo QLD 4014 📞 1300 768 400 ✉️ firstname.lastname@example.org PARENT VERIFICATION Parent Verification (PV) – Where both parents are nominated and the calf is verified to the nominated sire and dam. If a parent combination isn’t found the analysis will then look at all possible parents in our SNP genotype database. Parent Discovery (PD) – A list of possible parents are nominated and the calf’s genotype is analysed against the supplied lists of possible parents. If a parent combination isn’t found the analysis will then look at all possible parents in our SNP genotype database. SNP PVs – are run ‘in-house’ at the AWA. For animals to be run through a Parentage analysis you will need to request ‘PV’ in your DNA test request. Parent Verifications are run once a week with these results being sent once the run is completed. Please note that if an animal does not have parentage resolved (both sire and dam qualified) in the first 2 weeks after the genotype has been received it will be run once a month for 12 months or until it has either qualified or requested to be removed. Once the lab has completed the requested testing, the results will be forwarded to the AWA, the turn around time is on average (from sample receipt at lab) 4 to 6 weeks. The results are processed through the AWA system and will be sent to the member soon after this. A summary of all newly reported animals and their assigned SNP numbers, and any animals that have failed testing will also be reported to you once the parentage analysis has been completed. Below is an explanation of results you may receive. CHS, B3, F11, F13, IARS & CL16 The first two, three or four characters vary with the genetic condition ie. B3, CHS, CL16, F11, F13 or IARS __F Indicates that the sample submitted for this animal has been tested and found to be FREE of the causative mutation responsible for the indicated genetic condition. This animal is homozygous free, meaning that it has two copies of the normal variant (or allele) of the gene. __C Indicates that the sample submitted for this animal has been tested and found to be a CARRIER of the causative mutation responsible for the indicated genetic condition. This animal is heterozygous for the mutation, meaning that it has one mutant allele and one normal allele. This animal could pass the mutation to approximately half of its progeny. __% Indicates that, based on pedigree information supplied by the breeder of the animal, the animal has a chance to be a carrier of the mutation responsible for the indicated genetic condition but HAS NOT BEEN TESTED. The higher the indicated percentage, the larger the chance the animal may be a carrier. __FU Indicates that, based on pedigree information supplied by the breeder of the animal, the animal is expected to be free of the mutation responsible for the indicated genetic condition. However, this animal HAS NOT BEEN TESTED for the causative mutation and the AWA gives no guarantee as to the animal’s “free” status. __A Indicates that the sample submitted for this animal has been tested and found to be AFFECTED by the genetic condition. This animal is homozygous for the mutation responsible for the genetic condition and has two copies of the mutant variant of the gene. NR the sample was tested, however no result was able to be obtained. Please collect a new sample and submit a new DNA request form. POLL TESTING \| Code \| Description \| \|------\|-----------------------------------------------------------------------------\| \| HH \| HORNED. No copies of the POLLED molecular marker are present. \| \| HPc \| POLLED. One copy of the POLLED–CELTIC molecular marker is present. \| \| PcPc \| POLLED. Two copies of the POLLED–CELTIC molecular marker are present.\| \| HPf \| POLLED. One copy of the POLLED–FRIESIAN molecular marker is present.\| \| PcPf \| POLLED. One copy of the POLLED–CELTIC and one copy of the Polled–Friesian molecular marker are present. \| \| PfPf \| POLLED. Two copies of the POLLED–FRIESIAN molecular marker are present. \| SCD TESTING Results presented reflect the allelic variation at a specific site in the SCD gene that changes the corresponding amino acid from Valine (V) to Alanine (A) which has a significant relationship to the melting point of fat in Wagyu, and hence enhances palatability. \| Code \| Description \| \|------\|-----------------------------------------------------------------------------\| \| AA \| Two copies of the Alanine allele are present. Preferred type. \| \| AV \| One copy of the Valine allele and one copy of the Alanine allele are present.\| \| VV \| Two copies of the Valine allele are present. \| TEND TESTING Increase in “tenderness” is associated with favourable alleles seen within the selected marker panel. In the report, the combined genotype results have been scored between 1 to 10, where 10 has the most favourable number of alleles present. BVDV/PI TESTING \| Code \| Description \| \|------\|-----------------------------------------------------------------------------\| \| NEGATIVE \| Tested and not currently affected by BVDV/PI. \| \| POSITIVE \| Test and currently affected by BVDV/PI, it is recommended that you supply a new sample for additional testing in a further 2 weeks to confirm. \| COAT COLOUR ED Black. Two copies of the dominant black gene. ED/E+ Black. 1 copy of the dominant black gene and one copy of the Wildtype* gene. ED/e Black. 1 copy of the dominant black gene and 1 copy of the recessive Red gene. E+/e Red. 1 copy of the wildtype* gene and 1 copy of the recessive red gene. E+E+ Varied. 2 copies of the wildtype* gene. e/e Red – 2 copies of the recessive red gene. NOTE: Wildtype genes are described as “neutral” and therefore the animal will usually display the colour of the other colour gene that is present. However if a dilution gene is present, the wildtype may cause unexpected expression of colours such as Dun, Silver dun, Yellow and White/Cream. DILUTION FACTOR N Non–Carrier. No copies of the dilutor gene present. This animal must be Red or Black. C Carrier. 1 copy of the dilutor gene present. This animal will be classified as Red (Grey). A Affected. 2 copies of the dilutor gene present. This animal will be classified as Red (Grey). GENOTYPES AND CALL RATES The call rate of a genotype reflects the quality, or number of successfully tested markers for that genotype. The higher the call rate, the better the quality of the genotype, the higher the likelihood of Genomics being included in BREEDPLAN and the animals EBVs and the less likely there will be issues with parentage analysis on the animal itself and on its progeny. Once genotypes have been received by AWA we will email you a summary file with a list of genotypes that we have received that week for your herd, their DNA case numbers and the call rates of the samples. If an animal: » Falls testing (red category) its call rate will have been below 0.90 for a Genomic SNP and does not hold a useable genotype for either parentage or BREEDPLAN and EBVs. You will need to collect a new sample and re-test. » Falls into the magenta category (call rates between 0.90–0.96) we would also strongly suggest collecting a new sample and re-testing as the sample may be ok for use in parent verification but there is a high chance that the Genomics will be excluded from BREEDPLAN and EBVs and there is a higher chance of parentage issues with progeny in the future. » Falls into the yellow category (call rates between 0.96–0.98) there is a chance that the Genotype may be excluded from BREEDPLAN and EBVs, however we won’t be able to tell until the animal has been through a BREEDPLAN run. » Falls into the green category (call rates over 0.98) it is unlikely that the genotype will be excluded from BREEDPLAN and EBVs unless there are other issues (such as indicating a wrong sex, wrong parent etc) when it is run through the quality checks at AGBU. \| CALL RATE \| TEST \| MESSAGE \| \|-----------\|---------------\|-------------------------------------------------------------------------\| \| 0.8588 \| GENOMIC SNP \| Failed testing \| \| 0.8638 \| GENOMIC SNP \| Failed testing \| \| 0.9017 \| GENOMIC SNP \| Acceptable for PV. High risk of failing AGBU/Breedplan Quality assurance checks \| \| 0.902 \| GENOMIC SNP \| Acceptable for PV. High risk of failing AGBU/Breedplan Quality assurance checks \| \| 0.9059 \| GENOMIC SNP \| Acceptable for PV. High risk of failing AGBU/Breedplan Quality assurance checks \| \| 0.9648 \| GENOMIC SNP \| Acceptable for PV. Intermediate risk of failing AGBU/Breedplan Quality assurance checks \| \| 0.971 \| GENOMIC SNP \| Acceptable for PV. Intermediate risk of failing AGBU/Breedplan Quality assurance checks \| \| 0.9725 \| GENOMIC SNP \| Acceptable for PV. Intermediate risk of failing AGBU/Breedplan Quality assurance checks \| \| 0.9802 \| GENOMIC SNP \| Acceptable for PV. Low risk of failing AGBU/Breedplan Quality assurance checks. \| \| 0.9809 \| GENOMIC SNP \| Acceptable for PV. Low risk of failing AGBU/Breedplan Quality assurance checks. \| \| 0.9809 \| GENOMIC SNP \| Acceptable for PV. Low risk of failing AGBU/Breedplan Quality assurance checks. \| ANIMAL REGISTRATION PROCESS To register animals with the AWA you must be a Full member. Once you have received PV results (or CWT results) these animals are eligible for registration. Please refer to the registration processes specific to your situation on the following pages. Registrations can be submitted to AWA by: » AWA excel spreadsheet » Herd management software extracts (EG: Stockbook or Herdmaster) We recommend that you register with BREEDPLAN and submit performance data for all registered animals where possible. After registering the animal, AWA will provide a unique Animal Identifier (ident) for each animal. FOR ANIMALS BORN PRE-01/01/2022 the animal ident is composed of [Herd Identifier] [Grade] [Year Letter] [Drop Number] eg. AWAFM0001, and will be used by the Association in all communications about the animal. FOR ANIMALS BORN ON OR AFTER 01/01/2022 The animal ident is composed of [Herd Identifier] [Grade] [Year Code] [Drop Number] eg. AWAF22T0001, and will be used by the Association in all communications about the animal. The AWA Bylaws, which can be found on the AWA website, provide further details on the rules associated with animal registration. TABLE 1 GRADE CODE ASSIGNMENT BASED ON GENERATION OR MINIMUM % WAGYU CONTENT \| GRADE \| GENERATION \| MIN. % WAGYU CONTENT \| GRADE CODE IN IDENT \| \|-------\|------------\|----------------------\|---------------------\| \| 0 \| 0 = Base Animal \| Less than 50% \| 0 \| \| 1 \| 1 = Crossbred Wagyu F1 \| 50% \| 1 \| \| 2 \| 2 = Crossbred Wagyu F2 \| 75% \| 2 \| \| 3 \| 3 = Crossbred Wagyu F3 \| 87% \| 3 \| \| 4 \| 4 = Crossbred Wagyu F4 \| 93% Purebred if parent verified to sire and dam \| 4 \| \| \| Purebred \| 93% + PV \| P \| \| \| Fullblood \| PV to 2 Fullblood parents \| F \| FULLBLOOD GRADE For an animal to be eligible to be registered as a Fullblood animal in the Herdbook register it must have a DNA Parent verification qualifying the animal to both a Fullblood sire and Fullblood dam. An animal will be regarded as a Fullblood whose forebears originate from Japan and whose pedigrees show no evidence of any grading up from base animals or outcrossing to other breeds (IE: both sire and dam must also be Fullblood Herdbook registered animals). If an animal with grading of Grade 4 or higher, has white markings other than on the pizzle, scrotum or the underbelly posterior to the navel and rising onto the flank it will be downgraded to Grade 3 (minimum 87% Wagyu breed content). PUREBRED GRADE For an animal to be eligible to be registered as a Purebred animal in the Herdbook register it must have a minimum of 93% Wagyu breed content (F4) along with a Parent verification result qualifying the animal to sire and dam. If an animal with grading of Grade 4 or higher, has white markings other than on the pizzle, scrotum or the underbelly posterior to the navel and rising onto the flank it will be downgraded to Grade 3 (minimum 87% Wagyu breed content). HERDBOOK REGISTER (HBR) The Herdbook register is a breeding register for all Wagyu Fullblood and Purebred Wagyu animals which are DNA parent verified to their sire and dam. Animals are normally registered as calves, either just after birth or at weaning/marking, whichever is more convenient to on-farm management. To increase the accuracy of EBVs, early registration is recommended. GRADED ANIMALS Graded animals are all animals that do not fall into either the Fullblood or Purebred category. These animals can be entered with a % Wagyu content result based on a CWT (Crossbred Wagyu Test) or by Parent Verification results that have not given them a high enough Wagyu % to be Purebred. Please see Table 1 for grades and respective Wagyu % requirements. If an animal has a CWT below 50% and a Parent verification to a Fullblood animal it can be registered as an F1 animal. If an animal has white markings other than on the pizzle, scrotum or the underbelly posterior to the navel and rising onto the flank, it cannot be registered higher than Grade 3 (minimum 87% Wagyu breed content) on the register. If an animal of grading of Grade 4 (minimum 93% Wagyu breed content) or higher, does not comply with the colour markings it is downgraded to Grade 3 (minimum 87% Wagyu breed content). SLAUGHTER REGISTER (SR) The slaughter register is a non-breeding register for slaughter animals only. No progeny from any Slaughter Registered animals are eligible to be registered with the AWA. Animals entering the slaughter register can be Fullblood, Purebred or Graded animals (minimum 50% Wagyu breed content). DNA testing and Parent Verification to both nominated parents is required for all animals claiming Fullblood or Purebred status. The Slaughter Register allows breeders and marketers access to a professionally prepared pedigree certificate for animals destined for slaughter and to facilitate the capture of performance data on these animals. Animal registration process CONTENT REGISTER The breeding register for Wagyu influenced animals not eligible for registration as Fullblood or Purebred in the Herdbook. Animals registered in the content register will be registered either by percentage breed content calculated from the percentage Wagyu of the sire and dam (must have PV results to sire, dam or both) or results from the Crossbred Wagyu Test. Based on % Wagyu breed content calculated, the grade will be assigned as per Table 1. This register allows the registration of crossbred Wagyu animals with the objective of breeding to registered Fullblood or Purebred Wagyu animals to increase Wagyu content over subsequent generations and over time to produce a Purebred Wagyu animal. COLOUR TYPE Visual coat colour of all animals on the registers shall be either red, black or red (grey). For red and black animals this shall be determined by the member on visual colouration. For any animals claiming Red (grey) status, DNA testing for coat colour and dilution factor must be completed. This shall be determined by the member on visual colouration. Black, red, red (grey) and composite (the result of combined breeding of black and red Wagyu) animals are registered in the Herdbook Register with the colour field differentiating these groups of animals. Composite registered animals have a “CC” in brackets [CC] on their registration certificate immediately after the animal’s registered name, their Genotypic colour type will be displayed as composite and phenotypic colour displayed as determined by the member. Progeny of Composite registered animals are only eligible for registration in the Composite Register. ADDITIONAL INFORMATION POLLED ANIMAL REQUIREMENTS Any Purebred animal registered as Polled or Scurred in the Herdbook must be DNA tested to determine if it is Homozygous polled or Heterozygous polled using a test to be specified by AWA. An animal with claim to Poll status cannot be registered in the Herdbook until Polled results are received from the lab. Any Polled or Scurred animal registered in a grade other than Purebred and not DNA tested to determine if it is Homozygous polled or Heterozygous polled will be assigned a phenotype of Polled Untested. PERMANENT FORMS OF ID Every animal that is to be registered with the AWA shall be permanently identified with two of the following: - DNA typing - NLIS tag - Tattoo - Brand Animals must be permanently identified to meet Australian statutory requirements for the National Livestock Identification Scheme (NLIS) and the NLIS identifier will be recorded with all registrations. PROCESS AFTER ANIMAL REGISTRATION Once an animal is registered with the AWA it’ll be included in the next BREEDPLAN run. To be included in the twice monthly BREEDPLAN run, animal registration paperwork must be submitted to the AWA office, or registered through the Wagyu Portal prior to the 2nd and 11th day of each month. EBVs are released during the 1st and 3rd calendar week of each month. All Fullblood and Purebred Herdbook registered animals will have their EBVs published on the website. EBVs are available on all registered animals (including content registered and Slaughter unregistered) in your monthly Herd Report loaded into the Wagyu Portal. You will need to be enrolled in BREEDPLAN to receive this. Once data is entered into Wagyu BREEDPLAN, you’ll be able to supply standard performance information which in turn will provide more accurate EBVs and BreedObject $Indexes. For more information on BREEDPLAN, see page 38. ANIMAL TRANSFERS Once you have sold a registered animal you will need to notify the AWA of the transfer of ownership. Transfers are important for the buyer to demonstrate breeding access with the transferred animal. There are several ways you can notify the AWA of transfers: » Wagyu Portal » Transfer spreadsheet (available on the AWA website). » Complete transfer details on the back of the animal’s registration certificate and either post or email to the AWA Transfers must be submitted by the vendor (vendor will be invoiced). Late fees apply for any transfers submitted after 60 days, please submit all transfers even if the purchaser is not a member. Females animals must be listed in the ownership of a member at the time of calf birth to be able to register progeny from her. Please ensure any calves that are sold at foot are included on the transfer form. Where a live animal is sold prior to registration, the new owner will need to seek permission from the Breeder to have the animal registered. The animal will need to be registered to the Breeders herd and will be registered with the Breeders herd ID and prefix. Upon completion of the registration the animal can then be transferred to the new owner. ANIMAL DISPOSALS To keep records up to date you also need to notify us of any disposals such as your animal has died or if you have culled the animal, there is no cost involved with disposals. To notify us of any disposals please use one of the following methods: » Wagyu Portal » Disposal spreadsheet (available on the AWA website). How to supply performance information and use BREEDPLAN effectively 1. Complete a Genomic SNP and PV for registration 2. Collect weight, fertility and carcass data. Send to BREEDPLAN 3. Use selection index to select breeding animals 4. Mating 5. Calves are born again and the process starts again 6. Sell animals for slaughter 7. Email list of animal idents to AWA to notify of status change ('died') 8. Sell animals to other breeders or feedlots 9. Notify AWA of transfer details (see page 31) 10. Collect carcass data and provide to BREEDPLAN BREEDPLAN AND EBVs BREEDPLAN is a modern genetic evaluation system for beef cattle. It offers the potential to accelerate genetic progress, tighten up breeding operations, improve productivity and increase prices for cattle sold for breeding and slaughter. It has been implemented as the national beef recording scheme in Australia, New Zealand, Namibia, Thailand and the Philippines, and its use is also increasing in the United States, Canada, United Kingdom, Hungary, South America and South Africa. BREEDPLAN uses the world’s most advanced genetic evaluation system (based on Best Linear Unbiased Prediction (BLUP) technology) and incorporates genomic information to produce Estimated Breeding Values (EBVs) of recorded cattle for a range of important production traits (e.g. weight, carcase, fertility). EBVs EXPLAINED An animal’s breeding value can be defined as its genetic merit for each trait. While it is not possible to determine an animal’s true breeding value, it is possible to estimate it. These estimates of an animal’s true breeding value are called EBVs (Estimated Breeding Values). EBVs are expressed as the difference between an individual animal’s genetics and the genetic base to which the animal is compared. EBVs are reported in the units in which the measurements are taken (e.g. kilograms for the weight EBVs). Thus a value of +12kg for 400 day weight means the animal is genetically superior by 12 kg at 400 days compared with the genetic base of the relevant cattle population. On average, half of this difference will be passed on to the animal’s progeny as half an animal’s genes come from the sire and half from the dam. BREEDPLAN produces EBVs for a range of economically important traits. These traits currently include: \| WEIGHT \| FERTILITY/CALVING \| CARCASE \| OTHER \| \|-----------------\|-------------------------\|--------------------\|---------------\| \| Birth Weight \| Scrotal Size \| Eye Muscle Area \| Docility \| \| Milk \| Days to calving * \| Fat Depth \| Net Feed Intake* \| \| 200–day Growth \| Gestation Length \| Retail Beef Yield \| \| \| 400–day Weight \| Calving Ease* \| Carcase Weight \| \| \| 600–day Weight \| \| Marble Score \| \| \| Mature Cow Weight\| \| Marble Fineness \| \| * Currently not available as EBVs for Wagyu It should be noted that EBVs are only available if sufficient data has been recorded for that trait. For an in detail description of traits and further information please see page 38 (Wagyu BREEDPLAN EBVs and $Indexes explained) WWW.WAGYU.ORG.AU FOR MEMBERS > BREEDPLAN BREEDPLAN and EBVs USING AND RECORDING WITH BREEDPLAN Why should seedstock producers performance record their animals with BREEDPLAN? In answering this question, we firstly need to discuss some general concepts regarding genetics. MAKING GENETIC IMPROVEMENT The primary objective of the seedstock producer should be to make genetic improvement. Genetic improvement occurs when the average genetic value of the offspring (eg. the current calves) is higher than the average genetic value of the previous generation from which the parents were selected. In other words, the calves that are produced are superior to their parents. Genetic improvement can be made for either an individual trait or across a range of traits. Leading seedstock producers will be concentrating on making genetic improvement for a range of traits simultaneously, with the relative importance given to each trait determined by the influence that the trait has on the profitability of the beef enterprise. Several key factors influence the rate of genetic improvement that is made in a seedstock herd. Seedstock breeders need to appreciate how these factors interact in the dynamics of their breeding herd to ensure that long term sustainable genetic progress is achieved. The factors that determine the rate of genetic improvement that is achieved are defined in countless different formulas within the different genetic textbooks that are available. Undoubtedly however, these factors focus on two key areas. The first and most important area influencing the rate of genetic improvement that is achieved relates to the genetic superiority of the animals that were selected to become parents. The higher the genetic merit of the animals selected to become parents relative to the animals that were available for selection, the higher the genetic improvement that can be achieved. In simple terms, the greater the genetic superiority of the parents, the greater the genetic improvement that will be achieved. This is often referred to as “selection intensity” or the “selection differential”. One of the key factors influencing the amount of genetic improvement that is achieved is how genetically superior the animals are that are selected for inclusion in the breeding program. The second key area influencing the rate of genetic improvement relates to the average age of the animals that are selected to become parents. If genetic improvement is being achieved in the herd, the younger the age of the parents that are used, the greater the genetic improvement that will be achieved. This is a result of the younger animals being of higher genetic merit than the older animals in the herd. This is often referred to as “generation length”, with a shorter generation length being associated with greater genetic improvement. SELECTING ANIMALS FOR USE IN A BREEDING PROGRAM Given the relationship between the genetic superiority of the animals that are selected to become parents and the rate of genetic improvement that is achieved, it is imperative that the most genetically superior animals available are selected for use within a breeding program. So how do we identify which animals are genetically superior? If we are selecting a bull to join from a mob of yearling bulls, how do we ensure that the bull we select will be the one with the best genetic package so that the subsequent genetic improvement is maximised? The first complication that can cause difficulty when trying to select the most genetically superior animal is the fact that it is challenging to “see” many of the traits that influence the profitability of a beef enterprise. For example, it is hard to tell what level of marbling a bull’s progeny will have or how fertile his female daughters will be compared to another bull simply by assessing them visually. In reality, for a lot of the important traits, visual selection only allows us to select animals on what we think is there. It can be challenging to ‘see’ many of the traits that influence the profitability of a beef enterprise when selecting animals for use within a breeding program. The challenge of not being able to “see” many of the important traits can be overcome somewhat by objectively measuring the performance of animals (eg. by using ultrasound scanning to measure eye muscle area of an animal), however the second complication that needs to be considered when selecting animals for use within a breeding program is that the performance of an animal is influenced by not only its genetic merit but also a raft of non genetic factors. These include nutrition, disease status and age just to name a few. The implication of this is “what you see is not necessarily what you get” and so it is imperative that selection decisions are based on the genetic differences between animals if genetic improvement is to be achieved. The influence of non genetic factors on the performance of an animal limits our ability to select animals simply by assessing them either visually or by using objective raw performance measurements in isolation. While astute cattleman may be able to adjust for differences in some of the non genetic effects such as nutrition and age, there are still other non genetic effects that can not be accounted for that will cloud any selection decision. Research has demonstrated that even when all the known non genetic differences between animals are accounted for, only a relatively small proportion of the remaining differences in performance between animals are passed on to the progeny of these animals. For the technically minded, the proportion of the difference that is observed in the progeny is referred to as the “heritability” and varies from trait to trait. So how do we get around these complications to ensure that the animal we select will be the one the best genetic package? Remember, we are not trying to select the animal with the best performance, but rather the animal whose progeny will perform the best. This is where tools like BREEDPLAN can be used to assist with our selection decisions. USING BREEDPLAN TO ASSIST WITH ANIMAL SELECTION BREEDPLAN is a genetic evaluation program that compares animals on the basis of their value as parents, that is, their breeding value. The BREEDPLAN genetic evaluation is run by the Agricultural Business Research Institute (ABRI) at the University of New England in Armidale and operates through a Board of Management which has representation from industry and technical organisations, as well as producer members. BREEDPLAN research and development is carried out by the Animal Genetics and Breeding Unit (AGBU), also at the University of New England. BREEDPLAN is all about increasing accuracy of selection decisions, and when properly understood and used, can be a significant aid to a cattlemen’s decision making when selecting animals for use within a breeding program. Look through the jargon and long titles and you will see that BREEDPLAN is an industry based service backed by some of the best expertise in the world. It considers all the pedigree, performance and genomic information that is available on an animal and its relatives to produce an estimate of an animal’s breeding value, that is an “Estimated Breeding Value” (EBV). BREEDPLAN is a similar technology to that which has been used by the pig, poultry and dairy industries to make such dramatic production changes over the last few decades. It has worked wonderfully well for those industries, and works just as well for the genetic evaluation of Wagyu beef cattle. BREEDPLAN is a genetic evaluation program for cattle that provides an estimate of an animal’s true breeding value. BENEFITS OF BREEDPLAN The main benefit offered by BREEDPLAN is its use as a selection tool to assist in the identification of the most genetically superior animals for use within a breeding program from those that are available. As previously discussed, the greater the genetic superiority of the animals that are selected to become parents relative to the animals that were available for selection, the higher the genetic improvement that will be achieved. Seedstock herds recording with BREEDPLAN receive a comprehensive report for their herd which includes Estimated Breeding Values (EBVs) for their sires, dams, heifer, bull and steer progeny. Amongst other things, this allows effective identification of the animals with the best genetic package, including the ability to identify and select against the normal trait antagonisms. For example increase growth and muscling, while also increasing marbling. Herds recording with BREEDPLAN also receive regular assessments of the change in the genetics of their herd over time relative to their breed, plus access to other genetic tools that assist with animal selection and genetic progress such as the $Index Values, TakeStock, MateSel and Internet Solutions EBV related functions (e.g EBV enquiry or sale catalogues with EBVs displayed). In addition to its benefit as a tool to increase the rate of genetic improvement through better selection of animals, BREEDPLAN also offers seedstock producers with a valuable marketing tool through the provision of EBVs on sale animals. In a recent survey conducted by a large Breed Society in Southern Australia, 95% of commercial producers indicated that they use EBVs when selecting sale animals, providing a clear indication of the demand for this information. PERFORMANCE RECORDING TIMELINE Table 2 details the performance information that currently contributes to the calculation of BREEDPLAN EBVs and outlines the stage of the production cycle that each set of information should be recorded. TABLE 2 PERFORMANCE INFORMATION THAT CONTRIBUTES TO CALCULATION OF BREEDPLAN EBVs \| JOINING \| BIRTH \| WEANING \| YEARLING \| 18 MONTHS \| MATURITY \| \|---------\|-------\|---------\|----------\|-----------\|----------\| \| Mating program details \| Date of birth \| 200-Day Weight \| 400-Day Weight \| 600-Day Weight \| Cow disposal code (heifers and cows) \| \| All dates \| Birth weight \| Mature cow weight \| Scrotal circumference \| \| Mature cow weight \| \| Preg. test results \| Calving difficulty score \| Docility score \| Flight time \| Scanning measures (EMA, Fats) \| Abattoir carcase data \| \| \| Recipient dam details \| \| \| Structural score information \| \| NOTE Members of BREEDPLAN are not required to record all the above information for each particular animal. Members should aim to record the traits that are important to their breeding objective or that of their clients (at a minimum). AUSTRALIAN WAGYU GENETIC ANALYSIS The Australian Wagyu BREEDPLAN analysis provides the most thorough and accurate assessment of Wagyu genetics available outside Japan. The March 2021 analysis includes over 40,000 calves that have at least a weaning (200 day) weight recorded. This represents 115,000 dams and 14,000 sires. In addition, there are over 37,000 animals with birth weights and 34,000 with 400 day weights. Carcass data includes 12,000 carcass weights, 8,000 carcass EMAs, 11,000 carcass AUS-MEAT marble scores, 4,000 camera marbling percent measures and 4,000 camera fineness index measures. ESTIMATED BREEDING VALUES (EBVs) An animal’s breeding value is its genetic merit, half of which will be passed on to its progeny. While we will never know the exact breeding value, it is possible to make good estimates based on the performance of the animal and its progeny. These are called Estimated Breeding Values (EBVs) and are therefore the best estimate of an animal’s genetic merit. EBVs are expressed as the difference between an individual animal’s genetics and the genetic base to which the animal is compared. ACCURACY An accuracy value is presented with every EBV and gives an indication of the amount of information that has been used in the calculation of that EBV. The higher the accuracy, the lower the likelihood of change in the animal’s EBV as more information is analysed for that animal or its relatives. ACCURACY RANGE INTERPRETATION LESS THAN 50% = Low accuracy and should be considered a preliminary estimate. The EBV could change substantially as more performance information becomes available. 50 – 74% = Medium accuracy, usually based on the animal’s own records and pedigree. 75 – 90% = Medium–high accuracy and usually includes some progeny information. Becoming a more reliable indicator of the animal’s value as a parent. 90% AND ABOVE = High accuracy. It is unlikely that the EBV will change much with the addition of more progeny data. FERTILITY AND BIRTH EBVs Scrotal Size EBV (SS) (cm) is an indicator of male fertility in regard to semen quality and quantity in Western breeds of cattle. Higher (positive) EBVs indicate higher fertility. There is also a small negative correlation (desirable) with the age of puberty and fertility in female progeny. The relationship between scrotal size and fertility in Wagyu is assumed, but not proven. Gestation Length EBV (GL) (days) is based on AI records. Lower (negative) GL EBVs indicate shorter gestation lengths which generally relate to lighter birth weights and easier calving. Birth Weight EBV (BW) (kg) is based on the measured birth weight of animals, adjusted for dam age. The lower the value the lighter the calf at birth and the lower the likelihood of a difficult birth. This is particularly important when selecting sires for use over heifers. GROWTH EBVs 200-Day Milk EBV (MILK) (kg) is an estimate of an animal’s milking ability. For sires, this EBV is indicative of their daughter’s milking ability as it affects the 200-day weight of their calves. 200-Day Growth EBV (200) (kg) is calculated from the weight of animals taken between 80 and 300 days of age. Values are adjusted to 200 days and for dam age. This EBV is the best single estimate of an animal’s genetic merit for growth to early ages. 400-Day Weight EBV (400) (kg) is calculated from the weight of animals taken between 301 and 500 days of age, adjusted to 400 days and for dam age. This EBV is the best single estimate of an animal’s genetic merit for yearling weight. 600-Day Weight EBV (600) (kg) is calculated from the weight of animals taken between 501 and 900 days of age, adjusted to 600 days and for dam age. This EBV is the best single estimate of an animal’s genetic merit for growth beyond yearling age. Mature Cow Weight EBV (MCW) (kg) is based on the weight of the cow when the calf is weighed for weaning, adjusted to five years of age. This EBV is an estimate of the genetic difference in cow weight at five years of age and is an indicator of growth at later ages and potential feed maintenance requirements of the females in the breeding herd. Breeders of steers wishing to grow animals out to a larger weight may also use the Mature Cow Weight EBV. CARCASE EBVs Carcase Weight EBV (CWt) (kg) is based on abattoir carcass records and live weight measurements (particularly 600 Day weight) and is an indicator of the genetic differences in carcass weight at the industry average slaughter age of 990 days. Larger positive values are more favourable. Eye Muscle Area EBV (EMA) (cm²) estimates genetic differences in eye muscle area at the 12/13th rib site of a 420kg dressed carcass. A higher positive EBV indicates larger eye muscle area and therefore higher retail beef yields. Ultrasound scans, Aus-Meat and Japanese Digital Image Camera measured Eye Muscle Areas from slaughter animals contribute to this EBV. Rump Fat EBV (RUMP) (mm) estimates the genetic differences in fat depth at the P8 site of a 420kg dressed carcass. A higher positive EBV indicates more subcutaneous fat and earlier maturity. Retail Beef Yield Percent EBV (RBY) (%) estimates the genetic differences in total (boned out) meat yield as a percentage of a 420kg dressed carcass. A higher positive EBV indicates higher percentage yield for the 420kg carcass weight. Marble Score EBV (MS) (Aus-Meat Marble Score) is an estimate of the genetic difference in the Aus-Meat Marble Score in a 420kg carcass. Marble score EBV utilises ultrasound scan and Aus-Meat Marble score on a scale of 1 to 10 where 10 is equivalent to an Aus-Meat Marble Score grading of 9+. Where results from the Meat Image Japan digital carcass camera are available, Camera Marbling Percentage and Marble Fineness are also used to calculate Marble Score EBV as the genetic correlations between these measures and Aus-Meat Marble Score are very high. Larger positive values are more favourable. Marble Fineness EBV (MF) (Marbling Fineness Index) estimates the genetic differences in the Marbling Fineness Index (degree of fineness of marbling fat) as measured by the Japanese Digital Image Camera. A higher more positive EBV indicates higher levels of marbling fineness. BreedObject $Indexes BreedObject $Indexes, which utilize Wagyu BREEDPLAN EBVs, are now available and allows selection of Wagyu seedstock based on profitability for different commercial production systems. Four Wagyu BreedObject $Indexes have been developed to date, these being: Self-replacing Breeding $Index (SRI) Wagyu Breeder $Index (WBI) Wagyu Fullblood Terminal $Index (FTI) Wagyu F1 Terminal $Index (F1I) Each of the $Indexes are targeted specifically to a defined Wagyu production and market scenario and producers should identify and use the index that best suits their purpose. It is not appropriate to compare index values of different $Indexes as they are based on different production model assumptions. It is not the index with the highest $ value that you should use, it is the index that best reflects your production system. BreedObject $Indexes target economic breeding objectives based on average herd and market conditions and have generally targeted the main markets within the main production systems, combining genetic information within BREEDPLAN into one EBV for each $Index that considers production costs and realised value. Self-replacing Breeding Index (SRI) The Self-replacing Index can be used to select Fullblood bulls that will produce more profitable females when these are retained in Fullblood or Purebred herds, in addition to profitable slaughter progeny. The SRI estimates the genetic differences between animals in terms of net profitability per cow joined for production of replacement females and slaughter steers to a carcase weight of 435kg at 32 months of age and a 385kg carcase from surplus heifers at 29 months of age. In terms of relative economic importance, the SRI places the following emphasis on these main traits: 41% on marble score (MS); 14% on Residual Feed Intake (RFI) feedlot; 12% on sale liveweight (which will reflect the growth potential and therefore carcase weight of an animal); 9% on meat yield; 6% on dressing percentage and 23.5% placed on other cow and calf traits. Wagyu Breeder Index (WBI) The Wagyu Breeder Index estimates the genetic differences between animals in net profitability per cow joined in a commercial Fullblood or Purebred self-replacing herd that has a low-input, grass-based production system. Heifers are retained for breeding and steers and surplus females are sold as feeders for feedlot finishing. Steers are assumed to be slaughtered at 32 months after 550 days of feedlot finishing targeting 460kg carcases. Heifers are retained for breeding and therefore maternal traits are of importance. Marbling is targeted at breed average with optimised growth. In terms of relative economic importance, the WBI places the following emphasis on these main traits: 37% on marble score (MS); 12% on sale liveweight; 9% on meat yield; 7% on dressing percentage and 13% placed on other cow and calf traits. Fullblood Terminal Index (FTI) The Fullblood Terminal Index has an increased weighting on the Marble Score EBV and can be used to select bulls to produce profitable slaughter progeny where none are retained for breeding. The FTI estimates the genetic differences between animals in terms of net profitability per cow joined based on production of slaughter stock only, with a 435kg carcase from steers at 32 months of age and a 385kg carcase from heifers at 29 months of age. In terms of relative economic importance, the FTI places the following emphasis on these main traits: 64% on MS; 11% on Residual Feed Intake (RFI) feedlot; 9% on sale liveweight; 7% on meat yield; 5% on dressing percentage and 3% placed on other young animal traits and 0% on maternal traits. F1 Terminal Index (F1I) The F1 Terminal Index has an increased weighting on the Marble Score EBV and can be used to select bulls to produce profitable F1 slaughter progeny where none are retained for breeding. The F1 Index estimates the genetic differences between animals in terms of net profitability cow joined based on production of a 420kg carcase from steers and a 387kg carcase from heifers at 28 months of age. In terms of relative economic importance, the F1 Index places the following emphasis on these main traits: 68% on MS; 9% on Residual Feed Intake (RFI) feedlot; 4% on sale liveweight; 6% on meat yield; 4% on dressing percentage and 9% placed on other young animal traits and 0% on maternal traits. Breed average and percentile table For benchmarking, the Percentile Table which reflects the distribution of EBVs of animals born two years ago is also very helpful of determining how the EBVs of a specific animal compare to the calves born two years ago. SUBMITTING PERFORMANCE INFORMATION TO BREEDPLAN The following section describes the different methods by which breeders can submit performance information of their animals to BREEDPLAN. 1. BREEDPLAN COMPATIBLE FORM (Microsoft Excel) A Microsoft Excel form has specifically been developed to enable breeders to submit performance electronically to BREEDPLAN. Using this method, breeders simply enter the performance information of their animals into the BREEDPLAN Microsoft Excel spreadsheet and submit it to BREEDPLAN via either email to BREEDPLAN directly. The BREEDPLAN form (+ detailed information regarding how to submit data using this method) can be obtained by contacting staff at BREEDPLAN. Please note, BREEDPLAN will not accept the submission of performance via spreadsheet if it is not in the correct format. 2. HERD RECORDING PROGRAM (BREEDPLAN compatible) Many of the modern herd recording computer programs have the facility to submit performance electronically to BREEDPLAN. Practical Systems Stockbook is recommended for AWA members. Using this method, breeders simply enter the performance information of their animals into their herd recording program. They can then use the facilities available within the herd recording program to export the performance data in a file and submit it to BREEDPLAN via email. Please contact your software supplier if you are in any doubt about whether your herd recording program is BREEDPLAN compatible and/or if you require any assistance submitting your performance to BREEDPLAN using this method. 3. WAGYU PORTAL The Wagyu Portal offered on the AWA website provides another alternative for data submission. This service includes the ability to submit your calf registrations electronically, search the Association database with animal and EBV enquires, complete transfers and load some performance data. Using this method, you can select “Performance overview” from the “Animals” drop down menu. You can then select a Year and trait type that you wish to enter, select the animal to enter it for and “update”. 4. PERFORMANCE RECORDING FORMS (hardcopy) The most traditional method used by breeders to submit the performance information of their animals is by completing the standard BREEDPLAN paper performance recording forms. Using this method, breeders will automatically be forwarded pre-printed paper performance recording forms shortly after they have registered their calves with AWA. Each form will list all calves within the herd for a particular calving year, season and sex. Breeders will then enter the performance information of their animals into the relevant columns by hand and mail the completed form to the BREEDPLAN office at ABRI. The completed form will be processed and a new form forwarded to the breeder for use when recording the next set of performance for their animals. A different paper performance recording form is available for recording post birth weights, mature cow weights, scanning information and abattoir carcase data. The appropriate form should be used for the type of performance information being collected. USEFUL CONTACTS Australian Wagyu Association (AWA) Suite 6, 146 Marsh St. ARMIDALE NSW AUSTRALIA 2350 Office hours Monday to Friday, 8.30am to 5pm. We are closed for public holidays. Contact us by phone 📞 02 8880 7700 Membership and general enquiries ✉️ email@example.com Animal registrations and transfers ✉️ firstname.lastname@example.org DNA testing ✉️ email@example.com Online Forms and Guides 🔗 www.wagyu.org.au/for-members/forms-and-guides BREEDPLAN enquiries Keryn Hutton ✉️ firstname.lastname@example.org 📞 02 6773 3059 (within Australia) 📞 +61 2 6773 3059 (international members) AUSTRALIAN WAGYU ASSOCIATION Suite 6, 146 Marsh St, ARMIDALE NSW AUSTRALIA 2350 +61 (0) 2 8880 7700 email@example.com www.wagyu.org.au f @ v in
The Church Betrayed? Why does Catholic Relief Services forbid putting its logo on the "educational" materials it provides about HIV and condoms? It is time for the US bishops to investigate their charitable agency. by Germain Grisez The Church would be well served if everyone doing works of mercy in her name were as clearheaded and holy as St. Vincent de Paul. The Missionaries of Charity live up to that ideal in trying to help people actually or potentially afflicted with AIDS. But some working in that field seem to misunderstand charitable apostolate and perhaps betray the Church even as they act in her name. Divine revelation is not mere information to satisfy human curiosity. God is love. In revealing, he invites people to form a close relationship with himself. Not only his words but his amazing deeds show his love, and call people to respond and enter into ongoing communion. When Jesus announces the kingdom, he both manifests compassion and verifies his message by signs, such as curing the sick and feeding the hungry. But he does not cure all the sick or feed all the hungry, though he could. He loves us so much that he wants more for us than good health and full bellies. He lays down his life to save us from sin and death—and bring us into God's everlasting, heavenly kingdom. The Church never acts on her own in carrying on Jesus' mission. Jesus is always with her when she preaches and teaches, administers the sacraments, and does charitable works. Thus, she fulfills his command to spread the Gospel and makes him real. CRS' POSITION ON THE PREVENTION OF SEXUAL TRANSMISSION OF HIV DECEMBER 2007 "CRS does provide complete and accurate information about condoms to its partners as part of its HIV activities." Giving Hope to a World of Need Overseas, regardless of their race, creed, or nationality. Acting faithfully as the Church's agent, CRS served Jesus well for many years, during which its charitable works helped many suffering people experience his love, and surely helped him lead some of them all the way home. In 1986, CRS began an HIV/AIDS program. The agency reports that it "now supports more than 250 HIV and AIDS projects in many underserved areas of the developing world." With these projects, CRS policymakers claim to be faithfully fulfilling Jesus' and his Church's mandate: "Since the Church promotes integral human development, it does not restrict itself to a medical response to the HIV epidemic but extends its care to include the social, emotional, development, and spiritual needs of those affected by HIV and AIDS." The quotations in the preceding paragraph are from a document, "CRS' Position on the Prevention of Sexual Transmission of HIV," dated December 2007 and e-mailed to CRS country representatives on January 11, 2008 by Jennifer Overton, the agency's senior technical advisor for HIV, who was in charge of preparing it. In her cover letter, Ms. Overton makes it clear that the guidance the position paper provides is authoritative: "The document was approved by the ELT [Executive Leadership Team] and should be used to guide CRS supported programming." RAISING QUESTIONS In a story in Our Sunday Visitor (February 17, 2008), Russell Shaw and John Norton brought to light the CRS position paper with its cover letter. They interviewed some CRS executives and Archbishop Timothy Dolan, chairman of the CRS board, and reported their initial responses. My curiosity aroused, I closely studied the position paper on which the Shaw-Norton story was based. The introduction to the position paper states that it provides “updated information about the effectiveness of some preventive methods. CRS’ policy has not changed.” One wonders whether the same policy has been in effect since 1986. Some statements in the position paper are reassuring. It states: “All HIV programs supported by CRS promote abstinence until marriage, and mutual fidelity within marriage” and develops that point repeatedly—for example, by adding: “These behaviors are the only means that completely avoid exposure to the risk of sexually transmitted HIV infection. These specific behaviors have always been the cornerstone of the Catholic Church’s teaching with respect to human sexuality.” The paper also reports with approval protests against the promotion of condoms as encouraging sexual activity outside marriage, warns that consistent and effective condom use is not easily achieved, and points out that there are many places where condom use has increased and HIV has not declined, “but in every country worldwide in which HIV has declined there have been increases in Abstinence and/or Be faithful behaviors (A&B).” With respect to providing information about condoms, the position paper states: “CRS does provide complete and accurate information about condoms to its partners and to its HIV activities.” (According to the Shaw-Norton OSV story, CRS partners “include local Catholic churches as well as other faith-based and secular groups.”) The position paper goes on to say that the information is provided “in the context of the Catholic Church’s teaching on sexuality and condom use” and adds that “CRS does not finance, promote or distribute condoms.” The paper reassuringly explains: “CRS wants to ensure that partners are not giving inaccurate, misleading or no information at all on condoms—and that the focus and priority remain on abstinence and fidelity.” Those statements do not show that the CRS policy on providing information about condoms is unsound. Nevertheless, that policy is troubling. The CRS position paper distinguishes between promoting condoms and giving information about them by saying: “Promoting condoms means suggesting, encouraging or urging people to use a condom during sexual intercourse to prevent HIV transmission; providing full and accurate information means giving the fact [sic] about condom use including the benefits, risks and failure rates.” But providing information about condoms’ benefits is likely to lead to their use. Condoms are designed to prevent bodily fluids from mixing when people engage in sexual activity. Giving information about condoms’ benefits to people who wish both to engage in sexual activity and to prevent the bodily fluids from mixing encourages those people both to engage in the sexual activity and to use condoms. In explaining the importance of providing information about condoms, CRS policymakers clarify their intent: “Individuals at risk of HIV transmission need access to the best teaching on prevention and the latest evidence on risk reduction in order to make fully informed decisions in order to prevent infection and reduce the risk of transmission of HIV.” Even if information about condoms’ risks and failure rates is included, however, information about their “benefits” will not significantly reduce the likelihood of transmitting HIV unless it leads to their consistent and correct use by those engaging in the risky behavior. So, CRS policymakers seem to intend to encourage such people to use condoms consistently and carefully—i.e., seem to promote their use of condoms. The position paper articulates CRS’ own policy by quoting two sentences from a document of the United States Conference of Catholic Bishops: “People need education and motivation, so that they will choose wisely and well. Providing information that is both accurate and appropriate is a logical and necessary starting point.” Those two sentences appear in the USCCB November 1989 document, Called to Compassion and Responsibility: A Response to the AIDS Crisis. However, the two sentences were taken out of context for use in the CRS position paper. In the relevant passage of their 1989 document, the bishops point out that one of many problems with the response to AIDS was “the refusal to discuss publicly the direct link between sexual activity and intravenous drug use on the one hand and HIV/AIDS on the other.” Their proposed solution: CRS policymakers seem to consider intolerable any partner’s noncompliance with their views about providing information regarding condoms. If some partners are unwilling to submit due to a conscientious objection, they are just ethically opposed. “People must be shown the right thing to do and encouraged to make right choices.” The bishops insist on “lasting changes in the way people act,” say nothing about condoms, and unblinkingly affirm “that to eradicate some diseases, people must desist from the behavior that spreads them.” In that context, the sentences about “providing information” quoted in CRS’ position paper do not warrant the claim that the bishops support providing information about condoms. Although CRS policymakers do not have the support of the USCCB 1989 document their position paper quotes, they could claim the support of a December 1987 document—not issued by the USCCB as a whole but only by its administrative board—The Many Faces of AIDS. That document said that public educational programs “could include accurate information about prophylactic devices [i.e., condorns] ... as potential means of preventing AIDS. We are not promoting the use of prophylactics, but merely providing information that is part of the factual picture.” That statement was considered unsatisfactory by many US bishops and was severely criticized by Cardinal Joseph Ratzinger, then prefect of the Congregation for the Doctrine of the Faith. In a letter to the US bishops, Cardinal Ratzinger indicated that public programs providing such information not only tolerated evil but facilitated it. He then added: The problem of educational programs in specifically Catholic schools and institutions requires particular attention. These facilities are called to provide their own contribution for the prevention of AIDS, in full fidelity to the moral doctrine of the Church, without at the same time engaging in compromises which may even give the impression of trying to condone practices which are immoral, for example, technical instructions in the use of prophylactic devices. This letter was published in Origins (July 7, 1988), and along with it Origins reprinted the paragraph from “The Many Faces of AIDS” that supports providing information about condoms. But Cardinal Ratzinger’s letter gave the development of the USCCB’s November 1989 document—the one from which the two sentences used in the CRS position paper are taken out of context. It is hard to believe that CRS policymakers have been unaware of this history of the US bishops’ thinking on preventing the transmission of HIV. HIDING THE CRS LOGO As witnesses to God’s revelation in Jesus, the bishops do not need to put the lamp of their teaching under a bushel basket. But the CRS position paper requires that those who implement its policy on providing information about condoms do just that: “Any written educational material that contains information about condoms must not carry the CRS name or logo” (the underlining and the bold type, here and later, are theirs). I do not see how CRS policymakers can reconcile their need to distance the Church from such material with their responsibility to carry on a charitable apostolate in the Church’s name. The position paper also inadvertently indicates that not all CRS’ partners agree with its policy on providing information about condoms. If partners “do not want to provide information on condoms,” CRS cannot insist that they provide it, but “can decide to discontinue support to a project if it does not comply with CRS’ policy on full and accurate information.” If partners supply inaccurate information, CRS staff should “provide information to educate” them, and find out why they aren’t using it: “Is it that they are not aware or that they are just ethically opposed? After discussing with the partner, if they do not change the information they are providing, CRS would be compelled to discontinue funding as per CRS’ policy.” CRS policymakers seem to consider intolerable any partner’s noncompliance with their views about providing information regarding condoms. If some partners are unwilling to submit due to a conscientious objection, they are ethically approved. Orders from CRS’ headquarters in Baltimore apparently have not been universally well received. Perhaps some partners have been insulted by what they perceived as American condescension as well as repelled by some of the “educational” materials offered by CRS officials. One example of those materials is a “Flipchart for Client Education” mailed out by the AIDSRelief team to some CRS partners in October 2007. In a video on the CRS website—http://crs.org/zambia/aidsrelief/video/—Ken Hackett, president of CRS, explains the origin of AIDSRelief: “A few years ago, we started a program in both sub-Saharan Africa and the Caribbean. It covered nine countries. We called the project the AIDSRelief project, and basically it was an attempt to extend both antiviral therapy and support to people in need in those nine countries.” The video explains that CRS now “leads a five-member consortium that implements the AIDSRelief project.” The flipchart was mailed out on a CD, along with related materials. With the CD, Jared M. Hoffman, an executive at CRS’ Baltimore headquarters, sent a cover letter, which he signed as “AIDSRelief/Chief of Party” and addressed to “colleagues” in many countries. The letter explains that the flipchart is a tool “based on an earlier WHO” (World Health Organization) product meant for use “by health facility and community health workers” counseling people with HIV, their families, and communities. In adapting WHO’s material, AIDSRelief Zambia collaborated with the Zambia Ministry of Health and the Johns Hopkins Center for Communication Programs. Hoffman states: “The comprehensive and accurate information on prevention contained in this material is consistent with CRS policy, and we are confident that the flipchart will be useful in all settings, requiring only minor adaptations to ensure cultural competence.” Hoffman also points out that “CRS has ownership rights of the document” and “any changes to the flipchart must be consistent with CRS policy,” and therefore, it will be necessary to verify your proposed adaptations with Sister Phyllis Hughes in PQSD prior to printing and distribution.” (The Shaw-Newton OSV story refers to Sister Hughes as the “manager of CRS’ HIV/AIDS unit”) The label on the disk does not identify its source. Hoffman explains why: “CRS has chosen not to include the CRS or AIDSRelief logo on the flipchart, due to the potential sensitivity of the information contained in these materials among Church partners.” He anticipates objections: “If you are concerned about the reactions of the Bishops and the Church in your country, we would be glad to provide you with support in presenting this information to your partners.” While the first section of the flipchart begins promisingly with “Safer sex behaviour – Abstinence” (p. 25), it at once points out: “Partners who abstain from sex can still enjoy other expressions of affection. Remember hugging and kissing will not transmit HIV” (p.
Proposal of a Fast Public Key Cryptosystem Kouichi Itoh\textsuperscript{†}, Eiji Okamoto, Masahiro Mambo School of Information Science Japan Advanced Institute of Science and Technology E-mail: email@example.com, firstname.lastname@example.org, email@example.com Abstract. Public key cryptosystem is a means to establish a secure channel, and has been used recently. For the implementation on simple hardware in case of mobile communication, for example, a scheme with small amount of computation is necessary. RSA is one of the famous public key cryptosystems. RSA and its derivative schemes have high level of security, but require large amount of computation. A linear cryptosystem whose complexity depends on the knapsack problem requires small amount of computation, but there is a general algorithm to cryptanalyze it, and almost all linear cryptosystems have been broken. This paper proposes a cryptosystem whose encryption and decryption look like a linear cryptosystem, yet its security is high. Index Terms — Public keys, random key choice, key trace, combination of key choice. 1 Introduction This paper proposes a public key cryptosystem which runs fast and has high level of security. In the proposed scheme, Alice chooses some keys from many public keys and encrypts a plaintext according to the chosen keys. An outsider Oscar cannot detect which keys are used for the encryption of the plaintext. But Bob can trace Alice’s random key choices with secret information and decrypts the ciphertext. Number of combinations of Alice’s random key choices is exponentially large, and this works as a trapdoor against Oscar’s attack. In encryption, the proposed scheme requires small number of operations, though the size of public keys is large. Computational complexity for encryption is given as $o(x^3)$, where $x$ is the bit length of $r$ of ciphertexts $(m, r)$. The process of decryption looks like linear cryptosystem, so that decryption is fast. Computational complexity for decryption is given as $o(x^2)$. It is smaller than that of some other public key cryptosystems because RSA and its derivative require $o(x^3)$ for decryption. 2 The Proposed Public Key Cryptosystem 1. Proposed scheme public information : $(e_i \pmod{M}, k_i \pmod{N}), (1 \leq i \leq n), M, N, n, l$ secret information : $P, Q, t \pmod{N}, q_i, q'_i$ Where, \textsuperscript{†}Present affiliation is Fujitsu Laboratories LTD. S Project Group. E-mail:firstname.lastname@example.org • $(e_i, k_i) (1 \leq i \leq n)$ are pairs of public encryption keys. • $e_i$ is random. • $k_i$ satisfies \[ k_i \equiv tq_i \pmod{P}, (1 \leq i \leq n). \] (1) for $t, q_i$ and $P$. • $M$ is size of plaintext and requires no particular conditions. • $N$ is a product of two large primes $P, Q$. • $q_i$ satisfies \[ (q_{max})^l < P \] (2) for $l$, and $o(q_i) = o(P^{\frac{1}{l}})$, where $q_{max}$ is a maximum value of $q_i$, and \[ q_i = u_i q'_i \] where $q'_i$ are primes and different each other. For any $u_i$ and $q'_j$, $gcd(u_i, q'_j) = 1$ is satisfied. 2. Encryption Alice chooses $l$ pairs of keys from $n$ pairs of public keys (permitted to choose same keys). From a plaintext $s \pmod{M}$, Alice composes a pair of ciphertext $(m, r)$ as \[ \begin{cases} m \equiv e_a + e_b + \ldots + e_l + s \pmod{M} \\ r \equiv k_a k_b \ldots k_l \pmod{N} \end{cases} \] (3) where $e_a, e_b, \ldots, e_l$ and $k_a, k_b, \ldots, k_l$ are chosen keys. 3. Decryption Bob decrypts $(m, r)$ with secret information. At first, Bob figures following $r'$: \[ r' \equiv (t^l)^{-1} r \\ \equiv (t^l)^{-1} t^l q_a q_b \ldots q_l \\ \equiv q_a q_b \ldots q_l \pmod{P}. \] From (2), $r'$ and $q_a q_b \ldots q_l$ are equated. \[ r' = q_a q_b \ldots q_l \\ = u_a u_b \ldots u_l \cdot q'_a q'_b \ldots q'_l. \] With $r'$, Bob decrypts ciphertexts as follows. 1. Let $i = 1$. 2. Figure out $r' \mod q'_i$. 3. If $r' \equiv 0 \pmod{q'_i}$, Let $m := m - e_i \pmod{M}$ and $r' := r'/q_i$; otherwise Let $i := i + 1$. 4. repeat 2., 3. until $r' = 1$, and Bob gets $m$ as a plaintext. 4. Example of Encryption and Decryption $(e_1, k_1), (e_2, k_2), (e_3, k_3), (e_4, k_4)$ are public keys, and let $l = 3$. Alice chooses $l (= 3)$ keys from $n (= 4)$ keys such as key1, key1 and key3. In this case, ciphertexts are \[ \begin{cases} m \equiv e_1 + e_1 + e_3 + s \pmod{M} \\ r \equiv k_1 k_1 k_3 = t^3 q_1 q_1 q_3 \pmod{N} \end{cases} \] and these are sent to the Bob. At first, Bob figures \[r' = (t^3)^{-1} \cdot r \pmod{P} = u_1 u_1 u_3 q'_1 q'_1 q'_3\] and decrypts ciphertexts as follows. - $r' = u_1 u_1 u_3 \cdot q'_1 q'_1 q'_3 \equiv 0 \pmod{q'_1}$, so that $r' := r'/q_1$, \[m := m - e_1 \pmod{M} \ldots \text{key1 is detected.}\) - $r' = u_1 u_3 \cdot q'_1 q'_3 \equiv 0 \pmod{q'_1}$, so that $r' := r'/q_1$, \[m := m - e_1 \pmod{M} \ldots \text{key1 is detected.}\) - $(r' \equiv 0 \pmod{q'_1, q'_2})$ are not satisfied.) - $r' = u_3 \cdot q'_3 \equiv 0 \pmod{q'_3}$, so that $r' := r'/q_3$, \[m := m - e_3 \pmod{M} \ldots \text{key3 is detected.}\) - From $r' = 1$, trace finished. With these procedures, Bob detects that Alice had chosen key1, key1 and key3 in encryption, and gets a plaintext $s \equiv m - e_1 - e_1 - e_3 \pmod{M}$. 3 The Trapdoor in the Proposed Scheme In the proposed scheme, number of all possible combinations of Alice’s random key choices works as a trapdoor. In this section, we describe the number of all possible combinations of the key choices. Suppose that Oscar intends to detect Alice’s random key choices. From ciphertext $r$ and public information $k_i$, Oscar tries to solve \[r \equiv k_1^{x_1} k_2^{x_2} \cdots k_n^{x_n} \pmod{N} \tag{4}\] for $x_i$ (with “all-search”), without secret information. Hence, number of solutions $x_i$ equals to number of Alice’s random key choices and we consider the number. From \[r \equiv \overbrace{k_a k_b \cdots k_l}^{l} \pmod{N}\] number of solutions of (4) equals to number of integer solutions of \[x_1 + x_2 + \ldots + x_n = l \tag{5}\] where $0 \leq x_i \leq l$. And number of solutions for (5) corresponds to number of possible permutations such that $l$ of O’s are divided into $n$ sections with $n - 1$ of \| s.(see below example case in Number of Os contained in $i$th section equals $x_i$. Hence, all solution for (5) corresponds to all number of permutations and number of permutations is $$n+l-1C_l.$$ \hspace{1cm} (6) Note that (6) increases exponentially according to the increment of $n,l$. Hence, Bob decrypts ciphertexts with dividing $r'$ by $q_i$ for some finite steps, but the Oscar must analyze $r$ which takes exponentially number of possible cases. 4 Argument over the Security of the Proposed Scheme In this section, we suppose various analysis for the proposed scheme and describe conditions of parameters for the security of the proposed scheme. 1. Analysis for $m$. We suppose an analysis for $m$ of ciphertexts $(m,r)$. From (3), $m$ is written as $$m \equiv e_a + e_b + \ldots + e_l + s \pmod{M}.$$ With $x_i$, this equation can be transformed into $$m \equiv e_1x_1 + e_2x_2 + \ldots + e_nx_n + s \pmod{M}. \hspace{1cm} (7)$$ (7) can be solved for $x_i$ and $s$ with $L^3$ algorithm and plaintext $s$ seems to be revealed from ciphertext $m$. If we consider $x_i$ is a number of times that $i$th key is chosen, another condition for $x_i$ is $$x_1 + x_2 + \ldots + x_n = l. \hspace{1cm} (8)$$ Hence, $x_i$ and $s$ are solution of (7)(8). From previous section, number of solutions of (8) is $l+n-1C_l$. And for arbitrary solution $x_i$ of (8), a corresponding solution $s$ of (7) exists, so that number of solutions $s,x_i$ of (7)(8) is $l+n-1C_l$ which is exponentially number. To decide one plaintext $s$ from $l+n-1C_l$ of candidates, $r$ is required. Therefore, an analysis for only $m$ is invalid, and security of ciphertexts $(m,r)$ depends on the security of $r$. 2. Necessity of $t$. We suppose that $k_i$ is not multiplied by $t$ in (1). $$k_i \equiv q_i \pmod{P} \hspace{1cm} (9)$$ And we consider the security of the proposed scheme in this case. (9) is rewritten as $$k_i \equiv p_iP + q_i \pmod{N}$$ and if $q_i$ is moved to the left term, this equation becomes $$k_i - q_i \equiv p_i P \pmod{N}.$$ Note that $o(q_i) = o(P^{1/l})$ is very small compared with $P$, so that $P$ is revealed from $\gcd(k_i - q_i, N) = P$ by “all-search” for $q_i$. In case $k_i$ is multiplied by $t$, above equation becomes $$k_i - tq_i \equiv p_i P \pmod{N}.$$ Oscar can limit $t \pmod{N}$ as $0 < t < P$, and try $\gcd(k_i - tq_i, N) = P$ or 1 (Oscar must not know $P$, but he can tell $\gcd(x, N) = P$ if it is some very large number.), but its steps is as large as $P$. Therefore, $t$ is necessary for the security of the proposed scheme. 3. Analyze $k_i$ with $L^3$ algorithm We suppose that Oscar tries to solve $$k_i \equiv P_i + q_i t \pmod{N} \quad (10)$$ for $(P_i, t)$. Where $q_i$ is correct (which is occasionally correct by all-search for $q_i$) but Oscar does not know whether $q_i$ is correct. After (10) is solved, Oscar can solve (1) by solving $$P_i \equiv p_i P \pmod{N} \quad (11)$$ where the solution does not exist unless $$P_i \equiv 0 \pmod{P} \quad (12)$$ is satisfied. Oscar can solve (10) for $(P_i, t)$ with $L^3$ algorithm. Next, Oscar tries to solve (11). If $$P_i \equiv k_i - tq_i \pmod{N} \quad (13)$$ is considered, there is $N - 1$ of $P_i$ which corresponds to $N - 1$ of $t$. Therefore, number of pairs of $(P_i, t)$ (whether it equals secret information or not) satisfies (10) is $N - 1$. But, solution of (11) does not always exist for all $N - 1$ pairs of $(P_i, t)$, because $P_i$ varies $q_i$ if $t$ varies one (see equation (13)) and from $\gcd(P, q_i) = 1$, very few pairs of $(P_i, t)$ satisfy (12). Therefore, this analysis is invalid, and analyzing $k_i$ with $L^3$ algorithm is not efficient to reveal the secret information from the public information. 4. Differential attack We consider equations $$\begin{cases} k_i \equiv p_i P + tq_i \pmod{N} \\ k_j \equiv p_j P + tq_j \pmod{N} \end{cases}$$ and consider a differential $$q_j k_i - q_i k_j \equiv (p_i q_j - p_j q_i) P + t(q_i q_j - q_j q_i) \pmod{N}$$ $$\equiv (p_i q_j - p_j q_i) P \pmod{N}.$$ Hence, with correct value of $q_i$ and $q_j$, $P$ is revealed by trying $\gcd(q_j k_i - q_i k_j, N) = P$ or 1. Therefore, $P$ is revealed by all-search analysis for $q_i$ and $q_j$ which requires $$q_{\text{max}}^2 \quad (14)$$ of steps maximum. And this shows the security against the analysis for the proposed scheme. 5. Setting of Parameters Considering the security described in this section, an example of optimal parameters in the proposed scheme are as follows: - $N = 1024 \text{bit}$, $P = 768 \text{bit}$, $Q = 256 \text{bit}$. - Pairs of the public key, $n = 180$. - Number of keys Alice must choose from $n$ keys, $l = 17$. - Security of the trapdoor, $180 + 17 - 1 C_{17} = 2^{80}$. - $q_{\max} = 2^{45} (= 6 \text{byte})$, and from (14), security against analysis $= 2^{90}$. - $q'_{\max} = 2^{32} (= 4 \text{byte})$. - Size of the public keys, $180 \times 1024 \text{bit} \times 2 = 45 K \text{byte}$. - Size of the secret keys, $180 \times (6 + 4) \text{byte} = 1.8 K \text{byte}$. And these parameters are used in the computer simulation shown in the next section, adding to set the size of the plaintext $M = 1024 \text{bit}$. 5 Result of a Computer Simulation. In this section, we show a result of computer simulation. We repeated encryption and decryption 100 times, and measured a running time. Result is an average running time of 100 times encryption and decryption, where parameters of the proposed scheme is same as that of previous section. In RSA scheme, we set size of two large primes $p = q = 512$ bit, so that size of the plaintext is same as the proposed scheme. And we set size of the encryption key $e = 65537$, which is used well in practice, such as SET. We used Chinese remainder theorem in decryption. And simulation is done on the computer whose CPU is Pentium 200MHz, under OS Linux2.0.0. with Irgnum calculation package which can used as C++ library. \| \| Encryption \| Decryption \| \|----------------\|------------\|------------\| \| Proposed ($time_A$) \| 0.0211 sec. \| 0.018 sec. \| \| RSA ($time_B$) \| 0.0278 sec. \| 0.87 sec. \| \| $time_B/time_A$ \| 1.32 \| 48.3 \| Average running time of 100 times encryption and decryption. Simulation under above settings showed result that running speed of the proposed scheme is 1.32 times as fast as RSA scheme in encryption, and 48.3 times as fast as RSA scheme in decryption. 6 Summary and Conclusion We proposed a new type of public key cryptosystem and result of computer simulation showed we have achieved a fast public key cryptosystem. Encryption of the proposed scheme requires $l - 1$ times multiplication. Let $x$ be bit length of $N$, computational complexity of the proposed scheme in encryption is $$o(l \cdot x^2)$$ and we consider how $l$ increases when $x$ increases. From (2), $$\left(q_{\text{max}}\right)^l < P$$ and if $q_{\text{max}}$ is fixed (in fact, $q_{\text{max}}$ affects the security of the proposed scheme and must increase at the increment of $N$), $l$ is $o(\log P)$. Therefore, computational complexity of the proposed scheme in encryption is $$o(x^3)$$ whose coefficient is small. Decryption of the proposed scheme looks like linear scheme, so that its computational complexity is $$o(x^2).$$ The specific of the proposed scheme is as follows. - Encryption and decryption are fast. - Alice’s key choices are required for the security. - No particular condition for the size of plaintext $M$, hence extension of the band length does not occur in encryption and decryption. - Size of keys are large. References [1] A.K.Lenstra, H.W.Lenstra,Jr, and L. Lovasz, “Factoring Polynomials with Rational Coefficients” Mathematische Annalen No.261 pp.515-534, Springer-Verlag, 1982. [2] H.W.Lenstra, “Integer Programming with a Fixed Number of Variables” Mathematics of Operations Research vol.8, No.4, pp.538-548, November 1983. [3] R.Kannan, “Improved algorithms for integer programming and related lattice problems” In Proc.15th ACM Symp. Theory of Computing, pp.193-206, 1983. [4] C.P.Schnorr and H.H.Horner, “Attacking the Chor-Rivest Cryptosystem by Improved Lattice Reduction” Advances in Cryptology, Proc. EUROCRYPT 95, pp.1-12, Springer-Verlag LNCS 921, 1995. Efficient Convertible Undeniable Signature Schemes (Extended Abstract) Markus Michels Markus Stadler Ubilab, UBS Bahnhofstr. 45 8021 Zurich, Switzerland email@example.com, firstname.lastname@example.org Abstract Undeniable signatures are a digital signatures which are not universally verifiable but can only be checked with the signer's help. However, the signer cannot deny the validity of a correct signature. An extended concept, convertible undeniable signatures, allows the signer to convert single undeniable signatures or even the whole scheme into universally verifiable signatures or into an ordinary digital signature scheme, respectively. In this paper we propose a new convertible undeniable signature scheme and provide proofs for all relevant security properties. The scheme is based on Schnorr's signature scheme and it is efficient. Unlike previous efficient solutions, this new scheme can be used as a basis for an efficient extension to threshold signatures, where the capability of signing (and of verifying signatures) is shared among $n$ parties using a $t$ out of $n$ threshold scheme. 1 Introduction The two most important properties of ordinary digital signatures are non-repudiation and universal verifiability. Non-repudiation guarantees that a signer cannot deny his or her commitment to a message or a contract at a later time, and the property of universal verifiability allows everybody to check the correctness of a signature. However, for certain applications, universal verifiability is not required or even not desired. Therefore, the concept of undeniable signatures was introduced by Chaum and van Antwerpen [5]. Undeniable signatures are like ordinary digital signatures, with the only difference that they are not universally verifiable. Instead, there exist (often interactive) protocols which allow the signer to convince a verifier about the validity or invalidity of a signature. Non-repudiation is still guaranteed, since the signer cannot convince the verifier that a correct signature is invalid or that an incorrect signature is valid. Various realizations of undeniable signature schemes have been proposed (see [5, 3]). Some concerns about the security of [5] have been discussed in [9, 4, 17]. Moreover, a scheme based on fail stop signatures was suggested [6] and non-interactive undeniable signatures have been introduced [18]. Harn and Yang extended the concept of undeniable signature schemes to a threshold model [14]: the capability of the signer is shared among $n$ parties such that a coalition of at least $t$ parties has to co-operate to sign messages and to verify signatures. They presented schemes for the cases $t = 1$ and $t = n$, however, the latter was successfully attacked by Landau [19]. Recently, Lin, Wang and Chang presented a solution that works with any $t$, $1 \leq t \leq n$ [20], but it is flawed as well, if signers are not assumed to be honest. An extended concept of undeniable signatures, called convertible undeniable signatures, was suggested in [2]. With a convertible scheme, the signer can convert undeniable signatures into ordinary, i.e. universally verifiable signatures. This can be done either selectively for single signatures or totally for the whole scheme. Several realizations have been proposed: In [2], a secure but inefficient solution was presented. Practical schemes based on ElGamal signatures [10], which have been proposed in [2] and [23], were shown to be insecure [22], and the solution of [22] lacks detailed security proofs. A scheme proposed by van Heyst and Pedersen [16] can be converted to fail stop signatures, but the key length is linear in the number of signatures that can be signed. Two convertible undeniable signature schemes that are secure w.r.t. forgery have been proposed by Damgård and Pedersen in [8]. These schemes are also based on the ElGamal signature scheme and on techniques for proving that an encrypted signature is valid. One of them uses Rabin-encryption [25] and the interactive verification protocols can be done efficiently. The drawback is that the extension to a threshold scheme is hard to obtain, as a suitable composite modulus must be computed jointly. The second scheme uses ElGamal-encryption, which is somewhat inefficient, as the verification protocol requires several rounds to become secure. In this paper we present an efficient convertible undeniable signature scheme, which can be proved secure under reasonable cryptographic assumptions. In this scheme, the signer cannot only selectively convert valid signatures into digital signatures, but he or she can also convert any invalid signature into an universally verifiable statement about this fact. The scheme is based on Schnorr's signature scheme [26] and on an efficient zero-knowledge protocol for proving the equality or inequality of discrete logarithms. Furthermore, we show how to extend this scheme to a threshold undeniable signature scheme. Very recently, Gennaro, Krawczyk and Rabin suggested a scheme [13] that is as secure as RSA with respect to forgery. It provides efficient verification protocols but it's less suitable to be a basis of a threshold scheme as a trusted dealer is usually involved to generate the composite RSA-modulus (see [12] for a threshold RSA-scheme) $^1$. Our paper is structured as follows: In Section 2 we describe the model of a convertible undeniable signature scheme, then we present a building block which $^1$A way to compute an RSA modulus jointly is suggested in [1], but neither security against an active attacker nor the use of strong primes is guaranteed. will be used in our protocol. We present our solution in Section 4 and analyze its security. Based on this solution we suggest a threshold scheme in Section 5. Further extensions are discussed in Section 6. 2 Model A convertible undeniable signature scheme consists of the following procedures. - A probabilistic set-up algorithm $Setup$ which returns the system parameters $P$. - A probabilistic key generation algorithm $KeyGen_P$ which, on input the system parameters, returns a key pair $(x, y)$, where $x$ denotes the secret key and $y$ the public key. - A (possibly probabilistic) signature generation algorithm $SigGen_P(m, x)$ which, on input the secret key $x$ and a message $m$, returns an undeniable signature $s$ on $m$. - A (possibly interactive) verification protocol $Ver_P(m, s, y, x)$ between the signer and the verifier. The signer's input is the secret key $x$, the message $m$ and the 'alleged' signature $s$, the verifier's input is $m, s$ and the public key $y$. The protocol convinces the verifier whether $s$ is a valid signature on $m$ or not. - A (possibly probabilistic) individual receipt generation algorithm $RecInd_P(m, s, x)$ which, on input a message $m$, an 'alleged' signature $s$, and the secret key $x$, returns an individual receipt $r$ which makes it possible to universally verify whether $s$ is valid or not. A signature can selectively be converted by issuing $r$. - An individual verification algorithm $VerInd_P(m, s, y, r)$ which, on input a message $m$, an 'alleged' signature $s$, the public key $y$, and a correct individual receipt $r$ with respect to $s$, outputs that the receipt $r$ is invalid with respect to $s$ or that $r$ is valid w.r.t. $s$. If the latter is true, it also outputs whether $s$ is a valid signature on $m$ or not. - A (possibly probabilistic) universal receipt generation algorithm $RecUnip_P(x)$ which, on input the secret key $x$, returns a universal receipt $R$ which makes it possible to universally verify all signatures. The scheme can be totally converted by releasing $R$. - A universal verification algorithm $VerUnip(m, s, y, R)$ which, on input of a message $m$, an 'alleged' signature $s$, the public key $y$, and a universal receipt $R$, outputs the the receipt $R$ is invalid or not. If the latter is true is also outputs, whether $s$ is either a valid or a invalid signature on $s$. The following statements must hold for a secure undeniable signature scheme: • Unforgeability: The signature scheme is existentially unforgeable under an adaptive attack, i.e., there is no efficient algorithm that returns a valid signature $s$ on an arbitrary message $m$ with non-negligible probability, even if a polynomial number of valid signatures on chosen messages are given. • Invisibility: There exists no efficient algorithm which, on input the public key $y$, a message $m$, and an ‘alleged’ signature $s$, can decide with non-negligible probability better than guessing whether $s$ is either valid or not. • Completeness and soundness of verification: The verification algorithms $Ver$, $VerInd$ and $VerUni$ are complete and sound, where completeness means that valid (invalid) signatures can always be proved valid (invalid), and soundness means that no valid (invalid) signature can be proved invalid (valid). Indirectly, this must also hold for the algorithms $RecInd$, $RecUni$. • Non-transferability: A verifier participating in an execution of the interactive verification $Ver$ of a signature does not obtain information that could be used to convince a third party about the correctness of a signature (although this verifier knows whether the given signature is valid or not). ### 3 Preliminaries and Building Blocks In this section we first describe briefly the notation we use. Then we present an efficient interactive zero-knowledge proof for showing that two discrete logarithms are either equal or not. This protocol will be used later in our scheme, but is of independent interest. Such a proof is also called a biproof [11], because it proves that the input word belongs to one of two languages. A less efficient bit-wise proof for this problem has been suggested in [11]. #### 3.1 Notations $\mathbb{Z}_q$ denotes the ring of integers modulo $q$ and $\mathbb{Z}_p^$ denotes the multiplicative group modulo $p$. We write $a \in_R \mathcal{A}$ to indicate that the value $a$ is chosen randomly from the set $\mathcal{A}$ according to the uniform distribution. In the sequel, we will make use of a cyclic group $G = \langle \alpha \rangle$ of prime order $q$, in which computing discrete logarithms is infeasible. For instance, $G$ could be constructed as a subgroup of the group $\mathbb{Z}_p^$ for a suitable prime with $q\|(p-1)$, or $G$ could be an elliptic curve. We also assume collision resistant hash functions $\mathcal{H}_\ell : \{0,1\}^* \times G \rightarrow \{0,1\}^\ell$ (with $\ell = O(\log_2 q)$), in a practical realization e.g. $\ell \approx 160$), the hash function family $\mathcal{H}_t : G^k \rightarrow \{0,1\}^\ell$ and $\mathcal{H}_G : \{0,1\}^* \rightarrow G$. If $G \subset \mathbb{Z}_p^$, the latter could for instance be constructed by first hashing to a string of length $\log_2 p$ and then computing the $((p-1)/q)$-th power of this value. 3.2 Proving the equality or inequality of two discrete logarithms An important component of our realization of a convertible undeniable signature scheme is an efficient protocol that allows a prover to convince a verifier about the equality or inequality of two discrete logarithms, such that no additional information about these logarithms is leaked. More precisely, assume the prover knows the discrete logarithm $x$ of $y = \alpha^x$ and wants to allow the verifier to decide whether $\log_\beta z = \log_\alpha y$ for given group elements $\beta$ and $z$. Therefore, the prover and the verifier execute the following protocol. 1. The verifier chooses random values $u, v \in \mathbb{Z}_q$, computes $a := \alpha^u y^v$, and sends $a$ to the prover. 2. The prover chooses random values $k, \tilde{k}, w \in \mathbb{Z}_q$, computes $r_\alpha := \alpha^k$, $r_\beta := \beta^k$, $\tilde{r}_\alpha := \alpha^{\tilde{k}}$, and $\tilde{r}_\beta := \beta^{\tilde{k}}$, and sends $r_\alpha, r_\beta, \tilde{r}_\alpha, \tilde{r}_\beta$, and $w$ to the verifier. 3. The verifier opens his commitment $a$ by sending $u$ and $v$ to the prover. 4. If $a \neq \alpha^u y^v$ the prover halts, otherwise he computes $s := k - (v + w)x \pmod{q}$, $\tilde{s} := \tilde{k} - (v + w)k \pmod{q}$ and sends $s$ and $\tilde{s}$ to the verifier. 5. The verifier first checks whether $\alpha^s y^{v+w} = r_\alpha$, $\alpha^{\tilde{s}} r_\alpha^{v+w} = \tilde{r}_\alpha$, and $\beta^s r_\beta^{v+w} = \tilde{r}_\beta$ and then concludes: \[ \begin{cases} \text{if } \beta^s z^{v+w} = r_\beta & \text{then } \log_\beta z = \log_\alpha y \\ \text{if } \beta^s z^{v+w} \neq r_\beta & \text{then } \log_\beta z \neq \log_\alpha y \end{cases} \] The following theorem can be proved. Theorem 1* The above protocol is complete and sound. It is zero-knowledge under the assumption that there exists no algorithm running in expected polynomial time which decides with non-negligible probability better than guessing whether two discrete logarithms are equal. Proof (Sketch): The completeness of the protocol is obvious because an honest prover can always convince an honest verifier of the equality or inequality of the two discrete logarithms. To prove the soundness property, it is important to note that the commitment $a$ sent by the verifier in the first message does not reveal any information (in an information-theoretic sense) about the value $v$ and that therefore the “challenge” $v + w$ is truly random for the prover. Based on this observation it can easily be shown that successful cheating is only possible with negligible probability. To prove the zero-knowledge property of the protocol, we show how to construct a simulator that returns a protocol transcript with a probability distribution indistinguishable from the distribution of a verifier’s protocol view. The simulator uses the verifier as a black-box, i.e., it works independently from the verifier’s strategy. 1. The verifier’s algorithm is used to compute the commitment $a$. 2. The simulator randomly chooses $s$, $\tilde{s}$, $w$, and $c \in \mathbb{Z}_q$ and computes $r_\alpha := \alpha^s y^c$, $\tilde{r}_\alpha := \alpha^{\tilde{s}} r_\alpha^c$, and $\tilde{r}_\beta := \beta^{\tilde{s}} r_\beta^c$. The value $r_\beta$ is computed as $\beta^s z^c$ or chosen randomly from $G \setminus \{\beta^s z^c\}$, depending on which protocol outcome should be simulated. 3. The verifier’s algorithm is used to compute $u$ and $v$ on input the values $r_\alpha$, $r_\beta$, $\tilde{r}_\alpha$, $\tilde{r}_\beta$, and $w$. 4. If $a \neq \alpha^u y^v$ the simulator returns as protocol transcript the values $r_\alpha$, $r_\beta$, $\tilde{r}_\alpha$, $\tilde{r}_\beta$, $w$, and halt. Otherwise, the simulator repeats steps 2 and 3 until the commitment $a$ is correctly opened with values $u'$ and $v'$; step 2 is modified such that $c$ is not chosen randomly but set to $c = v + w$. 5. If the simulator finally stops and if $u = u'$, it returns as transcript the values $r_\alpha$, $r_\beta$, $\tilde{r}_\alpha$, $\tilde{r}_\beta$, $w$, $s$ and $\tilde{s}$. If $u \neq u'$ then the discrete logarithm $x$ of $y$ to base $\alpha$ can be extracted and the simulator returns as transcript the value of $x$. It can easily be seen that the expected number of repetitions of steps 2 and 3 is constant and that therefore the simulator runs in expected polynomial time. Let us now explain briefly why the output of the simulator is computationally indistinguishable from a protocol view: - the probability that a halt occurs is the same as in a protocol execution. - the probability that the simulator returns $x$, the discrete logarithm of $y$ to the base $\alpha$, is negligible because of the assumption (otherwise, the simulator could be used to test the equality of discrete logarithms with non-negligible probability). - all values, except $\tilde{r}_\beta$, are distributed according to the same distribution in the simulator’s output and the protocol view, and the two distributions of $\tilde{r}_\beta$ can distinguished only by deciding whether $\log_\alpha \tilde{r}_\alpha$ equals $\log_\beta \tilde{r}_\beta$, which is not possible according to the assumption. To obtain a designated verifier proof [18], the commitment $a$ must be computed as $a := \alpha^u y_V^w$, where $y_V$ is the verifier’s public key and $w = H_{10}(\alpha, y, \beta, z, r_\alpha, r_\beta, \tilde{r}_\alpha, \tilde{r}_\beta, a, y_V)$. This proof is non-interactive, but as the verifier can generate this proof as well, it’s not a receipt. The protocol can also easily be turned into a non-interactive argument by omitting the commitment $a$, setting $w$ to 0 and computing $v$ as $v = H_8(\alpha, y, \beta, z, r_\alpha, r_\beta, \tilde{r}_\alpha, \tilde{r}_\beta)$. ## 4 New convertible signature scheme We describe our scheme and analyze its security. 4.1 Basic scheme The protocol can be described as follows: 1. Set up: The system parameters are $G$, $\alpha$, $q$, $\mathcal{H}_L$, and $\mathcal{H}_G$. 2. Key generation: Each user picks at random two numbers $x_1$ and $x_2$ from $\mathbb{Z}_q$ as secret keys and computes the public keys $y_1 := \alpha^{x_1}$ and $y_2 := \alpha^{x_2}$. 3. Signature generation: A message $m$ is signed in the following way: (a) $k \in_R \mathbb{Z}_q$, $r := \alpha^k$, $\tilde{r} := \mathcal{H}_G(r)^{x_2}$ (b) $c := \mathcal{H}_L(m, \tilde{r})$ (c) $s := k - cx_1 \pmod{q}$ The resulting signature on $m$ is the pair $(\tilde{r}, s)$. 4. Interactive verification: The signature can be verified or denied by interactively proving the equality or inequality of the discrete logarithms of $\tilde{r}$ and $y_2$ to the bases $\mathcal{H}_G(\alpha^s y_1^{\mathcal{H}_L(m, \tilde{r})})$ and $\alpha$, respectively, using the interactive protocol described in section 3.2. Alternatively, the non-interactive designated verifier proof outlined in section 3.2 can be used. 5. Individual receipt generation: To selectively convert a signature, this proof is turned into an non-interactive argument using the non-interactive argument protocol described in section 3.2. This argument is the individual receipt. Note that this also allows to make it publicly verifiable that a given signature is invalid. 6. Individual verification: By checking the validity of the individual receipt, a verifier can see whether the related signature is either valid or invalid. 7. Universal receipt generation: In order to totally convert all undeniable signatures into digital signatures, the secret key $x_2$ is published as universal receipt. 8. Universal verification: The verifier checks whether $$\mathcal{H}_G(\alpha^s y_1^{\mathcal{H}_L(m, \tilde{r})})^{x_2} \equiv \tilde{r}$$ holds. 4.2 Efficiency We analyse the efficiency of our scheme, where $G$ is chosen as the multiplicative subgroup of order $q$ of $\mathbb{Z}_p^$ and $q$ is small. Thus in general we have short exponents. Only for the computation of $\mathcal{H}_G$ we need a full exponentiation, as we exponentiate an output of a hash function $h : \{0, 1\}^ \rightarrow \mathbb{Z}_p$ with $(p - 1)/q$ to get an element in $G$. Let $M_l(i)$ denote the number of $\|p\|$-bit multiplications that are required to compute $i$ cascaded exponentiations of the form $\prod_{j=1}^i r_j^{d_j}$ where $ l $ is the length of the exponents. Let $ P = \|p\| $ and $ Q = \|q\| $. Figure 1 shows the costs for the different operations. Let us illustrate the costs in an example with $ P = \|p\| = 1024 $ and $ Q = \|q\| = 256 $. Using methods of [29], we have $ M_P(1) = 308, M_Q(2) = 373 $ multiplications for an exponentiation with one and two 256-bit exponents, respectively and $ M_{P-Q}(1) = 902 $ multiplications for an exponentiation with one 768-bit exponent. The costs for the different operations in this example are described in Figure 2. Even better results can be achieved if $ G $ is chosen to be an elliptic curve over a finite field. ### 4.3 Security analysis We distinguish the analysis in the parts unforgeability, invisibility, untransferability and completeness & soundness of verification. #### Unforgeability Theorem 2 Under the assumption that the hash functions $ H_L $ and $ H_G $ are truly random functions, forging valid signatures is equivalent to forging Schnorr signatures. Proof (Sketch): In the converted scheme, with known $ x_2 $, let the function $ H_N : \{0,1\}^* \times G \rightarrow \{0,1\}^L $ be defined as \[ H_N(m,r) := H_L(m,H_G(r)^{x_2}). \] The converted undeniable signature scheme is equivalent to a Schnorr signature scheme using the hash function $ H_N $. But because $ H_N $ is indistinguishable from a truly random function (the only differences are possible collisions of $ \mathcal{H}_G $), the converted signature scheme is secure. As a consequence, also the non-converted scheme has to be secure. Invisibility To prove the invisibility of the scheme prior to conversion, we need an additional assumption, the Decision Diffie-Hellman assumption. We first define the two sets \[ DH := \{(\alpha, y, \beta, z) \in G^4 \mid \log_\alpha y = \log_\beta z\} \] \[ NDH := \{(\alpha, y, \beta, z) \in G^4 \mid \log_\alpha y \neq \log_\beta z\} \] of Diffie-Hellman and non-Diffie-Hellman 4-tuples. Assumption For all probabilistic polynomial time algorithms $ A : G^4 \to \{0, 1\} $, the two probability distributions \[ \text{Prob}_{T \in R^{DH}}[A(T) = 1] \quad \text{and} \quad \text{Prob}_{T \in R^{NDH}}[A(T) = 1] \] are computationally indistinguishable (the probabilities are taken over the random coin tosses of $ A $ and over the random choices from $ DH $ and $ NDH $, respectively). Theorem 3 Provided that the assumption holds and that the hash function $ \mathcal{H}_G $ can’t be distinguished from a random function, verifying a given signature without the assistance of the signer can be done only with negligible probability, even if a polynomial number of valid signatures is known. Proof (Sketch): The basic idea is to transform an instance $(\alpha, y, \beta, z)$ of the above problem into an instance of the signature scheme (we assume that the instance $(\alpha, y, \beta, z)$ is already randomized, e.g. see [28]). Concretely, let $ \alpha $ be the generator, let $ y $ be $ y_2 $, and let $ y_1 = \alpha^{-x_1} $ for a randomly chosen $ x_1 $. Furthermore, we simulate the hash function $ \mathcal{H}_G $ to be able to generate signatures. To generate a correct signature, we proceed as described, except that we set $ \mathcal{H}_G(r) = \alpha^t $ and $ \tilde{r} = y_2^t $ for a randomly chosen $ t $ (this guarantees that the signature is correct, even if we don’t know $ x_2 $). For the signature whose verification is to be equivalent to solving the above problem, let $ \mathcal{H}_G(r) = \beta $ and $ \tilde{r} = z $: this signature is only valid if the above 4-tuple is a Diffie-Hellman tuple. Therefore, if there was any efficient algorithm which can decide (better than guessing) whether this signature is valid, such an algorithm could also be used to solve the Decision-Diffie-Hellman problem, but this would lead to a contradiction. Non-transferability Non-transferability follows directly from the zero-knowledge property of the interactive protocol for proving the equality/inequality of discrete logarithm. Soundness & completeness of verification Before conversion, these properties follow from the soundness and the completeness property of the used zero-knowledge protocols. In the selectively converted version, these properties are inherited because of the impossibility to issue wrong receipts provided the used hash function is collision resistant. 5 Robust convertible undeniable threshold signature scheme Using standard techniques for verifiable sharing of discrete logarithms [23] and methods from secure multi-party computations, our basic convertible undeniable signature scheme presented in Section 4 can be adapted for the threshold scenario. 5.1 Model In a convertible undeniable threshold signature scheme there is a group of $n$ signers such that any coalition of at least $t$ signers can jointly sign a message. The communication model is as follows: During the signature generation, it is assumed that the signers can broadcast messages to each other and the signers check proofs of other signers. During the interactive verification each signer has a channel to communicate to the verifier. The threshold scheme consists of the same procedures as listed in section 2, however, the key generation algorithm must output shares of the secret key for each signer such that only at least $t$ signer are able to sign a document on behalf of the group, and the other algorithms should be adopted accordingly. With regard to security against dishonest signers, we have to distinguish between passive and active cheaters. Passive cheaters follow the protocols honestly but try to gain additional knowledge by pooling their information, while active cheaters can even deny service or send wrong values. 5.2 New scheme We outline the robust convertible undeniable threshold signature scheme, based on the scheme given in the previous section. It is assumed that $x_1$ and $x_2$ are shared among $n$ provers using a verifiable $t$ out of $n$ threshold secret sharing scheme (for details see [27, 23]). A share of signer $i$ of a variable or value $a$ is denoted $Share_i(a)$. Given at least $t$ distinct (correct) shares, the value of $a$ can be reconstructed using Lagrange interpolation (see [23]). We also assume that shadows of the form $\alpha^{Share_i(\pi_1)}$ are publicly known. A message $m$ is signed in the following way by $d$ signers ($t \leq d \leq n$): 1. The signers jointly compute $ r := \alpha^k $ in a distributed manner. Each signer $ i $ gets a verifiable share $ Share_i(k) $. A shadow $ \alpha^{Share_i(k)} $ is revealed and publicly known. 2. Each signer computes $ \tilde{r}_i := H_G(r)^{Share_i(x_2)} $ and proves interactively and in zero-knowledge to all other signers that this is correctly done. This requires only a simple zero knowledge proofs of equality of discrete logarithms. If at least $ t $ signers are honest, each of them can compute $ \tilde{r} = H_G(r)^{x_2} $ by combining the values $ \tilde{r}_i $ of the honest signers. 3. Each signer computes $ c := H_L(m, \tilde{r}) $. 4. Signer $ i $ computes $ Share_i(s) := Share_i(k) - c \cdot Share_i(x_1) \pmod{q} $ and broadcasts this value to all other signers. These shares are checked using the revealed shadows. If at least $ t $ signers are honest, the value $ s $ can be reconstructed, which is then sent to the verifier. The verification protocols, as well as the procedures for generating receipts, can be adapted from the basic protocols described in Section 4 in an analogous way. ### 5.3 Security analysis For an outsider attacker the security analysis does not differ from the analysis given in the previous section. As $ d $ signers ($ t \leq d \leq n $) sign a message, we have to assume that there are at most $ t - 1 $ dishonest signers and among those, there must not be more than $ \min(d - t, t - 1) $ actively cheating signers. We further have to assume that the verifier has no unconditional trust to any signer. - Key Generation: It was already shown that any group of $ t - 1 $ members does not obtain any knowledge concerning the secret keys and it’s impossible to cheat for signers during the key generation protocol [23]. - Unforgeability: The dishonest signer could pick a document $ m $ and try to get a threshold signature on it, although the honest signers are not aware of this document (e.g. they might think to sign another document $ m' $). Such an attack was successful in some multi party signature schemes as pointed out in [21]. Here, however, such an attack is not successful. It is impossible to transform a partial signature of a honest signer on $ m' $ to a partial signature on $ m $, as $ r $ can’t be fully determined by the dishonest signer and $ r $ and $ m' $ are both input of the hash function. - Invisibility: Invisibility still holds even if $ t - 1 $ signers send the knowledge they gained during signature generation to the verifier provided the verifier does not trust any signer unconditionally. In fact, $ r $ is known by the verifier anyway, but some $ H_G(r)^{Share_i(x_2)} $ and the partial signatures can be send him as extra knowledge. However, the relation $ \tilde{r} = H_G(r)^{x_2} $ can’t be proved by $ t - 1 $ signers. The partial signatures are useless as well, as they can be simulated by one signer. • Non-transferability: As the interactive verification is zero-knowledge and the information from selective conversion for given signatures does not help to verify another alleged signature, non-transferability holds. • Robustness: As only up to $\min(d - t, t - 1)$ signers are totally controlled by the attacker, the signature can always be generated by the $t$ remaining signers, that are either honest or only passively cheating. ## 6 Further extensions Clearly, the security model can be somewhat strengthened by updating the individual shared parameters from time to time without changing the public key [15]. Furthermore, the threshold schemes can be transformed into shared signature schemes with arbitrary access structure just by substituting the used secret sharing scheme. 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One-Response Off-Line Digital Coins Khanh Quoc Nguyen, Yi Mu, and Vijay Varadharajan Distributed System and Network Security Research Unit Department of Computing University of Western Sydney, Nepean, Kingswood, NSW 2747, Australia Email: {qnguyen,yimu,email@example.com Abstract Current off-line electronic cash systems are often too complex to implement. In this paper, we propose an efficient off-line digital cash payment system that still maintains basic security features such as double-spending detection and client anonymity. Using a one-way hash function chain, our method verifies the clients to perform one single online computation (response) for the whole payment. Keywords: Secure Electronic Commerce, Cryptography 1 Introduction Off-line digital cash systems are more preferable than on-line cash systems, since in off-line digital cash systems banks do not need to be involved in payment processes. There have always been two major concerns for off-line systems: double-spending and customer’s privacy. In particular, double-spending is a serious threat for off-line schemes. Customer’s privacy protection, including untraceability of transactions and anonymity of customer, is the other very important requirement for any electronic payment scheme. Current off-line electronic cash systems [3, 1, 4] tend to provide double-spending detection, client anonymity, and transaction untraceability. However, as there is always a trade-off between double-spending detection and transaction untraceability, it is often complex to be realized at a low cost. Even in the most efficient systems[1, 4], many discrete exponential computations are required for each digital monetary unit in order to achieve the untraceability. To design an electronic payment system that allows small amount of payment, heavy use of discrete exponential computation must be avoided. In fact, this requirement makes all current off-line cash systems economically infeasible. In this paper, we propose an efficient approach to off-line digital cash schemes that makes small payment amounts possible. Our scheme provides client anonymity and double-spending detection. In our proposal, we use one-way hashing functions to create some links between coins spent in the same transaction. This method requires the client to perform only one major computation and there are no discrete exponential computations in the payment phase. This feature leads to a significant improvement in computational efficiency in contrast to all previously proposed schemes. The remainder of this paper is organised as follows. Section 2 gives the cryptographic background and introduces Schnorr’s signature scheme. The one-time feature of Schnorr’s scheme forms the main basis of our cash protocol. In section 3, we describe the working principles of our cash scheme. Section 4 discusses various security and efficiency features of the our protocol; we also includes some comparisons between our scheme and previous works. Finally Section 5 concludes our paper. 2 Schnorr’s one-time signature scheme The security of Schnorr’s signature scheme[5] depends on the difficulty of calculating discrete logarithms. Users in the system can share a random number $g$ and two prime numbers, $p$ and $q$ such that $q$ is a prime factor of $p - 1$, $g \neq 1$ and $g^q \equiv 1 \mod p$. To generate a particular pair of private/public key, a customer (say, Alice) chooses a random number $s$ as her private key, $0 < s < q$. Alice then computes her public key $v$ as: $$v := g^{-s} \mod p$$ To sign a message $m$, Alice picks a random number $r \in \mathbb{Z}_q^$ and does the following computations: $$x := g^r \mod p$$ $$c := h(m\|\|x)$$ $$y := (r + sc) \mod q$$ where $h(.)$ is a suitable collision-free one-way hash function. The signature on the message $m$ is the pair $(c, y)$. To verify the signature, Bob checks: $$x \overset{?}{=} g^y v^c \mod p$$ and tests if $c$ is equal to $h(m\|\|x)$. If the test is OK, the signature is valid. The value $r$ must be treated as one-time number. It must not be used more than once to generate different signatures. If Alice has used $r$ to sign two different messages $m$ and $m'$, then one has two signatures $(c, y)$ and $(c', y')$. With these two signatures, one can compute Alice’s private key $s$ as follows: $$s = \left( \frac{y - y'}{c - c'} \right) \equiv \left( \frac{(r + sc) - (r + sc')}{c - c'} \right) \mod q$$ Schnorr’s scheme allows most of the computation for signature generation to be completed independent of the message being signed. This forms an important feature in the efficiency of our scheme. 3 Our off-line Payment Scheme In our system, there are three main players, the bank, clients and vendors. We denote the bank by $\mathcal{B}$, a generic vendor by $\mathcal{V}$ and a generic client by $\mathcal{C}$. We assume that each coin in this scheme represents a monetary unit. The face value of each coin is decided by the bank. We denote that a coin with a face value $c_i$ as $C_i$. We also assume that the bank has a RSA public/secret key $(e, d)$ with the composite modulus $n$ is a product of two large prime numbers, $q_1, q_2$, a number $g$ such that $g^q \equiv 1 \mod p$ and $\gcd(g - 1, n) = 1$. The values of $g, p, q, n,$ and $e$ are public information. Also to simplify our presentation, in this section only, we use “= ” to represent a computation; “==” to represent a comparison and “≡” to denote a mathematical transformation. Transformations are only used to give the readers a clearer picture of our protocol, they are not carried out by any respective party. ### 3.1 Account’s Opening Phase When $C$ wishes to open an account at $B$, after identifying himself to $B$, $C$ uses a zero-knowledge process to obtain a blind-signature from $B$ on $h(g^U \mod p)$ as $(h(g^U))^d \mod n$. $U$ is constructed as $U = I\|\|k$ ($0 < U < q$), where $\|\|$ denotes a concatenation of bits, $k$ is a random number, and $I$ is the client identity registered with the bank (also referred as the client’s bank account number). The bank should not have any knowledge about the value of $k$ and consequently the value of $U$. There have been several such zero-knowledge processes described in literatures; see for instance[8, 6]. The length of $I$ and $k$ should be fixed, at least 80 bits each, so that given $U$, it is feasible to obtain $I$. The zero knowledge proof also ensures that the order of $I$ and $k$ cannot change. After the account’s opening phase, the client has an anonymous bank certificate $Cert$ as $(h(g^U))^d$. This certificate would remain anonymous as long as nobody is able to compute $U$. Extracting $U$ from $Cert$ is infeasible unless the client double-spends under the discrete logarithms assumption (see section 4 for further discussions). After the account’s opening process, $C$ stores $Cert$ and $gc = g^U \mod p$. ### 3.2 Withdrawal Phase Before withdrawing any money from the bank, the client $C$ proves his ownership of $I$ to $B$. If the client wishes to withdraw $n$ coins, he chooses a random number $c_n$ and computes $c_i = h(c_{i+1})$ for $\forall i \in \{1, \ldots, n-1\}$. For each $c_i$, $C$ uses a blind signature technique [2] to withdraw an anonymous coin from $B$ using the following protocol (see Figure 1): 1. $C$ generates a random number $x_i$, computing: $x'_i = g^{x_i} \mod p$, $m_i = h(c_i\|\|x'_i)$. 2. $C$ then uses blind signature technique [2] to obtain a bank signature on $m_i$ by choosing a blind factor $r_i$ and sending $t_i = r_i^e \cdot m_i \mod n$ to $B$. $B$ signs the value of $t_i$ and return the signature as $t'_i$. The client then removes the blind factor $r_i$ to obtain the bank blind signature $m'_i = t'_i/r_i = m_i^d$. For each signature, the bank deducts the client’s account by an equivalent value of a coin. After the withdrawal, $C$ has each coin $C_i$ with a face value of $c_i$ in the form of $[h(c_i\|\|x'_i)]^d \mod n$. It is unforgeable unless the factorisation of $n$ is known[3]. For each coin $C_i$, $C$ stores $[c_i, x_i, x'_i, m'_i]$. 3.3 Payment Phase When the client wants to spend the coin chain $C_1, C_2, \ldots, C_n$ to $V$, he must spend them in the order $C_1, C_2, \ldots, C_n$. Without the loss of generality, we assume that $C$ has already spent all the coins $C_0, C_1, \ldots, C_{i-1}$ in some previous payments. Now if $C$ wishes to pay some coins to $V$, $C$ must send the coins to $V$ in the exact sequence $C_i, C_{i+1}, \ldots, C_j, \ldots$ according to the following process: - For the first coin $C_i$ (see also Figure 2): \[ \begin{align} C & \quad V \\ a \in Z \\ b = (x_i - Ua) \mod q \\ \text{Cert, } g_C, b, c_i, x'_i, m'_i \\ h(g_C) == Cert^e \mod n \\ h(c_i \\| x'_i) == m'_i^e \mod n \\ g_C^a g^b == x'_i \mod p \end{align} \] Figure 2: Illustration of the payment protocol for the first coin. 1. $V$ generates a random challenge $a$ and sends it to $C$. This challenge should be unique for each transaction. For example, it can be computed as $a = h(V \\| Date \\| Time)$. 2. $C$ computes the response $b = x_i - Ua \mod q$ for the challenge $a$ and sends it along with $(Cert, g_C, b, c_i, x'_i, m'_i)$ to $V$. The response $b$ is also considered as Schnorr’s one-time signature on the message $a$, where $x_i$ is one-time material. $V$ accepts the coin if and only if $Cert$ and $m'_i$ are valid bank signatures on $g_C$, $h(c_i \\| x'_i)$ respectively and $g_C^a \cdot g^b == x'_i \mod p$ • For every coin $C_j$, thereafter (see also Figure 3): \[ \begin{array}{c} C \xrightarrow{c_j, x_j, m'_j} V \\ m'_{j} = h(c_j \\| g^{x_j}) \\ h(c_j) = c_{j-1} \end{array} \] Figure 3: Illustration of the payment protocol. $C$ sends $[x_j, c_j, m'_j]$ to $V$. $V$ accepts the coin $C_j$ if and only if $h(c_j) = c_{j-1}$ (where $c_{j-1}$ obtained from the previous coin) and $m'_j$ is a valid bank signature on $h(c_j \\| g^{x_j})$. For the sake of convenience, let us name the first coin $C_i$ as signed coin and all the other coins $C_j$ as normal coins. ### 3.4 Deposit Phase In deposit phase, $V$ deposits all the received coins at $B$ by sending $[Cert, gc, a, b, c_i, x'_i, m'_i]$ for each signed coin and $[c_j, x_j, m'_j]$ for each normal coin. $B$ goes through exactly the same verification process as $V$ did in the payment phase. If everything is OK, $B$ pays $V$ an equivalent amount of money and stores $[a, b, c_i]$ for the first coin, $[c_j, x_j]$ for each other coin in its coin database. ### 4 Discussion In this section, we will closely examine security and efficiency features of the system, including double-spending detection, client anonymity, and efficiency. #### 4.1 Double Spending Double-spending occurs when $C$ double spends some coins in the hope that $B$ cannot detect the identity. In our protocol, double-spending is detected as follows: Proposition 1* If the coin $C_i$ is spent in a transaction $T$ as a normal coin, then the coin $C_{i-1}$ is spent in $T$. Proof: Due to the nature of our scheme, when $C_i$ is spent in $T$ and $C_{i-1}$ is not spent in $T$, $C_i$ must be the first coin spent in the transaction, i.e. $C_i$ is a signed coin, but not a normal coin. Therefore, if $C_i$ is spent as a normal coin in a transaction, then $C_{i-1}$ is also spent in the same transaction. Definition 1 The coin $C_i$ is called the first double-spent coin if $C_i$ is the coin with the the smallest subscript $i$ among double-spent coins. Proposition 2 The first double-spent coin $C_i$ must be spent as a signed coin in at least one transaction. Proof: If $C_i$ was spent as a normal coin in two transactions, $T_1$ and $T_2$, according to Proposition 1, $C_{i-1}$ was also spent in both transactions, i.e. $C_{i-1}$ was double spent. This contradicts the assumption, in that $C_i$ is the double-spent coin with the smallest subscript. Hence, $C_i$ cannot be spent as a normal coin in two transactions. In the other words, $C_i$ is spent as a signed coin at least once. When $C$ double spent some coins, for the first double-spent coin $C_i$, it must be a signed coin in at least one transaction. So there are only two possibilities: $C_i$ is spent as either a signed coin in the both transactions or as a signed coin in one transaction and as a normal coin in another transaction. - Signed-Signed coin: $C$ spends $C_i$ as a signed coin twice, i.e. for two different challenges $a$ and $a'$, $B$ therefore has $b = x_i - Ua \mod q$ and $b' = x_i - Ua' \mod q$. $B$ can easily find $U$ by computing: $$U = \frac{b - b'}{a' - a} \mod q$$ - Signed-Normal coin: $C$ spends $C_i$ twice, once as a normal coin and the other as a signed coin. $B$ therefore has $a$ and $x_i - Ua$ from the signed coin and $x_i$ from the normal coin. These information are sufficient to compute $U$. So in either case, the value $U$ can be computed. After obtaining $U$, $B$ extracts $I$ and matches it with the client’s ID stored in its database. Once, a match is found, $B$ asks $C$ to reveal the value $U$ incorporated in his $Cert$. If this value matches the value $U$ obtained by $B$ from the first double-spent coin, $C$ must have double spent the same coin. The evidence is undeniable because $U$ is client’s secret information, which is infeasible for anyone else to compute unless the client had double spent a coin. ### 4.2 Anonymity Client anonymity is protected unconditionally in our protocol. The zero-knowledge process used in the account’s opening phase completely hides the identity of the client. The bank will not be able to link $Cert$ to $C$’s ID, once $Cert$ is issued. On the other hands, our coins are blindly signed by the bank so the bank cannot trace any particular coin to any particular client. During the payment process, the client only has to show $Cert$, which is an anonymous certificate and reveals $x_i - Ua \mod q$ for each signed coin and $x_j$ for each normal coin. For two different coins, as their corresponding $(x_i, x_j)$ are chosen at random, they are different and unlinkable. Having only $a$, $B$ cannot obtain $U$ from $x_i - Ua \mod q$ (since $x_i$ is chosen at random). 4.3 Efficiency The account’s opening phase is a one-off process, so even though the zero-knowledge process is inefficient, it will not affect the efficiency of our system for any transaction later on. Our withdrawal phase is very efficient. To withdraw a coin, ignoring the number of hash operations, $C$ only has to compute two exponentiations. This is computationally more efficient than all current off-line electronic cash schemes. The number of discrete exponentiations required in Chaum’s[3], Ferguson’s[4], Brands’[1] protocols, are forty, seventeen, and ten respectively. In contrast to these schemes, our protocol needs only two multiplication operations. In our payment protocol, for the whole transaction, the client only has to compute a single response i.e. $b = x_i - Ua \mod q$. This is far more efficient than all known off-line electronic cash schemes to-date, especially as the response message does not involve any discrete exponential computation. Moreover, the vendor, in the payment phase, does not need to perform any complicated verification. In fact, the vendor only has to verify one RSA signature per coin plus a certification $Cert$ and a Schnorr’s one-time signature for each transaction. Hence our protocol is much more efficient than other existing electronic cash schemes such as those in [3, 1, 4, 8]. 4.4 Other features Coin Forgery Forging our coins is equivalent to creating $(x, h(x)^d \mod n)$. This is proved infeasible unless the factorization of $n$ is known.[3] As the factorization of $n$ is only known to $B$, forging our electronic coins is infeasible for any other party. Framing To frame a particular client $C$, $B$ needs $U$ which is (provably) unobtainable unless $C$ double spends. Consider the case where clients and vendors collude to double-spend some coins without being detected by the bank. It is not possible in our scheme as the vendor must show the anonymous certificate of the client ($Cert$) to the bank in the deposit phase. 5 Conclusion In this paper, we have proposed an efficient off-line digital coin system. Our method uses one-way hash chain to reduce client’s computations to a simple calculation per transaction. This makes our scheme a practical proposition. We would like to distinguish our work from the scheme proposed in [7] that used a similar approach which requires only one response from the client for each payment. It is noted that the scheme[7] requires the vendor to sign next unspent sub-coin-chain; this allows the second vendor to know who is the first vendor. Moreover, in that system, forging a coin is only equivalent to breaking a one-way hash function; whereas in our system, it is equivalent to breaking the RSA scheme. Acknowledgement: We would like to thank anonymous referees for their comments to improve the representation of this paper and the necessary bit-length of $U$. References [1] S.Brands, “Untraceable off-line cash in wallet with observers”, Advances of Cryptology - CRYPTO '93 Proceedings, Springer-Verlag, 1994, pp.302-318. [2] D.Chaum, “Security without Identification: Transaction systems to make Big Brother obsolete,” Communications of ACM, vol.28, no.10, pp.1030-1044, Oct.85. [3] D.Chaum, A.Fiat and M.Naor, “Untraceable electronic cash”, in Advances in Cryptology - CRYPTO '88 Proceedings, pp.319-327, 1990. [4] N.T.Ferguson, “Single Term Off-Line Coins”, Advances in Cryptology - EUROCRYPT '93 Proceedings, Springer-Verlag, 1994, pp.318-328 [5] C.Schnorr, “Efficient signature generation for smart cards”, Journal of Cryptology, 4(3):161-174, 1991. [6] W. Mao, “Blind Certification of Public Keys and Off-Line Electronic Cash”, HP Laboratories Technical Report, HPL-96-71, May 1996. [7] W.Mao, “Light-weight Micro-Cash for the Internet”, ESORICS'96 Proceedings, Springer-Verlag, 1996. [8] Y.Yacobi, “An efficient off-line cash”, Advances of Cryptology - Asiacrypt '94 Proceedings, Springer-Verlag, 1994.
A Tribute to Professor Stephen H. Schulman Alan Schenk Wayne State University, firstname.lastname@example.org Recommended Citation Alan S. Schenk, A Tribute to Professor Stephen H. Schulman, 47 Wayne L. Rev. 1 (2001). Available at: http://digitalcommons.wayne.edu/lawfrp/71 This Article is brought to you for free and open access by the Law School at DigitalCommons@WayneState. It has been accepted for inclusion in Law Faculty Research Publications by an authorized administrator of DigitalCommons@WayneState. I am honored to have this opportunity to write the tribute for this issue of The Wayne Law Review, dedicated to my dear friend and colleague, Stephen H. Schulman. This teacher, scholar, law reformer, and consultant blended his substantive knowledge, analytical expertise, and remarkable communication skills in the classroom, in his articles and his treatise, in his work with the bar, and in his representation of private litigants. In 1994, upon the recommendation of the faculty, the university appointed Stephen H. Schulman as Professor Emeritus. In many ways, the change in title was a formality. Stephen remained very much a part of the life of the law school. In retirement, he continued to co-teach Business Planning and teach a Securities Law Seminar, until he was hampered by a stroke in 1999. His office still exhibited the sign “Yes, I mind your not smoking,” although the law school building had become a no smoking zone. Stephen Schulman’s legal career started with three years in private practice followed by five years with the New York State Attorney General’s Office. He received his J.D. from Columbia University School of Law in 1956, and an LL.M. in Corporations from New York University School of Law in 1966. In 1966, Wayne State University Law School expanded its enrollment in anticipation of the opening of its new building, with Stephen and --- 1Professor of Law, Wayne State University. Thanks to Professor Janet Findlater for her contributions to this tribute. This tribute is based in part on A Tribute to Professor Stephen Schulman, published in 42 WAYNE LAW REVIEW 1805 (1996). five others hired that year.$^1$ He started as an Associate Professor, and was promoted to full Professor and granted tenure in 1969. He visited at the University of Michigan Law School twice, once in 1972 and again in 1985. In his early years on the faculty, Stephen taught Corporations, Administrative Law, and Antitrust. He later concentrated on corporate and securities laws, teaching Corporations, Business Planning, and a Securities Law Seminar. Stephen Schulman had more than 5,500 students in his classes over the past 28 years, accounting for about forty percent$^2$ of the law school’s over 9,000 graduates by 1994. He probably taught more students than any other professor in the history of the law school. Stephen Schulman was recognized by his students, alumni, and the university community as one of Wayne’s premiere teachers. Before his retirement, he received every teaching award he was eligible for at the law school and the university. In 1979, one of the first years that the university recognized faculty for the President’s Award for Excellence in Teaching, Stephen was singled out as one of the university’s outstanding teachers. He was honored by the alumni with the 1982 Donald H. Gordon Award for Excellence in Teaching. He also amassed a number of plaques for the years in which he was selected by the student body as the Professor of the Year. Stephen’s accomplishments in the classroom were equaled by his contributions to the reform of Michigan corporate law through his work on the Michigan Bar Association’s Business Law Section. Stephen served as co-reporter for the Michigan State Bar Business Law Section Subcommittee on the Revision of the Michigan Business Corporation Act (MBCA). His treatise on the MBCA, Michigan Corporation Law & Practice,$^3$ which he most recently co- --- 1. The law school moved into its new building in the summer of 1966. Chief Justice Earl Warren dedicated the building that fall. 2. This takes into account students who have taken two or more courses from Stephen during their tenure at the law school. 3. This book, with annual supplements, is part of the National Corporation Law Series published by Prentice Hall Law & Business. authored with Cyril Moscow and Margo Rogers Lesser, is an indispensable guide to practitioners in this state and elsewhere. Stephen also wrote many highly-respected articles on various aspects of corporate and securities law. He lectured to practicing lawyers on Michigan’s corporate law, and he served as consultant to lawyers in Michigan on the state’s corporate law. In May 1994, the council of the Business Law Section of the State Bar of Michigan recognized Stephen Schulman as the leading authority on the Michigan Business Corporation Act. In a formal resolution, it recognized “with appreciation the many valuable contributions of Professor Stephen H. Schulman to teaching, scholarship and legislation in the area of business law and commend[ed] him for his devotion to legal education and the improvement of the law.” Stephen served as faculty advisor to the law review for 27 years, and was a loyal contributor to The Wayne Law Review. He published nine of his articles (a few with co-authors) in the Review. In 1995, the Law Review presented Stephen with a certificate of recognition and appreciation. The plaque reads in part: “He has been dedicated to the improvement of the law, has devoted himself to his students, and to the highest principles of legal scholarship.” An avid reader of history and fiction, Stephen took care to parse each sentence he wrote and hone every turn of phrase. His impressive list of articles covers a wide spectrum of corporate law issues, but they are bound by some common threads. In a principled way, Stephen worked through his writing and his bar activity to provide a better system of corporate governance, attempting to strike a balance between the rights of shareholders and creditors with the responsibilities of management. Stephen’s writing is characterized by the fluidity of his prose and his meticulous devotion to details evidenced by his textual footnotes. He was relentless in his attention to detail. Every fine point had to be researched and debated, every footnote had to be re-written and fine tuned. The reader willing to mine his legendary, lengthy footnotes will find in them seeds for many other articles yet to be written. A couple of Stephen’s articles dealt with successor liability—the liability of a purchaser or a successor corporation for the liabilities of the seller or predecessor corporation. One of the articles, Assets Sales and Products Liability was co-authored with Professor Friedrich Juenger. Professor Juenger relied on the theories developed in this article when he participated in a spirited American Law Institute debate on successor liability. Stephen’s scholarship does not go out of style. Another article, co-authored with Alan Schenk, analyzes shareholder rights in triangular acquisition transactions. A significant part of that article is reproduced in David Herwitz’s classic Business Planning text. The summer 1996 issue of the Wayne Law Review was a symposium on corporate law dedicated to Stephen Schulman. The authors in that Symposium, by their contributions, paid tribute to Stephen. Stanley Siegel, the reporter for the 1973 revision of the Michigan Business Corporation Act (MBCA), co-authored with Stephen and Cy Moscow Michigan Business Corporations, the predecessor to the Michigan Corporation Law & Practice treatise. Cyril Moscow and Hugh Makens are among the leaders of the Michigan bar in the fields of corporation and securities law. Stephen and Cy led efforts to reform the state’s corporation law, as has Hugh Makens with respect to the state’s securities laws. Stephen was an important part of the professional and personal lives of many of us on the faculty. He always had the time and the interest to discuss professional or personal issues with us. Stephen gave endlessly of his time, reviewing drafts of articles and discussing professional ideas with his colleagues at Wayne and elsewhere. He was especially generous in mentoring colleagues new to teaching. Stephen will be remembered for his rare wit, good nature, and decency. He was a wonderful colleague, scholar and teacher, and a faithful friend. 4. The article originally appeared at 22 WAYNE L. REV. 39 (1975). Steve Schulman was a legend, at least in Michigan legal circles, when we arrived at Wayne State in the mid-1990's as his erstwhile successors as Corporations teachers. Clearly no one could succeed Steve, and all the teaching awards, legislative drafting, and scholarly work were intimidating—until you'd spent your first five minutes with him. Steve maintained something that most accomplished academics lose regarding their work: humility, perspective, and a sense of humor. While work mattered to him, he knew that many other things mattered more. In his honor, we offer brief vignettes from our too-brief friendship with one of Wayne State University Law School's brightest gems. - With almost alarming regularity, Steve would burst into one of our offices—sometimes shouting for the other to join in—and decry the latest failure of the law, a court, or the SEC. Without the slightest warning, beyond a deafening clearing of his throat, Steve would intone, "Section 489 is all screwed up!" It was a testament to how comfortable he made us feel that we never shied away from sounding dumb and asking, "What is § 489?"$^1$ - Food, especially sweets, was never safe around Steve. The --- $^{\dagger}$ Associate Professor of Law, Wayne State University. $^{\ddagger}$ Associate Professor of Law, Wayne State University. 1. Section 489 of the Michigan corporate code deals with oppression in close corporations. MICH. COMP. LAWS ANN. § 450.1489 (West 1990). While Steve thought it was a mess until the day he died, its clarity is a fine example of his approach to corporate statutes that emphasized simplicity and completeness over the convoluted approach of other jurisdictions, like Delaware, that he frequently decried. arrival of a teaching candidate for a campus interview meant that doughnuts were available in the faculty lounge, and there were never any leftovers. To meet Steve’s insatiable demand, eventually we took to maintaining a stock of candy and cookies for him, although he complained about how undependable we were when he found the office doors locked. - Steve was truly the last of the great smokers. He was a far more creative and convincing advocate for cigarettes than all the tobacco companies’ Madison Avenue talent combined, for he truly believed in his cause. It always mystified him that the stock of Philip Morris and other tobacco companies languished when he contributed so much to their bottom line every year. At the same time, Steve willingly traipsed outside (no mean feat for a man who had been smoking four packs a day for decades) to accommodate the sensitivities of a new colleague. - A child of the 1960’s, bachelor Steven in his 60’s led a much more exciting life than either of us. He would come for advice on exactly how much he should disclose to each of two women he was dating. We didn’t have much to offer in the way of counsel, but did appreciate the vicarious thrills. - Steve rooted for us and sincerely hoped that we would succeed in academia. He offered to serve as a whip with the faculty, measuring sentiment as the vote on tenure approached. Steve never showed a trace of haughtiness, condescension, or dismissiveness to the junior faculty. He was an ideal senior colleague. - With Steve, the glass was definitely half-empty, and the half that was left was usually substandard. Who else could have spent all of the 1990’s, the greatest bull market in American history, nervously waiting for the market to crash and proclaiming each 100 point drop in the Dow as the day of reckoning.\textsuperscript{2} Steve’s political antenna was equally sensitive as he worried incessantly about Clinton’s chances against Dole throughout the campaign of 1996, seeing danger in every poll and predicting a surprise far greater than Truman’s in 1948. Steve made our lives better as scholars, teachers, and colleagues. Corporate law—to say nothing of the next presidential campaign—will be less interesting without him. \textsuperscript{2} Then again, with the collapse of the NASDAQ in 2000-2001, maybe we should have listened more closely.
EFFECT OF NIGELLA SATIVA ON THE ESTROUS CYCLE AND OVARIAN ACTIVITY IN ALBINO RATS Sudha Yadav and Dr.Meera Agarwal Centre for Advanced Studies, Department of Zoology, University of Rajasthan, Jaipur-302004. Corresponding Author: Dr. Meera Agarwal* Assistant Professor ,Centre for Advanced Studies, Department of Zoology, University of Rajasthan, Jaipur-302004. E-mail: firstname.lastname@example.org Phone No.: +91-9460346801 Summary Present study is aimed to investigate effect of Nigella sativa (NSSAq) on reproduction in female rats. For this study rats were divided in control (vehicle treated) and treatment group (NSSAq 200 mg/kg b.wt/day for 40 days). Administration of NSSAq brought about significant decline in weight of ovaries, uterus and vagina. Protein and glycogen level of reproductive tissue were also declined. Significant increase in cholesterol level of reproductive tissues was observed. Diestrous phase of estrous cycle was prolonged. Ovarian follicle showed degenerative changes. Haematological parameters were unaltered. Thus administration of NSSAq in female rats had shown anti-estrogenic nature without altering general physiology. KEYWORDS: Nigella sativa, Thecal cells, Haematology, Granulosa cells. The status of herbal medicine has been fast gaining ground all over the world during the last few decades. The World Health Organization has set up a Task Force on Plant Research for Fertility Regulation with an objective to find new orally active non-steroidal compounds having anti-implantation property (1). A wide variety of synthetic contraceptive agents are available but these are not without side effects. Some plants like Prangos ferulacia has been reported to have abortifient effect on the pregnant rats (2). Antifertility effect has been studied in the plant Woodfordia fructicosa (3). Croton roxburghii and Zizyphus jujuba antisteroidogenic activity has been observed in mice (4). Nigella sativa is one of the most used as herbal medicine all over the world and it is a genus of about 14 species of annual plants in the family Ranunculaceae, native to southern Europe, North Africa and Southwest Asia. Nigella sativa, known as kalonji, black cumin is used as a spice in Indian and Middle Eastern cuisine, it is an amazing herb with a rich historical and religious background (5). The plant grows to 20-90 cm tall, with finely divided leaves, the leaf segments narrowly linear to threadlike and its flowers are white, yellow, pink, pale blue or pale purple, with 5-10 petals. The fruit is a capsule composed of several united follicles, each containing numerous seeds (6). When the fruit capsule is matured, it opens up and the seeds contained within are exposed to the air, becoming black in color (7). Seeds of Nigella sativa are source of the active ingredients of this plant. It is the black seed referred by the prophet Mohammed as having healing powers (8). Four dolabellane-type diterpene alkaloids have been isolated from the seeds of Nigella sativa (9,10). Nigella sativa seeds contain other ingredients, including nutritional components such as carbohydrates, fats, vitamins, mineral elements, and proteins, including eight of the nine essential amino acids (11, 12). It has hypoglycemic effect (13) and used as immunopotentiating, immunomodulating and interferon like activities (14,15). The antifertility potential of this plant in females has not been explored in detail and hence the present study was undertaken. The present work was conducted to monitor the antifertility effect of Nigella sativa seed extract (NSSAq) on reproductive organs and fertility in adult female albino rats. Material and Method Test substances used: The seeds of Nigella sativa were purchased from the local market and authenticated by the Department of Botany, University of Rajasthan, Jaipur. All the chemicals used in the experimentation were of analytical grade. Preparation of the aqueous extract: Aqueous extract of the seeds was prepared according to the method of the National Institute of Health & Family Welfare, New Delhi, India. The seeds were grinded with a electrical grinder into powder and the aqueous extracts was prepared by soaking 100mg of powdered seeds with 500ml of Double-distilled water and kept for 12 hrs. The resulting extract was filtered using What man No. 1 filter paper and was allowed to dry at reduced pressure and finally lyophilized. The drug yield was calculated to be 10.02% i.e. 10.02 gm extract was formed from 100 gm powder of seeds of Nigella sativa. The crude extract of the seeds (NSSAq) was dissolved in distilled water to the required concentration. Animal Model Used: 20 Adult female albino rats, weighing 200-210 g were used for the present study. The females showing regular estrous cycle were selected by observing vaginal smear for two consecutive cycles. They were maintained at standard laboratory conditions. Animals were housed individually in the polypropylene cages and maintained under standard conditions (12-h light/dark cycle; 25±3°C temperature; 35–60 relative humidity), and were fed on standard rat feed procured from Aashirwad Food Ltd., Chandigarh (India). The water was given ad libitum. Treatment Protocol: To study the effect of aqueous extract of Nigella sativa on the estrous cycle, Body and Organ weight, Tissue Biochemistry of reproductive organs and Fertility study were done. The animals were divided into two groups; group 1 served as control (Vehicle treated) and group 2 received aqueous extract at dose of NSSAq 200 mg/kg b.wt for 40 days. During this period the vaginal smear of the rats were examined daily early in the morning (6.00-7.00 am) as per the method described by Zarrow et al (16) and reviewed by Cooper et al (17). The duration of the estrous cycle together with that of various phases was determined as described by Makonnen et al (18). On the day 41st the rats were sacrificed under light ether anesthesia. The ovaries, uterus and vagina were dissected out, weighed and half of the tissues were kept at -20°C for the biochemical estimations. Ovary was fixed in Bouin’s solution for histopathology. Ovarian tissues were dehydrated in an ascending grade of alcohol, cleared in xylene and embedded in paraffin wax after the method of Drury and Wallington (19). Serial sections of 5 microns thick were obtained using microtome. The deparaffinized sections were stained routinely with haematoxylin and eosin. Photomicrographs of the desired results were obtained using light microscope. Blood Analysis: Total erythrocyte count and Haematocrit were measured by Microhaematocrit method as described by Schalm et al (20). Total leucocyte count was estimated as described by Lynch et al (21) and the Haemoglobin level was estimated by Cynomethanoglobin method as described by Makrem A (22). Biochemical Estimation: Protein and glycogen level were estimated according to the method of Lowry et al (23) and Montgomery (24). The cholesterol content was measured using the method of Oser (25). Ethical Aspects: The study was approved by the ethical committee, Center for Advance Studies, Department of Zoology, University of Rajasthan, Jaipur (India). The Indian National Sciences Academy, New Delhi (INSA, 2000), (26) guidelines were followed for maintenance and use of experimental animals. Statistical analysis: Statistical significance between the control and experimental data were subjected to one way analysis of variance (ANOVA). Results Effects on body and organs weight: The treatment of rats with the Nigella sativa seeds extract caused almost significant increase in the body weight of treated animals; whereas, a highly significant decrease in weight of Ovaries, Uterus and Vagina in the treated group were observed (Table: 1). *Table 1. Effect of Nigella sativa* seeds extract on Body and Organ weight of female albino rats** \| TREATMENT GROUPS \| BODY WEIGHT (g) \| REPRODUCTIVE ORGAN WEIGHT(mg/100gm b. Wt.) \| \|------------------\|-----------------\|------------------------------------------\| \| \| Initial \| Final \| Ovaries \| Uterus \| Vagina \| \| GROUP 1: Control \| 202±1.48 \| 205±1.67 \| 44±1.52 \| 238±2.12 \| 219±1.31 \| \| GROUP 2 : N. sativa treated \| 208±1.71 P<0.028 \| 212±1.31* P<0.010 \| 26±1.05* P<0.000 \| 217±2.49* P<0.000 \| 175±1.00 P<0 \| Highly significant (P<0), * Significant (P<0.05), * Almost significant (P<0.01-0.04), ns Non-significant (P<0.1) compare to control. Effect on estrous cycle of rats: Effect of Nigella sativa on the different phase of estrous cycle was found to be a highly significant decrease in the Proestrous and Metaestrous phases. Whereas a highly significant increase in the duration of Estrous and Diestrous phases in experimental animals was observed when compared to their respective control. *Table 2. Effect of Nigella sativa* seeds extract on Estrous Cycle of female albino rats \| TREATMENT GROUPS \| Proestrous phase \| Estrous phase \| Metaestrous phase \| Diestrous phase \| \|------------------\|------------------\|---------------\|-------------------\|-----------------\| \| GROUP 1: Control \| 1.33±0.01 \| 0.82±0.01 \| 0.94±0.01 \| 1.92±0.01 \| \| GROUP 2 : N.sativa treated \| 0.42±0.01* P<0.000 \| 0.89±0.01* P<0.004 \| 0.76±0.01* P<0.000 \| 2.98±0.01*** P<0 \| Effect on tissue Biochemistry: The total protein and glycogen content decreased highly significantly in the Ovaries, Uterus and Vagina with comparison to the respective control. However, there was a highly significant increase in the Cholesterol content of ovaries, uterus and vagina of the experimental animals (Table: 3,4,5). TABLE 3. Effect of Nigella sativa seeds extract on Protein Content of female albino rats \| TREATMENT GROUPS \| Protein content(mg/gm) \| \|------------------\|------------------------\| \| \| OVARY \| UTERUS \| VAGINA \| \| GROUP 1: Control \| 180±0.70 \| 178±0.89 \| 142±1.38 \| \| GROUP 2: N. sativa treated \| 134±0.83* P<0 \| 138±1.26* P<0 \| 118±1.58*** P<0 \| Table 4. Effect of Nigella sativa seeds extract on Glycogen Content of female albino rats \| TREATMENT GROUPS \| Glycogen content(mg/gm) \| \|------------------\|-------------------------\| \| \| OVARY \| UTERUS \| VAGINA \| \| GROUP 1: Control \| 8.02±0.05 \| 16.28±0.13 \| 8.13±0.06 \| \| GROUP 2: N. sativa treated \| 4.60±0.49* P<0.0001 \| 10.02±0.12* P<0 \| 4.12±0.11* P<0 \| Highly significant (P<0), * Significant (P<0.05), * Almost significant (P<0.01-0.04), ns Non-significant (P<0.1) compare to control. Table 5. Effect of Nigella sativa seeds extract on Cholesterol Content of female albino rats. \| TREATMENT GROUPS \| Cholesterol content(mg/gm) \| \|------------------\|----------------------------\| \| \| OVARY \| UTERUS \| VAGINA \| \| GROUP 1: Control \| 8.18±0.17 \| 3.98±0.08 \| 5.10±0.07 \| \| GROUP 2: N. sativa treated \| 12.02±0.42* P<0 \| 8.11±0.10* P<0 \| 8.50±0.22* P<0 \| Highly significant (P<0), * Significant (P<0.05), * Almost significant (P<0.01-0.04), ns Non-significant (P<0.1) compare to control. Effect on Histopathology of rats: The ovary of the control group showed normal histological features, illustrating a well defined zonal granulosa surrounding the nucleated oocyte and compact theca folliculi and the presence of some primordial follicles. The ovaries of the control rat exhibiting mature and healthy follicles with distinct Thecal layers. Follicles of all sizes are present from nest of oocyte to large Graffian follicle (Figure 7a). The ovaries of the Nigella sativa treated group showed some cellular hypertrophy of the theca folliculi, complete distortion/destruction of the basement membrane separating the theca folliculi from the zona granulosa. Degenerative and atrophic changes were observed in the developing oocyte. Zona pellucid surrounding the oocyte was not visible in the treated ovary. Graffian follicles showed pyknosis of the nuclei of granulose and Thecal cells (Figure 7b). Extensive degenerative changes of nuclei of oocyte and granulose cells is similar to that caused by gossypol acetate (27, 28). Figure: 7. (a) Micrographs of ovary of control –Haematoxylin and Eosin stain and (X200) and (b) Treatment group–Haematoxylin and Eosin stain (X200). Effect on Haematological studies: There were non-significant changes in the haematological parameters in both the groups. Table 6. Effect of Nigella sativa seeds extract on Heamatological parameters of female albino rats \| TREATMENT GROUPS \| RBC COUNT million/mm3 \| WBC COUNT Per. Cu.mm. \| HEAMOGLOBIN gm % \| HEAMATOCRIT % \| \|---------------------------\|-----------------------\|-----------------------\|------------------\|---------------\| \| GROUP 1: control \| 3.68±0.01 \| 7.2±0.13 \| 14.62±0.01 \| 48.24±0.01 \| \| GROUP 2 : N.sativa treated\| 3.72±0.02 ns P<0.169 \| 7.4±0.16 ns P<0.346 \| 14.40±0.72 ns P<0.760 \| 47.84±0.39 ns P<0.335 \| *Highly significant (P<0), Significant (P<0.05), * Almost significant (P<0.01-0.04), ns Non-significant (P<0.1) compare to control. Discussion Many crude extracts and active principles derived from medicinal plants were evaluated for their antifertility effects in animal models (29, 30). Plant products as contraceptive will be more acceptable for economic reasons and less side effects than chemical agents. The present study revealed a significant increase in the level of cholesterol which may be the probable cause of increase in the body weights as cholesterol is the forms of fat present in the body (31). The present work reports that the oral administration of Nigella sativa seed extract to the female rats lead to declined female rat fertility as it caused estrogen inhibition due to its antiestrogenic nature. The antiestrogenic nature of Nigella sativa was shown by the decrease in the weight of ovaries and uterus since antiestrogenic substance decreases the net weight of the uterus (32). Sharma and Bhinda (33) also noticed similar effects on the reproductive organs weight following the oral administration of steroidal extract of Trigonella foenum-graceum seeds in female rats. The change in estrous cycle may be due to the hormonal imbalance and decrease in the level of gonadal steroids which are essential for normal functioning of the gonads (34). Cholesterol derived from the different sources is the precursor for the steroidogenesis of ovarian endocrine tissue (35). Highly significant increase in the cholesterol level of the group receiving extract indicates that cholesterol was not used for steroidogenesis hence accumulated in the ovary (36). The highly significant decrease of the glycogen content of uterus treated with Nigella sativa confirms the antiestrogenic nature of the drug (37). Also, the highly significant reduction in protein content of the female genital tract of Nigella sativa treated rats suggests an inhibition of estrogen production (38). It is well established that tests of blood parameters form the very front-line investigations on which diagnosis of various diseases is based. Unaltered haematological parameters of the treatment group, suggests that NSSAq did not cause any adverse effects on general health of the animals. Acknowledgement The authors are thankful to the Center for Advanced Studies, Department of Zoology, University of Rajasthan, Jaipur, for providing necessary facilities. References 1. Griffin PD. Plants for fertility regulation. In: Diczfalusy E, Griffin PD, Khanna J, eds. Research in Human Reproduction, Biennial Report. Geneva: World Health Organization, 1988:229-30. 2. Talieh K, Kazem M, Alireza A, Mohsen S, Alireza S. Abortifacient effect of Prangos ferulacia on pregnant rats. Contraception 2006; 73: 554-556. 3. Khushalani H, Taltke P, Singh K. Antifertility activity of dried flowers of Woodfordia fructicosa kurz. Indian Journal of Pharmaceutical Sciences 2006; 68: 528-529. 4. Gupta M, Mazumder UK, Vamsi MLM, Sivakumar T, Kandar CC. Antisteroidogenic activity of the two Indian medicinal plants in mice. Journal of Ethnopharmacology 2004; 90: 21-25. 5. Goreja, W.G. Black Seed: Nature’s Miracle Remedy. Amazing Herbs Press, New York, 2003. 6. New International Encyclopedia 7. Schleicher, P., M. Saleh. Black seed cumin: the magical Egyptian herb for allergies, asthma, and immune disorders Healing Arts Press, Rochester, Vermont, 1998 p. 90. 8. Junemann, M. Three great healing herbs. Lotus Light Publications, silver lake., 1998, p. 45. 9. Morikawa, T., F. Xu, Y. Kashima, H. Matsuda, K. Ninomiya, M. Yoshikawa. Novel dolabellane-type diterpene alkaloids with lipid metabolism promoting activities from the seeds of Nigella sativa. Org Lett., 2004; 6: 869–872. 10. Morikawa, T., F. Xu, K. Ninomiya, H. Matsuda, M. Yoshikawa. Nigellamines A3, A4, A5, and C, new dolabellane-type diterpene alkaloids, with lipid metabolism-promoting activities from the Egyptian medicinal food black cumin. Chem Pharm Bull., 2004; 52: 494–947. 11. Omar, A., S. Ghosheh, A. Abdulghani, A. Houdi, P.A. Crookscor. High performance liquid chromatographic analysis of the pharmacologically active quinones and related compounds in the oil of the black seed (Nigella sativa L). J Pharm Biomed Anal., 1999; 19: 757–762. 12. Al-Jassir, M.S. Chemical composition and microflora of black cumin (Nigella sativa L.) seeds growing in Saudi Arabia. Food Chem., 1992; 45: 239–242. 13. Al–Awadi F M. and Gumaa K A. Studies on the activity of individual plants of an antidiabrtic plant mixture. Acta Diabetol Let., 1987; 24: 37–41. 14. Hailate, N, Bataineh Z, Lafi S, Raweily E, Agel M, Al-Katib M. and Hanash S. Effect of Nigella sativa volatile oil on jurkat T cell Leukemia polypeptides. Int. J Pharmacog. 1995; 33(1): 16–20. 15. Swamy S M, Tan B K. Cytotoxic and immuno-potentiating effect of ethanolic extract of Nigella sativa L. Seeds J. Ethanopharm. 2000; 70(1): 1–7. 16. Zarrow MX, Yochia JM, McCarthy JL Experimental endocrinology; a source book of basic techniques, Academic Press, New York and London. 1964(36–9). 17. Cooper RL, Goldman JM, Vandenbergh JG Monitoring of the estrous cycle in the laboratory rodent by vaginal lavage. In: Methods in toxicology: female reproductive toxicology, Vol. 3B, Heindel JJ and Chapin RE (Eds.), Academic Press, San Diego 1993; 45–56. 18. Makonnen E, Rostum Amr AH, Assefa G, Zerihun L. Antifertility effect of Jatropha curcus L. seeds in guinea pigs. Ethiopian Journal of Health Development 1997; 11: 145–148. 19. Drury, R. A. B., Wallington, E. A. and Cameron, R. (1976). Carleton’s Histological Techniques: 4th ed., Oxford University Press NY. U.S.A. 1976 279-280. 20. Schalm OM, Jain NC, Carroll EJ. Veterinary haematology 3rd ed, Lea and Febiger Philadelphia, 1975: 324-335. 21. Lynch JM, Raphael SS, Melvir LD, Spare PD, Inwood MJM. In: medical laboratory and clinical pathology pub, Saunders Company Sohm Ltd., Tokyo, 1969: 626, 647-662. 22. Makrem A. Haemoglobin, myoglobin and hepatoglobin. In: Henry Cannon Winkelmann. Ed. Clinical Chemistry. Principles and techniques. 1969; 1111-1214 23. Lowry OH, Rosenburgh NJ, Farr AL, Ran dell RJ. Protein measurement with the Folin phenol reagent. J Biol Chem 1951; 193: 265-275 24. Montgomery R. determination of Glycogen Arch. Biochem Biophy 1957; 67: 378. 25. Oser BL. In: Hawk’s Physiological Chemistry 14th Ed. Mc Graw Hill, New York, 1965: 246 26. INSA Guidelines for Care and Use of Animals in scientific research. Indian National Science Academy New Delhi. 2000 27. Bansode FW. Genotoxic effects of gossypol acetate on the ovary of Rhinopome kinneari wroughton (Microchiroptera: Mammalia). Contraception 1994; 49: 601-6. 28. H.N.Sarma and H.C. Mahanta. Effects of Composite Root extract on Histological structures of Graffian Follicle and Endometrial epithelium in Albino rat. Contraception 2000; 61:335-339. 29. Salunkhe DK, Adsule RN, Bhonsle KI. Antifertility agents of plant origin. In: Cheeke PR, editor. Toxicants of plant origin. Boca Raton, Florida, USA: CRC Press Inc 1989. 30. Gupta SS; Prospects and perspectives of natural plants products in medicine. Indian J Pharmacol 1994;26:1-12. 31. Sharma A, Goyal RP, Chakravarty G, Sharma S. Toxicological studies on effect of apple green- A permitted food colour on Swiss albino mice. Ind. J. Env. Sci 2006;10(1): 21-24. 32. Mukherjee P. Quality control Herbal drugs: an approach to evaluation of botanicals, First ed. Business Horizons, New Delhi 2002. 33. Sharma J.D. and Bhinda A. (2005) : Antifertility activity of steroidal extract of Trigonella foenum graecum (seeds) in female rats. Asian J. Exp. Sci. 19(1): 115-120. 34. Sharpe, R.M. (1983) Local control of testicular function. Quart J. Expt. Physiol. 68: 265. 35. Strauss JF III, Schuler LA, Tanaka T. Cholesterol metabolism by ovarian tissue. Advances in Lipid Research 1981; 18: 99 36. Shivalingappa H, Satyanarayan ND, Purohit MG, Sharanabasappa A, Patil SBJ. Effect of ethanol extract of Rivea hypocrateriformis on the estrous cycle of the rat. Ethnopharm 2002; 82: 11-17. 37. Agarwal M, Dixit VP, Sandhu JS. Possible mechanism of antifertility activity of 3-chloro-1, 2-Propanediol (U-5897) on the female genital tract of Rattus rattus Rufescens- A Biochemical and Histophysiological study. Proc Ind Natn Sci Acad 1980; 46: 293-301 38. Mohla S, Prasad MRN. Oestrogen antiestrogen interaction: Effect of U-11100 A, MRL-41 (Clomiphene) and U-11555 A on oestrogen induced uterine glycogen and protein synthesis in the rat during delayed implantation. Acta Endo 1969; 162: 482-487. Rats were kept for two weeks before the start of the experiment for acclimatization. The animals were then housed 5/cage and received normal basal diet and tap water ad libitum at a room temperature of about 28 ± 2°C, a room humidity of 60 ± 5%, and a 12 h light and 12 h dark cycle. 2.5. Experiment Design. The animals were divided into 4 groups, each consisting of 10 rats. Effect of Nigella. sativa of the estrous cycle and ovarian activity in albino rats. Pharmacologyonline. On the contrary, rats pretreated with MTZ and HSP showed significant decrease in NO, MDA levels, and MPO activity, while, activities of SOD and GPx were increased (P<0.001). Oxidative stress induced by CP in the rat ovary causes infertility in the female rats. HSP and MTZ could reverse this effect and provide protection of fertility against CP-induced toxicity.
the owen sounder vol 5 no 4 winter 2023 combining two great community magazines in one great issue! FEATURING: • Rocklands Market! • 38th Annual Authors Open House! • Winterfest! • Christkindl & Messiah in the Barn! • Downtown DineAround! • ...and so much more! Christkindl Market Eat. Drink. Shop. Play. GLENCOLTON FARM, DECEMBER 8TH 4-9PM, DECEMBER 9TH 2-9PM $25 ADVANCE $30 AT THE DOOR CHILDREN FREE BENEFITS SAUGEEN ACADEMY HIGH SCHOOL PHONE: 519-372-6570 christkindlfarm.com Anyone who has ever put together a publication knows what happens: you get to the final production stages and realize you haven’t told the readers what’s inside; you haven’t welcomed them to the page; and you certainly don’t have enough room left to be as appreciative as you would like to be. Sigh. In brief, thank you as always for your encouragement and support! We’re celebrating the 38th Annual Authors’ Open House here at The Ginger Press on Saturday December 9 from 11:00 to 2:00! As of right now, the following authors will be joining us: Joan Beecroft (20/20 Hindsight); Mike Davis and Gloria Hildebrandt (Views and Vistas of the Niagara Escarpment); Lili Anne Holding (Mythos and Oykos); Lynne Porter (Lake Charles: The Way It Was); Marilyn Rivers (Tears Become Rain); Rob Rolfe (Don’t Look Back: Poems, Prose, and Songs); Ron Savage (Exploring Sydenham: 50 Loop Hikes); Richard-Yves Sitoski (Butterfly Tongue and Other Plays); Richard Thomas (Late Arrival, Early Departure: A Brief History of Owen Sound’s Railway); Raquell Yang (Old Owen Sound: Fresh Perspectives); and Eric Zweig (Engraved in History). Of course, there will be more. There’s always more! Meet the authors, enjoy festive snacks, and celebrate the season with us on December 9. Don’t be a stranger! - Maryann NEW BOOK Exploring Sydenham by Ron Savage Ron Savage wants you to, “slow down; release all of your thoughts and worries, and concentrate on your surroundings. Open your senses and take in the forest’s sights, sounds, and fragrances.” To help you, he has just published his fourth book, which documents 50 local hiking trails. Exploring Sydenham ($30) is an up-to-date collection of maps, directions, and clues about where to go and what you’ll see along the way. The trail length, time it should take to hike, level of difficulty, access, and parking info is provided for each of the 50 loops. A CALL FOR WRITERS: AGING IN PLACE JOAN BEECROFT Have you ever thought about where you’ll spend your last years? Are you planning ahead or already in that place? We frequently hear about the concept of ‘aging in place’ which, according to the ads on TV, means staying in your own home with all the help and structural modifications you’ll need. Some of us are able-bodied and sharp as tacks mentally, and would perhaps like to stay at home. Some of us are losing that edge one way or the other, and realize we will not be able to live where we are forever. We’ll need some kind of care. Some of us are younger and live with a degenerative disease that we know will take its toll, and we will need care whether we want it or not. Some of us are unhoused for various reasons and would rather be in a place – any place – before much longer. We can think about retirement homes and long-term care homes too. That can be confusing: do we want to live in one? We hear about certain ones that let a resident move from level to level, from totally independent living to complete physical care in a locked ward. And we still have questions. Would it be better to be in a publicly owned one that’s run by the County? Or a private one which is making a profit for its owners? And what’s the difference in the levels of care? What’s the difference in staffing levels, meals, facilities, and recreation? Co-housing is another option. Glassworks is one such cooperative and Owen Sound has the Ainslie Wood Housing Co-op, too. Condo living is yet another possibility: one-floor living has its appeal for many. We’d like to hear your thoughts on aging in place. What will it look like for you? What are your concerns? What sort of assistance would you need to stay in your own home? What are your thoughts about a retirement home or long-term care? I also should mention the elephant in the room: MAID (Medical Assistance in Dying). Perhaps that’s part of your plan? I am collecting essays for a book tentatively called Aging in Place: Is it for Everyone? It doesn’t matter where you live now (as long as it’s in Grey Bruce). You might be in your own home, or renting anything from a room to an apartment. Maybe you’re already living in a retirement or long-term care home, or maybe you’re couch-surfing or otherwise unhoused? We’d love to hear from you. Entries from 2 to 5 pages (that’s about 1000-5000 words) and longer pieces will be considered. Writers whose piece is selected for publication will receive a copy of the book. If you would rather tell your story than write it, we have people who would do the writing for you. You can use your own name or one of your choosing. Entries can be submitted to firstname.lastname@example.org Deadline is December 15, with a plan to publish in the spring of 2024. NEW BOOK FOUR BULLETS, FOUR WITNESSES, FOUR LIARS BY BRIAN BARRIE Retired criminal court lawyer Brian Barrie has written Four Bullets, Four Witnesses and Four Liars, a book based on the true story of a murder and the trial that followed in Owen Sound. In his Foreword to the book, criminal lawyer Brian Greenspan writes: “It has been said that fiction isn’t memoir and memoir isn’t fiction. Brian Barrie’s first novel calls that maxim into question by skilfully and creatively constructing a fictionalized account of the truth and then challenging that truth in a courtroom drama. Whether described as a gripping murder mystery or as an absorbing exposé of our justice system, this is a wonderful read... The stark reality of the fictionalized account of the interrelationships that led to the death of Jimmy Strutton and to the mystery of the identity of the perpetrator crosses the bridge between fiction and the real world.” Jimmy Strutton was murdered in Sarawak Township on April 26, 1988. Brian Barrie became the lawyer for the accused, Mae McEachern. Four Bullets, Four Witnesses, Four Liars chronicles the back story, the trial, and the epilogue. Brian Barrie will be at The Ginger Press to sign copies at 7:00pm, Thursday November 30. Fellow destination stewards, If ever fall tourism was a thing, we have it. The Beaver Valley is one of the most well-loved places in Ontario for spectacular autumn scenery. Trail heads overflow with cars, multiple art tours feature local talent, restaurants ramp up their seasonal offerings and make the most of chilly patio evenings. Cottages fill with families celebrating abundance and blessings. It’s a very busy time in the Valley. All of this is good for local businesses, with one caveat: The driving forces of tourism must sustain and enhance what makes us unique, and not propel us towards more generic offerings. If we lose the uniqueness of our identity, we’ll eventually lose the “goose that lays the golden egg”, so to speak. How do we achieve this? By using our uniqueness – our Brand – to create destination appeal. And who do we appeal to? The best tourists are the ones who value our natural and cultural assets as much as we do. They come from many cultures, they are many ages, they have various walks of life, and a range of spending money. But what they are all coming for is an authentic experience that has an impact on how they see the world – an experience that leaves them feeling more connected to nature, more inspired by local crafts and arts, more intrigued by the flavours of fresh and original cuisine, and more generous in life because of the kindness of the people they cross paths with in the Valley. As a community, we can collectively choose how we manage our destination. The draft Principles put forward by Beaver Valley Destination Stewardship can provide a framework for making decisions not only about how we present ourselves to tourists, but most importantly how we retain our uniqueness. They are adapted for the Valley from the Future of Tourism Coalition Principles (https://www.futureoftourism.org/guiding-principles). Please take some time to provide feedback, and let us know if you’d like to discuss them personally with us at https://www.surveymonkey.com/r/BVDS_Princ_Endorse. YOU’RE INVITED TO THE OFFICIAL BOOK SIGNING FOUR BULLETS, FOUR WITNESSES, FOUR LIARS The True Story of a Murder and the Trial That Followed NOV 30TH 2023, 7:00 PM THE GINGER PRESS 848 2ND AVE EAST OWEN SOUND BRIAN BARRIE On October 1, 2019, I became the 8th person to hold the title of Owen Sound Poet Laureate. Around the time I was invested, I stated, somewhat sententiously, “poetry is the ultimate use of language. In fact, it’s what leaps over the cliff at the very end of language.” As laureate, it was my job to invite folks to join me in leaping off that cliff. I’m glad to say that many people took me up on that offer. But I also had to reckon with some who declined. This is not a complaint; BASE jumping with a parachute made simply of words is not everyone’s idea of a good time. So as laureate I had to be a little plucky and simply do some cold calling. Fortunately, I did not need to do much of that, as there were always individuals and organizations willing to hire me to write or perform an occasional piece. To them I am extremely thankful. The real problem I faced had to do with the fact that I arrived along with the pandemic. Doors were shut (sometimes permanently) and we all reverted to becoming pupas, wondering if we would ever sprout wings again and burst our cocoons. Because it was nigh impossible to fulfill my job description to bring the local community to poetry, I decided to find a way to bring the poetry to the community, and while I was at it, the whole world. So I founded a Zoom reading series that regularly drew participants from all over Canada, the United States, and the UK, and which featured major Canadian poets as guest artists. I took advantage of the enforced down time to establish a serious writing practice that resulted in nearly a hundred poems published in major Canadian journals. I published two full collections of verse and a chapbook. I won two national awards and was short- or long-listed for several more. Throughout, I also managed to stay true to my mandate, which was to sound the alarm over what we have been doing to our environment. Thus, I published No Sleep ‘til Eden with the Ginger Press, a book of environmentally themed poems that features the outstanding augmented reality technology of Wil McReynolds’s KP9. I also wrote a chapbook of poems on vermiculture in which earthworms were my co-authors (it’s available at the library if you want to know how that works!). I also created a series of site-specific landscape art interventions. Amazingly enough, I also managed to make up for lost time as pandemic restrictions loosened. Since the beginning of my term, I have made over 150 public appearances, most of which were in the past two years. I am grateful to the OSNGUPL for doubling my term to allow me to do these. The ones I am most proud of are the poetry workshops I conducted for St.-Dominic Savio school, the CMHA, and Grey Bruce Pride. Then the invasion of Ukraine drew our attention elsewhere, and I found myself with legendary Canadian poet Penn Kemp co-editing Poems in Response to Peril, an anthology which unites 48 of Canada’s most prominent poets in speaking out against the war. It was a fundraiser for the Canada-Ukraine Foundation’s efforts to assist displaced Ukrainian cultural workers and it raised $3000. Much as the library seemed satisfied with what I was doing, all good things have to come to an end and so I prepared myself for the end of my term this fall. Wanting to go out with a bang and to thank the community, the library, my sponsors, and the Poet Laureate Committee for my opportunity to serve, I created and performed Butterfly Tongue, a one-hour musical stage play that featured a singer-guitarist and 11-person choir. Its positive reception at two sold-out performances at Grey Roots in June gave me momentum to bring the show on the road to the Kingston and London fringe festivals. I’d like to say that as my term winds down and I prepare to hand the laurels to my successor, I’m decelerating, but that is not the case. As artistic director of the Words Aloud poetry festival, with my dream team of fellow committee members I celebrated poets for the first iteration of Words Aloud since 2019. By the time you read this the festival will have happened and I will probably be in the tub with a well-earned glass of Pinot Noir (worst case scenario: peering at passersby through the blinds, wearing a foil hat). It’s been quite a ride. The laureateship essentially made me the artist I am today and I owe so much to the Owen Sound and North Grey Union Public Library (especially to Tim Nicholls Harrison), to the private sponsors who support the program, and to the committee that selected me. I can’t wait to see what my successors will dream up to get poetry out there and to keep it prominent on Owen Sound’s artistic scene. Let’s hope the community will offer the next laureate the same opportunities to impact lives as I enjoyed. My final words to you as laureate: leap over the edge of language with them. Attend their events. Read their poems. Buy their books. Support them in every way you can. Make Owen Sound a poetry town. After all, every community is full of poems, we just don’t always notice them. Owen Sound is one of the fortunate few cities blessed with a laureate to pick those poems up off the sidewalk, brush the dirt off them, and hold them up to the sun. It’s worth celebrating. Owen Sound Farmers’ Market YES, WE ARE OPEN! The Market is open Saturdays 8am-12:30pm www.owensoundfarmersmarket.ca Celebrating 175 Years! in downtown Owen Sound featuring 50+ local vendors 114 8th Street East 519-371-3433 8:00am to 12:30pm every Saturday www.owensoundfarmersmarket.ca It’s not too early to think about Christmas This year, give the gift of memories! It’s time to digitize your old media VHS, VHS-C, 8mm & Super 8mm film, 3/4” tape, Betamax, BetaSP, miniDV, 8mm tape, DVD, audio cassettes, reel to reel, 8-track tapes, records, mini tapes transferred with care to USB, CD, or DVD. Richard Thomas Communications 519-270-6513 www.richardthomascommunications.com Stone Tree Golf-Fitness-Banquets Your full service fitness centre! KEEP YOUR NEW YEAR’S RESOLUTION! JOIN STONE TREE’S FITNESS CENTRE TODAY! All memberships include club orientation, machine demonstration, general workout technique guidance, towel service, group exercise classes, and sauna. In person and online personal training and nutrition programs are available. ENJOY A FREE ONE-WEEK TRIAL MEMBERSHIP. Offer valid until March 31, 2024. Get in touch today: email@example.com or (519) 376-7899 x2. 318085 Hwy 6 & 10, Owen Sound www.stonetree.ca Live Music Festival! April 15-26, 2024 Entry Deadline: February 16, 2024 (TBA titles due March 8) REGISTRATION OPENS DECEMBER 2023 Visit our website to view the class list & rules Classes available in: Piano, Speech Arts, Brass, Woodwinds, Bands, Strings, Orchestras, Musical Theatre, Classical & Popular Voice The Grey County Kiwanis Festival of Music kiwanismusicfestival.net/ Sponsored by the Kiwanis Club of Owen Sound OSLT’s first production of the season, One Flew Over the Cuckoo’s Nest, is masterfully brought to life by cast and crew with performances November 9 to 12, and 15-19. But hold onto your hats, as there are two more OSLT productions to look forward to this season: Get tickets now for The Ladies Foursome, a heartwarming Norm Foster play, under the masterful direction of Bill Murphy. This fast-paced golfing tale unfolds from February 8 to 11 (Sunday matinee!) and February 14 to 17, 2024, promising a juicy cocktail of secrets, confessions, and hilarity. OSLT’s final 23-24 production is the hilarious musical Something Rotten!, directed by Kathleen Cassidy and hitting the stage April 11-14 (Sunday matinee!), 18-20, and 24-27, 2024. Set in the boisterous 1590s, this musical adventure follows the Bottom brothers, Nick and Nigel, as they try to outshine none other than the “The Bard.” Auditions for this riotous spectacle will be held at The Roxy on November 25 and 26, 2023; please visit the website for details. The Slocan Ramblers take the stage December 1 with their bold and dynamic bluegrass band. On December 3, join Choir! Choir! Choir!, the Toronto-based singing duo, as they teach the audience an original arrangement to a song you love. Maggie’s Wake: Spirit of the Season is a Canadian roots band that combines traditional Celtic instrumentation with a contemporary approach, coming to The Roxy December 9. Back by popular demand are the Mudmen in Concert on January 19. Experience Acrobat - The U2 Tribute on February 23. Returning to the stage is Shipyard Kitchen Party’s Tom Thomson’s Wake, an original folk musical augmented with the high definition images of the artwork of Owen Sound’s own Tom Thomson on May 3. Classic Albums Live Performs: Led Zeppelin - Led Zeppelin II closes out the Roxy Presents series on May 4. Roxy Young Company is offering classes, camps, and a blockbuster full-scale production. Join us on December 20 (JR Class) and 21 (SR Class) for the RYC Act 1 performances of The Rainbow Fish!; Act 2 classes set sail from January to April, promising a thrilling voyage of team building and performance arts mastery, backstage wizardry, and tech marvels that support the RYC Spring Production. And, we are once again offering a March Break camp at The Roxy. Register your youngster now for these programs, as spots are limited! RYC’s Spring Production is The Addams Family Young@Part. Witness Wednesday Addams, the princess of darkness, as she navigates the treacherous waters of love and secrets. She confides in her father, and now Gomez Addams must do something he’s never done before – keep a secret from his beloved wife, Morticia. This is a show not to be missed, running on June 8 and from June 14 to 15, 2024. The Roxy’s newest program, Roxy Star Company (RSC), creates opportunities for adults living with complex needs – including intellectual, developmental, or physical disabilities – to participate in theatre. RSC is running monthly workshops, and registration is still available for the final three: Choreography on December 4, Makeup on January 8, and Singing on February 5. In addition, RSC’s weekly program will be running again from March to June, 2024, with a heartwarming finale hitting the Roxy stage on June 27. Thank you to the Ontario Trillium Foundation for making this program possible. For the full Roxy calendar and to purchase tickets, head to www.roxytheatre.ca or call (519) 371-2833. Become a part of The Roxy magic through our membership and donation opportunities, and we also have countless volunteer opportunities! Businesses or individuals interested in sponsorship or advertising are encouraged to contact our Executive Director Marcia Cunningham at firstname.lastname@example.org. We look forward to seeing you soon! When life goes upside down, the United Way can right things. Your donation today, can help right the world of someone whose life has turned upside down. Your donation stays local, solving local. Bruce Grey DonateToday.ca 519-376-1560 Change starts here Rob Rolfe’s latest collection of poetry sets the scene right from the title Don’t Look Back (published by The Ginger Press, 2023), since the work within is, well, all about looking back. This central contrast firmly establishes the atmosphere of contrariness, of opposites existing at the same time, that permeates the poetry, prose, and lyrics that make up the collection. From the first poem, “Freighter,” which juxtaposes the openness of dawn and empty fields with the vertical solid wall of a lake freighter, we encounter a world where sweetness and foulness, predation and generosity, heartbreak and connection, are two sides of every time-worn coin. This sense of opposites carries over into Rolfe’s ability to slip from everyday phrasing into sun-splashed turns of phrase, as in “Safe Passage I”, where “…a shy deer/waded/upstream/on a bed/of restless/pebbles,” or in Kagawong, when “…a lone raven/hides out/in the woods/its kra kra/a rift in/the silence.” These delicate touches also serve to relieve the weight of his unflinching depictions of death and putrefaction, something he has in common with the late Patrick Lane, who was also unafraid of depicting life’s at times brutal nature. Don’t Look Back is divided into five sections, which roughly correspond to short prose pieces, song lyrics, and Rolfe’s signature haiku-like short poems. The subjects range from sensory nature walks; to reflections on the ghosts of past labour leaders, revolutionaries, and soccer icons; to recollected moments, such as clearings in a dim woodland, of childhood and young adulthood spent in London and Montreal; to lyrics to which the reader can hear the far-off cadences of roots and blues music with their themes of broken-heartedness, loss, patient suffering, and surrender. The final section, “Six Songs,” leaves the reader with the feeling that while we label certain lives and ways of living as ‘marginal’, we are all in fact living on the margins; in that we all feel the sense that we are different from everyone else, that something keeps us apart and on the outside even as we strive for connection. That this feeling can be, if only briefly, bridged by a well-expressed poem or song or piece of artwork, is one of the testaments of the value of art. Rob Rolfe, in his depictions of that experience of marginality, speaks a language we can all understand. --- HISTORIC LEITH CHURCH DONNA PHILLIPS Join us in the lamp-lit beauty of Leith’s “Auld Kirk” for the Festival of Nine Lessons and Carols in word and song at 7:30pm on December 17. The lessons will be read by members of the North-Grey community and there will be congregational carol singing of many old favourites. This is a very popular event and, as seating is limited to 150, we suggest an early arrival to ensure a place. No tickets required. Located at 419498 Tom Thomson Lane in Leith. FINDING THE SWEET SPOT BETWEEN DOING AND BEING NEIL BALDWIN Ever hear someone say they needed a vacation from their vacation? Maybe you’ve even exclaimed this yourself. Sometimes it’s because logistics ended up a mess but more commonly the time away was over-programmed. Lots of activities and outings to cross off the list. Coming and going. Eating here, drinking there. Rush to scenic sunset spot, pose for selfies, record video clips. Then glance at the horizon to realize the sun has set on you. Here in Grey-Bruce we have the good fortune of an abundance of activities to do, and opportunities to just be. Each of us will have our own balance between doing and being, but my invitation is to step back, consider whether your tendency is strongly one or the other, and explore the experience of moving away from that. If you’re a Type-A kind of person, for instance, try consciously making an effort to just “be” when you next find yourself at whatever constitutes a place of beauty. Focus on what is coming in through your senses; dampen thoughts about what is to be done or coming next. Seriously, grant yourself permission to not do or accomplish anything for a while. If you happened to read my article on meandering around in a tiny Teardrop Trailer (Owen Sounder, Summer 2023) you might guess, correctly, I’m not a Type-A and I’m content without a lot of planned activity or objectives. If anything, I tend toward plentiful gazing and pondering but, hey, in retirement (or as my daughter calls it “repurposement”) after three decades as a Counsellor, I’m enjoying these precious moments. When the trailer is parked back at home, I operate a little venture called SoulTrail which offers personal development experiences in harmony with nature – forest therapy, sound baths, breath work, yoga, and more. It all happens within the context of a Personal Day Retreat, which is largely unscripted except for your choice of experience for part of it. My aim is to provide a perfect, and private, “container” to genuinely take a day off. No other participants to interact with, just a bright airy yurt in the middle of 50 peaceful acres of woodlands and trails. Contact me for more information at soultrain.ca or (519) 794-0129. Whether you take a vacation, local day trip, or a retreat like mine, if it’s a “getaway” then GET AWAY. Away from your regular routine, and surround yourself with new scenery – physically and mentally. Your soul will thank you for the nourishment. 4TH ANNUAL STUDENT MAKERS’ MARKET Are you a student between 14-20? Do you produce a handmade product? The Business Enterprise Centre (BEC) invites you to be a vendor at the 4th Annual Holiday Market from 11:00 to 2:00 on Saturday December 9 at the Sydenham Campus (1130 8th Street East, Owen Sound). We provide the space, tables, square readers, lunch for participants and event promotion. Vendors are responsible for set up and take down, and their own business transactions. Tables are free but registration is required. Contact email@example.com today to reserve your spot today. MAKE A BIRCH BARK & PORCUPINE QUILL ORNAMENT GBARTS On Sunday, November 26, from 10:30 to 3:30, and using materials found and processed by instructor Brittany Jones herself, create a lovely ornament made of porcupine quills and birch bark. You will discuss the harvesting of supplies, plus how to select quills. Brittany Jones is Anishinaabe from Neyaashiinigmiing First Nation. She is a mother of two, a lover of nature, and a craftsperson. She works with beads, leather, porcupine quills, birch bark, caribou hair, and fabric to create jewellery, moccasins, mittens, medallions, and framed art. She made her first pair of beaded earrings when she was ten years old, under her mother’s instruction. It wasn’t until she made a pair of beaded vamps for the Walking With Our Sisters project ten years ago that she really developed a passion for beading. After a few years of honing her craft, she began facilitating workshops in her community and surrounding area. Brittany believes that if you have traditional knowledge that was passed on to you, you have an obligation to teach and share that knowledge with others. Register now for this class ($125) at gbarts.ca or (519) 371-2200 or 938 2nd Avenue East. Class size is limited. THE GINGER PRESS PRESENTS 38TH ANNUAL AUTHORS' OPEN HOUSE SATURDAY, DECEMBER 9 11:00-2:00 Meet dozens of the finest local authors, learn about their books, and get autographed copies for everyone on your gift list! Enjoy our made-right-here seasonal munchies and hot cider! Everyone welcome; no charge! THE GINGER PRESS 848 2nd Avenue East, downtown Owen Sound (519) 376-4233 www.gingerpress.com GREY COUNTY AND THE GREY ROOTS MUSEUM AND ARCHIVES CULTURAL INITIATIVES FUND LILI ANNE HOLDING I am a recipient of the 2023 Cultural Initiatives Fund sponsored by Grey County and the Grey Roots Museum and Archives (GRMA). My project is entitled Alpha to Omega: Owen Sound’s Greek Community: Alpha, the beginning of a Greek community established in Owen Sound to Omega, the migration of family descendants to other regions in North America. This significant ethnic culture contributed to the success of local economics, provided financial stability, supported the development of tourism through cultural and athletic events, and had a municipal and federal political voice, which shaped Owen Sound, Grey County, and Ontario. I have written two books: Mythos (1912-1932), which tells the story of my Georgas grandparents Christos’ and Sadie’s immigration and establishing their confectionery and theatre businesses while raising their family of ten children in Owen Sound; and Oykos (1933-1963) which tells stories of their family through my father Earl’s perspective. I am currently in the process of writing my third book which relates to lifetime achievements of my father, uncles and aunts, and their local, provincial and world notoriety through their businesses, sports, and music over the years of 1963-2023. I have researched and written about other Greek families who lived in Owen Sound over the past century. These families were all connected to Christos and Sadie through marriages or friendships originating in their homeland villages in Greece. I engaged videographer Graeme Bachiu, who is a celebrated winner of the 2021/2022 Ontario Historical Society’s President’s Award for his production Canfield Roots. He interviewed Maria Miras Gavaris, Achilles Stavrou, Louis Gavaris, and me, all descendants of the originating Greek families of Owen Sound over the past century. Through conversations, we told our family stories of immigration to Canada to finally settle in Owen Sound to establish long-time family roots and create a better life for ourselves and our families, and to help homeland community family members. Graeme, in his creative genius, is weaving the stories and pictures into a narrative video which will be launched in June, 2024, at the GRMA. The video will be made accessible to residents of Owen Sound, Grey County, and other Greek communities in Ontario, Canada and worldwide through YouTube and other social media. The Alpha to Omega project – an unreported piece of Ontario history – will be connected to the Hellenic Historical Foundation Greek Canadian Archives at York University. Contact Grey Roots Museum and Archives for information regarding the other successful recipients of the Grey County and the Cultural Initiatives Fund at https://greyroots.com/community-fund. GOING BACKWARDS TO MOVE AHEAD TRUDY GAHLINGER But why? was the constant and incredulous response when I told people I was moving from Victoria to Owen Sound. It seemed incomprehensible that one could “leave paradise for a small town in the middle of nowhere” as one friend put it. Another friend said: “you’re going the wrong way”. It was my oldest sister who suggested Owen Sound when I began to dream of moving. Having lived in cities all my life, I had grown tired of all of it: the constant noise, cars, busyness, lights, expenses. I was looking for a new home with specific criteria in mind: small town, beautiful environment, strong arts community, closer to family, and less costly. Owen Sound had it all. Arriving here a month ago has been the new start I was hoping for. Our apartment looks out on a beautiful grove of trees, and I spend many moments watching the flow of patterns as the colours change. I talk to the fishermen catching rainbow trout in the harbour and marvel at their good fortune. The arts community is vibrant and every venture into town brings delightful discoveries: the Artists’ Co-op, the Grey Gallery, the Georgian Bay School of the Arts, the Tom Thomson Art Gallery, the Ginger Press… People are kind, helpful and have time for conversation. While large cities have an abundance of services and activities, it can take a long time to find one’s way to individual passions and interests. Here, life is simple. The Farmers’ Market has only one stall selling eggs, one stall selling apples. How refreshing! Communities across southern Georgian Bay and beyond are grappling with the challenge of affordable housing. But affordable housing is not just a local issue – it’s a global crisis with profound consequences for individuals, communities, and economies. There are extensive social and economic costs of failing to address this crisis. The most immediate and heart-wrenching cost of the affordable housing crisis is the impact it has on individuals in need of housing. This can affect individuals and families in a variety of ways – at its most severe, those who are unable to secure stable and affordable housing may experience homelessness and the myriad of risks and challenges that accompany it. Some individuals may find themselves stuck in unsafe or unsuitable housing with no other options available, while others may be limited to living with family members long after previous generations would have flown the nest – not experiencing the typical milestones of young adulthood and feeling despondent about their future. A lack of affordable housing can lead to longer commutes for those who must travel between their more affordable home and their place of work. Lengthy commutes not only result in lost time but can also lead to decreased workforce productivity and contribute to emissions that drive climate change, another crisis faced by our communities. It can be challenging to recruit and retain employees when there is a lack of affordable housing, which can have a significant effect on a region’s economic growth. The Institute of Southern Georgian Bay will host an in-person event at Meaford Hall on Friday, November 17 from 9:00 to 12:30: New Ways to Finance the Housing Affordability Gap will address the urgent need for, and challenge of, building affordable housing. There is no charge to attend, but pre-registration is required at the Institute of Southern Georgian Bay (https://isgb.com). Jenn Rae is the Housing Development Coordinator, Town of Collingwood. The Georgian Bay Garden Club, founded in 1990, began as an initiative by six women, all keen horticulturalists and floral designers. By May, 1993, the Club membership increased dramatically. A Scholarship Committee was formed, and criteria were established for a $500 bursary, to be awarded to a student from the Owen Sound area pursuing post-secondary studies in horticulture, landscape architecture and/or environmental studies. Bursaries have been awarded annually since 1993. Currently the value of the annual bursary is $1,000. The Georgian Bay Garden Club raises money for the bursary with a number of fundraisers throughout the year, including garden tours, garage sales, plant sales, and the sale of Christmas urns, which will take place at the Community Waterfront Heritage Centre from 10:00 to 1:00 on November 18. Bursaries are open to students graduating from all secondary schools in the Bluewater District School Board and the Bruce-Grey Catholic District School Board. The application can be found at https://georgianbaygardenclubowensound.com and are accepted until July for the following academic year. The 2023/2024 recipient is Taylor Legge, who is currently a third year student at the University of Guelph, Bachelor of Science in Agriculture with a major in Crop Science. Taylor's studies focus on soil science, nutrient management, plant breeding, and agronomy. In addition to her studies, Taylor has volunteered for the Bruce Trail at Cape Chin, and cleaning phragmites off the Port Elgin shoreline. Currently Taylor sits as the president of the University of Guelph Soil and Crop Club, the Vice-President of the University of Guelph Women in Agriculture Club, the Central Student Representative on the Ontario Agricultural College Student Federation, and she is a member of the Bruce County soil and crop improvement association. The tradition of Christkindl Market dates back to the Middle Ages when city streets and town squares were transformed to street markets during the four weeks of Advent. We've added a twist and brought the Christmas market to the country. Presented by Symphony in the Barn and made possible by Glencolton Farm, the Christkindl Market will take place Friday December 8 from 4:00 to 9:00, and Saturday December 9 from 2:00 to 9:00 pm. Funds raised will benefit Saugeen Academy High School; the event is about giving back to the community and continuing to put the culture back in agriculture. Located just outside Durham, Glencolton is a fully biodynamic farm, which has hosted Symphony in the Barn with Canada's premier performers and rising stars since 1995. Michael Schmidt, farmer and Artistic Director, has presented full-scale operas, jazz concerts, film festivals, native dance troupes, chambers and full orchestral classical performances. Christkindl Market will include activities for children and adults such as sing-along Christmas music, horse-drawn wagon rides, candle dipping, Incus Forge Blacksmith demonstrations, chestnut roasting, storytelling, an organ grinder, bannock making, and more. The Artisan Village will include booths from many local craftspeople, and there will be food and hot drinks available. There will also be a special performance of Messiah Amongst the Cows at 8:00pm on Saturday. For more information and tickets for the Christkindl Market as well as Messiah Amongst the Cows, phone (519) 372-6570 or visit christkindlfarm.com. Winterfest, a celebration of local makers and producers, will take place under the canopy at the Owen Sound Farmers’ Market from 11:00 to 3:00 on Sundays, December 3, 10, and 17. Get into the holiday spirit with handmade local treats and gifts including art, cards, crafts, and food. There will also be live music and lots of opportunity to meet and mingle. Organized by Michelle Biggins and Patti Waterfield, this is the first Winterfest, a new local holiday tradition! In 1959, Ray Lowes had a conversation with Robert Bateman about his dream for the Niagara Escarpment. In 1960 Ray Lowes, Phillip Gosling, Norman Pearson and Dr Norman McLaren met to discuss the vision of a footpath along the entire Niagara Escarpment. The concept of the Bruce Trail was born. Can you imagine the importance of going door to door to gain access to the escarpment? It took courage and stamina as well as passion and vision to make their dream come to fruition. Here we are, the people they hoped to become encouraged by their foresight and taking advantage of the trail for our enjoyment and commitment to the preservation of nature. The official opening occurred in 1967. Bob and I were living in Toronto in 1968 and joined the Bruce Trail at the Sportsman’s Show. We decided to hike the trail south of Hamilton where we met new hiking friends. In 1969, four of us planned a trip to hike on the Bruce Peninsula; we stayed with Ruth Arnsburger and her husband. They were so welcoming and we felt a sense of belonging. Both days they helped us with the shuttle. As we headed back home, we drove through Owen Sound. Driving down the steep hill on the old 10th St West gave us a wonderful view of the city. We crossed the train tracks just east of the river and followed the winding route that took us by St Mary’s Church and on to Highway 10 toward Toronto. We loved the Bruce Trail and were intrigued by Owen Sound. It was our experience up here that led us to become members and to move here in January, 1970. We are still here. We meet newcomers to the area hiking on the trail or at Bruce Trail social events. They love that Owen Sound is almost surrounded by the Bruce Trail. It is easy to find new places to walk or hike and enjoy nature in all seasons. The dream of the Bruce Trail continues on. Let’s ensure that it remains a place of conservation of nature, a place of peace. One sunny Sunday morning in late July, a friend’s post surfaced in my Facebook feed: “Come out and see me today at the Rocklands Market!” A quick Google Search revealed the property lies just outside of Berkeley, on Sideroad 60. We found it easily enough. Signage reading “Love only beyond this point!” guided us along the meandering gravel lane, through the forest, and into an open field for parking. A marked walking trail led us up through the field to a second parking lot – this one fully accessible – and the outdoor market beyond. There, we found all kinds of handicrafts, homemade soaps, art, and local products for sale. Carrie Cathrae-Keeling’s display showcased her intricate mandala artworks, as well as her husband’s epoxy woodworking. Owen Sound textile artist, Shawna Katz, sat in the shade of a pop-up tent with her mother behind a table laden with her intricate crocheted works. The owners of a Black-woman owned woodworking shop in London taught a young boy woodburning in the shade of their stunning wood and glass studio display. Rebecca Morelli DJed and sang from a small tent just across the way from a large cyberpunk smoker that puffed away, tended by an aproned woman I soon learned was Tracy Nietvelt-Prentice. The owner of The Market Shoppe in Markdale, Tracy is also the curator of this Sunday market experience at the Rocklands Market property. The next weekend, I went back to take a watercolour class on ‘Embodied Emotions’ under a canopy of trees, led by talented local artist Sarah-Rose Irwin. Rocklands was a place where I wanted to spend more time – and to share with friends, too. In this creatives’ paradise hidden away in Grey County forest and farmland, one structure loomed large above us all. It’s called The Black House, and the 2700 sq ft angular black steel building is a blank slate suitable for wellness retreats, social programs, weddings and festivals, corporate meetings and retreats, and workshops. And, as I learned upon inquiring about renting the space, it’s the creation of award-winning chef, author, and recording artist Roger Mooking. The Trinidadian-born, Canadian-raised talent is perhaps best-known as the host of Man Fire Food and Everyday Exotic, both aired on Food Network here in Canada, and as a recurring judge on Chopped Canada. Roger was MC Mystic as part of the Juno-award winning group Bass is Base before releasing six solo albums, and is the author of Everyday Exotic: The Cookbook (2011). Now, he’s a part of the Grey County community – and a great addition, at that. I met Roger in late summer to tour the Black House. What brought him to Berkeley, I wondered? He’d been looking for a place to create a modular facility that blended outdoor and indoor space, he said; something within a few hours of Toronto. In Grey County, on this 12-acre farm parcel punctuated by dense stands of Canadian sugar maple, pine, cherry, heritage apple, and cedar bush, he found the perfect fit. Over a few short years, Roger has already developed the Rocklands property into several modular spaces that can accommodate different groups and activities, indoors and out. There’s a campfire area, a Hog & Maple pit with a Caroline-style whole hog custom pit, and the smoker area with cyberpunk smoker and butterfly grill. As you peek to your left coming in the lane, you’ll spot a magnificent burn vessel from Roger’s March, 2023, art installation in Nathan Phillips Square. Working with the City of Toronto, a designer, and an Indigenous Elder, he was lead artist of the exhibit of three metal installations burning in 30’ pools of water over 24 hours in the iconic square. Among the mature trees and natural stone elements, The Black House stands out for its modern design and engineering. Fully accessible, with a ramp and large washroom, The Black House event facility boasts not one but two modern kitchens that could only have been designed by a chef, with a combi-steam oven, convection oven, seven burners (two induction, five electric), a warming drawer, 36” freezer, and 36” fridge, to name a few features. You may notice a few more accoutrements and found objects from Roger’s travels tucked into the Cathedral Dining Room. A pizza box. A Lego sneaker. A sketch of the topography of the area by local Berkeley artists who attend the market. Most of the alcove is dominated by a long table, intentionally designed with no head or foot at the table. And aside from these few personal touches, the white-walled space is a wide open canvas for events of all types. “I have more breakers in this building than you can imagine,” Roger shared with a laugh. “We purposely did that to accommodate all kinds of needs, from AV for presentations and weddings to a full audio or video recording studio.” The building is designed in such a way that it can serve as a festival hub, a wellness retreat facility, an audio or video production studio, or even an art gallery. Roger is happy to connect event organizers with local vendors including artisans, crafters, and caterers capable of servicing the full gamut of food and beverage needs, from snacks and coffee breaks to full meals at different price points and themes. Those looking to make use of the outdoor live fire components get support staff, as well. The entire space is the product of Roger’s imagination and determination. “I drew this Black House and asked the designer and architect to make it legal,” he chuckled. As we toured The Black House, my imagination churned with ideas for my own events. This is a place where creativity can flourish. As our tour came to a close, Roger gifted me a pre-release copy of the book he’s co-authored with Nigerian-born Canadian author francesca ekwuyasi. Roger met francesca on Canada Reads, when he championed her first novel, Butter Honey Pig Bread. Their collaborative work, Curious Sounds (Arsenal Pulp Press, 2023), is a dialogue across mediums between the two artists who mirror the arc of life: the Learning, the Living, and the Leaving. Essays and vignettes are interwoven with tracks from Mooking’s album SoundBites, and photographs shot at Rocklands appear throughout. This is indeed a special place, in which creativity and connection have the support to kick off and ample space to grow. I’ll host another writing event at Rocklands in the spring, and look forward to visiting the market there in summer. It begins after Canada Day and runs for six weeks on Sundays. Those interested in joining as vendors can reach out to Tracy at The Market Shoppe in Markdale. Roger says it’s his goal to create opportunities for local artists and crafters so they can have a home here at Rocklands. You can explore the space online at rocklandsmarket.com, and email firstname.lastname@example.org to inquire about hosting your next event at Rocklands Market. Please join us for the SECOND ANNUAL Downtown Dine Around TUESDAY NOVEMBER 28 START TIMES: 5:30/6:00/6:30 EXPERIENCE a remarkable three-course fundraising collaborative dining experience at three of the finest eating establishments in downtown Owen Sound. HELP Supportive Outreach Service (SOS) which provides medical, mental health and social supports to people in downtown Owen Sound and beyond. The United Way of Bruce Grey assists with many of the unfunded needs that emerge in this work. START at The Milk Maid. CONTINUE at Parkwood, FINISH at Fresh Roots. Each restaurant will serve one Downtown Dine Around course; there will also be speakers explaining SOS activities. THEN, if you’re up for more, head over to Heartwood Hall for their Open Mic Night. TICKETS ($85) include dinner and donation to SOS (a tax receipt for $45 will be issued); and are available at www.downtowndinearound.ca. Ticket includes dinner and donation. Alcoholic drinks are not included; please do not drink and drive. Tickets for Heartwood Open Mic ($5) are available at the door. POETRY PARTY LAUNCHED KATE RUSSELL A new poetry gathering space has begun at the Nottawa Art Studio and Retreat. Starting auspiciously on Friday the 13th of October, the event features an evening of spoken word poetry and open mic spots. The next event is scheduled for November 17 at 7 p.m. Kate Russell, poet and creative mind behind Carrot March Productions has teamed up with Lory MacDonald of ArtsFest Ontario to begin what will become a regular poetry evening every third Friday at Nottawa Art Studio and Retreat in Nottawa, just south of Collingwood. An artist and show producer for Artest Ontario, MacDonald is a leader in the arts community. Her entrepreneurial passion and creative ideas have inspired artists of all ages. She is dedicated to promoting and providing opportunities for artists to create, exhibit, and sell their work. She is a recipient of the Collingwood Arts & Culture Award. While the first event featured Wes Rickert, a sound poet who uses everything from toy trumpets to kazoos to accent his absurdist performance poetry, Russell herself brought new poetry from her recent road trip to the west coast poetry scene, and offered open mic spots. The next Poetry Party is billed as a Laureate Lounge. Owen Sound’s own popular and prolific 2019-2023 Poet Laureate Richard-Yves Sitoski will take to the ‘magic carpet’ to share his wordsmith talents. Sitoski is the Artistic Director of the Words Aloud festival. He regularly collaborates with Grey Bruce Pride, SHEATRE and the M’Wikwedong Indigenous Friendship Centre. Joining Sitoski for the evening will be Collingwood’s 2022-2024 Poet Laureate Jillian Morris. As an Indigenous woman deeply curious about people, the natural world, and life, Morris likes to ask questions, examine, explore and wander to tell stories in pieces. She will bring her voice and culture to the event. Also booked for the evening is Tyneisha Thomas (Ty the Poetess) the current Poet Laureate (People’s Poet) of Barrie. Thomas will bring her dynamic spoken word style to the mic, offering poems from her book Bearing Fruit and promoting her unique style of heart-felt poetry and songs that speak to the soul. The event will be interspersed with open mic opportunities for new and experienced poets to bring their own words to the evening. Admission to the Poetry Party is by donation and refreshments will be served. Come out and enjoy an evening with local poets at this refreshing new venue located at 2 Townley St., Nottawa. For more information contact email@example.com. THE TWO PERSON BOOK CLUB JOSH RICHARDSON The joke goes that if one of us departs, then the book club is in trouble. The book club has two members. We meet semi-irregularly, as Book Club Member #1 says. The majority of the club’s time is spent selecting a book. This is a painstaking process. It took approximately two years for us to decide upon our first book. The club’s decision-making procedure is simple: both members must agree upon a book. Our first book was On Violence by the Slovenian philosopher and psychoanalyst Slavoj Zizek; the second: On Tyranny: Twenty Lessons from the Twentieth Century by American historian Timothy Snyder. We are currently reading The Diaries of Franz Kafka. The club is not humourless. Both members have copies of Jewish Comedy (A Serious History) by Jeremy Dauber, unread. I twice proposed reading Lucille Ball’s autobiography Love, Lucy to the club. Zizek’s Jokes, published by MIT Press, is not terribly funny. The club began in 2015. After many coffees and discussions about death, politics, American transcendentalism, and Annette Funicello, Book Club Member #1 presented me with a copy of Sanford D. Horwitt’s Let Them Call Me Rebel: Saul Alinsky, His Life and Legacy. To this day I do not know if Book Club Member #1 read it. There is no guarantee that a book will be read by either club member upon its selection. Numerous books have been selected by the club and remain unread by both members. What is the purpose of a Book Club which does not read books? The question sounds absurd. Pierre Bayard’s book How To Talk About Books You Haven’t Read may be of some help, but I have not read it. It sits on my shelf dedicated to the books chosen by our two-person book club. I suppose we do not read some of our selections, because it’s not the right time to read them. Timing is key, says Book Club Member #1. For example, both Book Club members have put off reading Danish psychologist Svend Brinkman’s Grief: The Price of Love. Intersections is a non profit woodworking studio in Owen Sound offering wood-focused learning opportunities for everyone through workshops, demonstrations and community events. This season, we have a multitude of offerings and events for woodworkers of all skill levels. Our fall series of workshop is well underway: Fundamentals of Woodworking 2 with Pierre Rousseau starts November 17 where our introductory Fundamentals course leaves off. This 10-week course will build on core skills through the process of constructing a uniquely designed chair. Visit our website to check it out! For those looking for a satisfying weekend experience, Intersections is offering a series of woodturning workshops with master turner Carl Durance leading up to the holiday season. In Introduction to Ornaments (November 11-12) and Advanced Ornaments (November 25-26), you will learn to turn and finish intricate and lovely pieces for tree and mantel. To delight yourself or a youngster, learn to turn and set up a unique Kaleidoscope (December 9). Looking for that unique Christmas gift? Consider buying a course registration or gift certificate. Looking for a gift for the whole family or group? Contact us to set up a weekend experience. We offer custom group workshops for all skill and experience levels, including tailored workshops to make paddles, charcuterie boards or bowls. Last but not least, our CNC machine has a dedicated group of members working to make this piece of woodworking technology more accessible. Stay tuned for courses, as well as custom work for sale from our CNC enthusiast members. We have several special events coming up. Women in Woodworking, from 1:00 to 5:00 on December 3, will feature a showcase from across our area, including a demonstration and discussion led by internationally known woodturner and artist, Marilyn Campbell. We will also participate in Welbeck Sawmill’s Woodshow near Durham on December 2 (10 am – 3 pm). Intersections is also a hub for conversation, consultation about woodworking, and working on your own project. Our open hours are Tuesday to Thursday 10 am – 3 pm and we encourage everyone to stop by and see what is happening in the shop. For more information and to join our email list, please visit our website at www.intersectionsstudio.com, follow us on facebook or email us at firstname.lastname@example.org. SEASON’S GREETINGS ABOUT BOOKS SECOND-HAND, OUT OF PRINT & ANTIQUARIAN BOOKS BOUGHT & SOLD Saturday Mornings at the Owen Sound Farmers’ Market 519-371-2100 www.aboutblks.com Antiquarian Booksellers’ Association of Canada Bruce Trail is for everyone. Membership Matters contact: email@example.com UPWARDS ART STUDIO SHOP LOCALLY FOR ALL OF YOUR ART SUPPLY NEEDS 975 2nd Ave East, Owen Sound ON N4K 2H5 https://upwardsartstudio.com 519-370-0448 facebook.com/upwardsartstudio instagram.com/upwardsartstudio ALEXA BURNS REGISTERED PSYCHOTHERAPIST SESSIONS IN PERSON, ON ZOOM, OR BY PHONE 519-372-2202 firstname.lastname@example.org Build a solid longterm plan Think about the legacy you want to leave. Whitehead Beckett Financial Services Tel: (519) 364-3132 • advisor.sunlife.ca/whitehead.beckett Sun Life Whitehead Beckett Financial Services Inc. The advisors at Whitehead Beckett Financial Services are currently with Sun Life Financial Distribution (Canada) Inc., a member of the Sun Life group of companies. Sun Life Financial is a registered trademark of Sun Life Assurance Company of Canada. © Sun Life Assurance Company of Canada, 2023 POETRY PARTY LAUREATE LOUNGE EDITION FRIDAY 17TH NOVEMBER 7 PM - 10 PM OPEN MIC SIGN-UP 6:30 NOTTAWA ART STUDIO 2 Townley St., Nottawa, Ontario MARYLON HALL “The Real Estate Lady” broker TEL: 519.374.1242 email@example.com www.mhhallrealestate.com RE/MAX Grey Bruce Realty Inc., Brokerage 837 2nd Ave E, PO Box 1029, Owen Sound, ON N4K 6X0 Winterfest A CELEBRATION OF LOCAL MAKERS AND PRODUCERS AT THE OWEN SOUND FARMERS’ MARKET 11:00 - 3:00 SUNDAYS, DECEMBER 3, 10, AND 17 LIVE MUSIC • CRAFTS • HANDMADE TREATS An Owen Sound Little Theatre Production ONE FLEW OVER THE CUCKOO'S NEST Directed by Garry Lapointe November 12 at 2:00pm November 9-11 & 15-18 at 7:30pm www.roxytheatre.ca 519-371-2833 An Owen Sound Little Theatre Production The Ladies FOURSOME Directed by Bill Murphy February 8-10 & 14-17 at 7:30pm February 11 at 2:00pm www.roxytheatre.ca 519-371-2833 An Owen Sound Little Theatre Production SOMETHING ROTTEN! Director: Kathleen Cassidy April 11-13, 18-20, and 24-27 at 7:30pm April 14 at 2pm www.roxytheatre.ca 519-371-2833 The Roxy Young Company Presents: The Addams Family Director: Grace McRae June 8, 14, & 15 at 7:30pm June 8 & 15 at 2:00pm www.roxytheatre.ca 519-371-2833 2023-2024 SEASON NOW ON SALE!
CHAPTER SIX ARCHITECTURE OF THE AYYUBID PERIOD THE CITADEL (1183-84) Ṣalāḥ al-Dīn (1171-93), an Orthodox Sunni Muslim from Syria sent to rescue the Fatimids from the Crusaders, contributed to the development of Cairo on several levels. After repulsing the Crusaders and seizing power from the Fatimid ruler, he expanded the capital city to include all elements of the native and ruling population (al-Fustāt and al-Qāhirah), and dealt also with subversive Shiʿa movements. Ṣalāḥ al-Dīn is a hero in the Muslim world because of his victories against the Crusaders and the liberation of Jerusalem. In Egypt, he unified the two capitals into one large complex that was to be encompassed by an enormous set of walls, thus abolishing the exclusive nature of Fatimid al-Qāhirah. To meet the Crusader threat, he added to the city’s fortifications, founding the Citadel on the Muqattam hill to serve both as a fortress and residence of rulers and their garrisons. The foundation of the Citadel, like all major architectural works, is associated with a popular story. Ṣalāḥ al-Dīn, having ordered that several pieces of meat be hung in various places in the Egyptian capital, found that the meat hung on the Muqattam hill remained fresh much longer than the rest, and this prompted him to choose this site as having the healthiest air. This is, of course, an anecdote, and later interpretation. The Citadel was built on top of a hill because Ṣalāḥ al-Dīn came via Syria, and it was traditional in Syria at the time to build hill fortifications. The Muqattam hill was also Cairo’s only natural site for the fortifications required in medieval warfare. Ṣalāḥ al-Dīn assigned his vizier Badr al-Dīn Qarāqūsh to begin the works in 1183-84, according to an inscription slab over the main entrance, Bāb al-Mudarraj, but he did not live long enough to occupy the residence. A successor, al-Malik al-Kāmil, was the first to use the Citadel as a royal residence, in 1207-8, and from then until the nineteenth century, the Citadel was the residence of the rulers of Egypt. The main function of the Citadel was of course to connect and fortify the city’s walls, which Ṣalāḥ al-Dīn had ordered built to encompass all parts of the capital. Situated between al-Qāhirah and al-Fustāt, the Citadel formed a sort of joint between the northern and southern part of the walls. The Citadel was never besieged. It did, however, fulfill its residential role by housing the royal palace and its dependencies, just as the Fatimid walled al-Qāhirah was exclusively the residence of the Caliph and his entourage. The Citadel of Cairo is a gigantic complex of walls and towers to which all periods of Cairo’s history have contributed. Its present configuration is in two parts, the earlier northern enclosure, and the southern part constructed primarily by the Mamluks. The Northern Enclosure The northern part, an independent enclosure, was begun by Ṣalāḥ al-Dīn and completed by his Ayyubid successors, though later periods of history have also left their traces on its walls. This enclosure is an irregular polygon, whose walls and towers measure some 1,700 meters. Some towers are circular, built of dressed stone, others are rectangular and built of embossed stone. The differences of shape and type of stone cutting are Creswell’s argument for attributing the round towers to Salah al-Din and the rectangular ones to his successor, al-Malik al-ʿĀdil. To build the Citadel, several small pyramids at Giza were demolished, and Crusader prisoners put to work on the construction. Like the walls of Badr al-Jamāʿī, the walls and towers are built on three levels. The lower parts are buried today, and excavations are currently underway to expose them. Each tower is composed of several impressive halls large enough for several hundred soldiers. The function of each rectangular tower was to allow for the separate defense of each section of the fortress. Originally, the northern enclosure had two main entrances. The one facing the city, Bāb al-Mudarraj, is today incorporated in the walls and gates of Muhammad ʿAli and is accessible only from within the enclosure, though the original ramp, cut in rock, still leads up to the gate. The gate has its original foundation inscription naming Salah al-Din and his vizier Qarāqush. The vestibule of this gate has a painted blazon added later by Sultan al-Nāṣir Muhammad which is the earliest surviving painted blazon. Other late Mamluk inscriptions can also be seen there, commemorating later restoration works. The second gate, Bāb al-Jabal, also called Bāb al-Qarāfa because it overlooks the cemetery, is located on the same axis as Bāb al-Mudarraj, on the southeast side of the enclosure. The architects of the Citadel produced some innovations. Unlike the earlier Fatimid walls of Badr al-Jamālī, the Citadel had bent entrances for better defense, and the arrow slits reached to the floor, giving archers more flexibility. There are also machicoulis, projecting structures in the walls above the entrance from which hot liquids could be poured on invaders. Military improvements in the architecture were the result of long campaigns against the Crusaders. The Double Headed Eagle On top of one of the walls of the Citadel facing west barely visible from below is an eagle carved in stone, which is popularly attributed to Salah al-Din. This now headless bird, reported by travelers to have once had a double head, must originally have been located elsewhere, for its present location is atop a wall that was rebuilt several times. Casanova, the primary historian of the Citadel, notes that al-Malik al-Kamil had a coin struck in his name with a double-headed eagle on one side, which might have been the sultan's emblem, though Creswell believed, without indicating his reasons, that the eagle was of later date. The double-headed eagle is a common motif in Islamic art. Al-Malik al-Kamil was the first to dwell in the Citadel, and its first residential structures are therefore attributed to him, but very little is known of them and nothing has survived. He is reported to have built the royal stables, which of course were an important and integral part of the Citadel complex, due to the importance of cavalry in both Ayyubid and Mamluk armies. He also most likely introduced the homing pigeon post, in the tower called Burj al-Maṭār. Fig. 18 The Citadel in the Mamluk period (after Casanova) Elevated and remote from the Nile, the Citadel required special arrangements for the provision of water. Salah al-Din built an aqueduct to raise water with the help of waterwheels from the Nile to the hill. The one we see today was built later and further north by Sultan al-Nasir Muhammad and restored by Sultan al-Ghuri. The large hexagonal building on the Nile corniche at Fum al-Khalij once had on its top the waterwheels operated by oxen. The water went by slightly sloping channels to the next set of waterwheels and finally to the numerous cisterns of the Citadel, a total waterlift of more than one hundred meters. Salah al-Din also carved the famous ninety-meter deep well called Bi'r Yusuf (his full name was Salah al-Din Yusuf), an impressive achievement that always has astonished visitors. It was built in two levels, with waterwheels and a cistern midway and more waterwheels at the top. Baby oxen were taken down to work the waterwheels, remaining there until they died. The Citadel had a number of such wells, but this surviving one is most famous. There are remains of two other waterwheel complexes attached to the Citadel, one on the northeast side and the other on the southeast side with the name of al-Nasir Muhammad carved on it. The Mamluk palaces within the Citadel did not survive, but we know they were located on the south and west sides, overlooking the horse market. This, along with the royal hippodrome for equestrian sports, parades and ceremonies such as prayers on feast days performed by the Sultan and his court, were all strategically located beneath the Citadel from its earliest days. No spoils from ancient pyramids were used in the southern buildings; stone was cut on the site and the depression that resulted had to be filled in with earth and was then turned into a green park, al-Hawsh, for royal entertainments. The Mamluk sultans contributed regularly to the buildings, embellishing and refining the palatial complex of the Citadel. Shajarat al-Durr (1250) Shajarat al-Durr, the widow of the last Ayyubid sultan, al-Salih Najm al-Din Ayyub, was the first sultan of the Bahri Mamluk dynasty. Her first husband, al-Salih, did not stay long at the Citadel, but constructed a new citadel for himself and his troops on the Nile island of Rawda. The Nile was popularly called al-bahr; hence the name Bahri Mamluks. He did, however, add a hall at the Citadel which before it burned in 1285 was used as the sultan's residence. Shajarat al-Durr built a hall at the Citadel called the "Hall of the Columns," in the residential compound near the privat apartments. It was the harem's main hall and remained for several centuries. The sultana, a quite remarkable if briefly reigning queen, introduced a new musical ceremony at the Citadel: flute players and drummers were conducted by an amir in ceremonial garb, holding a golden rod and performing acrobatic movements by torchlight to the rhythm of the music. Shajarat al-Durr was fond of ceremonies. The historic funerary procession carrying al-Sālih’s body from his residence at Rawda to the mausoleum she built for him has been carefully recorded by historians. Al-Nāṣir Muhammad (1293-1294, 1298-1308, 1309-1341) Al-Nāṣir Muhammad was the most prolific builder (also a great rebuilder) in Cairo’s history, and his contributions to the residential architecture of the Citadel were by far the most important. He was not only fond of architectural projects, but ruled long enough to realize many of his ambitions, practically rebuilding the entire southern enclosure. He built a new royal mosque near the Iwān al-Kabīr, the ceremonial center of the residential complex. Al-Nāṣir often destroyed buildings and built his own on their sites, thus glorifying his own name and eclipsing those of his predecessors. His new palace survived until the beginning of the nineteenth century and was depicted by the French Expedition in the Description de l’Égypte. Although by that time abandoned and decayed, its remains still were evidence of its unparalleled grandeur. For the construction of the palace huge pharaonic granite columns were brought from Upper Egypt to support the dome—over forty red granite columns, according to the French consul in 1696. His mosque at the Citadel has such columns. A scholar of the Description found al-Nāṣir’s palace more impressive than both the mosques of Ibn Tūlūn and Sultan Hasan. An explanade, where the senior amirs sat before going on duty, separated the Great Hall from the other great palace nearby on the south, the Qaṣr al-Ablaq, named for its striped light-and-dark stone courses. This palace was less ceremonial, and composed of two halls facing each other, the qā‘a plan that was used. Sultan al-Zāhir Baybars (1260-77) Al-Zāhir Baybars reconstructed some of the walls of the Citadel and added new towers, among others the one at Bāb al-Qulla. He also erected a new palace overlooking the horse market, further evidence of the importance of the cavalry in Mamluk armies. A Palace of Justice, Dār al-‘Adl, was built outside the Citadel on its northwest side, where he held audience and performed his judicial functions. A tower with carved lions, Baybars’ emblem, has recently been excavated at the Citadel. Sultan Qalāwūn (1279-90) Qalāwūn restored the Great Hall (al-Iwān al-Kabīr), whose founder is not identified, though it might have been al-Malik al-Sālih, in the southern enclosure. He also enlarged its functions to include those of al-Zāhir’s Palace of Justice outside the walls, which was then abandoned. He is credited with the building of a large dome standing on columns of marble with gilded capitals. On the walls was a figurative map of the Mamluk empire with the names of its cities, forts, rivers, seas, and mountains. A dome at Bāb al-Qulla replaced the tower of al-Zāhir Baybars between the two enclosures. Qalāwūn also added various palaces and living quarters for his officers and mamluks. Al-Ashraf Khalīl (1299-93) Al-Ashraf, son of Qalāwūn, built an elevated pavilion with a view of the city, Gīza and the pyramids. Curiously, this pavilion had wall paintings of various amirs and their private guards, and a richly decorated dome on columns. ![Pl. 60 The Great Iwān of Sultan al-Nāṣir at the Citadel](image-url) (Robert Hay) in Mamluk and Ottoman residential palaces of Cairo. Between a huge dome covered with green tiles and supported by a number of columns, the larger northern iwān was oriented to the northwest breezes, facing the smaller southern iwān. Both had large windows with iron grills, overlooking the cemetery to the south and the whole city and its environs to the west and north. This palace has been recently excavated, together with some of the famous granite columns. Al-Qaṣr al-Ablaq communicated with three other palaces, two built higher than the rest and reached by stairs. The palaces all had facades of striped yellow and black stone, and interior communications between the private apartments of the sultan and the harem. Inside, the palaces had marble dadoes of various colors while the floor was paved with imported white marble. Glass mosaics with mother of pearl and painting decorated the upper walls, as well as large gilded inscriptions. Some remains of these can be seen in the excavated parts. The gilded iron window grills were surmounted by other windows decorated with colored Cypriot glass. Foreign travelers mentioned wall paintings representing houses and trees, and private apartments roofed by domes. Today, a close look at the remains of lavish decoration at Sultan Qalawūn’s mausoleum gives us a taste of this vanished architectural fantasy. All that has survived of the Mamluk palaces are a series of vast vaulted halls built on piers, in proportions recalling the pharaohs. The enormous projecting corbels facing the Citadel’s square make us wonder what great structures they supported. The park in the private part of the complex called al-Hawsh was green with grass and trees. Horses, sheep, cattle, ducks and chickens were kept for the use of the harem. Each of the official wives of the sultan had her own apartment. A staircase led from the private apartments to the stables, and the sultan also had a passage from al-Qaṣr al-Ablaq, where he held audiences twice a week, to the Great Iwān. Al-Nāṣir Muḥammad died before the completion of the palace called Duhaysha overlooking the park. It was completed by his son, al-Ṣāliḥ Ismāʿīl. Sultan Hasan (1347-51; 1354-61) Sultan Hasan, son of al-Nāṣir Muḥammad, built the gigantic mosque facing the Citadel, to flatter royal eyes with its imposing dome and double minarets. He also built a domed palace called Bayṣariyya, attached to the private apartments. Its walls were gilded and its height was eighty-eight cubits, or over fifty meters. It had a tower with a private apartment for the sultan, decorated with ivory and ebony, and its windows opened onto a garden. As nothing of these residential structures has survived, an important, if not major, part of the Mamluks’ architectural achievements is difficult for us to imagine. Two interesting points come from these accounts: paintings and portraits decorated the walls, and private apartments had domes. Nothing similar in Cairo architecture has survived. During the Mamluk period, the northern enclosure continued its important function, as the officers’ and armies’ quarters, and important officials and amirs had their residences in the Citadel. A prison set up in a cave was later abandoned because of the bad smells, and because al-Nāṣir Muḥammad preferred to keep the prisoners in the towers. Beneath the Citadel, on the site of Baybars’ palace of Justice, al-Nāṣir established the jablakhāna, a place where the royal ceremonial orchestra performed at intervals throughout the day. The Citadel is often described as a city in itself, lodging tens of thousands of people, with quarters and streets. It even had a Tatar quarter with a church until 1321. Several mosques and madrasas were located in the northern and southern enclosures, and there was also a great library. It burned in 1296. Remains of the original mint where coins were struck are still visible in the southern enclosure. Sultan Qāytbāy (1468-96) Sultan Qāytbāy was as fond of construction as al-Nāṣir Muḥammad. He enjoyed a fairly long reign, during which he restored the Great Palace and other structures at the Hawsh. Van Ghistele, visitor to the court of Sultan Qāytbāy in 1482/3, describes what he found at the Citadel: Arriving at the palace, they were led through nine or ten galleries and halls, until they reached a lovely summer residence, built with beautifully cut stone and decorated with paintings in gold and blue and other rich colors. The residence looked from two sides through handsome grilled and gilded windows upon courtyards, gardens and orchards with all kinds of plants and fragrant fruit trees. There were many fountains, not natural ones, but artificial ones to water all the gardens. Finally, in the residence, they found the most sumptuous thing that can be imagined. The walls, like the floors, were covered with polished stones such as black, white and pink marble, serpentine, porphyry, and other precious stones. The walls and hallways were decorated with moldings, knots, geometric shapes, and arabesques, as well as with mosaics and other things difficult to explain. In the middle of the residence is a rectangular basin knee-deep and three or four steps wide with fresh water and small fishes. The sultan can cool his hands and feet there whenever he likes! The floors of this place were covered with rich carpets and cushions, some covered with linen, others with silks and velvets, and others with golden draperies, or Indian leather of nice color and good smell. The sultan sat in this place on a cushion, his legs folded like a tailor, playing chess with one of his courtiers. Another visitor, von Harff, described Sultan Qāytbāy in the same year: There sits the Sultan at a man’s height from the ground beneath a tent with exquisite hangings, on fine carpets, his feet tucked under him as tailors in our country sit working at their table. Sultan al-Ghūrī (1501-16) Qāytbāy was not the last Mamluk sultan to embellish the Citadel. Al-Ghūrī loved luxury, jewelry, rich clothes and good food. He ordered the renovation of the Royal Kitchen, the Harem, the Qaṣr and the Hippodrome in the last of which where he spent the major part of his time. There, belvederes and loggias surrounded a pool forty cubits long, which on occasions such as receptions of embassies or the Prophet’s Birthday was filled with roses. The pool received its water from an aqueduct repaired by the sultan, and its water flowed down to irrigate the hippodrome gardens. Trees with fragrant fruits, carrying cages of exotic singing birds as well as kiosks and sumptuous tents pitched within the gardens, provided shade. There was also a Hall of Justice which al-Ghūrī did not much use. A tower connected al-Ghūrī’s plaisance quarters with the Citadel through an elevated passage. The sultan would give banquets, with food served on Chinese porcelain, enjoying his last days, while Sultan Selim marched toward Syria and Egypt. The next sultan Tūmānbāy, threatened by the advancing Ottomans, fortified the walls of the Citadel — in vain! The Ottoman Period (1517-1805) Sultan Selim, despite the great receptions that honored his ambassadors at the Hippodrome of al-Ghūrī, conquered Egypt in 1517. From that date until modern times, Egypt was reduced to the status of a province paying tribute to the Ottoman Empire. It was no longer ruled by sultans, but by governors who changed every two years or so, sometimes more frequently. The Citadel of course lost its imperial splendor. Sultan Selim, conqueror of Egypt, took most of the Citadel’s marble to Istanbul, and adopted the whole system of ceremonies, including the running of the kitchens, to those of the Ottoman court, on the scale of a governorate. The governors, or pashas, appointed from Istanbul did not use the Great Iwān of the Mamluks, and it was abandoned. They stayed in the private quarters of the palace and established the offices of notables and officers there. Al-Qaṣr al-Ablaq was used as a factory for weaving the cloth to cover the Kaʿba in Mecca. The northern enclosure was used by the Janissary corps, and the western dependencies by the Ḥazab corps. Sulaymān Pasha built an elegant mosque, totally Turkish in style, in the northern part in 1528, and Amir Ahmad Katkhudā built a mosque for the Ḥazab corps in 1697 on the site of a Mamluk mosque. A double circular gate, Bāb al-Ḥazab, facing the mosque of Sultan Ḥasan and imitating the architecture of Bāb al-Futūḥ, was built in 1754. In the northern enclosure, the arsenal and ammunition stores were kept as well as workshops of carriage makers and other shops. There was also a large bath. The large circular tower near the mosque of al-Nāṣir Muhammad was built by Ibrāhīm Pasha in 1520. He also built other towers and restored the city walls near the Citadel. The towers he built were crowned with domes covered with lead. During the Ottoman period, some additions were made in the southern enclosure, where the pashas resided. A Turkish visitor to Egypt, Evliyā Čelebi, who worked at the Citadel for several years, writes that from the towers the pasha could be kept under control in case he made any attempt to declare his independence. Muhammad Ḥalī (1805-1848) Muhammad Ḥalī rebuilt major parts of the western walls of the Citadel, including the gates on the city side. The original gate of Salah al-Din was incorporated in a new gate and in the process became invisible from the outside. Several structures were added in both enclosures, including the Jawhara Palace, a Palace of Justice, and a new mint which can still be seen today. In fact, most of the secular buildings inside the Citadel today are the works of Muhammad Ḥalī Muḥammad. Ṣāliḥ himself did not reside at the Citadel, having built other palaces in the city, but the Citadel continued under his rule to be a center of government. To many Egyptians, and visitors, the Qalʿa, or Citadel is associated with the imposing building with large domes flanked by a pair of very slender minarets, the mosque of Muhammad ʿAlī. This purely Turkish building became a landmark of Cairo after Muhammad ʿAlī pulled down the remains of the Great Iwān. That act and his massacre of the Mamluks inside the Citadel ended an important phase of Egyptian history and culture. Muhammad ʿAlī's mosque and other structures all belong to an alien style, inspired from Turkey and Europe. The art and architecture of the Mamluks that had prevailed until his reign began in 1805 had become a thing of the past. Bibliography Casanova, Paul Histoire de la Citadelle du Caire Paris, 1894-97 (Arabic transl Dariaj, Ahmad Tārīkh wa waṣf qalʿat al-qāhira, Cairo, 1974 Čelebi, Evliya Seyahatnamesi X, Misir, Sudan, Habeş Istanbul, 1938, pp 63 ff Creswell M A E, II, pp 1 ff Description de l'Égypte Etat Moderne, II (2), M Jomard, "Kaire," pp 347 ff Garcin, J C., Maury, B R., Revault, F., Zakarya, M Palais et Maisons du Caire I Époque Mamelouke, XIIIe-XVIe Siècle Paris, 1982, pp 35 f., 95 f von Hauff Pilgrimage, pp 107 ff Ibn Iyās, Badaʾiʿ al-zuhūr fi waqāʾiʿ al-duḥūr Ed M Mustafā Cairo/Wiesbaden, 1961-83 Maqrizi Khijāt, II, pp 201 ff Meinecke, Michael "Zur mamlukischen Heutdik" Mitteilungen des Deutschen Archäologischen Instituts Abteilung Kairo 28 (1972), pp 213 ff al-ʿUmarī, Ibn Fadl Allāh Masāḥk al-abṣār fi mamālik al-amṣār Cairo, 1985, pp 79 ff Van Ghistele, de Joos Le Voyage en Egypte, 1482-83 Cairo 1976, pp 23 ff Wiet, Gaston Caire, pp 138 ff --- The Exterior The mausoleum of Imām Shāfiʿī has a square base whose inner width measures about fifteen meters. Though the base consists of massive stone walls, it supports only a wooden dome covered with a shell of lead. The exterior of the structure has retained much of its original appearance, though the shrine has been embellished and restored several times. In addition to its great size, the building differs from Fatimid shrines in the profile of its dome, which curves immediately above the transitional zone. Fatimid domes begin with parallel walls and start to curve nearer the top. The transitional zone, instead of being octagonal and visible between the rectangular base and the dome, is hidden behind a second rectangular, receding story with cut-off corners. Thus from the outside, the building looks as if it were built on two levels; inside there is no such division. The upper level is decorated with keel-arched niches with fluted hoods, and includes elements of Andalusian-style stucco decoration in the treatment of the carved colonnettes and of the spaces between the niches. The upper part of the lower story is decorated with a band of interlaced geometric patterns similar to those used above Fatimid prayer niches, and to the one on the southwest minaret of the mosque of al-Hākim. Atop the dome of Imām Shāfiʿī is a copper boat which is said to have been filled in the past with grain for birds. The minaret of Ibn Tūlūn had a similar finial that has not survived. There is an Egyptian tradition of putting small models of boats in shrines, the most prominent example being the boat at the shrine of Abū'l-Hajjāj in Luxor which is taken in the annual procession on the saint’s birthday. This is obviously a pre-Islamic tradition that survived in Egyptian Islamic... Pl 61 The mausoleum of Imām Shāfiʿī culture. The shrine of Sidi Sāryā at the Citadel had a small boat until the mosque in which it is located was recently restored. The Interior The interior is more complex than the exterior, with various styles represented. The lower part of the walls with colored marble panels and the prayer niche at the corner correcting the improper orientation of the three original prayer niches must be attributed to Sultan Qāytbāy’s late-fifteenth-century restorations. The painting of the dome and its transitional zone was accomplished under Amir ʿAli Bey al-Kabīr in the second half of the eighteenth century. Original decoration survives in the wooden frieze running along the walls, as well as the wooden beams from which the lamps once hung. The transitional zone of the dome reveals the restorations made, as the arrangement of windows alternating with squinches of similar profile has been disturbed by the addition on each side of a large window with a pointed-arch profile. This also must be part of Qāytbāy’s restorations. Creswell attributes the whole transitional zone to Qāytbāy because of the sophisticated form of its multiple-tiered squinches. For the period of Qāytbāy, however, this type of transition was already archaic and no longer in use. Moreover, the profile of the dome resembles that of al-Ṣāliḥ, also Ayyubid, and has no parallel in the late Mamluk period. For the Ayyubid period, this squinch style, although it may look more elaborate than was common at that time, might well be justified by the extraordinary size of the dome that made a new transitional device necessary. In the Fatimid period, with increasing dome height, the squinches had already developed from a plain to a composite shape. Sultan al-Ghūrī is mentioned in an inscription as having restored the dome; he may have covered it with the green tiles found by Creswell under a lead sheet. This sultan’s own mausoleum dome was once covered with green tiles (in 1503/4), and tiles of the same type found at Imām Shāfiʿī were used at the mosque of Sulaymān Pasha at the Citadel (1528), the minaret of Shāhin al-Khalwaṭī (1538), and the zāwiya of Shaykh Saʿūd (1539), all built in the first half of the sixteenth century. The arrangement of the three prayer niches had been adopted in earlier Fatimid architecture, in the mausoleums of Akhawāt Yūsuf, Sayyida Ruqayya, and Yahyā al-Shabīh. The present entrance, according to Creswell, is not the original one. It must have been on the axis of the prayer niches, where a recess used today as a window shows the earliest existing example in Cairo of a wooden coffered ceiling. The cenotaph sponsored by ʿSalāḥ al-Dīn is one of the great masterpieces of medieval woodwork in Cairo. It has geometric designs with bands of inscriptions in both Kufic and naskhi script. The cenotaph carries the signature of the carpenter-artist who made it, ʿUbayd al-Najjār Ibn Maʿfālī, and is dated 574 Hijra (1178/9). The marble column with Imām Shāfiʿī’s name and date of death, topped with a turban-like structure, is original. When the mausoleum was built, the text carved on it was copied in naskhī on the back. A second wooden cenotaph for the mother of Sultan al-Kāmil, builder of the mausoleum, is less well preserved. ʿSalāḥ al-Dīn’s wife and son are buried in the mausoleum though the exact location is not marked by a cenotaph. He himself is buried in a mausoleum in Damascus. Bibliography ʿAbd al-Wahhāb Musāʾud, pp 106 ff Creswell M A E, II, pp 64 ff Wiet, Gaston “Les inscriptions du mausolée de Shāfiʿī” Bulletin de l’Institut d’Égypte, 15 (1933), pp 167 ff THE MADRASA OF SULTAN AL-ṢĀLIḤ NAJM AL-DĪN AYYŪB (1243) During the Ayyubid period several madrasas were erected in al-Qāhirah and al-Fustāt, many of them within the premises of houses and palaces. The only one of these surviving in a condition allowing us reliably to describe its design is that of al-Ṣāliḥ Najm al-Dīn Ayyūb, the last Ayyubid sultan. Other madrasas built during this period were dedicated either to the Mālikī or Shāfiʿī rite, but al-Ṣāliḥ’s madrasa taught all four rites of Islamic law, Shāfiʿī, Hanafī, Mālikī and Hanbalī, the first madrasa to do so in Egypt. In this it followed the example of the Madrasa Mustansirīyya in Baghdad (1233). In 1330, under the Mamluks, the Friday sermon was introduced to the madrasa of al-Ṣāliḥ. The Exterior The madrasa of al-Ṣāliḥ was built on part of the site once occupied by the Great Fatimid Palace, that is, Pl 62 The madrasa and mausoleum of Sultan al-Sāliḥ Najm al-Dīn Ayyūb. within the heart of the Fatimid city. To the passerby today, only a minaret standing above a passage with an exquisitely decorated entrance is visible, the rest of the facade beneath the minaret is behind a row of shops. The minaret is the only minaret of the Ayyubid period to have survived intact. It is a brick construction of the mabkhara style. It is supported by the roof of the passage and has a rectangular shaft and a second, receding story of octagonal section. It is topped by a ribbed helmet resting on stalactites. We have seen that the minaret of the Abū 'l-Ghadanfar in the late Fatimid period marks the beginning of this mabkhara shape in minaret architecture. The decoration of the rectangular shaft has disappeared on the street side, though on the back it appears as keel-arched panels with fluted hoods of carved stucco. On the upper level, the octagonal section is decorated with lobed openings and stalactites. This is the earliest example of stalactites on the helmet of a minaret, a feature that later forms an integral part of mabkhara minaret decoration. The minaret stands above a public passage separating the two wings of the complex. A few wooden beams indicate that the passage was originally covered. The entrance is crowned with a handsome keel-arched niche of carved stone with a foundation inscription in naskhī script in its center. From this center radiate flutes to form a large frame of stalactites on the borders of the niche. The niche is flanked with smaller carved niches on both sides, also with fluted hoods, underneath rectangular recesses with stalactite cresting. Though not an exact copy, the facade treatment follows the pattern established at the nearby Aqmar mosque. The facade of the madrasa now hidden by shops is paneled over its entire width, with keel-arched central panels at the entrance and rectangular panels over the rest. Each panel is recessed and includes a window, a device that appeared for the first time at the mosque of Pl. 63 Niche above the entrance at the madrasa of al-Sāliḥ Najm al-Dīn Ayyūb. al-Ṣāliḥ Ṭalaḍīf. The lintels of the windows are carved in stone. The Interior The plan of the madrasa was reconstructed by Creswell, who found that it duplicated the plan he identified of the earlier madrasa which is today in ruins, of al-Malik al-Kāmil on the opposite side of the street. The madrasa of al-Kāmil had only one courtyard with two iwāns. The madrasa of al-Ṣāliḥ had two wings separated by a public passage, each wing composed of a courtyard with two vaulted iwans facing each other across the courtyard, one of them with its back to the street, the other and larger one Mecca-oriented. The lateral sides were occupied by two stories of living units for the students. Today only the northwestern iwān has survived; the rest of the madrasa has nearly disappeared. --- BIBLIOGRAPHY Creswell, M A E, II, pp 94 ff Maqrīzī, Khitaṭ, II, p 374 --- THE MAUSOLEUM OF SULTAN AL-ṢĀLIḤ NAJM AL-DĪN BUILT BY SHAJARAT AL-DURR (1250) Al-Ṣāliḥ died while his troops were engaged in a battle against Louis XI and his French Crusaders, who had invaded the city of Mansura. His widow Shajarat al-Durr was clever enough to keep the sultan’s death secret until the campaign ended with a Mamluk triumph and the capture of the French king, and thereby to prevent the troops’ morale from flagging. In the meantime al-Ṣāliḥ’s body was kept at his citadel and residence on the island of Rawda. Since Al-Ṣāliḥ had left no heir, his mamluks decided to nominate his Turkish widow and former slave Shajarat al-Durr as his successor to the throne. She was the only woman in Muslim history ever to acquire the rank of a sultan, though only for a few months. Then she married al-Mu'izz Aybak, the first Mamluk sultan. She managed for a while to hold a powerful position, being the de facto ruler until she was killed. Between al-Ṣāliḥ's death and his official burial, while Mamluk troops were occupied in fighting the Crusaders, Shajarat al-Durr built the mausoleum for her husband, which was to be attached to his madrasa. Once the building was completed, the body was transferred with great pomp and ceremony from Rawda to the tomb. By that time Shajarat al-Durr had abdicated in favor of Aybak, who consequently led the procession. He was followed by the amirs and dignitaries, all dressed in white, their hair cut in sign of mourning. They carried the banners, clothes and weapons of the dead sultan and deposited them in his tomb. Until Sultan Qalāwūn built his own madrasa-mausoleum, the mausoleum of al-Ṣāliḥ was the place where the ceremony following the nomination of a new amir for Syria was celebrated. In the history of Cairo's architecture Shajarat al-Durr played an important role because she was the first to introduce the tradition of attaching funerary structures for the rulers to their religious foundations. She also built a mausoleum for herself near her own madrasa. Throughout the Mamluk period sultans and amirs followed this practice. The entrance, which lacks all architectural enhancement, leads to a passage parallel to the mausoleum. It is surmounted by a slab which bears an inscription indicating the date of al-Ṣāliḥ's death (1249). The Interior The fact that the depth of the window recesses gradually decreases from north to south is an indication that the Mecca-oriented dome is set askew to adjust it to the street alignment. The large iron-grilled windows were intended to give the passerby visual access to the Sultan's tomb, as well as a share in the blessing of Quran recitations performed at the windows for this very purpose. The tall prayer niche preserves almost nothing of its original decoration, except a pair of marble columns with carved bell-shaped capitals and remnants of carved marble panels. Traces of glass mosaics in the conch, which could be seen until some years ago, indicated that the prayer niche was once decorated in the same manner as Shajarat al-Durr's own mausoleum. The transitional zone of the dome consists of wooden trilobed squinches set within rows of stalactite niches. The windows set in the transitional zone are adapted to the profile of the squinches, each composed of three hexagonal lights, with stucco arabesque grills that include colored-glass bits. The wooden cenotaph with geometrical inlay, together with some remnants of wooden shutters and doors, are original. Bibliography Creswell MAE, II, pp 100 ff Maqrīzī Khijāt, II, pp 374 f THE MAUSOLEUM OF SHAJARAT AL-DURR (1250) The mausoleum of Shajarat al-Durr at the cemetery of Sayyida Nafisa is the only surviving structure of a complex she built there that included a madrasa. It is directly opposite the mausoleum of Sayyida Ruqayya and near the shrines of other female saints such as Sayyida Sukayna, Sayyida ṢĀtika, and Sayyida Nafisa in al-Fustāṭ's cemetery. No Mamluk sultan’s death is as famous as the death of the Sultana Shajarat al-Durr. She continued to wield power during al-Mu’izz Aybak’s reign, but soon lost power over her husband, who began to court the daughter of a ruler in Iraq. She killed him, whereupon his followers beat her to death and threw her body half naked from the Citadel, where it remained a few days until she was buried in her mausoleum. In time, her mausoleum, located in an area full of shrines, came to be venerated by the people living in the quarter. Today, the whole area is in rather dilapidated condition. The Exterior The most interesting feature of the mausoleum’s dome is its profile, which like that of the mausoleum of the Abbasid Caliphs has a keel-arch curve, thus differing from that of al-Ṣāliḥ’s mausoleum. It also has a different facade treatment. The dome, with an entrance on every side except the qibla wall, makes an angle with the street alignment to which it is not adjusted. The building itself, with its three openings, must have been within an enclosure. The qibla wall with the prayer niche protruding outside and the southwest wall still have remains of ornaments: lozenges and medallions carved with flutes and keel-arched niches with fluted hoods. The Interior Inside the mausoleum of Shajarat al-Durr the three sides around the qibla are decorated with a stucco keel-arch niche set above each entrance. The qibla side is decorated with a keel-arched prayer niche. The keel-arched niches above the three entrances are shallow, fluted, with the flutes carved and radiating from a central panel. The frames of the niches are composed of stalactites, or two rows of carved small niches, and the spandrels of the niches are finely carved with floral motifs, appearing so lacy that the details are hardly recognizable. The whole is framed by an inscription band of naskhī script on an ornate background. The transitional zone of the dome is reduced, compared to that of al-Ṣāliḥ, since the dome itself is smaller. Painting decorates the stucco squinches. The prayer niche is concave; its conch starts above a wooden frieze that runs around the whole chamber above the three entrances. A stalactite triple frame borders the prayer niche, which is decorated inside with glass mosaics forming a tree with mother-of-pearl pieces set in the foliage, an allusion, perhaps, to the sultana’s name, “Tree of Pearl.” The wooden frieze running along the walls with carved inscriptions and arabesques is Fatimid in style and must have belonged to an earlier building. The upper inscription band underneath the transitional zone was once covered with a thick coat of black paint, no doubt by enemies of Shajarat al-Durr. It was later repainted in white, and carries her name and titles. Pl. 65 The prayer niche at the mausoleum of Shajarat al-Durr Shajarat al-Durr’s and al-Ṣāliḥ’s Mausoleums Compared The mausoleum of Shajarat al-Durr is attributed to the year 1250, the year she ruled, following the death of al-Ṣāliḥ, whose mausoleum she also built in the same year. It is thus interesting to compare the two structures. The mausoleum of al-Ṣāliḥ was built near his madrasa, in the very heart of the city. Its architecture, as a structure added to the madrasa and also aligned with the street, and its facade whose keel-arch panels and carved lintels are similar to those of the madrasa emphasize its urban character. The mausoleum overlooks the street with large iron-grilled windows placed at a level that allows the passersby to look inside. The mausoleum of Shajarat al-Durr was also part of a complex that included a madrasa and other structures, but it was built in a cemetery. The facade of the dome is not adjusted to the street, or lane, and the chamber was not directly accessible from the road but from another structure to which it was attached, as is suggested by the three entrances as well as the prolongation of the southwestern wall beyond the dome. The mausoleum chamber had three entrances and needed no windows. In its urban context, the dome of al-Ṣāliḥ is thus an expression of the Sultan’s royal status, while the mausoleum of Shajarat al-Durr, located in a venerated area of the cemetery, has more religious connotations. BIBLIOGRAPHY Creswell MAE, II, pp. 135 ff. Behrens-Abouseif, D. “The Lost Minaret of Shajarat al-Durr at Her Complex in the Cemetery of Sayyida Nafisa.” Mitteilungen des Deutschen Archäologischen Instituts Abteilung Kairo, 39 (1983), pp. 1 ff.
A Laboratory Study of the Friction Behavior of Granular Materials by Kevin M. Frye M.S. Geophysics Boston College, 1997 S.B. Earth Atmospheric and Planetary Sciences Massachusetts Institute of Technology, 1995 Submitted to the Department of Earth, Atmospheric and Planetary Sciences in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Geophysics at the MASSACHUSETTS INSTITUTE OF TECHNOLOGY September 2002 ©Massachusetts Institute of Technology 2002. All rights reserved. Author: ____________________________________________________________ Department of Earth, Atmospheric, and Planetary Sciences August 5, 2002 Certified by: _______________________________________________________ Chris Marone Visiting Professor of Geophysics Thesis Supervisor Accepted by: _______________________________________________________ Ronald Prinn Department Head WITHDRAWN FROM MIT LIBRARIES 2 A Laboratory Study of the Friction Behavior of Granular Materials by Kevin M. Frye Submitted to the Department of Earth, Atmospheric and Planetary Sciences in partial fulfillment of the requirements for the degree of Doctor of Philosophy Professor Chris Marone, Thesis Supervisor Abstract I report on laboratory experiments designed to investigate the microphysical processes that result in rate- and state-dependent friction behavior and experiments designed to match the boundary conditions used by numerical models of granular friction. The effect of relative humidity (RH from <5% to 100%) is investigated with velocity stepping tests (10-20 μm/s) and slide-hold-slide (SHS) tests (3-1000 s) on 3 mm thick layers of quartz powder, alumina powder, Westerly granite powder, and Westerly granite blocks sheared at 25 MPa normal stress. Powders are conditioned in situ under controlled RH to create new surface area before shearing. A transition from velocity-strengthening to velocity-weakening frictional behavior occurs as RH increases. Frictional healing is negligible at low humidity and increases with increasing RH for both materials. While the coefficient of sliding friction for powders is independent of humidity, bare surface data indicate that sliding friction decreases with increased RH. Normal stress vibrations in SHS tests can add compaction induced granular strengthening, but for constant normal force tests, chemically assisted healing mechanisms control the friction behavior. The chemically assisted contact junction processes can be reduced or turned off at low humidity at room temperature in quartz and alumina. Velocity stepping tests and SHS tests are also performed at different values of applied normal stress (5 to 45 MPa) after pre-conditioning at high normal stress (40 and 35 MPa) for powders and no pre-conditioning for bare surfaces. Time-dependent frictional healing decreases with increasing normal stress. For the powders, velocity stepping tests require the use of a 2 state variable model to accurately retrieve rate- and state-friction parameters. The complex velocity dependent behavior may be a result of over-compaction in the granular layers during preconditioning. Numerical models of granular shear show lower friction and a greater tendency for stick slip than laboratory studies designed to investigate fault mechanics. Chapters 4 and 5 detail laboratory experiments designed to reproduce the conditions of numerical models and test the role that grain characteristics play in controlling frictional behavior. Friction and microstructural data are compared for direct shear experiments on thin layers (2-3 mm) of angular quartz sand and spherical glass beads. We study the effect of grain shape, roughness, size distribution, comminution, and particle dimensionality. In a non-fracture loading regime, sliding friction for smooth spherical particles (μ ~ 0.45) is measurably lower than for angular particles (μ ~ 0.6). A narrow particle size distribution (PSD) of spherical beads (105-149 μm) exhibits unstable stick-slip behavior, whereas a wide PSD of spheres (1-800 μm) and the angular gouge display stable sliding. At higher stress, where grain fracture is promoted, initially spherical particles become stable with accumulated slip and friction increases to the level observed for angular gouge. Quartz glass rods are sheared in 1-D and 2-D configurations and I compare the results to previously published numerical models and to the friction behavior of angular gouge. The laboratory 2-D data and numerical model results agree well: both exhibit a coefficient of friction of ~0.3 and changes in sliding friction that correlate with layer thickness change. Friction fluctuates over displacements on the order of particle diameter, and these fluctuations are much greater than the strengthening observed after slide-hold-slide tests. The data indicate that friction scales with dimensionality for smooth particles that do not break. Frictional strength and stability of a granular shear zone are sensitive to grain shape, dimensionality, PSD, and the evolution of shear localization. The results show that the first order disparities between laboratory and numerical studies of granular shear can be explained by differences in grain characteristics and loading conditions. Since natural faults predominantly contain angular gouge we find no evidence for a fault weakening mechanism associated with the presence of gouge. Biographical Note Kevin Michael Frye was born in Portsmouth, NH on March 11, 1972. After graduating from Marshwood High School in Eliot, ME, he attended MIT where he graduated with an S.B. in Earth, Atmospheric, and Planetary Sciences in 1995. Kevin received a M.S. degree from Boston College in 1997 with a thesis titled: “The effect of pore fluid chemistry on the spectral induced polarization response of Berea sandstone.” He is currently a geoscientist for Shell Exploration and Production in New Orleans, LA. Publications include: Lesmes, D.P., and K. M. Frye, Influence of pore fluid chemistry on the complex conductivity and induced polarization responses of Berea Sandstone, Journal of Geophysical Research, 106, 4079-4090, 2001. Built and calibrated test device; performed experiments; paper based on Master’s thesis. Saffer, D.M., K.M. Frye, C. Marone, and K. Mair, Laboratory results indicating complex and potentially unstable frictional behavior of smectite clay, Geophysical Research Letters, 28, 2297-2300, 2001. Assisted Dr. Saffer in performing pilot tests; performed the suite of experiments whose data were used in the paper; reduced data and assisted in interpretation. Mair, K., K.M. Frye, and C. Marone, Influence of grain characteristics on the friction of granular shear zones, Journal of Geophysical Research, in press, 2002. Appears in this dissertation as chapter 4. Performed pilot tests with glass beads for “2.800—Tribology” term project. Carried out further experiments with Dr. Mair; reduced and interpreted data with Dr. Mair; mixed wide particle size distribution bead samples; took photomicrographs of bead samples; assisted in writing and editing of text. Frye, K. M., and C. Marone, The effect of humidity on granular friction at room temperature, Journal of Geophysical Research, in press, 2002. Appears in this dissertation (C. Marone, advisor) as chapter 2. Frye, K. M., and C. Marone, The effect of particle dimensionality on granular friction, Geophysical Research Letters, in press, 2002. Appears in this dissertation as chapter 5. Acknowledgments The acknowledgment section of a dissertation is too short to contain all the praise and thanks deserved by all the people who have helped me in my graduate career. I hope that the people listed here with a few lines following realize how much they have meant to me. I owe a lot to my advisor, Chris Marone—he has been patient, encouraging, and insightful. I feel fortunate to have worked in his labs and I’m grateful he gave me the chance to work with him. I also offer my sincere thanks to the MIT members of my thesis committee, Brian Evans, Dale Morgan, and Wiki Royden. I’ve taken classes taught by all three, roped Dale and Brian into being on my general exam committee, and worked with Wiki as a teaching assistant for an Introductory Geophysics class, so they’ve all put their mark on me and my work. I appreciate their time and effort. I’d like to thank David Lesmes for honing my laboratory skills at Boston College. David always has relevant comments, regardless of the research topic, and I’ve enjoyed our conversations greatly. Julia Morgan (Rice University) has also been a great source of insight, especially in the subject matter presented in Chapters 3 and 4. I am pleased to be able to include her numerical simulations for comparison to my data. Jim Rice (Harvard University) and Terry Tullis (Brown University) greatly improved the manuscript of chapter 1 (specifically) through the publication review process and other chapters (generally) through conversations at conferences. I was especially pleased to have Terry Tullis as a member of my thesis committee. Karen Mair and Steve Karner served as mentors, coworkers, and friends during my early years in the lab. Thanks for all of your help, advice, and know-how. I also received help and fellowship from the people in the high-temperature rock mechanics lab and visitors to our lab: Margaret Boettcher, Brian Evans, Jock Hirst, Greg Hirth, Tiancong Hong, Uli Mok, Joerg Renner, Eliza Richardson, Demian Saffer, and Xiaohui Xiao. Thanks for making the lab a fun place to work. I would like to recognize the assistance and friendship of my fellow graduate students in the department, from floor 12 down: Lindy Elkins Tanton, Jim Van Orman, Steve Singletary, Steve Parman, Karen Viskupic, Julie Baldwin, Jenny and Eric Matzel, Marin Clark, Simon Brocklehurst, Brian deMartin, Brendan Meade, Eric Hetland, Jeff Maguire, Frederik Simons and Hrafnkell Karason. I’ve had the good fortune of being a part of a supportive family. I received a lot of free meals and moral support from David and Joanne Frye as well as Jeff and Robin Pitcairn. I’d also like to thank a group of friends who have made living in the Boston area a fun experience for the last few years: Jay and Laura Coulson, Christian and Kate Hamer, MIT rugby football club, and my roommates—Mike Braun, Oscar Pizarro, Jerry Hughes, Bryan Morrissey, and Ed Sprague (despite his piscicidal tendencies). Finally, meeting Maureen Long and her family has been one of the most rewarding experiences of my years at MIT. # Table of Contents 1. Introduction ................................. 14 References .................................. 17 2. The effect of humidity on granular friction at room temperature .............. 21 2.1 Background ................................ 22 2.1.1 The influence of water .................. 23 2.1.2 Shear localization and granular reorganization ....... 24 2.2 Experiment procedure ....................... 26 2.2.1 Apparatus and materials .................. 28 2.2.2 Experiment technique ..................... 29 2.2.3 Gouge preconditioning and surface area .......... 30 2.3 Data and observations ....................... 30 2.3.1 Effect of humidity on frictional healing .......... 30 126.96.36.199 Quartz powder .......................... 32 188.8.131.52 Alumina powder .......................... 32 2.3.2 Layer thickness changes .................... 36 2.3.3 Normal stress oscillation ................... 39 2.3.4 Velocity stepping tests ..................... 44 2.4 Discussion ................................ 51 2.4.1 Mechanisms of frictional aging ............... 51 184.108.40.206 Quartz powder .......................... 51 220.127.116.11 Alumina powder .......................... 53 2.4.2 Normal stress vibrations .................... 53 2.4.3 Friction velocity dependence ............... 55 2.5 Conclusions ................................ 57 2.6 References for chapter 2 ..................... 58 3. The effect of humidity and normal stress on the friction behavior of quartz powder and Westerly granite ........................................ 66 3.1 Background ................................ 67 \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| 3.2 Experiment procedure \| 68 \| \| 3.2.1 Technique for powders \| 68 \| \| 3.2.2 Technique for bare surfaces \| 72 \| \| 3.3 Results \| 72 \| \| 3.3.1 Quartz powder \| 72 \| \| 18.104.22.168 Normal stress effect on frictional healing \| 72 \| \| 22.214.171.124 Normal stress effect on velocity dependence \| 74 \| \| 3.3.2 Westerly granite powder and bare surfaces \| 81 \| \| 126.96.36.199. Humidity effect on sliding friction and frictional healing \| 81 \| \| 188.8.131.52 Normal stress effect on frictional healing \| 81 \| \| 3.4 Discussion \| 86 \| \| 3.4.1 RH dependence of friction behavior \| 86 \| \| 3.4.2 Normal stress dependence of friction behavior \| 87 \| \| 3.5 Conclusions \| 90 \| \| 3.6 References for chapter 3 \| 91 \| \| 4. Influence of grain characteristics on the friction of granular shear zones \| 98 \| \| 4.1 Background \| 99 \| \| 4.2 Experiment procedure \| 101 \| \| 4.3 Results \| 105 \| \| 4.3.1 Friction in angular and spherical gouge \| 105 \| \| 184.108.40.206 Low stress (non-fracture regime) \| 105 \| \| 220.127.116.11 High stress (fracture regime) \| 109 \| \| 4.3.2 Microstructural development in angular and spherical gouge \| 109 \| \| 4.3.3 Influence of particle size distribution \| 114 \| \| 4.4 Discussion \| 116 \| \| 4.4.1 Frictional strength \| 116 \| \| 4.4.2 Frictional stability \| 117 \| \| 4.4.3 Comparison with numerical models \| 120 \| \| 4.5 Conclusions \| 120 \| \| 4.6 References for chapter 4 \| 121 \| 5. The effect of particle dimensionality on granular friction in laboratory shear zones 125 5.1 Background 126 5.2 Experiment procedure 127 5.3 Experimental results 129 5.4 Discussion and implications 135 5.5 References for chapter 5 137 Appendix A: The layer thickness parameter alpha and humidity 140 Appendix B: Additional photographs and micrographs of sample material 143 List of Figures Figure 2.1. Back-scattered electron micrograph of granular layer. 25 Figure 2.2. Shear stress and layer thickness history for an entire experiment. 27 Figure 2.3. Slide-hold-slide tests for quartz powder at 2 different humidities. 31 Figure 2.4. Slide-hold-slide tests before and after a humidity step. 33 Figure 2.5. Slide-hold-slide tests for quartz powder at 4 values of humidity. 34 Figure 2.6. Slide-hold-slide tests for alumina powder at 4 values of humidity. 35 Figure 2.7. Frictional healing observed after 1000 s holds vs. humidity for quartz and alumina powders. 37 Figure 2.8. Shear stress and layer thickness change during a 30 s slide-hold-slide. 38 Figure 2.9. Healing and compaction data for quartz powder plotted vs. hold time. 40 Figure 2.10. Healing and compaction data for alumina powder plotted vs. hold time. 41 Figure 2.11. Frictional creep, compaction, and dilation vs. humidity for quartz and alumina powders. 42 Figure 2.12. Shear stress and normal stress history during a 30 s quartz powder slide-hold-slide test with normal stress oscillations. 43 Figure 2.13. Healing and compaction vs. hold time for vibrated and constant normal stress slide-hold-slide tests. 45 Figure 2.14. Velocity stepping tests for quartz powder at 4 values of humidity. 46 Figure 2.15. Velocity stepping tests for alumina powder at 4 values of humidity. 47 Figure 2.16. Friction velocity dependence (a-b) vs. humidity for quartz and alumina powders. 49 Figure 2.17. Inversions for rate- and state-dependent friction law parameters, with parameters plotted vs. humidity. 50 Figure 2.18. Schematic diagram of strain rate localization before and after normal force vibrations, and its implications for healing data. 54 Figure 2.19. Double-differenced healing data with illustrating the healing rate due to strictly water-assisted mechanisms. 56 Figure 3.1. Shear stress and normal stress histories for typical bare surface and powder friction experiments. 69 \| Figure \| Description \| Page \| \|--------\|-----------------------------------------------------------------------------\|------\| \| 3.2 \| Back-scattered electron micrographs of quartz powder layers sheared at 5 and 35 MPa normal stress. \| 71 \| \| 3.3 \| Raw data from slide-hold-slide test demonstrating how healing, compaction and dilation are measured. \| 73 \| \| 3.4 \| Healing vs. humidity for 3 different normal stresses. \| 75 \| \| 3.5 \| Healing vs. normal stress for 3 different humidity values. \| 76 \| \| 3.6 \| Healing (change in shear stress), compaction and dilation vs. normal stress. \| 77 \| \| 3.7 \| Measurement of rate- and state-dependent friction law parameters and layer thickness for velocity stepping tests at two different normal stresses. \| 79 \| \| 3.8 \| Rate- and state-dependent friction law parameters from velocity stepping tests as a function of normal stress for quartz powder. \| 80 \| \| 3.9 \| Frictional healing for Westerly granite (powder and blocks) vs. humidity. \| 82 \| \| 3.10 \| Steady-state sliding friction of Westerly granite (powder and blocks) vs. humidity. \| 83 \| \| 3.11 \| Frictional healing vs. displacement for Westerly granite blocks. \| 84 \| \| 3.12 \| Frictional healing vs. normal stress for Westerly granite blocks, Westerly granite powder, and quartz powder. \| 85 \| \| 3.13 \| Schematic diagram showing possible mechanisms for normal stress dependent healing. \| 88 \| \| 4.1 \| Schematic diagram of double direct shear apparatus. \| 102 \| \| 4.2 \| Back-scattered electron micrographs of undeformed gouge. \| 103 \| \| 4.3 \| Friction vs. shear displacement for spherical grains at low normal stress. \| 106 \| \| 4.4 \| Shear stress vs. displacement data illustrating stick-slip behavior of spherical grains. \| 107 \| \| 4.5 \| Stress drop as a function of sliding velocity. \| 108 \| \| 4.6 \| Friction vs. shear displacement for angular and spherical gouge at high normal stress. \| 110 \| Figure 4.7. Back-scattered electron micrograph of angular gouge sheared at high normal stress. Figure 4.8. Back-scattered electron micrograph of spherical gouge sheared at high normal stress. Figure 4.9. Friction vs. shear displacement for two spherical gouges of narrow and wide size distribution. Figure 4.10. Illustration of possible state of stress within granular layers under shear. Figure 5.1. Schematic diagram showing particle dimensionality and degrees of freedom. Figure 5.2. Laboratory friction and rate of layer thickness change data for 2-D configuration. Figure 5.3. Friction data for four types of granular layers. Figure 5.4. Comparison of laboratory data and numerical results for 2-D granular friction. Figure A.1. Raw friction and layer thickness data from a velocity-stepping test. Figure A.2. Layer thickness change parameter alpha vs. humidity for quartz and alumina powders. Figure B.1. Picture of glass rods in 2D configuration. Figure B.2. Undeformed Westerly granite powder. Figure B.3. Back scattered electron micrograph of Westerly granite powder after 12 mm shear displacement. List of Tables Table 2.1. Summary of experiment conditions for chapter 2. 65 Table 3.1. Summary information from experiments for chapter 3. 96 Table 4.1. Summary information from experiments for chapter 4. 124 Table 5.1. Summary information from experiments for chapter 5. 139 1. Introduction Active faults exhibit a variety of behaviors from stable creep to stick-slip motion. How shearing is accommodated along a fault is determined by the velocity-, slip-, and time-dependence of the frictional strength, which can be described by rate- and state-dependent friction laws. Although the empirical rate- and state-dependent laws have been applied successfully to many types of laboratory data and field observations [see Marone, 1998, and Scholz, 1998 for reviews], the physical mechanisms responsible for the friction behaviors they describe remain poorly understood. Static friction, the ratio of shear stress to normal stress necessary for two surfaces to begin sliding, generally increases linearly with the logarithm of time that the surfaces are in stationary contact (hold time). On bare surfaces, normal and shear loads are supported by a population of asperities [Rabinowicz, 1951], such that the real area of contact between two surfaces is only a small fraction of the apparent area of contact. Frictional interfaces strengthen with time, as contact junctions either increase in area through asperity deformation [e.g., Dieterich and Kilgore, 1994; 1996] or undergo an increase in bond strength between the surfaces [Rice, 1976; Hirth and Rice, 1980; Michalske and Fuller, 1985]. What are the contact junction strengthening mechanisms operative in laboratory friction studies? Many studies have documented the dramatic effect the presence of water has on the mechanical properties of quartz [Blacic and Christie, 1984; Jaoul et al., 1984; Mainprice and Paterson, 1984; Kronenberg and Tullis, 1984; Evans and Kohlstedt, 1995], and the work of Dieterich and Conrad [1984] demonstrates the importance of water in determining friction behavior of quartzite blocks. I build on this previous work by documenting the effect of humidity on the friction behavior of granular quartz, alumina, and Westerly granite (chapters 2 I focus on the fundamental observations on which rate- and state-dependent friction laws are based: velocity dependence of steady-state sliding friction and time dependence of static friction [Dieterich, 1972, 1978, 1979; Ruina, 1983; Tullis and Weeks, 1986; Chester, 1994; Beeler et al., 1994; Marone, 1998]. By documenting the chemically assisted strengthening and its normal stress dependence, I better characterize the contact junction healing mechanisms. Although faults are often thought of as two bare surfaces, natural and laboratory faults develop a zone of granular material, or fault gouge, with displacement [Sammis et al., 1986; Wong et al., 1992]. Friction behavior of granular shear zones is influenced by the development of shear fabric and the localization of strain rate onto these shear planes [Logan et al., 1979, Yund et al., 1990, Mair and Marone, 1999]. Further, in response to loading perturbations, granular layers compact and dilate much more than bare surfaces, and the density changes within the layer may affect the frictional strength of the material [Mead, 1925; Bishop, 1954; Marone and Kilgore, 1993; Segall and Rice, 1995; Mair and Marone, 1999; Losert et al., 2000]. The time- and velocity-dependent frictional strength of granular shear zones is likely controlled by both asperity-scale contact junction strengthening and layer compaction/dilation. Do these mechanisms operate independently? What is the relative importance of each in determining the friction behavior of granular materials at room temperature? By controlling humidity and using normal force vibrations, I manipulate the relative contributions of contact junction mechanisms and granular layer densification to the healing signal. In this manner, the relative contribution of each healing mechanism can be assessed (chapter 2). Ideally, laboratory experiments would identify the fundamental, crystal lattice-scale and meso-scale mechanisms of friction under the range of geological conditions relevant to the seismic cycle. However, our present understanding of fault material properties together with technical limitations in the laboratory do not allow that level of generality. Thus, an important tool in scaling laboratory friction behavior to natural fault zones is the numerical model. Models that use rate- and state-dependent friction are effective at reproducing the behavior of earthquake faults [e.g., Rice et al., 2001; see Marone, 1998 for other examples]. However, discrete element and finite element models of granular friction behavior produce data quite different from laboratory observations of friction [Mora and Place, 1998; 1999; Aharonov and Sparks, 1999; Morgan and Boettcher, 1999; Morgan, 1999]. While laboratory measurements of sliding friction for sand are $\sim 0.6$, sliding friction is as low as 0.3 in numerical models. The low friction values from numerical models are sometimes used to attribute the inferred weakness of some crustal faults to the presence of fault gouge [Mora and Place, 1998; 1999]. The discrepancy between numerical model and laboratory observations may be attributable to the different initial and boundary conditions. Because of computational limitations, numerical models of granular friction often rely on several simplifying boundary conditions, such as smooth, round, 2-dimensional, non-breaking particles. To investigate the effect of these conditions on friction, I study the friction of smooth, round, non-breaking spheres (chapter 4) and investigate the effect of particle dimensionality by simulating 2D conditions with glass and pasta rods (chapter 5). This dissertation is not meant to be a study of friction under geologic conditions. Relative humidity is likely 100% in the seismogenic zone; fault gouge consists of rough, 3D particles. By performing these experiments, I hope to provide insight into the behavior of crustal faults by isolating healing mechanisms operative at room temperature and analyzing boundary conditions used by modelers of granular shear. For example, observations that have led to debate over the strength of the San Andreas fault zone [Lachenbruch and Sass, 1980; Scholz, 1996; Zoback, 2000] suggest that there may be a mechanism by which friction is lowered and the fault is weakened. The results documented in this dissertation suggest that rather than some weakening intrinsic to the presence of gouge, researchers should investigate contact junction processes, specifically the surface/interface chemistry of silicates at geologically relevant temperatures and pressures. [e.g., Goldsby and Tullis, 1999]. References for chapter 1 Beeler, N. M., T. E. Tullis, and J. D. Weeks, The roles of time and displacement in evolution effect in rock friction, Geophys. Res. Lett., 21, 1987-1990, 1994. Bishop, A.W., Correspondence, Geotech. 4, 43-45, 1954. Blacic, J. D., and J. M. Christie, Plasticity and hydrolytic weakening of quartz single crystals, J. Geophys. Res., 89, 4223-4240, 1984. Chester, FM. Effects of temperature on friction: constitutive equations and experiments with quartz gouge, J. Geophys. Res. 99:7247-61, 1994. Dieterich, J. H., Time-dependent friction in rocks, J. Geophys. Res., 77, 3690-3697, 1972. Dieterich, J. H., Time-dependent friction and the mechanics of stick-slip, Pure Appl. Geophys., 116, 790-805, 1978. Dieterich, J. H., Modeling of rock friction: 1. Experimental results and constitutive equations, J. Geophys. Res., 84, 2161-2168, 1979. Dieterich, J. H., and G. Conrad, Effect of humidity on time and velocity-dependent friction in rocks, J. Geophys. Res., 89, 4196-4202, 1984. Dieterich, J. H., and B. Kilgore, Direct observation of frictional contacts: new insights for state-dependent properties, Pure Appl. Geophys., 143, 283-302, 1994. Dieterich, J. H., and B. Kilgore, Imaging surface contacts: power law contact distributions and stresses in quartz, calcite, glass and acrylic plastic, Tectonophys., 256, 219-239, 1996. Evans, B., and D. L. Kohlstedt, Rheology of rocks, in Rock Physics and Phase Relations, A Handbook of Physical Constants, AGU Reference Shelf 3, edited by T. J. Ahrens, 148-165, AGU, Washington, D.C., 1995. Goldsby, D.L., and T.E. Tullis, Dramatic reduction in friction of quartz at rapid but subseismic slip rates, Seis. Res. Lett., 70, 247, abstract for SSA meeting, Seattle, WA, 1999. Hirth, J.P. and J.R. Rice, On the thermodynamics of adsorption at interfaces as it influences decohesion, Metallurgical Trans. A 11, 1501-1511, 1980. Jaoul, O., J. Tullis, and A. K. Kronenberg, The effect of varying water contents on creep behavior of Heavitree quartzite, J. Geophys. Res., 89, 4298-4312, 1984. Kronenberg, A. K., and J. Tullis, Flow strengths of quartz aggregates: Grain size and pressure effects due to hydrolytic weakening, J. Geophys. Res., 89, 4281-4297, 1984. Lachenbruch, A.H., and J.H. Sass, Heat flow and energetics of the San Andreas fault zone, J. Geophys. Res., 85, 6185-6222, 1980. Logan, J.M., M. Friedman, N. Higgs, C. Dengo, and T. Shimamoto, Experimental studies of simulated gouge and their application to studies of natural fault zones, Proc. Conf. VIII, Analysis of Actual Fault Zones in Bedrock, National Earthquake Hazards Reduction Program, April 1-5, Menlo Park, Ca., pp. 305-343, 1979. Losert, W, J.-C. Geminard, S. Nasuno, and J.P. Gollub, Mechanisms for slow strengthening in granular materials, Phys. Rev. E, 61, 4060, 2000. Mainprice, D. H., and M. S. Paterson, Experimental studies of the role of water in the plasticity of quartzites, J. Geophys. Res., 89, 4257-4270, 1984. Mair, K., and C. Marone, Friction of simulated fault gouge for a wide variety of velocities and normal stresses, J. Geophys. Res., 104, 28899-28914, 1999. Marone, C., Laboratory-derived friction laws and their application to seismic faulting, Annu. Rev., Earth Planet. Sci., 26, 696, 1998. Mead, W.J., The geologic role of dilatancy, J. Geol. 33, 685-698, 1925. Michalske, T. A., and E. R. Fuller, Jr., Closure and repropagation of healed cracks in silicate glass, J. Amer. Ceramic Soc., 68, 5586-5590, 1985. Mora, P., and D. Place, Numerical simulation of earthquake faults with gouge: toward a comprehensive explanation for the heat flow paradox, J. Geophys. Res., 103, 21067-21089, 1998. Mora, P., and D. Place, The weakness of earthquake faults, Geophys. Res. Lett., 26, 123-126, 1999. Morgan, J. K., Numerical simulations of granular shear zones using the distinct element method, 2: Effects of particle size distribution and interparticle friction on mechanical behavior, J. Geophys. Res., 104, 2721-2732, 1999. Morgan, J. K., and M. S. Boettcher, Numerical simulations of granular shear zones using the distinct element method, 1: Shear zone kinematics and the micromechanics of localization, J. Geophys. Res., 104, 2703-2719, 1999. Rabinowicz, E., The nature of static and kinetic coefficients of friction, J. Appl. Phys. 22, 1373-1379, 1951. Rice, J.R., Hydrogen and interfacial cohesion, in Effect of Hydrogen on Behavior of Materials, ed. A.W. Thompson and I.M. Berstein, Metallurgical Society of AIME, New York, 455-466, 1976. Ruina, A., Slip instability and state variable friction laws, J. Geophys. Res., 88, 10359-10370, 1983. Sammis, C.G., R.H. Osborne, J.L. Anderson, M. Banerdt and P. White, Self-similar cataclasis in the formation of fault gouge, Pure Appl. Geophys., 124, 51-77, 1986. Scholz, C.H., Earthquakes; faults without friction?, Nature, 381, 556-557, 1996. Scholz, C.H., Earthquakes and friction laws, Nature, 391, 37-42, 1998. Segall, P., and J. R. Rice, Dilatancy, compaction, and slip instability of a fluid-infiltrated fault, J. Geophys. Res., 100, 22155-22171, 1995. Tullis, T.E., and J. D. Weeks, Constitutive behavior and stability of frictional sliding of granite, Pure Appl. Geophys., 124, 383-414, 1986. Wong, T. -f., Y. Gu, T. Yanagidani, and Y. Zhao, Stabilization of faulting by cumulative slip, in Fault mechanics and transport properties of rocks; a festschrift in honor of W. F. Brace, Evans, B. and T. -f. Wong (editors), 119-143, 1992. Yund, R. A., M.L. Blanpied, J.D. Weeks, and T.E. Tullis, Observation and interpretation of microstructures in experimental fault gouges, J. Geophys. Res., 95,15589-15602, 1990. Zoback, M.D., Strength of the San Andreas, Nature, 405, 31-32, 2000. 2. The effect of humidity on granular friction at room temperature$^1$ Synopsis. We report on laboratory experiments designed to investigate the microphysical processes that result in rate- and state-dependent friction behavior. We study the effect of relative humidity, RH, (<5% to 100%) in velocity stepping tests (10-20 μm/s) and slide-hold-slide (SHS) tests (3-1000 s) on 3 mm thick layers of quartz and alumina powders sheared at 25 MPa normal stress. Granular powders are conditioned in situ under controlled RH to create new surface area before shearing. We find a transition from velocity-strengthening to velocity-weakening frictional behavior as RH increases. The transition occurs at 30-35% RH for quartz and 55-60% RH for alumina. Frictional healing is negligible at low humidity and increases with increasing RH for both materials. The coefficient of sliding friction is independent of humidity. We use normal stress vibrations in SHS tests to isolate chemically assisted healing mechanisms operative within contact junctions from compaction induced granular strengthening. We find that reorganization of granular particles influences friction but that chemically assisted mechanisms dominate. Our data show that rate- and state-dependent friction behavior for granular materials, including time-dependent healing and steady-state velocity dependence, is the result of chemically assisted mechanisms that can be reduced or turned off at low humidity at room temperature in quartz and alumina. $^1$ This chapter is in press as Frye, K.M. and C. Marone, The effect of humidity on granular friction at room temperature, J. Geophys. Res., 2002. 2.1. Introduction Active faults exhibit a variety of behaviors from stable creep to stick-slip motion. How shearing is accommodated along a fault is determined by the velocity-, slip-, and time-dependence of the frictional strength, which can be described by rate- and state-dependent friction laws. Laboratory studies have led to an understanding that an asperity contact population evolves during shear [Rabinowicz, 1951]. Contact junctions strengthen with age [Rabinowicz, 1951], possibly through thermally activated mechanisms that increase the contact area [Dieterich and Kilgore, 1994; 1996; Heslot et al., 1994] or the contact bonding quality [Rice 1976; Hirth and Rice, 1980]. Additionally, the friction behavior of granular materials is a function of shear localization and density changes. Although the empirical rate- and state-dependent laws have been applied successfully to many types of laboratory data and field observations [see Marone, 1998a, and Scholz, 1998 for reviews] the precise physical mechanisms responsible for the friction behaviors they describe remain poorly understood. Ideally, laboratory experiments would identify the fundamental, crystal lattice-scale and meso-scale mechanisms of friction under the range of geological conditions relevant to the seismic cycle [Tullis, 1988; Evans and Chester, 1995]. However, our present understanding of fault material properties together with technical limitations in the laboratory do not allow that level of generality. Instead, in this paper we address the physico-chemical mechanisms responsible for rate- and state-dependent friction effects in quartz and alumina at room temperature. We focus on the fundamental observations on which rate and state friction laws are based: velocity-dependence of steady-state sliding friction and time-dependent healing [Dieterich, 1972, 1978, 1979; Ruina, 1983; Tullis and Weeks, 1986; Chester, 1994; Beeler et al., 1994; Marone, 1998a]. We investigate the influence of water on friction by varying humidity and attempt to separate water-assisted healing from the effects of consolidation and porosity changes in granular layers. 2.1.1. The Influence of Water Contact junction strengthening can be achieved through increasing either the quantity of contact area or quality of contact. If asperities on surfaces in brittle frictional contact are assumed to be in a state of incipient plastic flow [Bowden and Tabor, 1964], then time-dependent contact deformation is one possible cause of time- and velocity-dependent friction behaviors. Water is observed to enhance both point defect and dislocation migration in single-crystal quartz, quartz-aggregate, and quartzite systems [Blacic and Christie, 1984; Jaoul et al., 1984; Mainprice and Paterson, 1984; Kronenberg and Tullis, 1984; Evans and Kohlstedt, 1995]. Thus, water-assisted plastic deformation, commonly known as hydrolytic weakening, could be a mechanism by which the real area of contact grows and the frictional strength of two surfaces increases. If asperities are in purely elastic contact, then time-dependent strengthening can be accomplished through Hydrogen bonding [Rice, 1976; Michalske and Fuller, 1985] or water adsorption/desorption at contact points [Hirth and Rice, 1980]. Other possible water-assisted mechanisms of frictional healing are capillary bridging [Crassous et al., 1994; Iwamatsu and Horii, 1996], pressure solution [Dove and Elston, 1992; Dove, 1994; Bos et al., 2000], and subcritical crack growth [Martin and Durham, 1975; Costin, 1987]. Dieterich and Conrad [1984] studied bare quartzite surfaces and found that low humidity conditions resulted in higher values of sliding friction, a lack of time-dependent healing, a switch to velocity strengthening, and greater tendency for stable sliding. Their results imply that hydrolytic weakening influences the friction evolution effect; however the experimental database was small and it was not clear whether water had an effect on steady-state velocity-dependence of friction or the friction direct effect. Similar data are not available for granular materials. Thus, we study the friction behavior of quartz sand at different humidity levels and examine the relative importance of contact junction processes in determining granular friction behavior. Alumina serves as a useful comparison since its properties are well documented in engineering literature. In experiments performed with alumina ceramic, Gates et al. [1989] found that a weak surface layer was formed in the presence of water during sliding. They interpret the layer as the result of a tribochemical reaction that produces aluminum oxide hydroxide. 2.1.2. Shear Localization and Granular Reorganization While the friction behavior of bare surfaces can be thought of in terms of asperity interaction, friction of granular materials is more complex. Grains rotate, break and undergo contact slip, and networks of grains in shear localization fabrics and stress chains influence the frictional properties of granular layers [Sammis et al., 1987; Wong et al., 1992; Jaeger et al., 1996; deGennes, 1999; Geminard et al., 1999]. Slip localizes within granular layers (Figure 2.1), and at normal stresses above the particle strength, localization evolves with displacement. These textural effects and the role of dilation and porosity changes are well documented [Marone et al., 1990; Segall and Rice, 1995; Sleep, 1997; Mair and Marone, 1999]. Yet the role of contact junction processes versus granular reorganization and shear fabric is poorly understood. Theoretical studies of granular friction often employ a strategy where intergranular friction is constant, and the distribution of stress throughout the granular layers is studied [Mora and Place, 1998; Morgan, 1999; Morgan and Boettcher, 1999]. These models indicate that stress is Figure 2.1. Back-scattered electron micrograph of a granular layer after 20 mm of left-lateral shear at $\alpha_n=50$ MPa [from Mair and Marone, 1999]. Areas of intense comminution are interpreted as boundary (B) and Riedel (R) shears. These zones are surrounded by relatively undisturbed regions (A) where little slip occurs. [from Mair and Marone, 1999] distributed unevenly throughout the granular layer, and that the formation and destruction of load bearing “stress-chains” play an important role in friction of granular materials. In the context of earthquake physics, the above issues bring out an important question. Is the frictional behavior of gouge-filled fault zones controlled by contact junction processes, the consolidation state of the granular material, or both? Granular materials exhibit much more compaction and dilation during loading perturbations than bare surfaces. Marone and Kilgore [1993] and Sleep et al. [2000] suggest that the stability and time-dependence of gouge friction is influenced by changes in the thickness of the localized shear zone. Reorganization of the fault gouge during compaction results in more widely distributed shear and smaller strain rates, and may be modeled with the rate- and state-dependent constitutive laws if velocity is expressed in terms of strain rate. We propose that frictional healing between slip events under ambient laboratory conditions is a function of both granular consolidation and water-assisted, time-dependent strengthening of contact junctions. We perform experiments as a function of relative humidity (RH) to alter the kinetics of contact junction strengthening processes. We find that healing behavior varies significantly as a function of RH for both quartz and alumina powders, while compaction and dilation show less variation, and thus we infer that rate and state friction behavior is due to chemically assisted contact junctions processes. 2.2. Experiment Procedure All laboratory experiments in this study were performed in a double-direct shear apparatus [for details see Marone, 1998a; Karner and Marone, 2000]. In this configuration, two frictional surfaces are sheared simultaneously (Figure 2.2, inset). Shear load was applied as a Figure 2.2. Shear stress and layer thickness history for an entire experiment. Gouge layers are subject to three shear load cycles at high normal stress (40 MPa) to create fresh surface area before velocity stepping tests and SHS tests are carried out at normal stress 25 MPa. Layer thickness decreases throughout the experiment due to comminution and geometric thinning. Superimposed upon this thinning trend are layer thickness perturbations associated with velocity steps and SHS. vertical displacement or rate boundary condition by servo-control with 0.1 μm resolution. The horizontal ram applied normal force in load-feedback mode with 0.1 kN resolution. Position and applied force are measured at each load point at a sampling rate of 1 to 10 kHz. The raw data is averaged and recorded at 1 to 10 samples/s. 2.2.1. Apparatus and Materials Test samples consisted of 3 mm-thick layers of quartz or alumina powder sheared between rough steel forcing blocks. Grooves were machined perpendicular to the shear direction to eliminate slip at the layer boundaries and confine shear within the granular layers. The nominal area of contact was constant at 10 cm x 10 cm during tests. The quartz-powder was subangular Ottawa sand, which is > 99% SiO$_2$ as supplied by the US Silica Co. We used Natural Grain product F-110, which has an initial median particle size of 110 μm and a size range of 50-150 μm. The quartz powder was heated in a vacuum oven to 110° C to remove excess surface water. The alumina was 95% purity, with an initial mean particle size of 122 μm, a size range of 100-150 μm, and was not oven dried. Significant crushing occurs during shear, such that the mean particle size is <10 μm during steady state frictional shear. Gouge layers were constructed in a leveling jig to ensure that layers were uniform and reproducibly 3.0 mm thick. Cellophane tape was used to confine layer edges during construction, which was carried out on the side (sample) blocks. The 3-block sample (see inset to Figure 2.2) was assembled by placing the center block on top of one gouge layer and side block, securing this with tape, and then positioning these two blocks on the second side block. When this configuration was secured with tape, steel plates were fastened to the side blocks to cover the front and rear layer edges and thin copper shims were added below each layer to reduce gouge loss during shear. The steel plates made a zero-load sliding contact with the center forcing block, which was coated with MoS$_2$ lubricant to reduce friction. The base of the copper shims and side blocks and the top of the center block were also lubricated to allow lateral motion during shear. ### 2.2.2. Experiment Technique The test sample and loading system were isolated from room atmosphere with a flexible membrane and RH was varied from <5% to 100% (Table 2.1, end of chapter). Depending on the desired experiment humidity, a desiccator or a humidifier was placed in the test chamber with the sample and a hygrometer. To allow the granular layer to equilibrate at a given humidity, unsaturated samples were held in the controlled humidity environment for 12 hours before normal load was applied. Saturated experiments were performed by wrapping the sample assembly in latex, applying a small normal force, and adding water or brine until the jacket was filled. Thus, the granular layers were fully submerged in these experiments. After samples equilibrated in the controlled humidity chamber, normal stress $\sigma_n$ was raised to 40 MPa and three shear load cycles were performed to enhance grain crushing and produce new surface area in situ (Figure 2.2). Normal stress was then reduced to 25 MPa and shearing was carried out at a rate of 10 $\mu$m/s. To further condition the gouge layers and establish a steady-state friction level, we performed velocity stepping experiments for the displacement range 5 to 9 mm. SHS tests were performed for the displacement interval 9 to 13 mm. 2.2.3. Gouge Preconditioning and Surface Area Since it is not possible to reliably vary RH within a given experiment, different experiments must be compared. In order to resolve the effect of humidity on second-order friction behavior, we found that gouge layers had to be ground in situ under controlled RH and that initial layer thickness, displacement history, and normal stress history had to be identical in all experiments. Comminution was enhanced by the load cycles at high normal stress (Figure 2.2). This also helped localize shear and resulted in steady state friction being reached in less net displacement than without the load cycles. 2.3. Data and Observations We use slide-hold-slide (SHS) tests to assess the effect of humidity on static friction and time dependent frictional restrengthening. Following the methods of Dieterich [1972], Beeler et al. [1994], and Marone [1998b] the load point is stopped for periods of 3-1000 s after which loading resumes and ‘static’ friction is measured (Figure 2.3). Because of the frictional rheology and finite stiffness of the testing apparatus, frictional creep occurs during holds (Figure 2.3a). When the vertical ram is restarted at the initial driving velocity, hardening occurs until a frictional yield strength is overcome and then friction returns to steady-state sliding. The difference between the peak and steady-state sliding friction is defined as healing ($\Delta \mu$). We focus on SHS tests in the shear displacement range of 9 to 13 mm (shear strains of 4 to 7) for this study. 2.3.1. Effect of Humidity on Frictional Healing Figures 2.3a and 2.3b show SHS data for an experiment conducted at 55% RH. SHS tests conducted at lower humidity are qualitatively different (Figure 2.3c). Frictional creep ($\Delta \mu$) Figure 2.3. SHS tests for quartz powder. (a) Typical 30 s hold shows frictional creep when load point stops and stress peak when loading resumes. (b) Typical set of SHS tests performed at 55% RH illustrate frictional creep ($\Delta \mu_c$) and frictional healing ($\Delta \mu_h$). (c) Under dry conditions, with the same displacement history shown for panel b, healing is negligible. is greater during low humidity holds, and peak friction is smaller than corresponding tests at higher humidity. The low humidity experiments exhibit negligible healing and little to no time dependence of $\Delta \mu$. Humidity step tests [Dieterich and Conrad, 1984] were performed to check that humidity effects are independent of net shear strain or other minor effects that may vary between experiments (Figure 2.4). For these tests we began with the procedure for a low humidity run and then opened the test chamber and added water directly to the granular layers, raising RH to 100%. Figure 2.4 shows that SHS tests performed immediately after adding water demonstrate high-humidity behavior; thus humidity effects are not coupled with net displacement or other factors related to gouge zone microstructure. ### 18.104.22.168. Quartz powder Figure 2.5 shows the systematic friction behavior for quartz-powder at four values of RH. At low humidity, frictional peaks are very small after holds, and there is little time dependence. At 25% RH, frictional peaks are observable after holds, and they evolve over a finite displacement back to steady-state sliding friction. As RH increases, healing rates and the evolution distance increase. ### 22.214.171.124. Alumina powder While quartz powder begins to display some time-dependent healing at RH > 5%, alumina powder does not exhibit significant healing for RH up to 50% (Figure 2.6). Both the qualitative and quantitative character of frictional healing of alumina varies with RH. At low humidity, SHS tests do not exhibit a clear friction peak, instead evolving gradually back to steady sliding. The friction behavior at 5% RH indicates negligible strengthening during quasiFigure 2.4. Humidity step test showing the effect of adding water to a low RH experiment. Healing is negligible under dry conditions, but after water is added distinct frictional peaks and time dependent healing are observed. Figure 2.5. Data from four experiments on quartz powder performed at different values of RH. The same sequence of hold times, labeled on the 100% RH test, were used in each experiment. Friction is offset vertically for clarity. The low humidity tests exhibit little healing. Healing rates increase with humidity and approach a constant value above 55%. The evolution distance needed to reach steady-state sliding after a hold increases with RH. Figure 2.6. Data from four experiments on alumina powder performed at different values of RH. The same sequence of hold times, labeled on the 100% RH test, were used in each experiment. Friction is offset vertically for clarity. The low humidity tests exhibit little healing. Frictional peaks become measurable above 50% RH. The evolution distance needed to reach steady-state sliding after a hold is negligible for the intermediate RH cases. static holds, allowing sample slip earlier during reloading. Net healing is zero at 25% RH (Figure 2.6) and data resemble quartz powder at 5% RH: both healing rate and evolution distance are near zero. With increasing RH, peak friction increases and the evolution distance decreases. For both alumina and quartz, creep relaxation during holds is independent of humidity. SHS tests show that several aspects of frictional restrengthening vary systematically with humidity. We show healing data for a given hold time as a function of RH in Figure 2.7. For quartz, $\Delta \mu$ increases rapidly at low humidity and saturates at roughly 50% RH. Alumina-powder exhibits no observable healing until 45-50% RH. Healing increases with humidity from 50-100%. Four data points from two alumina experiments overlap at 100% RH. Although healing varies with humidity, the steady-state coefficient of friction is remarkably consistent, independent of RH. This result differs from the findings of Dieterich and Conrad, [1984], who observed a strong humidity dependence of $\mu_s$ in their work on bare quartzite surfaces without gouge. The RH-dependence observed by Dieterich and Conrad [1984] could be due to lower experimental humidity in their “dry” case, or bare surfaces could be fundamentally different from powders. Numerical studies of granular friction [e.g. Morgan, 1999; Thornton, 2000] indicate that sliding friction of granular systems is nearly independent of inter-particle friction, thus we favor the latter interpretation. 2.3.2. Layer Thickness Changes We made high-resolution measurements of layer thickness changes during SHS tests in order to assess the role of compaction and granular densification in healing. Figure 2.8 shows an example of the relationship between frictional strength and layer thickness during a 30 s SHS test. A linear trend has been removed from the thickness data to account for geometric layer Figure 2.7. (a) Comparison of healing ($\Delta \mu$) measured after 1000 s holds for both quartz and alumina powders as a function of RH. Healing increases dramatically for quartz from 5-25% RH and then approaches a constant value above 55% RH. Alumina exhibits negligible healing for RH < 50% and much less healing than quartz for all humidities. Data points from three saturated (100% RH) alumina powder experiments have the same value and plot over one another. (b) The steady-state coefficient of sliding friction measured at 9.5 mm ($\mu_{ss}$) is remarkably consistent through the entire range of measured RH. Experimental reproducibility for a given humidity is high because great care is taken to prepare identical samples and each experiment is run with identical shear displacement and normal stress history. Figure 2.8. (a) The 30 s SHS test from figure 3a is shown with (b) corresponding layer thickness change. Compaction occurs during the hold as shear stress relaxation occurs. When loading resumes, the layer dilates to accommodate displacement. thinning (e.g. see Figure 2.2). Layer thickness decreases during the hold until loading resumes. At that point, dilation occurs until peak static strength is reached. The magnitude of dilation is less than compaction, indicating that SHS tests result in an increment of irrecoverable compaction. Previous work on quartz powders by Karner and Marone [2001] suggests that this net compaction occurs outside of zones of localized shear. Figure 2.9 shows a comparison of healing and compaction data from a suite of tests on quartz. Healing rate $\beta = \Delta \mu / \log_{10} t_h$ increases systematically with increasing humidity. Compaction increases linearly with log hold time, even when healing is negligible (Figure 2.9b). A similar response occurs for alumina (Figure 2.10). We find that healing rate increases systematically with increasing humidity, while compaction in alumina powders does not vary greatly with humidity. Systematic variations in creep ($\Delta \mu_c$), compaction, and dilation are evident in both quartz and alumina experiments (Figure 2.11), but these variations do not correlate with the healing data. SHS dilation is consistently less than SHS compaction and thus net compaction (Figure 2.8) occurs for the entire range of conditions studied. ### 2.3.3. Normal Stress Oscillations Although we are able to eliminate frictional healing at low humidity without changing the compaction signal (Figures 2.9 and 2.10), the work of Richardson and Marone [1999] shows a correlation between compaction and frictional healing. Their tests were performed at room temperature and humidity, and compaction was varied by applying normal stress oscillations during quasistatic holds. To investigate these observations further, we perform similar normal stress oscillations during SHS tests (Figure 2.12) at low and high RH, using the technique of Richardson and Marone [1999]. When the shear load point was stopped, a 1 Hz periodic Figure 2.9. (a) Three representative sets of healing data for quartz powder. Healing is negligible at 5% RH, and increases with increasing RH. Healing rate also increases with RH. (b) Compaction proceeds linearly with log hold time and is independent of RH. Compaction is defined as change in layer thickness during the hold divided by layer thickness before the hold. Figure 2.10. (a) Three representative sets of healing data for alumina powder. Healing is negligible at 5% RH, and increases with increasing RH. Healing rate also increases with RH. (b) Compaction proceeds linearly with log hold time and is independent of RH. Compaction is defined as change in layer thickness during the hold divided by layer thickness before the hold. Figure 2.11. (a) $\Delta \mu_c$, (b) compaction, and (c) dilation all vary with RH for both alumina and quartz. The largest values for creep, compaction and dilation occur at very low and very high RH. Figure 2.12. Shear stress and normal stress vs. time for a quartz powder SHS test with normal stress oscillations. Fiducial lines mark where (a) the load point stops, (b) oscillations begin, (c) oscillations stop, and (d) shear loading resumes. Note that oscillation amplitude increases gradually over roughly a 5 second interval. oscillation signal was summed with the normal load servo-control signal. The signal was ramped to its peak amplitude (3.53-3.55 MPa) at the beginning of the hold and rapidly ramped down at the end of the hold. The ramps were employed to reduce instabilities that are common to fluctuating normal stress experiments [Richardson and Marone, 1999; Boettcher and Marone, 2001]. Normal stress vibrations resulted in greater healing relative to constant normal stress experiments at both low and high humidity (Figure 2.13). For a given hold time, vibration increased compaction by a factor of 2 relative to constant normal stress tests. Low humidity healing is non-zero but less than 45% RH healing in vibrated SHS tests. At low humidity, there is a change in healing rate at about 100 s, suggesting that the healing mechanism saturates at relatively short time scales for dry conditions. 2.3.4. Velocity Stepping Tests Velocity stepping experiments were performed from 5 to 10 mm displacement in all experiments and again from 13 to 15 mm displacement in alumina experiments. Load point velocity was alternated from 10 to 20 μm/s and sliding occurred at each velocity until a new steady-state value of friction was reached. In general, the friction response we observed was similar to previous work [e.g., Dieterich, 1979, Marone, 1998a]. For quartz powder under dry conditions (≤25% RH), $\mu_{ss}$ increased with increasing velocity, indicating velocity-strengthening behavior (Figure 2.14). There is a transition to velocity weakening behavior with increasing humidity. The behavior of alumina powder is similar to that of quartz (Figure 2.15), but the degree of velocity strengthening at low RH is much greater for alumina than for quartz. Figure 2.13. (a) Healing vs. hold time for vibrated and constant normal stress SHS tests (quartz powder). Data from vibrated tests show greater healing than constant normal stress tests at a given humidity. In the dry tests, vibration enhanced healing becomes constant for hold times greater than 100 s. (b) Compaction during normal stress vibration tests are approximately double those of constant normal stress tests. Figure 2.14. Four sets of quartz powder velocity-stepping tests performed at different values of RH. Friction data are offset vertically for clarity. The low humidity tests demonstrate velocity strengthening. At 8.5-9 mm displacement, quartz powder becomes velocity neutral at 60% RH and velocity weakening at 100% RH. Figure 2.15. Four sets of alumina powder velocity-stepping tests performed at different values of RH. Friction data are offset vertically for clarity. The low humidity tests demonstrate velocity strengthening. At 14-15 mm displacement, alumina powder becomes velocity neutral at RH > 60% and velocity weakening at 100% RH. The velocity dependence of steady state friction, $(a-b)$ [Dieterich, 1978, 1979; and Ruina, 1983], is taken directly from velocity stepping data (Figure 2.14). $(a-b)$ changes from velocity strengthening to velocity weakening at ~35% RH for quartz-powder and ~65% RH for alumina-powder (Figure 2.16). The variation of velocity dependence with humidity is much greater for the alumina-powder than for quartz. Figure 2.17 shows representative constitutive parameters for our range of experimental conditions. The velocity stepping data were modeled using the Dieterich formulation for rate- and state-dependent friction: \[ \mu = \mu_0 + a \ln \left( \frac{V}{V_0} \right) + b \ln \left( \frac{V_0 \theta}{D_c} \right), \] \[ \frac{d\theta}{dt} = 1 - \frac{V \theta}{D_c}, \] where $\mu$ is friction at sliding velocity $V$, $\mu_0$ is friction at reference velocity $V_0$, $\theta$ is the state parameter, $D_c$ is the evolution distance, and $a$ and $b$ are empirical constants. We use an iterative, non-linear, least-squares inversion. For quartz, we find that the friction parameter $a$ (direct effect) decreases with increasing humidity, approaching a constant value after 25% RH. The evolution term $b$ increases with increasing RH, and $D_c$ decreases as RH increases. For alumina, the parameters $a$ and $b$ decrease with increasing RH to minimum values at 86% RH, but are dramatically larger at 100% RH. $D_c$ decreases with increasing RH from very large values at low RH (Figure 2.17). The measured values of $a$ and $b$ are comparable to those measured by Tullis and Weeks [1986] for granite bare surfaces, while $D_c$ is larger for our granular samples. Figure 2.16. Friction exhibits velocity strengthening behavior at low humidity for both quartz and alumina powders. A transition to velocity neutral or velocity weakening behavior occurs at $\sim35\%$ RH for quartz and $\sim65\%$ RH for alumina. Alumina exhibits a greater humidity dependence of (a-b) than quartz. Figure 2.17. The velocity dependence of quartz and alumina powder was modeled using the Dieterich [1978, 1979] formulation of the rate- and state- friction law. (a) Raw data and model fit for a 20 µm/s to 10 µm/s velocity step shown for quartz powder at 55% RH. (b) The model parameter $a$ is plotted vs. RH for alumina and quartz samples. (c) The model parameter $b$ is plotted vs. RH at the same scale as 17b. (d) The parameter $D_c$, the critical slip distance, is plotted vs. RH. 2.4. Discussion 2.4.1. Mechanisms of Frictional Aging Compaction and dilation of granular layers are greatest at very low and very high RH (Figure 2.11). Reduced time-dependent strengthening may increase compaction at low RH; the mechanism responsible for enhanced compaction at high RH is unclear. The RH-dependence of compaction and dilation does not appear to be related to frictional healing (Figures 2.9 and 2.10), precluding the use of entirely mechanical packing arguments to explain the observed healing data and its RH dependence. Our observations show that time-dependent frictional healing can be reduced or eliminated at low RH. Healing rates for quartz powder approach a constant value above 50% RH, while frictional healing rates in alumina are at a maximum under saturated conditions. These observations suggest a water-assisted, time-dependent healing mechanism that can effectively be turned off at low RH. Possible water-dependent mechanisms include capillary bridging, pressure solution, hydrolytic weakening of contacts, elastic weakening due to subcritical crack growth, desorption of water at contacts, and hydrogen bonding between adsorbed water. 126.96.36.199. Quartz powder Capillary bridging, a process through which surface water connects and adheres solids, enhances frictional aging in low normal stress applications. Bridging is a time-dependent, thermally activated process [Bocquet et al., 1998] and is important in systems such as sandpiles [Hornbaker et al., 1997; Halsey and Levine, 1998]. However, the strength of capillary bridges is small compared to the expected contact stresses for quartz of 1-10 GPa [Scholz and Engelder, Moreover, if capillary bridging were important, we would expect to see a discontinuity in healing rate at 100% RH because bridges do not form under saturated conditions on quartz. Instead, we observe that frictional aging is continuous as a function of RH through saturated conditions. We varied the salinity of the saturating solution from distilled water to 1 M NaCl in a suite of 100% RH experiments. Even at room temperature, that variation should be enough to change the dissolution rate for quartz by orders of magnitude [Dove and Elston, 1992; Dove, 1994]. However, there was little healing variation observed in the 100% RH experiments. Therefore, it is unlikely that dissolution-controlled processes such as pressure solution are responsible for increasing the real area of contact at grain-grain contact junctions. Reduction of elastic stiffness due to subcritical crack growth is a possible means through which real area of contact could grow. However, it is unclear that large changes in stiffness could be attained in the very localized regions about asperities. Further, with displacement and comminution, shear zones contain smaller grains with smaller flaws. Therefore, subcritical crack growth should become less effective as a healing mechanism with reduction of average grain size. This is inconsistent with observations that healing rate increases with net shear displacement [Richardson and Marone, 1999]. We propose that the humidity dependence observed in our experiments is due to adsorption of water onto the surfaces of quartz particles. The water could enable hydrolytic weakening and contact area growth, or time-dependent contact strengthening through either hydrogen bonding or desorption mechanisms [e.g., Rice and Hirth, 1980; Dieterich and Conrad, 1984; Michalske and Fuller, 1985]. The frictional healing rate of quartz becomes nearly constant at RH>50%, which is the humidity at which quartz surfaces become completely covered with a water monolayer [Whalen, 1981; Michalske and Fuller, 1985]. 188.8.131.52. Alumina powder Gates et al. [1989] found layers of weak aluminum oxide hydroxide on blocks of aluminum oxide after sliding tests. At high stresses, temperature fluctuations at contact points become high enough to form $\gamma$-Al$_2$O$_3$ from $\alpha$-Al$_2$O$_3$. We do not know the RH at which a monolayer of water covers $\alpha$-Al$_2$O$_3$ or $\gamma$-Al$_2$O$_3$, but in the presence of water, $\gamma$-Al$_2$O$_3$ is more easily hydroxylated than $\alpha$-Al$_2$O$_3$, and a weak surface layer is created. This surface layer could deform plastically at contact junctions in the manner described by Dieterich and Kilgore [1994]. Thus, we propose that the frictional behavior of alumina powder is dependent on contact area growth at water-weakened contact junctions. In both quartz and alumina powder experiments, the role of RH in sample consolidation appears minor compared to its role in contact junction strengthening processes. 2.4.2. Normal stress vibrations Compaction rates during vibrated SHS tests were approximately doubled and frictional healing was greater than in constant normal stress tests performed at the same RH. Thus, there is either an additional healing mechanism associated with vibration or a single healing mechanism is enhanced by the normal stress vibrations. We propose that there are two healing mechanisms present, one that is water-assisted and one that is strictly microstructural, perhaps due to consolidation and redistribution of localized shear (Figure 2.18). If true, then the healing present at 5% RH represents the effect of the normal stress vibrations, as there was negligible waterFigure 2.18. (a) Schematic diagram showing an idealized granular layer with a region of localized shear [after Sleep et al., 2000]. Strain rate is highest within the localized zone. Normal stress vibration during holds disrupts strain rate localization and effectively delocalizes shear. This cartoon shows the idealized case of complete strain rate delocalization during a vibrated SHS test. (b) A schematic interpretation of humidity-dependent healing in SHS tests (e.g., Figure 12). For a granular layer of finite thickness, a critical time ($t_c$) is needed to redistribute shear at a given vibration amplitude and frequency. Therefore, for dry conditions, healing due to shear redistribution saturates for hold times greater than $t_c$. At moderate humidity, an additional water-assisted healing mechanism produces increased healing. assisted healing observed for dry conditions under constant normal stress. We suggest that the microstructural healing is due to the redistribution of localized strain rate [Sleep et al., 2000]. Because our layers have finite overall width, there is a practical limit to possible redistribution of strain rate. Therefore, healing rate would be expected to change when that limit is reached, in this case after 100 s vibration of double amplitude ~3.5 MPa (Figure 2.12). If healing measured at RH<5% is due exclusively to the redistribution of strain rate, then it may be subtracted from higher humidity healing to yield the purely water-assisted component of healing. We perform this operation on both constant normal stress and normal stress oscillation data at 45% RH and plot the double-difference data versus hold time (Figure 2.19). The slopes of the best-fit lines are identical to within 1%, yielding the same water assisted healing rates. Further, after subtracting out the 5% RH data, there is no slope change in the normal stress oscillation healing. We suggest that an offset on the log time axis occurs because the average contact junction lifetime is reduced by the enhanced consolidation (and particle movement) associated with normal stress vibration. Thus, we favor the interpretation that two separate mechanisms cause healing in granular gouge: water-assisted strengthening of contact junctions and redistribution of strain rate throughout the granular layer, with the first being dominant in cases of negligible alteration of normal stress. 2.4.3. Friction Velocity Dependence We observe a transition from velocity strengthening to velocity weakening with increasing humidity for both quartz and alumina (Figure 2.15). Velocity dependence is in part a function of displacement: at 5 mm the layers exhibit velocity-strengthening behavior at all RH and there is a transition to velocity-weakening as shear becomes localized [Marone, 1998a, Mair Figure 2.19. Frictional healing for the water-assisted mechanism. $\Delta \mu$ (wet-dry) is determined by subtracting dry healing data (representing microstructural effects) from humid data (representing microstructural plus contact junction strengthening). Data are shown for constant normal stress and vibrated SHS tests. Lines are best-fit log-linear healing rates and the slopes are the same to within 1%. We proposed that constant normal stress data are stronger and time shifted due to the shorter average contact lifetimes in vibrated tests where granular reorganization is greater. After shear localization, rate-dependent behavior is strongly influenced by RH. SHS tests demonstrate that healing rate, and hence the empirical parameter $b$, increases with RH. This would be consistent with a transition in velocity dependence ($a-b$) from positive to negative values with increasing RH. However, it is important to note that examination of the raw velocity stepping data (Figures 2.14 and 2.15) and modeling (Figure 2.17) suggest that both the direct effect (parameter $a$) and evolution effect, $b$, change as a function of RH. The evolution distance, $D_e$, generally decreases with increasing RH for both quartz and alumina (Figure 2.17). The values of $D_e$ at low humidity are of the same order as the mean grain size, indicating that the mechanisms controlling velocity-dependence at low RH are acting at a scale larger than expected for contact junction processes. Thus, we posit that in the absence of water, rate-dependency of friction is likely a function of reorganization mechanisms rather than contact junction processes. The width of the localized shear zone could be changing with RH, thus affecting $D_e$, however our layer thickness data are such that we cannot resolve this issue at present. The dilation term $\alpha$, an indicator of shear band thickness [Marone and Kilgore, 1993], is greatest during velocity step tests at very low humidity. This is consistent with the view that shear localization is less developed at low RH, but the variation is comparable to calculated uncertainty. ### 2.5. Conclusions We have shown that humidity has a significant effect on frictional healing and velocity dependence for quartz and alumina powders at room temperature. We find a transition from velocity-strengthening to velocity-weakening frictional behavior as RH increases. The transition occurs at 30-35% RH for quartz and 55-60% RH for alumina. Frictional healing is negligible at low humidity and increases with increasing RH for both materials. The coefficient of sliding friction is independent of humidity. We observe that healing rate increases with increasing RH, consistent with Dieterich and Conrad [1984]. However, layer thickness change measured during SHS does not appear to correlate with the RH-dependence of healing data. We propose that dry SHS tests represent strictly microstructural healing and that comparing tests with and without normal stress oscillation can isolate water-assisted healing operative at high stress contact junctions. We interpret the dependence of healing on RH to be the result of chemically-assisted mechanisms that strengthen contact junctions. Alumina forms a weak surface layer under high RH [Gates et al., 1985] that may undergo time-dependent deformation. In quartz powder, if contact junctions are at the plastic yield stress, hydrolytic weakening would lead to greater asperity deformation and increased real area of contact. If asperities are in elastic contact, Hydrogen bonding and desorption of water at the contact junction are two mechanisms that would provide an RH dependent increase in quality of contact. Our observations are consistent with the view that rate and state friction effects in quartz derive from a thermally activated mechanism that operates at room temperature. 2.6. References for chapter 2 Beeler, N. M., T. E. Tullis, and J. D. Weeks, The roles of time and displacement in evolution effect in rock friction, Geophys. Res. Lett., 21, 1987-1990, 1994. Blacic, J. D., and J. M. 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Res., 104, 2703-2719, 1999. Rabinowicz, E., The nature of static and kinetic coefficients of friction, J. Appl. Phys. 22, 1373-1379, 1951. Rice, J.R., Hydrogen and interfacial cohesion, in Effect of Hydrogen on Behavior of Materials, ed. A.W. Thompson and I.M. Berstein, Metallurgical Society of AlME, New York, 455-466, 1976. Richardson, E., and C. Marone, Effects of normal stress vibrations on frictional healing, J. Geophys. Res., 104, 28859-28878, 1999. Ruina, A., Slip instability and state variable friction laws, J. Geophys. Res., 88, 10359-10370, 1983. Sammis, C.G., G. King, and R. Biegel, The kinematics of gouge deformation, Pure Appl. Geophys., 125, 777-812, 1987. Scholz, C.H., Earthquakes and friction laws, Nature, 391, 37-42, 1998. Scholz, C. H., and J. T. Engelder, The role of asperity indentation and ploughing in rock friction; I, Asperity creep and stick-slip, International Journal of Rock Mechanics and Mining Sciences, 13, 149-154, 1976. Segall, P., and J. R. Rice, Dilatancy, compaction, and slip instability of a fluid-infiltrated fault, J. Geophys. Res., 100, 22155-22171, 1995. Sleep, N. H., E. Richardson, and C. Marone, Physics of friction and strain rate localization in simulated fault gouge, J. Geophys. Res., 105, 25875-25890, 2000. Sleep, N. H., Application of a unified rate and state friction theory to the mechanics of fault zones with strain localization, J. Geophys. Res., 102, 2875-2895, 1997. Teufel, L. W., and J. M. Logan, Effect of displacement rate on the real area of contact and temperatures generated during frictional sliding of Tennessee sandstone, Pure Appl. Geophys., 116, 840-865, 1977. Thornton, C., Numerical simulations of deviatoric shear deformation of granular media, Geotech., 50 (1), 43-53, 2000. Tullis, T. E., Rock friction constitutive behavior from laboratory experiments and its implications for an earthquake prediction field monitoring program, Pure Appl. Geophys., 126, 555-588, 1988. Tullis, T. E., and J. D. Weeks, Constitutive behavior and stability of frictional sliding of granite, Pure Appl. Geophys., 124, 383-414, 1986. Whalen, J.W., Thermodynamic properties of water adsorbed on quartz, J. Phys. Chem., 65, 1676-81, 1981. Wong, T. -f., Y. Gu, T. Yanagidani, and Y. Zhao, Stabilization of faulting by cumulative slip, in Fault mechanics and transport properties of rocks; a festschrift in honor of W. F. Brace, Evans, B. and T. -f. Wong (editors), 119-143, 1992. Table 2.1. Experiments from chapter 2. All experiments were performed at $T=24^\circ C$ ($\pm 1.5^\circ C$). \| Experiment \| Material \| Humidity \| Saturating Solution \| $\sigma_o$ Oscillations (Double Amplitude) \| \|------------\|------------------\|----------\|---------------------\|-------------------------------------------\| \| m304 \| quartz-powder \| 55% \| — \| — \| \| m307 \| quartz-powder \| 5% \| — \| — \| \| m308 \| quartz-powder \| 8% \| — \| — \| \| m309 \| quartz-powder \| 25% \| — \| — \| \| m310 \| quartz-powder \| 60% \| — \| — \| \| m311 \| quartz-powder \| 10% \| — \| — \| \| m312 \| quartz-powder \| 5% \| — \| — \| \| m314 \| quartz-powder \| 4% $\rightarrow$ 100% \| DI water \| — \| \| m318 \| quartz-powder \| 45% \| — \| — \| \| m321 \| quartz-powder \| 88% \| — \| — \| \| m340 \| quartz-powder \| 45% \| — \| 2A = 3.55 MPa \| \| m341 \| quartz-powder \| 4% \| — \| 2A = 3.53 MPa \| \| m377 \| quartz-powder \| 100% \| DI water \| — \| \| m378 \| quartz-powder \| 100% \| 1 M NaCl \| — \| \| m404 \| alumina-powder \| 25% \| — \| — \| \| m424 \| alumina-powder \| 100% \| tap water \| — \| \| m427 \| alumina-powder \| 75% \| — \| — \| \| m430 \| alumina-powder \| 41% \| — \| — \| \| m432 \| alumina-powder \| 45% \| — \| — \| \| m434 \| alumina-powder \| 52% \| — \| — \| \| m435 \| alumina-powder \| 86% \| — \| — \| \| m436 \| alumina-powder \| 66% \| — \| — \| \| m438 \| alumina-powder \| 5% \| — \| — \| \| m450 \| alumina-powder \| 100% \| DI water \| — \| \| m453 \| quartz-powder \| 100% \| 0.1 M NaCl \| — \| 3. The effects of humidity and normal stress on the friction behavior of quartz powder and Westerly granite Synopsis. We further investigate the processes that result in rate- and state-dependent friction behavior by examining the effect of humidity and normal stress on the friction behavior of heterogeneous materials and quartz powder. We perform slide-hold-slide (SHS) tests on clean Westerly granite surfaces and layers of Westerly granite powder at a range of relative humidities (5-100%) and normal stresses (5-45 MPa). We find that healing increases with increasing humidity, consistent with the idea of a chemically assisted contact junction aging mechanism. To investigate the normal stress dependence of this aging mechanism, we perform velocity stepping tests on quartz powder at different values of applied normal stress (5 to 45 MPa) after pre-conditioning at high normal stress (40 and 35 MPa). Velocity stepping tests require the use of a 2 state variable friction law to accurately model rate- and state-friction behavior for powders, and we find that the parameter $b_1$ decreases with increasing normal stress. We also perform SHS tests and observe humidity dependent healing at normal stresses down to 5 MPa. At a given humidity, time-dependent frictional healing decreases with increasing normal stress for quartz powder, granite powder, and granite blocks (over a limited normal stress range of 5 to 20 MPa), consistent with the rate and state friction parameters from velocity stepping tests. 3.1. Background Rate- and state-dependent friction laws were developed to describe laboratory observations of time-dependent frictional strengthening and velocity-dependent sliding friction [Dieterich, 1972, 1978, 1979; Ruina, 1983; Tullis and Weeks, 1986; Chester, 1994; Beeler et al., 1994; Marone 1998a]. These laws can describe the variety of friction behavior observed in natural fault zones and in the laboratory [see Marone, 1998a; Scholz, 1998], but the microphysical processes that result in rate- and state-dependent friction behavior for granular materials remain poorly understood. Laboratory studies indicate that asperity contact junctions strengthen with age [Rabinowicz, 1951], possibly through thermally activated mechanisms that increase the contact area [Dieterich and Kilgore, 1994; 1996;] or the contact bonding quality [Rice, 1976; Hirth and Rice, 1980]. Additionally, the friction behavior of granular materials is a function of shear localization, density changes, and particle characteristics [Mair and Marone, 1999; Mair et al., 2002]. Dieterich and Conrad [1984] and Frye and Marone [2002] show that for quartzite blocks, quartz powder and alumina powder, friction behavior is dependent on relative humidity (RH). Time-dependent frictional healing is reduced or turned off at low RH, indicating that at least one of the mechanisms responsible for rate- and state-dependent friction is chemically assisted. In this paper we build upon earlier laboratory work [Dieterich and Conrad, 1984; Tullis and Weeks, 1986; Blanpied et al., 1998; Frye and Marone, 2002] and report results from experiments performed at different applied normal stress to investigate whether the underlying water-assisted aging mechanisms are normal stress dependent. Further, we investigate the RH dependence of friction behavior for a heterogeneous material (Westerly granite). Finally, Dieterich and Conrad [1984] found that steady state sliding friction decreased with increasing RH for quartzite blocks while the powders investigated by Frye and Marone [2002] exhibited no variation in sliding friction as a function of RH. We address this discrepancy by examining the steady-state sliding friction as a function of RH for powders and blocks made of the same material. 3.2 Experiment procedure All laboratory experiments in this study were performed in a double-direct shear apparatus. In this configuration, two frictional surfaces are sheared simultaneously (Figure 3.1, inset). Shear load was applied as a vertical displacement or velocity boundary condition by servo-control with 0.1 μm resolution. The horizontal ram applied normal force in load-feedback mode with 0.1 kN resolution. Position and applied force are measured at each load point at a sampling rate of 1 to 10 kHz. The raw data is averaged and recorded at 1 to 10 samples/s. 3.2.1 Technique for powders Test samples consisted of 3 mm-thick layers of quartz or Westerly granite powder sheared between grooved steel forcing blocks. The nominal area of contact was 10 cm x 10 cm. Gouge layers were constructed in a leveling jig to ensure uniform and reproducible layer thickness, as in chapter 2. The quartz powder was subangular Ottawa sand, which is >99% SiO₂ as supplied by the US Silica Co. We used Natural Grain product F-110, which has an initial median particle size of 110 μm and a size range of 50-150 μm. The granite powder came from Westerly granite blocks (Westerly, RI) that were jaw-crushed and disk-milled to a size range of 10-150 μm, with a median size of ~25 μm. The powders were dried in a vacuum oven at 110° C to remove excess Figure 3.1. Shear stress and normal stress history for two experiments. (a) Gouge layers are subject to three shear load cycles at high normal stress (40 MPa) to create fresh surface area before velocity stepping tests are carried out at normal stress 35 MPa. In this experiment, normal stress is dropped to 7.5 MPa for slide-hold-slide tests after gouge layer preconditioning. (b) Bare surface test with Westerly granite blocks: normal stress is constant for the entire experiment. surface water. Brace [1965] reported Westerly granite composition to be 28% quartz, 35% Potassium feldspar, 31% plagioclase feldspar, and 5% micas. The test sample and loading system were isolated from room atmosphere with a flexible membrane and RH was varied from <5% to 100% (Table 3.1, end of chapter). To allow the granular layer to equilibrate at a given humidity, unsaturated samples were held in the controlled humidity environment for 12 hours before normal load was applied. 100% RH experiments were performed by applying water directly to the top of the samples until water flowed from the bottom of the samples. It is not possible to reliably vary RH within a given experiment, so different experiments must be compared. To observe the effect of humidity on rate- and state-dependent friction behavior, we precondition the gouge at the beginning of experiments to help localize shear and create fresh surface area within the sample through comminution of grains. Each experiment started by raising normal stress $\sigma_n$ to 40 MPa (Figure 3.1a). Three shear load cycles were performed to enhance grain crushing and produce new surface area in situ (Figure 3.2). For Westerly granite powder experiments as a function of RH, normal stress was then reduced to 25 MPa and shearing was carried out at a rate of 10 $\mu$m/s. To further condition the gouge layers and establish a steady-state friction level, we performed velocity stepping experiments for the displacement range 5 to 9 mm. SHS tests were performed for the displacement interval 9 to 13 mm. For granite and quartz powder experiments investigating the effect of normal stress, after load cycles at $\sigma_n = 40$ MPa, normal stress was reduced to 35 MPa and the sample was sheared to 9 mm net displacement. Shear stress was then removed and the normal stress was changed to a value between 5 and 45 MPa. The sample was sheared for 3 mm and SHS tests were performed. Figure 3.2. (a) Starting material for quartz powder experiments. (b) Quartz powder layer after preconditioning at $\sigma_h = 40$ MPa followed by velocity stepping at $\sigma_h = 5$ MPa. (c) Quartz powder layer after preconditioning and velocity stepping at 35 MPa. Both layers exhibit significant comminution of grains and epoxy-filled cracks formed during unloading. 3.2.2. Technique for bare surfaces Blocks of Westerly granite with a nominal contact area of 10 cm x 10 cm were roughened by either shot-blasting or sandblasting. The blocks were dried in a vacuum oven at $110^\circ$ C to remove excess surface water. Samples were assembled in a leveling jig to ensure proper alignment and allowed to equilibrate with the ambient humidity in the lab (8-36% RH) or with the air in the test chamber (75% RH). 100% RH experiments were achieved by adding water to the top of the sample interface throughout the experiment. Normal stress was applied to the blocks (5-20 MPa), and shearing was begun. After 3 mm of shear displacement, SHS tests were performed (Figure 3.1b). 3.3. Results 3.3.1 Quartz powder 184.108.40.206. Normal stress effect on frictional healing The time dependence of static friction is measured in the laboratory after slide-hold-slide (SHS) tests (Figure 3.3). The load point is stopped for periods of 3-1000 s after which loading resumes and a peak friction value is measured [after Dieterich, 1972; Beeler et al., 1994; Marone, 1998b]. Because of the finite stiffness of the testing apparatus, frictional creep occurs during holds, accompanied by layer compaction in powders (Figure 3.3b). When loading resumes at the initial driving velocity, hardening occurs until the frictional yield strength is overcome and then friction returns to its steady state sliding value. The layer dilates to accommodate shearing. We define the difference between steady-state sliding friction and the peak friction value after a hold as healing ($\Delta \mu$). Figure 3.3. (a) A 30 s SHS test is shown with (b) corresponding layer thickness change. Compaction occurs during the hold as shear stress relaxation occurs. When loading resumes, the layer dilates to accommodate displacement. We performed SHS tests for a range of RH and normal stress. Healing increases with increasing RH at all applied normal stresses over the range 5-45 MPa (Figure 3.4). Frictional healing for a given hold time is reduced or zero at low humidity, and increases with RH to 50-60% RH. At RH>60%, the approximate RH at which a monolayer of water exists on quartz surfaces [Whalen, 1981], the humidity effect saturates and healing values are approximately the same. Figure 3.4 shows that healing at $\sigma_n=35$ MPa is less than healing observed at lower values of normal stress at a given humidity. A plot of frictional healing versus normal stress shows the normal stress dependence more clearly (Figure 3.5). At three values of RH, healing decreases with increasing applied normal stress. The normal stress dependence is most easily observed at 100% RH, where the healing signal is largest. We are able to observe the normal stress dependence of healing because healing is defined in terms of friction. Expressed as change in shear stress after a quasi-static hold, the normal stress effect is very small (Figure 3.6), illustrating the subtlety of the healing signal. Figure 3.6b shows layer compaction and dilation associated with 1000 s SHS from $\sigma_n=5$ MPa to $\sigma_n=45$ MPa. The consistency of the layer thickness data as a function of normal stress may indicate that the shear zones developed during preconditioning are approximately the same width from experiment to experiment [Karner and Marone, 2001]. ### 220.127.116.11 Normal stress effect on velocity dependence The velocity dependence of sliding friction was measured during velocity stepping tests where the load point velocity was toggled between 10 and 1 $\mu$m/s. When velocity is decreased, friction initially decreases (direct effect). As displacement continues at the slower velocity, Figure 3.4. Healing versus humidity. Healing increases with %RH for tests performed at 5, 10, and 35 MPa applied normal stress. Healing at a given %RH value is reduced at 35 MPa. Figure 3.5. Healing versus normal stress for three different %RH ranges. Healing decreases with normal stress for quartz powder samples for any given humidity value. The trend is most clear in 100% RH samples. Figure 3.6. (a) Healing expressed as change in shear stress for 1000 s SHS tests of 100 % RH quartz powder. Normal stress dependence of healing is relatively small when plotted as change in shear stress. (b) Compaction and dilation data for 1000 s holds do not vary significantly with normal stress. After preconditioning, localized shear zones likely have similar widths for all tests. friction evolves back to a steady state sliding value over a critical slip distance. In our velocity stepping tests performed after gouge preconditioning, the evolution effect occurs over two critical slip distances (Figure 3.7), necessitating the use of a two state variable rate- and state-dependent friction model [Blanpied and Tullis, 1986] such as: \[ \mu = \mu_0 + a \ln \left( \frac{V}{V_0} \right) + b_1 \ln \left( \frac{V_0 \theta_c}{D_{c1}} \right) + b_2 \ln \left( \frac{V_0 \theta_c}{D_{c2}} \right) \] where $ \mu $ is the new sliding friction at velocity $ V $, $ \mu_0 $ is friction at velocity $ V_0 $, $ D_{ci} $ is the critical slip distance, and $ \theta_c $ is the state variable which evolves in the Dieterich [1978, 1979] formulation as: \[ \frac{d\theta_c}{dt} = 1 - \frac{V\theta_c}{D_{ci}} \] Figure 3.7a illustrates why our velocity stepping tests at 10 MPa require the use of a two state variable model to fit the data. Friction decreases through the direct effect, evolves to a value significantly higher than sliding friction at 10 $ \mu \text{m/s} $, and then evolves over a larger distance back down to ~0.675. The corresponding horizontal displacement data (Figure 3.7b) shows a decrease in layer thickness at the displacement where the velocity step occurs. The layer then dilates, which perturbs the friction level again. The effect of the second state variable is much more subdued at 35 MPa, and the layer thickness decreases with the decrease in velocity, consistent with Mair and Marone [1999]. The two state variable rate- and state- friction parameters are obtained by using an iterative, non-linear, least-squares inversion. The parameters $ a $ and $ b_1 $ decrease with normal stress, as does the absolute value of $ b_2 $ (Figure 3.8). The systematic variation of the parameters results in very little change in overall velocity dependence of steady-state friction ($ a-b_1-b_2 $). However, the parameters $ a $ and $ b_1 $ would affect the static friction peak after a SHS test more than Figure 3.7. Velocity stepping tests performed at 10 MPa need a two state variable model to fit friction data (a). Layer thickness decreases with a step from 10 μm/s to 1 μm/s, then dilates (b). At 35 MPa (c), $b_1$ and the absolute value of $b_2$ are smaller than observed for low normal stress tests. (d) Layer thickness data from both experiments have been detrended to remove the effect of geometric thinning. Figure 3.8. Rate and state friction parameters versus normal stress. (a) The parameter $a$ decreases as a function of normal stress. (b) $b_1$ decreases with normal stress, consistent with healing data; $b_2$ increases with normal stress but remains negative. (c) $(a-b_1-b_2)$, the steady-state velocity dependence, is not a function of normal stress. (d) Variation of $D_{c1}$ with normal stress is within the scatter. the parameter $b_2$, which acts over a larger displacement. The normal stress dependence of $a$ and $b_1$ is consistent with healing data from SHS tests (Figure 3.5). ### 3.3.2. Westerly granite powder and bare surfaces #### 18.104.22.168. Humidity effect on frictional healing and sliding friction The frictional healing measured after SHS tests is a function of humidity for Westerly granite surfaces and powder (Figure 3.9). Healing is minimized at low RH, and reaches a maximum value at 100% RH (saturated conditions). The healing versus RH curve does not go to zero for granite powder, but for bare surfaces, healing remains zero up to 40% RH. At 100% RH healing for both powder and bare surfaces is the same. There is no systematic relationship between humidity and sliding friction for granite powder, but bare surfaces weaken with increasing humidity (Figure 3.10). A relationship between frictional healing rate and displacement has been observed for bare surfaces and powders [Wong et al., 1992; Beeler et al., 1994; Richardson and Marone, 1999]. For powder experiments, SHS tests are performed at the same displacement in each experiment. For bare surfaces, all healing data come from the first 15 mm of displacement. There is very little gouge formed on the surfaces of granite blocks at these low displacements and there is little variation in healing over the first 15 mm of displacement (Figure 3.11). #### 22.214.171.124. Normal stress effect on frictional healing Frictional healing of Westerly granite powder decreases with increasing normal stress (Figure 3.12a). The systematic variation of healing with normal stress is similar to that of quartz. Figure 3.9. (a) Frictional healing for 1000 s holds increases with humidity for both bare surfaces and thick granular layers of Westerly granite powder. Healing goes to zero at low humidity for bare surfaces, but not for powder. At 100% RH, healing is the same for both types of granite samples. Figure 3.10. Steady-state sliding friction does not vary with humidity for granite powder. For bare surfaces, sliding friction is greater at low humidity than at high humidity, consistent with Dieterich and Conrad [1984]. There is large scatter in sliding friction values at intermediate humidity for bare surfaces. Figure 3.11. Healing vs. displacement for Westerly granite bare surfaces, 100% RH, 5 MPa normal stress. Figure 3.12. (a). Healing for Westerly granite powder as a function of normal stress. Healing decreases with increasing normal stress. Average values of healing for quartz powder plotted with open symbols. (b). Healing for Westerly granite blocks (bare surfaces) also decreases with normal stress. However, normal stress range is limited by block strength. powder. The same trend is observed for bare granite surfaces (Figure 3.12b) up to 20 MPa. The normal stress range for bare surface experiments is limited by the strength of the granite blocks. 3.4 Discussion 3.4.1. RH dependence of friction behavior Our observations show that time-dependent frictional healing can be reduced or eliminated at low RH for granite powder and bare surfaces (Figure 3.9). These observations suggest that there is a water-assisted healing mechanism operating at room temperature for granite as well as for quartz (Figure 3.4) [Dieterich and Conrad, 1984, Frye and Marone, 2002]. The coefficient of sliding friction is independent of humidity for quartz powder [Frye and Marone, 2002] and granite powder. However, for quartzite blocks [Dieterich and Conrad, 1984] and granite blocks, sliding friction decreases with humidity (Figure 3.10). These behaviors illustrate that the deformation of bare surfaces is different from the deformation of powders. Numerical simulations indicate that the sliding friction of powders is nearly independent of interparticle friction [Morgan, 1999], possibly because grain rotation becomes more prevalent as grain-grain sliding resistance increases. With no gouge layer present, the sliding friction of the granite block surfaces is controlled asperity-asperity contacts and influenced by asperity deformation, indentation, breakage, and ploughing [Scholz, 1976]. Friction could be reduced by the presence of a boundary lubricant, or, because the friction observed during steady-state sliding of blocks is much more dependent on asperity strength, hydrolytic weakening of the block surfaces could reduce macroscopic sliding friction. 3.4.2. Normal stress dependence of friction behavior Humidity dependent healing mechanisms operate over a range of applied normal stresses from 5 to 45 MPa (Figures 3.4, 3.5). Healing decreases with increasing normal stress at a given humidity for quartz powder, granite powder, and granite blocks (Figures 3.5, 3.12). The rate- and state-dependent friction parameters taken from velocity stepping tests for 100% RH preconditioned quartz powder are also a function of normal stress. The parameters $a$ and $b_1$ decrease with increasing normal stress, consistent with the results of SHS tests for quartz powder, granite powder, and granite blocks. We interpret the relationship between time-dependent healing and normal stress to be the result of chemically assisted mechanisms that strengthen contact junctions. If asperities are in a state of incipient plastic flow [Bowden and Tabor, 1964], stress at contact junctions is limited by the strength of the material and should be independent of the applied normal stress. The load supported by contact junctions, however, may increase with increasing applied normal stress. Load-dependent contact junction strengthening could be due to a low-temperature plasticity mechanism that increases real area of contact, and therefore adhesion and frictional healing, during holds [Dieterich and Kilgore, 1994; 1996]. When quartz is exposed to water, there is evidence of the formation of a weak surface layer of 0.2 to 3 $\mu$m thickness [Westbrook and Jorgensen, 1968; Clark et al., 1978]. At low applied normal stress, the loads at contact junctions could be supported by the weaker, visco-plastically deforming surface layer (Figure 3.13a), the strength of which would be determined by the quantity of water present [Blacic and Christie, 1984; Jaoul et al., 1984; Mainprice and Paterson, 1984; Kronenberg and Tullis, 1984; Evans and Kohlstedt, 1995]. At higher normal stress, the greater loads at contact junctions would be supported in part by the stronger material below the surface layer [Liu, 1950; Figure 3.13. A schematic representation of a stressed contact junction. (a) High loads at contact junctions may be supported in part by visco-plastic deformation of the surface layer and elastic deformation of the stronger substrate. (b) Higher loads at contact points may close off pathways for water desorption/adsorption, reducing the efficiency of that strengthening mechanism. Another possible mechanism for humidity dependent healing is desorption of surface water between two contacts and subsequent increase in bonding strength [Hirth and Rice, 1980]. This mechanism could be dependent on normal stress (Figure 3.13b) as larger contact junctions at higher loads could lengthen paths for water desorption/adsorption, making that strengthening mechanism less efficient. Preconditioning the gouge layer with high normal stress load cycles ensures that shear localization [Yund et al., 1990; Logan et al., 1992; Sleep, 1997, Sleep et al., 2000] begins at the same stage in each experiment (Figures 3.1, 3.6). However, velocity stepping performed at low normal stress requires the use of a second state variable (Equations 3.1 and 3.2) to properly model the velocity stepping data. The rate- and state-dependent friction parameters that best correspond with time dependent healing ($a$ and $b_1$) decrease with increasing normal stress (Figure 3.8). The absolute value of $b_2$ also decreases. The layer thickness response to velocity perturbations at low normal stress may be due to the preconditioning of the layer. Typically the response of layer thickness to a decrease in sliding velocity is compaction of the layer (e.g. Figures 3.7c and 3.7d, or Mair and Marone, [1999]). For low normal stress tests in this study, the layer compacts in response to a decrease in velocity and then dilates. If the layers are over-compacted during preconditioning, perhaps large changes in layer thickness are difficult to maintain during velocity stepping tests. At normal stresses greater than 15 MPa, the layer thickness responds in a typical manner to a velocity step, the second state variable becomes less important and the magnitude of the parameter $b_2$ decreases. Because $a$ and $b_1$ are consistent with healing data from SHS tests on granite blocks with no gouge layer, we interpret those parameters to be representative of contact junction processes, while $b_2$ and the second state variable we attribute to microstructural mechanisms such as layer density change. 3.5. Conclusions We have shown that humidity has a significant effect on frictional healing for quartz powder, granite powder, and granite blocks at room temperature. Frictional healing is negligible at low humidity and increases with increasing RH for quartz powder and granite blocks. Frictional healing is reduced at low RH for granite powder, but does not go to zero, possibly due to higher water content in powders with smaller initial grain sizes. The coefficient of sliding friction is independent of humidity for powders, but sliding friction decreases with humidity for the bare surface granite blocks. While particles in thick gouge layers are allowed to rotate during deformation, elastic-brittle asperity deformation and/or asperity ploughing controls the sliding friction of the granite block surfaces [Scholz, 1976]. Therefore, hydrolytic weakening of the block surfaces could reduce macroscopic sliding friction. Alternatively, water could act as a boundary lubricant and reduce sliding resistance at the contact points. We observe that chemically assisted frictional healing mechanisms are active at applied normal stress as low as to 5 MPa. Healing rate decreases with increasing normal stress for quartz powder, granite powder, and granite blocks over a range of RH. Preconditioning the powders adds complexity to the velocity-dependence of granular fiction, requiring a two state variable model to fit the data. However, the parameters $a$ and $b_1$ taken from the velocity-stepping tests are consistent with the time-dependent healing data from powders and granite blocks with no gouge layer. Therefore, we propose that micro-structural effects are observed in the parameter $b_2$, and that the normal stress dependence of $a$, $b_1$, and time-dependent healing is primarily caused by load dependent contact junction processes. We posit that both low temperature plasticity and water adsorption/desorption at contact junctions could result in time-dependent strengthening of a frictional interface, as both mechanisms may be less efficient at higher contact loads. 3.6. References for chapter 3: Beeler, N. M., T. E. Tullis, and J. D. Weeks, The roles of time and displacement in evolution effect in rock friction, Geophys. Res. Lett., 21, 1987-1990, 1994. Blacic, J. D., and J. M. Christie, Plasticity and hydrolytic weakening of quartz single crystals, J. Geophys. Res., 89, 4223-4240, 1984. Blanpied, M.L., and T.E. Tullis, The stability and behavior of a frictional system with a two state variable constitutive law, Pure Appl. Geophys., 124, 43-73, 1986. Blanpied, M.L., J.D. Weeks, and T.E. Tullis, Effects of slip, slip rate, and shear heating on the friction of granite, J. Geophys. Res., 103, 489-511, 1998. Bowden, F. P. and D. Tabor, The friction and lubrication of solids. Part II. Oxford: Clarenden Press, 1964. Brace, W.F., Some new measurements of linear compressibility of rocks, J. Geophys. Res. 70, 391-398, 1965. Chester F.M. Effects of temperature on friction: constitutive equations and experiments with quartz gouge, J. Geophys. Res. 99, 7247-61, 1994. Clark, G.J., C.W. White, D.D. Alfred, B.R. Appleton, and I.S.T. Tsong, Hydrogen concentration profiles in quartz determined by a nuclear reaction technique, Phys. Chem. Miner. 3, 199-211, 1978. Dieterich, J. H., Time-dependent friction in rocks, J. Geophys. Res., 77, 3690-3697, 1972. Dieterich, J. H., Time-dependent friction and the mechanics of stick-slip, Pure Appl. Geophys., 116, 790-805, 1978. Dieterich, J. H., Modeling of rock friction: 1. Experimental results and constitutive equations, J. Geophys. Res., 84, 2161-2168, 1979. Dieterich, J. H., and G. Conrad, Effect of humidity on time and velocity-dependent friction in rocks, J. Geophys. Res., 89, 4196-4202, 1984. Dieterich, J. H., and B. Kilgore, Direct observation of frictional contacts: new insights for state-dependent properties, Pure Appl. Geophys., 143, 283-302, 1994. Dieterich, J. H., and B. Kilgore, Imaging surface contacts: power law contact distributions and stresses in quartz, calcite, glass and acrylic plastic, Tectonophys., 256, 219-239, 1996. Evans, B., and D. L. Kohlstedt, Rheology of rocks, in Rock Physics and Phase Relations, A Handbook of Physical Constants, AGU Reference Shelf 3, edited by T. J. Ahrens, 148-165, AGU, Washington, D.C., 1995. Frye, K.M. and C. Marone, The effect of humidity on granular friction at room temperature, J. Geophys. Res., in press, 2002. Hardy, C., C.N. Baronet and G.V. Tordion, The elasto-plastic indentation of a half-space by a rigid sphere, Int. J. Num. Meth. Eng. 3, 451-462, 1971. Hirth, J.P. and J.R. Rice, On the thermodynamics of adsorption at interfaces as it influences decohesion, Metallurgical Trans. A 11, 1501-1511, 1980. Jaoul, O., J. Tullis, and A. K. Kronenberg, The effect of varying water contents on creep behavior of Heavitree quartzite, J. Geophys. Res., 89, 4298-4312, 1984. Karner, S. L., and Marone, C., Frictional restrengthening in simulated fault gouge: Effect of shear load perturbations, J. Geophys. Res., 106, 19319-19337, 2001. Kronenberg, A. K., and J. Tullis, Flow strengths of quartz aggregates: Grain size and pressure effects due to hydrolytic weakening, J. Geophys. Res., 89, 4281-4297, 1984. Liu, C.K., Stresses and deformations due to tangential and normal loads on an elastic solid with applications to contact stresses, Ph.D. thesis, U. of Illinois, 1950. Logan, J.M., C.A. Dengo, N.G. Higgs, and Z.Z. Wang, Fabrics of experimental fault zones: their development and relationship to mechanical behavior, in Fault Mechanics and Transport Properties of Rocks, ed. B. Evans and T.F. Wong, London Academic, 33-67, 1992. Mainprice, D. H., and M. S. Paterson, Experimental studies of the role of water in the plasticity of quartzites, J. Geophys. Res., 89, 4257-4270, 1984. Mair, K., and C. Marone, Friction of simulated fault gouge for a wide variety of velocities and normal stresses, J. Geophys. Res., 104, 28899-28914, 1999. Marone, C., Laboratory-derived friction laws and their application to seismic faulting, Annu. Rev., Earth Planet. Sci., 26, 696, 1998a. Marone, C., The effect of loading rate on static friction and the rate of fault healing during the earthquake cycle, Nature, 391, 69-72, 1998b. Morgan, J. K., Numerical simulations of granular shear zones using the distinct element method, 2: Effects of particle size distribution and interparticle friction on mechanical behavior, J. Geophys. Res., 104, 2721-2732, 1999. Rabinowicz, E., The nature of static and kinetic coefficients of friction, J. Appl. Phys. 22, 1373-1379, 1951. Rice, J.R., Hydrogen and interfacial cohesion, in Effect of Hydrogen on Behavior of Materials, ed. A.W. Thompson and I.M. Berstein, Metallurgical Society of AIME, New York, 455-466, 1976. Richardson, E., and C. Marone, Effects of normal stress vibrations on frictional healing, J. Geophys. Res., 104, 28859-28878, 1999. Ruina, A., Slip instability and state variable friction laws, J. Geophys. Res., 88, 10359-10370, 1983. Scholz, C.H., Earthquakes and friction laws, Nature, 391, 37-42, 1998. Scholz, C. H., and J. T. Engelder, The role of asperity indentation and ploughing in rock friction; I. Asperity creep and stick-slip, International Journal of Rock Mechanics and Mining Sciences, 13, 149-154, 1976. Sleep, N. H., E. Richardson, and C. Marone, Physics of friction and strain rate localization in simulated fault gouge, J. Geophys. Res., 105, 25875-25890, 2000. Sleep, N. H., Application of a unified rate and state friction theory to the mechanics of fault zones with strain localization, J. Geophys. Res., 102, 2875-2895, 1997. Tullis, T. E., and J. D. Weeks, Constitutive behavior and stability of frictional sliding of granite, Pure Appl. Geophys., 124, 383-414, 1986. Westbrook, J.H., and P.J. Jorgensen, Effects of water desorption on indentation microhardness anisotropy in minerals, Am. Mineral., 53, 1899-1909, 1968. Whalen, J.W., Thermodynamic properties of water adsorbed on quartz, J. Phys. Chem., 65, 1676-81, 1981. Wong, T. -f., Y. Gu, T. Yanagidani, and Y. Zhao, Stabilization of faulting by cumulative slip, in Fault mechanics and transport properties of rocks; a festschrift in honor of W. F. Brace, Evans, B. and T. -f. Wong (editors), 119-143, 1992. Yund, R. A., M.L. Blanpied, J.D. Weeks, and T.E. Tullis, 1990, Observation and interpretation of microstructures in experimental fault gouges, J. Geophys. Res., 95,15589-15602. \| Experiment Name \| Material \| Normal Stress \| Relative Humidity \| \|-----------------\|-------------------\|-------------------\|------------------\| \| m488 \| quartz powder \| 15 MPa, 35 MPa \| < 5% \| \| m492 \| quartz powder \| 35 MPa \| 15% \| \| m493 \| quartz powder \| 5 MPa \| 15-20% \| \| m496 \| quartz powder \| 35 MPa \| 63% \| \| m497 \| quartz powder \| 5 MPa \| 63% \| \| m499 \| quartz powder \| 5 MPa \| 5% \| \| m501 \| quartz powder \| 10 MPa \| 12% \| \| m529 \| quartz powder \| 10 MPa \| < 5% \| \| m530 \| quartz powder \| 5 MPa \| 29% \| \| m531 \| quartz powder \| 35 MPa \| 29% \| \| m532 \| quartz powder \| 10 MPa \| 29% \| \| p007 \| quartz powder \| 10 MPa \| 52% \| \| p008 \| quartz powder \| 5 MPa \| 90% \| \| p009 \| quartz powder \| 15 MPa \| 57% \| \| p010 \| quartz powder \| 10 MPa \| 88% \| \| p011 \| quartz powder \| 5 MPa \| 100% \| \| p012 \| quartz powder \| 15 MPa \| 90% \| \| p013 \| quartz powder \| 10 MPa \| 100% \| \| p014 \| quartz powder \| 35 MPa \| 90% \| \| p015 \| quartz powder \| 15 MPa \| 100% \| \| p016 \| quartz powder \| 35 MPa \| 100% \| \| p017 \| quartz powder \| 45 MPa \| 60% \| \| p021 \| quartz powder \| 15 MPa \| 33% \| \| p022 \| quartz powder \| 12.5 MPa \| 33% \| \| p023 \| quartz powder \| 10 MPa \| 33% \| \| p024 \| quartz powder \| 7.5 MPa \| 33% \| \| p025 \| quartz powder \| 5 MPa \| 33% \| \| p026 \| quartz powder \| 5 MPa \| 100% \| \| p027 \| quartz powder \| 10 MPa \| 100% \| \| p028 \| quartz powder \| 15 MPa \| 100% \| \| p029 \| quartz powder \| 25 MPa \| 100% \| \| p030 \| quartz powder \| 12.5 MPa \| 100% \| \| p031 \| quartz powder \| 45 MPa \| 100% \| \| p032 \| quartz powder \| 7.5 MPa \| 100% \| \| p043 \| quartz powder \| 5 MPa \| 100% \| \| p044 \| quartz powder \| 45 MPa \| 100% \| \| p045 \| quartz powder \| 10 MPa \| 100% \| \| p055 \| quartz powder \| 15 MPa \| 100% \| \| p056 \| quartz powder \| 25 MPa \| 100% \| \| p057 \| quartz powder \| 35 MPa \| 100% \| \| p058 \| quartz powder \| 20 MPa \| 100% \| \| p095 \| quartz powder \| 5 MPa \| 100% \| \| p097 \| quartz powder \| 35 MPa \| 20% \| \| p105 \| quartz powder \| 5 MPa \| 10% \| \| Experiment Name \| Material \| Normal Stress \| Relative Humidity \| \|-----------------\|---------------------------\|---------------\|-------------------\| \| p002 \| West. granite powder \| 25 MPa \| 52% \| \| p003 \| West. granite powder \| 25 MPa \| 95% \| \| p004 \| West. granite powder \| 25 MPa \| 77% \| \| p005 \| West. granite powder \| 25 MPa \| 55% \| \| p006 \| West. granite powder \| 25 MPa \| 100% \| \| p019 \| West. granite powder \| 25 MPa \| 36% \| \| p059 \| West. granite powder \| 25 MPa \| 17% \| \| p060 \| West. granite powder \| 25 MPa \| < 5% \| \| p106 \| West. granite powder \| 25 MPa \| 11% \| \| p119 \| West. granite powder \| 5 MPa \| 100% \| \| p120 \| West. granite powder \| 10 MPa \| 100% \| \| p121 \| West. granite powder \| 20 MPa \| 100% \| \| p122 \| West. granite powder \| 35 MPa \| 100% \| \| p073 \| West. granite blocks \| 5 MPa \| 16 to 100 % \| \| p074 \| West. granite blocks \| 5, 10, 15, 5 MPa \| 100% \| \| p075 \| West. granite blocks \| 5 MPa \| 12% \| \| p076 \| West. granite blocks \| 5, 10, 15 MPa \| 8% \| \| p077 \| West. granite blocks \| 10 MPa \| 10% \| \| p101 \| West. granite blocks \| 5 MPa \| 38-43% \| \| p102 \| West. granite blocks \| 5 MPa \| 72% \| \| p104 \| West. granite blocks \| 5 MPa \| 100% \| \| p129 \| West. granite blocks \| 20 MPa \| 100% \| 4. Influence of grain characteristics on the friction of granular shear zones$^2$ Synopsis. Numerical models of granular shear show lower friction and a greater tendency for stick slip than laboratory studies designed to investigate fault mechanics. Here we report on laboratory experiments designed to reproduce the conditions of numerical models and test the role that grain characteristics play in controlling frictional behavior. Friction and microstructural data are compared for direct shear experiments on thin layers (2-3 mm) of angular quartz sand and spherical glass beads. We study the effect of grain shape, roughness, size distribution, and comminution. In a non-fracture loading regime, sliding friction for smooth spherical particles ($\mu \sim 0.45$) is measurably lower than for angular particles ($\mu \sim 0.6$). A narrow particle size distribution (PSD) of spherical beads (105-149 $\mu m$) exhibits unstable stick-slip behavior, whereas a wide PSD of spheres (1-800 $\mu m$), and the angular gouge, display stable sliding. At higher stress, where grain fracture is promoted, initially spherical particles become stable with accumulated slip and friction increases to the level observed for angular gouge. We find that frictional strength and stability of a granular shear zone are sensitive to grain shape, PSD, and their evolution. We suggest that a low friction translation mechanism, such as grain rolling, operates in gouge composed of smooth particles. Our results show that the first order disparities between laboratory and numerical studies of granular shear can be explained by differences in grain characteristics and loading conditions. Since natural faults predominantly contain angular gouge we find no evidence for a fault weakening mechanism associated with the presence of gouge. $^2$This chapter is in press as Mair, K., K.M. Frye, and C. Marone, Influence of grain characteristics on friction of granular shear zones, J. Geophys. Res., 2002. 4.1. Introduction Earthquakes occur on active faults in the brittle crust that are often perceived as discrete discontinuities (or seams) between intact country rock. However, natural faults commonly contain significant accumulations of granular wear material (gouge) making them mechanically and physically distinct from the surrounding rock. The nature and evolution of this granular wear material significantly affects mechanical strength, frictional stability and the potential for seismic slip. To understand the mechanics of earthquakes and faulting, it is therefore essential to understand the behavior of gouge-filled fault zones. In this paper we investigate the dynamics of gouge-filled fault zones by studying shear in thin granular layers constrained within rigid boundaries. Many similar laboratory studies have been carried out and much is known about the general frictional properties of gouge under geophysically-relevant conditions [see Marone, 1998; Scholz, 1998, for recent summaries]. However, much of this work has focused on the effects of net shear displacement and shear localization, and relatively little is known about how specific grain characteristics influence the bulk frictional strength. A key problem is that the experimental configurations, designed to achieve high stresses, do not allow direct observation of the strain rate field during deformation. Thus, the connection between frictional behavior and particle dynamics including rotation, translation, and fracture has to be inferred indirectly or from ‘post-experiment’ microstructural observations. Numerical simulations offer the possibility of improving our understanding of the dynamics and kinematics of granular shear [Pisarenko and Mora, 1994; Mora and Place, 1994, 1998, 1999; Scott, 1996; Morgan, 1999; Morgan and Boettcher, 1999; Aharonov and Sparks, 1999]. These studies show that complex dynamics can arise from simple particle-particle interactions when large numbers of grains are considered. However, many of the existing numerical studies yield significantly different results than corresponding laboratory studies. In particular, numerical studies show lower frictional strength and a greater tendency for instability than laboratory studies. In one class of numerical simulations, the observation of low friction has been linked to rolling in particles of simulated fault gouge [Mora and Place, 1999]. It has been suggested that these results may explain the apparent weakness of major faults, such as the San Andreas in California. There are several key differences between the numerical and laboratory studies. In particular, numerical shear zones are typically composed of idealized circular (2-D) particles that do not evolve, or evolve very little during shear, whereas laboratory experiments are carried out on highly angular (3-D) particles undergoing pervasive fracture and comminution [Sammis et al., 1987; Marone and Scholz 1989]. We suggest that the apparent disparity between observations from laboratory and numerical studies of granular shear zones may be a consequence of these distinct differences in the nature of gouge and the deformation regimes imposed in both cases. For example it is unclear whether idealized spherical particles typical in numerical models [Mora and Place, 1998, 1999; Morgan and Boettcher, 1999; Morgan 1999; Aharonov and Sparks, 1999] and angular gouge used in laboratory experiments have a similar or distinct frictional response. Few laboratory studies have investigated the effect of grain shape on the behavior of sheared granular materials [but see Mueth et al., 2000]. The purpose of this paper is to investigate the influence of grain shape, roughness, and particle size distribution (PSD) on the frictional strength and stability of sheared granular layers. We carry out experiments at a range of normal stresses chosen to investigate both minimal and pervasive grain fracturing. Loading conditions are designed to reproduce both numerical modeling conditions and standard geophysical laboratory conditions. We observe systematic differences in the friction of angular and spherical granular materials. Our results are simple and indicate that much if not all of the first order differences between numerical and laboratory experiments can be explained by differences in physical characteristics of gouge particles. 4.2. Experimental method We shear granular layers between roughened steel blocks using a servo-hydraulic controlled direct shear apparatus (Figure 4.1). Extensive work has been done using this geometry [Dieterich, 1978, 1979; Marone, 1998] that we use in this study. We use granular material to simulate wear products (gouge) commonly found in exhumed natural faults. The roughened boundary surfaces approximate the roughness of real faults and help promote shear throughout the layer rather than at the boundary. We apply and maintain constant normal force to the side blocks, then drive the center block at a specified load point velocity to initiate shear within the granular layer. Layers compact and dilate during shear reflecting the dynamic gouge reorganization required to accommodate shear. Layer thickness changes are continuously monitored together with shear and normal stresses. The coefficient of friction is defined as shear stress divided by normal stress. Additional experimental details are given in Karner and Marone [1998] and Mair and Marone [1999]. To investigate the influence of grain characteristics on sliding friction we conducted identical direct shear experiments on 3 mm thick layers of different simulated fault gouges. These gouges consisted of: a) angular Ottawa sand; and b) spherical soda-lime glass beads (Figure 4.2). The Ottawa sand is a pure > 99% quartz obtained from the US silica Company, Ottawa, Illinois and Figure 4.1. Schematic diagram of direct shear apparatus showing the 100x100 mm, 3 mm thick granular layers sandwiched between rough steel bocks. The orientations of shear stress, normal stress and load point displacement transducers are indicated. Figure 4.2. SEM photomicrographs of undeformed gouge: a) angular grains; b) spherical grains. The materials have a size range of 50-150 µm and 105-149 µm (grain diameter) respectively and means of ~110 µm and ~120 µm. c) Spherical grains with a size range 1-800 µm (grain diameter) and a log-normal size distribution by weight with peak grain size at ~100 µm. has been used in previous laboratory studies of friction [Karner and Marone, 1998; Richardson and Marone, 1999; Mair and Marone, 1999]. We acquired precision glass spheres from Mo-Sci Corporation, Rolla, Missouri. Importantly, the particle size distribution (PSD) and mean grain size of the undeformed sand (Figure 4.2a) and spheres (narrow PSD, Figure 4.2b) are comparable, as are the compressive strengths of individual grains, hence the main difference between the gouges is the grain shape (Figure 4.2). A third gouge (Figure 4.2c) composed of spheres with a wide PSD was used to investigate the influence of grain size distribution (section 4.3.3.) for constant spherical shape. This material had a log-normal PSD by weight in order to represent the PSD of a mature shear band [An and Sammis, 1994]. Experiments were carried out under a range of normal stresses ($\sigma_n = 5 - 50$ MPa) corresponding to regimes where previous work has indicated grain fracture to be minimal and pervasive respectively [Mair and Marone, 2000]. Minimal grain fracture corresponds to the non-fracture regime generally invoked in numerical simulations, whereas a pervasive fracture regime is comparable to previous laboratory friction tests and potentially more applicable to natural conditions. Load point velocity ranged between $0.1 \mu$m/s and $5000 \mu$m/s. All experiments were carried out at room temperature and humidity. Other experimental conditions are presented in Table 4.1 at the end of the chapter. Deformed gouge layers were impregnated with epoxy resin and thin sections were prepared for microstructural analysis. Spherical beads required higher stresses to undergo pervasive fracture than angular quartz. This is perhaps due to a larger number of flaws in the quartz or to stress concentrations at grain irregularities. Grain fracture was recognized by significant audible cracking upon loading, and subsequent microstructural analysis. At a normal stress of $\sigma_n = 25$ MPa few spherical grains fractured. Therefore the normal stress conditions used to achieve non-fracture and fracture of the two materials were as follows. Non-fracture regime: angular particles $\sigma_n < 10 \text{MPa}$; spherical particles $\sigma_n < 30 \text{ MPa}$. Fracture regime: angular particles $\sigma_n > 10 \text{MPa}$; spherical particles $\sigma_n > 30 \text{ MPa}$. 4.3. Results 4.3.1. Friction in angular and spherical gouge 126.96.36.199. Low stress (non-fracture regime) Initial shearing experiments were carried out at low normal stress ($\sigma_n = 5 \text{ MPa}$) in the regime where grain fracture is minimal [Mair and Marone, 2000]. The friction coefficients for angular (Figure 4.2a) and spherical (Figure 4.2b) gouge material are plotted as a function of shear displacement in Figure 4.3. The main observation is that the coefficient of friction is markedly lower for the spherical gouge ($\mu \sim 0.45$) than the angular gouge ($\mu \sim 0.6$). In addition, the angular gouge exhibits stable sliding throughout whereas the spherical gouge exhibits unstable stick-slip. The angular gouge shown here was sheared at a constant load point velocity of $V=5 \text{ mm/s}$ throughout. Previous work on the angular gouge showed that the base level of friction was comparable ($\sim 0.6$) for 4 orders of magnitude range in load point velocity [Mair and Marone, 1999]. We sheared spherical gouge at 10 $\mu\text{m/s}$ initially and then changed velocity over several orders of magnitude to determine whether the instability observed was velocity dependent. Figure 4.4 shows details of the periodic saw-tooth fluctuations in shear stress, typical of stick-slip cycles. The regular stick slip events are characterized by a slow (elastic) increase in stress, a small inelastic rollover and rapid dynamic stress drop that is accompanied by audible acoustic energy release. Figure 4.4 shows stick slip cycles for two sliding velocities ($V = 10 \mu\text{m/s}$ and 100 $\mu\text{m/s}$). Stress drop ($\tau_{\text{max}} - \tau_{\text{min}}$) decreases with increasing sliding velocity. Figure 4.5 shows Figure 4.3. Friction as a function of shear displacement for angular and spherical grains at $\sigma_n = 5$ MPa. Grain fracture is minimal at this stress for both materials. Spherical grains show a lower value of friction coefficient and exhibit stick slip behavior whereas angular gouge slides stably with higher friction. Boxed region is enlarged in Figure 4. Figure 4.4. Enlargement of boxed region from Figure 3 illustrates details of stick slip behavior for spherical gouge. Shaded and unshaded parts indicate slip rates of 10 μm/s and 100 μm/s respectively. The stress drop (τ_max - τ_min) decreases with increased sliding velocity. Figure 4.5. Stress drop ($\tau_{\text{max}} - \tau_{\text{min}}$) as a function of sliding velocity for spherical particles ($\sigma_n = 25$ MPa). Stress drop magnitude decreases with increasing sliding velocity. stress drop measurements for many individual stick slip events at a range of sliding velocities. The data are consistent with increased static yield strength due to the longer stick-slip recurrence interval at lower velocity. Our observations agree with previous work on gouge [Wong and Zhao, 1990] and mineral and rock surfaces [Berman et al., 1996; Karner and Marone, 2000]. 188.8.131.52. High stress (fracture regime) Figure 4.6 shows friction versus shear displacement for angular and spherical gouge at higher normal stresses ($\sigma_n = 25$ MPa and $\sigma_n = 40$ MPa respectively) in the regime where grain fracture is important. As noted above, the stress required for the onset of pervasive fracture is slightly higher in spherical beads than angular gouge. Apart from comminution effects, we believe that the differences in nominal stress yield do not cause differences in frictional behavior. The angular gouge has a stable steady state friction level of 0.6, comparable to lower normal stress tests (Figure 4.3). Initially, the spherical material has low friction ($\mu \sim 0.45$) and shows stick slip behavior but with increasing shear, frictional strength increases and sliding stabilizes. After an engineering shear strain of $\sim 8$, (15 mm shear displacement), frictional strength is the same for angular and initially spherical particles. 4.3.2. Microstructural development in angular and spherical gouge Shear zone microstructures were investigated using SEM. Figure 4.7 shows photomicrographs of angular gouge deformed to 20 mm slip under normal stress of a) $\sigma_n = 5$ MPa and b) $\sigma_n = 50$ MPa. The granular layers were initially identical (Figure 4.2a). Note the lack of grain fracture and the homogeneous texture at $\sigma_n = 5$ MPa (Figure 4.7a) compared with Figure 4.6. Friction versus shear displacement for angular and spherical gouge (initially 105-149 μm) deformed at $\sigma_n = 25$ MPa and $\sigma_n = 40$ MPa respectively. Grain fracture is pervasive at these conditions in each material. With increasing slip, the spherical granular material undergoes a transition from stick slip to stable sliding and its frictional strength increases. Angular gouge exhibits stable shear throughout. Both tests are initially loaded at $V=10$ μm/s, the spherical gouge includes subsequent changes in slip rate. A decrease in slip rate at 11 mm slip alters the stress drop amplitude and frequency of the instabilities. Figure 4.7. SEM photomicrograph of angular gouge deformed at: a) $\sigma_n = 5$ MPa; b) $\sigma_n = 50$ MPa [redrawn after Mair and Marone, 2000]. In both cases, slip = 20 mm. Arrows indicate the sense of shear. Note the development of a distinct fabric in b) not seen in a). the distinct fabric developed at higher stress (Figure 4.7b). The structures in Figure 7b are typical of those observed in all tests conducted at $\sigma_n > 25$ MPa. SEM photomicrographs of initially narrow PSD spherical particles (Figure 4.2b) deformed at normal stresses of $\sigma_n = 25$ MPa and $\sigma_n = 40$ MPa are presented in Figure 4.8 a) and b), respectively. Similar to Figure 4.7, the low normal stress test indicates little grain fracture and no fabric evolution whereas the higher normal stress test exhibits a well developed fabric. This fabric is highlighted by differences in grain size distributions and although some relic spherical grains survive intact, many grains are no longer spherical. In both gouges at low normal stress (Figure 4.7a, 4.8a) grain size is representative of the undeformed material (Figure 4.2a and b respectively). No clear microstructural signature of shearing is preserved, even after shear strains of $\sim 12$ (20 mm shear displacement). This indicates that few grains fracture and that non-destructive processes such as grain rolling and sliding accommodate the majority of deformation under these conditions. In contrast, significant fracture and grain size reduction clearly occurs at higher stress (Figure 4.7b, 4.8b). The resulting fabric is characterized by linear zones of intense comminution in boundary and Riedel orientation separated by relic zones of less deformed survivor grains. These features are characteristic of natural fault zones [Logan et al., 1979; Sammis et al., 1986; An and Sammis, 1994] and the comminution fabrics are interpreted as zones of concentrated shear. Previous laboratory work on angular gouge [Marone and Scholz, 1989] and field observations [Sammis et al., 1986, 1987; An and Sammis, 1994] indicate that a wide fractal PSD typically develops in these localized shear zones. In the next section we isolate and consider the influence of PSD on friction for a constant grain shape. Figure 4.8. SEM photomicrograph of spherical gouge deformed at a) $\sigma_n = 25$ MPa and b) $\sigma_n = 40$ MPa. Slip = 20 mm in both cases and the sense of shear is indicated by arrows. Note the development of a fabric in b) comparable to Figure 7b). 4.3.3. Influence of particle size distribution Our data show that spherical grains are markedly different than angular grains, exhibiting both lower friction and unstable stick-slip behavior (Figure 4.3). However, initially spherical material becomes stable and strengthens, approaching the behavior of an angular gouge as grain fracture and strain localization become significant. It is important to understand the processes responsible for this evolution. Candidate processes include: 1) changes in grain size distribution due to comminution; 2) particle roughening as spherical grains become more angular; or 3) the development of a strain localization fabric. We test these process by changing the initial PSD for spherical particles. We use a log normal PSD, which is intended to approach the PSD of a well developed shear band [after An and Sammis, 1994] (Figure 4.2c). To isolate the influence of PSD, we deform this material at low stress where grains do not fracture; hence grain shape is constant throughout the test. If grain roughening due to comminution is the key factor, independent of PSD, we expect the wide PSD gouge will show the same frictional behavior as the narrow PSD gouge. If PSD is the important factor then we expect to see strain hardening and stabilization in the wide PSD gouge. Our results (Figure 4.9) show that the coefficients of sliding friction for narrow and wide PSD spherical material are identical and measurably lower than that for angular gouge (Figure 4.3). Unlike the narrow PSD spherical particles, frictional sliding of wide PSD spheres is stable (Figure 4.9). This indicates that PSD is critical in achieving stable sliding but that angular grains are necessary to reach typical laboratory friction values of $\mu \sim 0.6$. We now discuss possible mechanisms for these observations. Figure 4.9. Friction versus shear displacement for two spherical gouges of narrow and wide size distributions deformed at $\sigma_n = 5$ MPa. A wide PSD promotes stable sliding at a level of $\mu \sim 0.45$ whereas gouge composed of a narrow PSD exhibits stick slip sliding. Note that the peak frictional strength during stick-slip (narrow PSD) is equal to the stable frictional strength of the wide PSD gouge. 4.4. Discussion 4.4.1. Frictional strength The macroscopic frictional strength we measure for angular quartz sand ($\mu \sim 0.6$) is comparable to that obtained in previous laboratory experiments. One of our most interesting observations, however, is that the friction level of a granular material composed of spherical grains is significantly lower than this ($\mu \sim 0.45$). The friction levels of spherical beads with both a narrow and broad particle size distribution are identical. This suggests that the kinematics of the angular and spherical particles are distinct. One explanation is that spherical grains accommodate strain preferentially by rolling, a highly efficient translation mechanism, leading to reduced macroscopic friction. Rolling is inhibited in angular grains and thus translation must be accommodated by sliding and dilation. Our data indicate that spherical gouge is significantly weaker than angular gouge, but that macroscopic friction is still greater than 0.4. Interparticle friction ($\mu_p$) of individual grains influences macroscopic sliding friction [Morgan, 1999]. It is tempting to account for the dramatic differences we observe in friction by invoking differences in $\mu_p$ of the angular and spherical material; however, this alone is inadequate to explain our observations. We reason that the interparticle friction for spherical particles that survive intact (Figure 4.8a) and those that fracture at higher normal stress (Figure 4.8b) is essentially comparable and would lead to a similar macroscopic friction level if grain sliding alone were operating. However, Figure 6 indicates that the macroscopic friction level of spherical particles increases as grain comminution ensues, suggesting that an increase in angularity of the grains is a stronger effect. We suggest that as shape evolves due to comminution, the proportion of rolling to sliding decreases leading to higher friction. In addition, over the range studied, particle size distribution of spheres does not appear to influence frictional strength. Hence our observation of increased friction with progressive grain comminution is not due to evolution of PSD. Thus, frictional strength appears to be a strong function of grain shape but not PSD during the shear of granular materials. 4.4.2. Frictional stability For the stiffness of our shearing apparatus, angular gouge slides stably in all experiments, consistent with previous studies under similar conditions. We show that a narrow PSD of spherical material is unstable exhibiting repetitive stick slip whereas angular gouge and spherical material with a wider PSD are stable. In addition, stabilization of initially spherical (unstable) gouge occurs with grain comminution. We suggest that frictional stability is related to the nature of stress accommodation across a granular layer undergoing shear (Figure 4.10). We invoke the concept that stress chains or grain bridges preferentially support load in a sheared granular material [Sammis et al., 1987; Cates et al., 1998]. This model has recently proved useful in explaining observations from numerical modeling [Morgan, 1999] and laboratory experiments [Karner and Marone, 2001]. We propose that stress can alternatively be supported by diffuse webs of load bearing particles, each particle carrying low to moderate stress; or sets of highly localized particle chains where fewer particles are involved but each experience much higher local contact stresses (Figure 4.10a). Importantly, both features are transient and persist only while they are favorably orientated (Figure 4.10 b, c, d). Our data can be explained by a model in which stress chains fail when they deviate beyond a critical angle ($\phi_c$). Macroscopic boundary stresses are supported by systems of stress chains, Figure 4.10: (a) Illustration of possible force chain geometries for a granular layer under shear. Black indicates particles bearing high load; gray indicates low to moderate load; and white indicates spectator particles not bearing appreciable load [redrawn after Cates et al., 1998]. Note that stress can be supported by sets of localized chains of highly stressed particles (middle) or by diffuse webs of particles under lower stress (left, right). Examples of stress chains are shown for (b) angular gouge; (c) narrow PSD spherical particles; and (d) wide PSD spherical particles. Solid line indicates optimal chain orientation and dotted lines demark range of possible stable orientations. $\phi_c$ defines a critical angle for stress chains; outside this range stress chains fail by interparticle slip or rolling. Note that (b) and (d) have larger $\phi_c$ than (c). In addition, contact stresses are highest for (c). which fail and reform repeatedly during shear. We posit that the critical angle ($\phi_c$) is greater for diffuse stress chains than localized stress chains (Figure 4.10). A population of coexisting diffuse stress chains (Figure 4.10 b and d) can have a range of orientations within $\phi_c$. In contrast, for localized chains, critical angle ($\phi_c$) is much smaller (Figure 4.10c) so a population of coexisting stress chains have very similar orientations. These chains are likely to collapse under approximately the same shear displacement giving synchronous failure and a macroscopic stress drop. The nature of stress chains depends on grain characteristics and interactions such as coordination number $Z$ (i.e. the number of other grains contacting each particle). Large $Z$ implies diffuse stress chains (each particle carrying moderate load) whereas small $Z$ corresponds to localized stress chains (comprised of highly stressed particles). Numerical simulations [Morgan, 1999] indicate that coordination number increases and average contact force decreases with increasing fractal dimension (i.e. wider PSD) of gouge. We suggest that in our experiments angular gouge and wide PSD spherical particles have large $Z$ and develop diffuse stress chains (Figure 4.10b and d) whereas narrow PSD spherical particles have small $Z$ and therefore develop highly concentrated stress chains (Figure 4.10c). When the narrow PSD gouge is sheared, these localized stress chains fail catastrophically due to geometric incompatibility, leading to dynamic stress drop and unstable stick-slip sliding. Our ideas are consistent with those of Sammis et al. [1987] who showed that similar sized neighboring particles (e.g. our narrow PSD gouge) have high probability of failure due to high individual contact stresses. In contrast, gouge with a range of particle sizes (e.g. our wide PSD gouge) can successfully distribute load over many particles, reducing stresses at individual contacts, in effect cushioning large particles and making failure less likely. In addition, instability is more likely for highly stressed particle chains since for a given local stiffness stick-slip is favored by higher normal stress [Dieterich, 1978]. 4.4.3. Comparison with numerical models: Spherical particles show lower friction than identical experiments on angular gouge. Our results agree qualitatively with the numerical experiments of Mora and Place [1999] where grain shape is changed by bonding particles together. They also report that rougher particles exhibit higher macroscopic friction. The friction levels we report for spherical material ($\mu \sim 0.45$) approach the levels often observed in numerical simulations where idealized circular particles are modeled [Morgan, 1999; Aharonov and Sparks, 1999; Mora and Place, 1998, 1999]. However, in the numerical models friction is often 0.2 to 0.3, which is well below our observations. This may be a consequence of numerical work generally being done in 2-D rather than 3-D [Morgan, 1999]. Morgan [1999, Figure 4.2] shows that an increase in fractal dimension D (i.e. wider PSD) promotes stable sliding whereas low D (i.e. narrow PSD) has more numerous and larger stress drops. Our results are consistent, the stress drops we observe being greater with narrower PSD and in fact absent for wider PSD gouge (Figure 4.9). 4.5. Conclusions Grain characteristics significantly affect the macroscopic friction of a granular material under shear. Gouge composed of smooth spherical particles has markedly lower frictional strength than angular particles. Frictional stability is sensitive to the geometry of stress distribution throughout sheared layers and depends on particle size distribution and angularity. We show that the first order discrepancies between laboratory and numerical studies may be explained by the differences in initial grain shape and loading regime. Our results indicate that gouges in natural faults may be significantly stronger than those predicted by numerical models using idealized smooth particles. 4.6. References for chapter 4 Aharonov, E., and D. Sparks, Rigidity phase transition in granular packings, Phys. Rev. E, 60, 6890-6896, 1999. An, L.-J., and C.G. Sammis, Particle size distribution of cataclastic fault materials from Southern California: A 3-D study, Pure Appl. Geophys., 143, 203-227, 1994. Berman, A.D., W.A. Ducker, and J.N. Israelachvili, Experimental and theoretical investigations of stick-slip friction mechanisms, in Physics of Sliding Friction, edited by B.N.J. Persson and E. Tosttati, pp. 51-67, Kluwer, Dordrecht, 1996. Cates, M.E., J.P. Wittmer, J-P. Bouchaud, and P. Claudin, Jamming, force chains, and fragile matter, Phys. Rev. Lett., 81, 1841-1844, 1998. Dieterich, J.H., Modeling of rock friction: 1. Experimental results and constitutive equations, J. Geophys. Res., 84, 2161-2168, 1979. Dieterich, J.H., Time-dependent friction and the mechanics of stick-slip, Pure Appl. Geophys., 116, 790-805, 1978. Karner, S.L., and C. Marone, Frictional restrengthening in simulated fault gouge: Effect of shear load perturbations, J. Geophys. Res., 106, 19319-19337, 2001. Karner, S.L., and C. Marone, Effects of loading rate and normal stress on stress drop and stick-slip recurrence interval, in Geocomplexity and the Physics of Earthquakes, edited by J.B. Rundle, D.L. Turcotte, and W. Klein, AGU Geophysical Monograph Series, Vol. 120, pp. 187-198, 2000. Karner, S.L., and C. Marone, The effect of shear load on frictional healing in simulated fault gouge, Geophys. Res. Lett., 25, 4561-4564, 1998. Logan, J.M., M. Friedman, N. Higgs, C. Dengo, and T. Shimamoto, Experimental studies of simulated gouge and their application to studies of natural fault zones, Proc. Conf. VIII, Analysis of Actual Fault Zones in Bedrock, National Earthquake Hazards Reduction Program, April 1-5, Menlo Park, Ca., pp. 305-343, 1979. Mair, K. and C. Marone, Shear heating in granular layers, Pure Appl. Geophys., 157, 1847-1866, 2000. Mair, K. and C. Marone, Friction of simulated fault gouge for a wide range of velocities and normal stresses, J. Geophys. Res., 28899-28914, 1999. Marone, C., Laboratory-derived friction laws and their application to seismic faulting, Annu. Rev. Earth Planet. Sci., 26, 643-696, 1998. Marone, C., and C.H. Scholz, Particle-size distribution and microstructures within simulated fault gouge, J. Struct. Geology, 11, 799-814, 1989. Mora, P., and D. Place, The weakness of earthquake faults, Geophys. Res. Lett., 26, 123-126, 1999. Mora, P., and D. Place, Numerical simulation of earthquake faults with gouge: toward a comprehensive explanation for the heat flow paradox, J. Geophys. Res., 103, 21067-21089, 1998. Mora, P., and D. Place, Simulation of the frictional stick-slip instability, Pure Appl. Geophys., 143, 61-87, 1994. Morgan, J.K., Numerical simulations of granular shear zones using the distinct element method: I Shear zone kinematics and the micromechanics of localization, J. Geophys. Res., 104, 2703-2719, 1999. Morgan, J.K., and M.S. Boettcher, Numerical simulations of granular shear zones using the distinct element method: II Effects of particle size distribution and interparticle friction on mechanical behavior, J. Geophys. Res., 104, 2721-2732, 1999. Mueth, D.M., G.F. Debregeas, G.S. Karczmar, P.J. Eng, S.R. Nagel and H.M. Jaeger, Signatures of granular microstructure in dense shear flows, Nature, 406, 385-388, 2000. Pisarenko, D., and P. Mora, Velocity weakening in a dynamical model of friction, Pure Appl. Geophys., 142, 447-466, 1994 Richardson, E. and C. Marone, Effects of normal force vibrations on frictional healing, J. Geophys. Res., 104, 28859-28878, 1999. Sammis, C.G., G. King, and R. Biegel, The kinematics of gouge deformation, Pure Appl. Geophys., 125, 777-812, 1987. Sammis, C.G., R.H. Osborne, J.L. Anderson, M. Banerdt and P. White, Self-similar cataclasism in the formation of fault gouge, Pure Appl. Geophys., 124, 51-77, 1986. Scholz C.H., Earthquakes and friction laws, Nature, 391, 37-42, 1998. Scott, D.R., Seismicity and stress rotation in a granular model of the brittle crust, Nature, 381, 592-595, 1996. Wong, Tf., Y. Zhao, 1990, Effects of load point velocity on frictional instability behavior, Tectonophysics, 175, 177-195. \| Experiment \| Grain shape \| Grain diameter μm \| $\sigma_n$ MPa \| V range μm/s \| Sliding \| \|------------\|-------------\|-------------------\|----------------\|--------------\|---------\| \| Non-fracture regime \| \| \| \| \| \| \| m290 \| Ang \| 50-150 \| 5 \| 5000 \| stable \| \| m302 \| Ang \| 50-150 \| 5 \| 5000 \| stable \| \| m349 \| Sph \| 105-149 \| 5 \| 0.1-300 \| stick slip \| \| m425 \| Sph \| 105-149 \| 5 \| 10-1000 \| stick slip \| \| m428 \| Sph \| 105-149 \| 5 \| 10-1000 \| stick slip \| \| m433 \| Sph \| 105-149 \| 5 \| 0.1-10 \| stick slip \| \| m429 \| Sph \| 105-149 \| 25 \| 10-1000 \| stick slip \| \| m431 \| Sph \| 105-149 \| 25 \| 10-1000 \| stick slip \| \| m437 \| Sph \| 105-149 \| 25 \| 0.1-100 \| stick slip \| \| m439 \| Sph \| 105-149 \| 25 \| 0.1-200 \| stick slip / stable \| \| m351 \| Sph \| 105-149 \| 25 \| 10 \| stick slip \| \| m446 \| Sph \| 1-800 \| 5 \| 10 \| stable \| \| m444 \| Sph \| 1-800 \| 5 \| 1-20 \| stable (1 stress drop) \| \| m445 \| Sph \| 1-800 \| 5 \| 10-20 \| stable (1 stress drop) \| \| Fracture regime \| \| \| \| \| \| \| m268 \| Ang \| 50-150 \| 25 \| 1000 \| stable \| \| m490 \| Ang \| 50-150 \| 40 \| 10 \| stable \| \| m291 \| Ang \| 50-150 \| 50 \| 500 \| stable \| \| m426 \| Sph \| 105-149 \| 40 \| 10-1000 \| stick slip / stable \| \| m357 \| Sph \| 105-149 \| (40) 25 \| 10 \| stick slip / stable \| Initial gouge layer thickness 3 mm. $\sigma_n =$ Normal stress, $V =$ Velocity. 5. The effect of particle dimensionality on granular friction in laboratory shear zones Synopsis: To match the boundary conditions of numerical models and to examine the effect of particle dimensionality on granular friction, we conducted laboratory experiments on fused quartz glass and pasta rods sheared in 1-D and 2-D configurations, soda lime glass beads (3-D), and angular quartz sand (rough 3-D). Applied normal stress was below the particle crushing strength. We find that friction varies systematically as a function of granular particle dimension. The coefficient of friction during stable sliding for 1-D, 2-D, smooth 3-D, and rough 3-D particles is approximately 0.15, 0.3, 0.45, and 0.6, respectively. Frictional strength of 2-D layers exceeds 1-D friction by an amount associated with dilatancy and rolling in 2-D. For smooth, non-breaking particles we show that 3-D granular friction exceeds 2-D friction by the amount of interparticle friction on the out-of-plane particle contacts that do not exist in 2-D. Data from our 2-D experiments are remarkably similar to numerical results based on 2-D particle dynamic simulations. Our data indicate that granular friction scales with particle dimensionality and that application of numerical models of granular friction to tectonic faults and fault gouge will require computations involving rough, 3-D particles. 5.1. Background Numerical models provide unique insight into the micro-mechanics of granular shear deformation and offer great potential for bridging the gap between laboratory conditions and scales and those of tectonic faults. However, existing numerical and laboratory studies of granular friction show significant discrepancies [e.g., Mora and Place, 1999]. Numerical works show lower frictional strength, larger variations in friction with strain, and lower heat production than laboratory experiments. These differences need to be understood before numerical and laboratory results can be combined and applied to a wider range of conditions. Few studies have been conducted to investigate the effects of initial and boundary conditions on granular friction. Most numerical studies have used smooth 2-D particles [e.g., Mora and Place, 1998, 1999; Morgan, 1999; Morgan and Boettcher, 1999; Aharonov and Sparks, 1999], whereas laboratory experiments have focused on natural materials composed of rough, sub-angular particles such as found in natural fault gouge [e.g., Sammis et al., 1986]. Laboratory studies show that particle shape, roughness, and fracture have important effects on granular friction [e.g., Sammis et al., 1987; Losert et al., 2000; Mair et al. 2002]. At present, these factors have not been studied in numerical models due to computational limitations. In this paper we report on laboratory experiments designed to match the boundary conditions of numerical models. We investigate the effect of particle dimensionality and shape using direct shear experiments. We find that friction varies systematically with particle dimension and that the discrepancy between numerical and laboratory studies may be explained by differences in initial and boundary conditions. 5.2. Experimental Methods All experiments reported in this study were performed in a double-direct shear apparatus in which two layers are sheared simultaneously between three rough, steel forcing blocks (Figure 5.1). Normal stress was maintained constant by servo-control. The main set of experiments was carried out at low normal stresses $\sigma_n$ (1 MPa for rods, 5 MPa for beads and sand) so that particle fracture was minimal (Table 5.1, end of chapter). Additional experiments were performed in the fracture regime at $\sigma_n$ of 25-40 MPa. Shear load was applied to the center block by imposing a constant displacement rate. Stresses and displacements were all recorded at 10 kHz and averaged to 10 samples/s. Measurement resolution was $\pm 0.01$ MPa and $\pm 0.1 \mu m$. Test samples consisted of fused-quartz glass rods, dried strands of standard semolina pasta (Ronzoni #12 Angel Hair), soda-lime glass beads, and angular quartz powder (Table 5.1). Both types of rods and the glass beads are smooth at the particle scale. The quartz was sub-angular Ottawa sand, which is > 99% SiO$_2$ as supplied by the US Silica Co. We used Natural Grain product F-110, which has median particle size of 110 $\mu m$. Soda-lime glass beads had median particle size of 110 $\mu m$ and two size ranges were studied (Table 5.1). The quartz and pasta rods were 1 mm in diameter. Nominal friction contact dimension was 10 cm x 10 cm in all experiments (Figure 5.1). Layers of particles were constructed in a leveling jig to ensure reproducible layer thickness. Sand and glass bead layers were constructed to be 3 mm thick, and layers of rods were 7 mm thick. The rods were arranged in two configurations (Figure 5.1). Rods with the long axis perpendicular to shear were used to simulate 2-D granular shear. In this configuration, shear involves two degrees of freedom: motion in the shear direction and motion perpendicular to the shear plane causing layer dilation or compaction. Rods were also Figure 5.1. Laboratory configuration to study the role of particle dimensionality in granular friction. Biaxial shear apparatus (top) provides controlled deformation under applied normal stress. Rods and spheres are oriented to produce 1-D, 2-D, or 3-D conditions in double direct shear. In the 1-D case, shear is accommodated by grain boundary slip parallel to the shear direction. For a 2-D granular layer, shear occurs by rolling or sliding and dilation (or compaction) perpendicular to the shear direction. In the 3-D case particles have components of motion in all 3 directions. Note that 2-D shear involves rolling or sliding along the entire length of a rod, whereas in 3-D rolling or sliding must occur simultaneously on in-plane and out-of-plane contacts. sheared parallel to their axes to create a 1-D granular case (Figure 5.1). 1-D shear involves only one degree of freedom: grain boundary sliding in the direction of shear. Motion perpendicular to shear is not excluded, but dilation or compaction is not required for shear. The 1-D rods were cut longer than the side blocks to ensure that the nominal area of frictional contact remained constant as the rod layer was sheared. For each configuration of particles, we report the mean sliding friction for a load point velocity of 10 μm/s (Table 5.1). For the 2D configuration, we include the standard deviation of sliding friction. 5.3. Experimental Results We found that the frictional strength of 3-D particles ranged from 0.45 for smooth beads to 0.6 for angular sand (Table 5.1), in agreement with previous work [Mair et al., 2002]. In the 2-D shear configuration, both pasta and quartz rods exhibited stable sliding and large fluctuations in friction with shear (Figure 5.2a). We report mean sliding friction $ \mu_{ss} $ over the displacement interval 6-10 mm and, for the 2-D layers, the standard deviation of friction fluctuations in that interval (Table 5.1). Sliding friction for 2-D layers of quartz rods fluctuated in the range 0.14 to 0.36 after initial loading (Figure 5.2a). The amplitude of friction variations for 2-D pasta rods was smaller, with friction ranging from 0.25 to 0.31. In both cases, the dominant wavelength of friction fluctuations was roughly 2 mm, or twice the rod diameter. In contrast, angular quartz sand exhibited a constant coefficient of sliding friction of 0.63. We compared the natural variations in 2-D friction to time-dependent changes associated with healing and static recovery [e.g., Marone, 1998]. Figure 5.2a shows two slide-hold-slide tests in which holds of 100 s duration were imposed. Time-dependent Figure 5.2. (a) Laboratory friction data for granular layers composed of fused quartz glass rods (2-D) and granular quartz (3-D). The coefficient of sliding friction is higher in 3-D than in 2-D and layers of 3-D particles shear at a constant frictional strength, whereas 2-D shear involves large fluctuations in friction with shear. Arrows labeled SHS denote time dependent healing tests (100 s hold periods were imposed followed by continued shear) and show that natural fluctuations in 2-D friction are large compared to rate/state friction effects. (b) 2-D quartz rod and (c) pasta friction data are compared with measurements of the rate of layer thickness change with displacement. Positive values of dh/dx indicate layer dilation (see inset). Note the high degree of correlation between frictional strength and dh/dx, consistent with the importance of volumetric work in the total energy budget for 2-D granular shear. frictional healing is measured by the increase in peak frictional strength after shear resumes relative to initial sliding friction. We find that healing is small compared to the natural variations of friction for non-breaking rods in the 2-D configuration. Measurements of layer thickness show that 2-D friction variations correlate strongly with dilatancy rate $dh/dx$ (Figure 5.2b, 5.2c). A positive dilatancy rate corresponds to an increase in layer thickness and negative $dh/dx$ indicates compaction. We determined dilatancy rate using a least squares best fit in a moving window. Window sizes from 100 to 500 points (shear strain of 0.015 to 0.085) yield correlation coefficients of 0.72-0.76 during steady-state shearing for quartz rods (Figure 5.2b) and 0.90 to 0.95 for pasta (Figure 5.2c). Since our 2-D particles do not fracture, layers must dilate or compact against the applied normal stress to accommodate shearing. The macroscopic frictional strength $\tau$ of a granular material depends linearly on the sum of work to overcome interparticle friction $\mu_p$ (this includes sliding and rolling at constant volume on all planes of contact) and work of volume strain [e.g., Mead, 1925; Bishop, 1954; Marone et al., 1990; Geminard et al, 1999], $$\tau = \sigma(\mu_p + d\theta / d\gamma)$$ \hspace{1cm} (5.1) where $\theta$ is volume strain, $\gamma$ is shear strain, and $\sigma$ is effective normal stress. Taking $d\theta = dV/V$ and $d\gamma = dx/h$, where $V$ is layer volume given by thickness $h$ and area $A$, and assuming that volume change in the plane of the layer is negligible, Equation 5.1 reduces to: $$\tau = \sigma(\mu_p + dh / dx).$$ \hspace{1cm} (5.2) Since the measured frictional strength in our experiments is $\tau/\sigma$, Equation (5.2) predicts that friction and dilatancy rate will correlate strongly, as we observe for 2-D friction (Figure 5.2b, 5.2c). We find that variations in friction and dilatancy rate have the same amplitude, which suggests that the observed variations in shear strength $\tau(\gamma)$ are attributable to variations in $dh/dx(\gamma)$. Shear of 2-D particles can be accommodated by grain boundary slip or rolling operating in concert with dilation or compaction. We isolated the mechanism of grain boundary sliding by conducting 1-D granular shear experiments on smooth rods. Friction is significantly lower in 1-D than in 2-D (Figure 5.3). Measurements of layer thickness show that 1-D shear occurs at constant volume, with $dh=0$ throughout sliding. The frictional strength of 1-D particles is 0.14-0.19 and is significantly less variable during shear than 2-D particles (Figure 5.3). The frictional strength of smooth glass beads is intermediate between the 2-D case and the angular particles of quartz sand. The large friction fluctuations in 2-D are not present in the 1-D or 3-D cases. Our data show that sliding friction varies systematically with granular particle dimension (Figure 5.3b). The effect of particle roughness is shown by the relationship between sand and glass beads. For smooth, non-breaking particles there is a linear dependence of macroscopic frictional strength on granular particle dimension (Figure 5.3b). We compare the friction data from our 2-D experiments with the numerical results obtained by Morgan [1999], who used the particle dynamics method and 2-D particles (Figure 5.4). The similarity between the laboratory and numerical results is remarkable. Both data sets show that friction fluctuates about 0.3 and fluctuations correlate strongly with changes in positive (dilation) and negative (compaction) changes in dilatancy rate (e.g., Figure 5.2b). Figure 5.3. (a) Friction data for four types of granular layers. The coefficient of sliding friction is highest for angular particles and decreases systematically for smooth particles (glass beads) and rods sheared in the 2-D and 1-D configurations. (b) The average value of stable sliding friction is plotted against particle dimension, with vertical bars representing friction fluctuations for the 2-D case and a range of observed friction values for sand. Friction decreases systematically as a function of granular particle dimension. We posit that 3-D granular friction exceeds 2-D friction by the amount necessary for interparticle slip and rolling on the out-of-plane particle contacts that do not exist in 2-D. Rolling and grain boundary sliding are inhibited by particle roughness, increasing the frictional strength of angular sand particles compared to smooth 3-D beads. Figure 5.4. Comparison of laboratory data for shear of rods in the 2-D configuration and numerical results for 2-D granular friction. Friction strength and its variation with shear are nearly identical. Simulation results from Morgan [1999]. 5.4. Discussion and Implications We observe a linear relationship between particle dimension and the frictional strength of sheared granular layers (Figure 5.3b). This suggests a simple scaling between macroscopic frictional strength and granular degree of freedom. Our 1-D experiments provide an estimate of interparticle friction of 0.15-0.19, which is consistent with sliding friction for smooth, unlubricated surfaces at low normal stress [Rabinowicz, 1995]. We take the low end of this range, $\mu_p = 0.15$, for combined sliding and rolling to account for a reduction in friction due to rolling and because a slight degree of hardening very likely occurs in our experiments due to small amounts of grain fracture during shear. Using this value for $\mu_p$ and accounting for interparticle friction on both sets of contact surfaces in 2-D (e.g., surfaces parallel to the shear plane and surfaces perpendicular to the shear direction upon which rolling or sliding must occur to accommodate shear in an extended 2-D assembly) yields an expected average friction value of 0.3, which is quite close to the experimentally measured value of 0.28. The observed fluctuations in friction for 2-D layers can be explained quantitatively using Equation (5.2) and the measured dilatancy rate. The maximum dilatancy rate averages 0.08 for quartz rods (Figure 5.2) and 0.03 for pasta rods. Therefore, the expected peak friction of 2-D particles is 0.38 for quartz and 0.33 for pasta, which has a contribution of 0.3 from interparticle friction in each case. These values are in good agreement with our experimental measurements, which show maximum friction of 0.37 for quartz rods and 0.31 for pasta rods. The above reasoning may be extended to 3-D by accounting for interparticle friction on each of the contact planes, including the lateral contacts parallel to the shear direction and perpendicular to the shear plane. Using the $\mu_s$ value of 0.15 yields an expected friction value of 0.45, which is in good agreement with our experimental measurements of 0.45-0.47 (Table 5.1). We posit that for smooth particles, granular friction of 3-D particles exceeds friction of 2-D particles by the amount of interparticle friction on the out-of-plane contacts that do not exist in 2-D. Data from our 2-D experiments are remarkably similar to numerical results based on 2-D particle dynamic simulations. In both cases, friction fluctuates with a dominant wavelength equal to twice the particle diameter and these fluctuations are much greater than rate/state friction effects (Figure 5.2a). Our data show that discrepancies reported in recent works are due to differences in initial conditions (rough versus smooth particles) and particle dimensionality (2-D versus 3-D granular particles). Although particle fracture is an important effect in granular shear, our data together with the results of Mair et al. [2002], who showed that friction of 3-D glass beads increases to the level of angular sand as particles fracture, indicate that the primary strengthening effect of fracture is associated with grain roughness and angularity. It has been proposed that grain rolling reduces macroscopic frictional strength in numerical models and that this effect may be important in explaining anomalously weak tectonic fault zones [e.g., Mora and Place, 1998, 1999]. These numerical studies used 2-D, smooth particles that did not fracture or fractured into smaller particles that were smooth. Our data suggest that the reduced friction found in these studies is a function of particle dimensionality and roughness. Since natural faults are composed of angular, 3-D particles that undergo fracture, we find no evidence for a weakening mechanism associated with the presence of fault gouge. Our data show that discrepancies between numerical and laboratory results reported in earlier works can be explained by differences in experimental conditions. When the laboratory and numerical experiments are carried out under the same conditions the results are nearly identical. References for Chapter 5 Aharonov, E., and D. Sparks, Rigidity phase transition in granular packings, Phys. Rev. E, 60, 6890-6896, 1999. Bishop, A.W., Correspondence, Geotech. 4, 43-45, 1954. Geminard, J.-C., W. Losert, and J.P. Gollub, Frictional mechanics of wet granular material, Phys. Rev. E, 59, 5881, 1999. Losert, W, J.-C. Geminard, S. Nasuno, and J.P. Gollub, Mechanisms for slow strengthening in granular materials, Phys. Rev. E, 61, 4060, 2000. Mair, K. and C. Marone, Friction of simulated fault gouge for a wide range of velocities and normal stresses, J. Geophys. Res., 28899-28914, 1999. Mair, K., K.M. Frye, and C. Marone, Influence of grain characteristics on the friction of granular shear zones, J. Geophys. Res., in press, 2002. Marone, C., Laboratory-derived friction laws and their application to seismic faulting, Annu. Rev. Earth Planet. Sci., 26, 643-696, 1998. Marone, C., C.B. Raleigh and C.H. Scholz, Frictional behavior and constitutive modeling of simulated fault gouge, J. Geophys. Res. 95, 7007-7025, 1990. Mead, W.J., The geologic role of dilatancy, J. Geol. 33, 685-698, 1925. Mora, P., and D. Place, The weakness of earthquake faults, Geophys. Res. Lett., 26, 123-126, 1999. Mora, P., and D. Place, Numerical simulation of earthquake faults with gouge: toward a comprehensive explanation for the heat flow paradox, J. Geophys. Res., 103, 21067-21089, 1998. Morgan, J.K., Numerical simulations of granular shear zones using the distinct element method: I Shear zone kinematics and the micromechanics of localization, J. Geophys. Res., 104, 2703-2719, 1999. Morgan, J.K., and M.S. Boettcher, Numerical simulations of granular shear zones using the distinct element method: II Effects of particle size distribution and interparticle friction on mechanical behavior, J. Geophys. Res., 104, 2721-2732, 1999. Rabinowicz E., Friction and wear of materials, John Wiley & Sons, pp. 315, 1995. Sammis, C.G., G. King, and R. Biegel, The kinematics of gouge deformation, Pure Appl. Geophys., 125, 777-812, 1987. Sammis, C.G., R.H. Osborne, J.L. Anderson, M. Banerdt and P. White, Self-similar cataclasism in the formation of fault gouge, Pure Appl. Geophys., 124, 51-77, 1986. \| Experiment \| Type \| Material \| Particle size, $ \mu m $ \| $ \sigma_n $, MPa \| $ \mu_n $ avg. ($ \pm 1 $ std. dev.) \| \|------------\|-------\|-------------------\|----------------------------\|---------------------\|------------------------------------------\| \| m290 \| 3-D \| Ottawa sand \| 50-150 \| 5 \| 0.63 \| \| m302 \| 3-D \| Ottawa sand \| 50-150 \| 5 \| 0.63 \| \| m490 \| 3-D \| Ottawa sand \| 50-150 \| 40 \| 0.58 \| \| m429 \| 3-D \| Glass beads \| 105-149 \| 25 \| 0.44 w/stress drops \| \| m349 \| 3-D \| Glass beads \| 105-149 \| 5 \| 0.47 w/stress drops \| \| m444 \| 3-D \| Glass beads \| 1-800 \| 5 \| 0.45 \| \| m445 \| 3-D \| Glass beads \| 1-800 \| 5 \| 0.45 \| \| m446 \| 3-D \| Glass beads \| 1-800 \| 5 \| 0.46 \| \| m518 \| 2-D \| Qtz. glass rods \| 1000 \| 1 \| 0.27 ($ \pm 0.11 $) \| \| m473 \| 2-D \| Pasta rods \| 1000 \| 1 \| 0.28 ($ \pm 0.03 $) \| \| m524 \| 1-D \| Qtz. glass rods \| 1000 \| 1 \| 0.16 \| \| m525 \| 1-D \| Qtz. glass rods \| 1000 \| 1 \| 0.19 \| \| m474 \| 1-D \| Pasta rods \| 1000 \| 1 \| 0.14 \| Appendix A: The layer thickness parameter alpha and humidity Velocity stepping tests were performed (e.g. section 2.3.4) to determine the friction velocity dependence for quartz powder and alumina powder. Changes in friction in response to imposed velocity changes are accompanied by changes in dilatancy rate in the layer thickness data (Figure A.1). The layer thickness changes can be parameterized as $\alpha$: $$\alpha = \frac{dh}{d \log V},$$ \hspace{1cm} (A.1) where $h$ is layer thickness and $V$ is velocity. $\alpha$ is interpreted as an indication of shear band width [Marone and Kilgore, 1993]. For quartz powders over the relative humidity (RH) range of 5-100%, little variation is seen in $\alpha$, suggesting that the development of shear localization is independent of humidity (Figure A.2a). For tests with alumina powder, the low RH test (5%) has a significantly higher $\alpha$ value than that measured at higher RH (Figure A.2b). This data point may indicate that some coupling may occur between chemically assisted contact junction mechanisms and the development of microstructure. Reference for appendix A: Marone, C., and B.D. Kilgore, Scaling of the critical slip distance for seismic faulting with shear strain in fault zones, Nature, 362, 618-621, 1993. Figure A.1. (a) Friction data from a quartz powder, 100% RH test showing a series of velocity steps. The corresponding layer thickness data, detrended to remove an overall thinning trend, demonstrate layer dilation corresponding with velocity change (b). The layer thickness change associated with velocity steps may be parameterized by $\alpha$ as shown. Figure A.2. The layer thickness change $\alpha$ associated with a change in velocity from 10 to 20 $\mu$m/s for quartz powder (a) and alumina powder (b). Variation of $\alpha$ with RH is within the scatter (2$\sigma$ error bars shown) with the exception of the low RH alumina powder test. Appendix B: Additional photographs and micrographs of sample material For comparison to the micrographs of undeformed quartz powder and glass beads (Figure 4.2), I include a photograph of the glass rods (Figure B.1) used for 2D experiments (chapter 5) and micrographs of undeformed (Figure B.2) and deformed Westerly granite powder (Figure B.3). Figure B.1. 1 mm diameter glass rods of 100 mm length. This sample is in the 2D configuration and produced the data shown in Figure 5.2. The sense of shear is indicated by the arrows and the black line indicates rod orientation on the sample block. Figure B.2. Undeformed Westerly granite powder at 40x (a) and 400x (b) magnification. Grains are angular and average grain size is smaller than that of the Ottawa (quartz) sand (Figure 4.2). Figure B.3. Westerly granite powder sheared for 10 mm at 25 MPa normal stress after preconditioning at 40 MPa normal stress. Although initial mean grain size is smaller than that of Ottawa sand, significant comminution occurs in boundary shear zones (B) and Riedel shear zones (R), while particles in other areas (A) remain relatively undisturbed. Epoxy filled cracks correspond with Riedel shear fabric. 2 mm
Mandarin and Sons, Szechuen Province, West China CHINA—MANY STRIKING ARTICLES—GUIDE MAP ON BACK PAGE POLAND—THE GREATEST NEED OF THE POLISH PEOPLE NEXT MONTH—THE STRANGER THAT IS WITHIN THY GATES— FOREIGN-LANGUAGE WORK IN THE STATES AND CANADA The Fields A MONTHLY Magazine devoted to the spread of the gospel in the "regions beyond," particularly to the work of missionaries who have gone forth commended by Christian Assemblies in the United States and Canada. It is hoped that The Fields will be blessed as an instrumentality for increasing interest in and fellowship with such. ILLUSTRATIONS The Fields urgently needs the help of workers in solving the problem of illustrating our magazine. We can use, to a limited extent, portraits of workers and, to a still more limited extent, group pictures. Most necessary are vivid photographs of the people and the lands to which the workers go. Although interesting, ordinary snapshots are not suitable for reproduction. To be satisfactorily printed as a cut, a picture must have clean-cut outlines with well marked dark and light parts otherwise it will appear blurred when printed. Most desirable are line drawings much larger than the final but these must really illustrate and be distinctive. The Fields is desirous of awakening and increasing interest in the work of the Gospel in the regions beyond and is firmly convinced that accurate and striking pictures should be made a large part of this effort. Will not the workers on the field feel a responsibility to help by sending in suitable pictures? Gifts of money intrusted to our care will be forwarded promptly by the Treasurers without any deductions, to workers specifically designated by the donors; or, if not thus earmarked, to workers from the Assemblies according to their needs and opportunities as disclosed by the latest information obtainable. Make checks and money orders payable to The Fields. This magazine aims to supplement the splendid work which has been done for so many years by Echoes of Service, published monthly from 1, Widcombe Crescent, Bath, England. The Fields limits itself to tidings from United States and Canadian workers; Echoes publishes also information concerning British missionaries who greatly outnumber those commended by Assemblies in America. All articles, letters, suggestions, and constructive criticisms of our Magazine should be sent to the Editors; all gifts for missionaries to the Treasurers at 75 Maiden Lane, New York, N. Y.; all subscriptions to the Magazine, notices of change of address, and similar communications to Lloyd Walterick, Publisher, Fort Dodge, Iowa. SUBSCRIPTION RATES 1 Copy per year ........................................... $1.00 5 Copies per year to One Address .................. 4.50 10 Copies per year to One Address ................. 8.50 20 Copies per year to One Address .................. 16.00 Printed in U. S. A. by Walterick Printing Co., Fort Dodge, Iowa Entered as second-class matter at the post office at Fort Dodge, Iowa, under the Act of March 3, 1879. The work of Christian Missions is the greatest, noblest, and sublimest to which the energies of the human mind can be devoted. No labor that we can bestow, no sacrifice that we can make, no journeys that we can undertake, are too great to be undertaken for the glorious purpose of illuminating the dark world with the light of the glorious gospel. JOHN WILLIAMS, (A martyr for Christ) Fellowship With The Gospel by JOHN BLOORE, Plainfield, N. J. It is worthy of notice that in several passages bearing upon this subject, the apostle speaks of the Gospel in a personified way. He would have us think of it as a person present in this world with whom we are associated. Therefore we are to go forward with it, and take our part in whatever it may pass through as to condition and circumstance in this world. This brings to us both the privilege and responsibility of being fellow-helpers with those who are the messengers of the Gospel—those who serve it in the course it takes in the world. What this means we find by way of pattern in the case of the Apostle Paul. Constancy of Interest The Philippians were notable in this respect. Their constancy was most marked. He speaks of their "fellowship with the Gospel from the first day until now." Three things were true of them: 1. They had him in their hearts (1:7, margin) 2. They prayed for him (1:19) 3. They gave to him (4:10-17) Are these things true of us? For we too now stand identified with the Gospel and its messengers, whose fellow-helpers we are to be. Consecration of Life Though so openly allied with the Gospel, the apostle saw fit to exhort them in these words: "Only conduct yourselves worthily of the Gospel of Christ." Our manner of life is to be worthy, to be such as suits the One by Whose side we stand—the gospel of Christ. He must be the standard of conduct. We are to adorn the doctrine of God our Savior in all things. We are to walk worthily of the Lord for Whose testimony we stand in this world. In Conflict With the Gospel We are called to share in the same conflict in which the Gospel finds itself engaged. The apostle says to us, "Stand firm in one spirit, with one soul, laboring together in the same conflict with the faith of the Gospel." There is a bitter warfare going on in which all the subtilty and wicked devices of Satan are put into operation. Are we laboring together with the Gospel in this fierce struggle? The Gospel in its messengers faces this conflict in how many ways today! Are we laboring together? Are our hearts, our prayers, and our substance at the command of the many needs that this conflict brings? The enemy assails our far-flung lines on many fronts. Shall he push them back because the home bases fail to supply our fellow-soldiers? Is that conducting ourselves worthily of the Gospel? Does contention, at home, lack of unity among those who should stand firm against every divisive element and every self-seeking purpose, undermine our laboring together so that the supply lines are in danger of flank attack, giving advantage to the enemy in his frontal assault? Is our ease and personal comfort more to us than the honor of part in the conflict of the Gospel? If so we are like Demas who forsook Paul, "having loved this present age." These words from the greatest of Gospel warriors are for us today: "Be not therefore ashamed of the testimony of our Lord, nor of me His prisoner; but suffer evil along with the Gospel, according to the power of God." Hearts that feel, prayers that prevail, hands that give— these are needed in this conflict. "Endure hardness as good soldiers of Jesus Christ." When Henry M. Stanley went out to Central Africa to find Livingstone, he wrote this experience: "I lived with this man week after week, and I watched him. I saw patience beyond anything I had ever dreamed possible. I stood by him as he loved those heathen men. I watched him almost day and night giving himself to others, and I could not help it, I became a Christian by his side." Missions In Angola John T. Tucker in World Dominion. A MILD dictatorship of the totalitarian model in Portugal has installed the Roman Catholic missions again in favor. The last decade, too, has been marked by international unrest, which has naturally produced in the Portuguese people a nationalistic reaction. At present, therefore, the union of the two factors of nationality and religion act like the conjunction of sun and moon in the producing of high tides. Roman Catholic missions at present sail on the high flood-tide of official favor. Never before in history have the Roman Catholic missions in the colonies been so favored, subsidized, and protected as at the present moment; and it would not be difficult to establish the thesis that never before in the great history of Portugal have they ever exerted such political power and pressure. In Angola the Roman missions, which actually contain a majority of foreigners in their ranks, are subsidized to the extent of $200,000 annually, together with extra allowances for the training of priests, lay brothers, sisters, and nuns. Subventions in the way of exemption from duties, passes on railways, heavy discounts on national steamers, all go to make the help received one of the highest given in any part of the world. Besides this, Roman priests have the status of State functionaries, with all the privileges pertaining thereto, of which they avail themselves to the utmost. In addition there is a virulent press campaign in the metropolis which has added significance seeing that the press is censored. Recently, one of the most important newspapers of Lisbon, which formerly had liberal tendencies, issued a special colonial number. An illustrated article was contributed by the Bishop of Mocambique in which he bluntly stated that the colony had three enemies which should be expelled (expulsos), namely, Mohammedanism, Protestantism, and Communism. And, judging by the extreme nature of the comments, the second is deemed the most dangerous. Another paper directly connected with the Roman Church, in an article praising past services rendered by the Inquisition in the Iberian peninsula, urged that "a good whiff of the Inquisition, especially in the colonies," would be of extreme value to the nation today. Another declared that an American who is a Catholic can do good Portuguese work in the colonies, but that a Portuguese who is an Evangelical is nothing else but an enemy of the nation. And so the weary catalogue could be continued. * * * * * To curb the progress of the Protestant work, restrictive legislation has been introduced. Decree 77 of 1921 requires that all religious literature be published in Diglot, and the concession to use the vernaculars is only provisional until the generalization of the Portuguese language makes unnecessary the use of any native language or dialect. For strictly educational work only Portuguese may be used in print. This follows out the principle of assimilation which is the fundamental attitude of the Government towards native institutions and languages. Beyond this, further legislation comes into force in April of this year, which not only requires that each Protestant mission must have a Portuguese teacher, but that he must have a certain educational and pedagogical standing: all this without subsidy whatsoever from the State. It is of interest to note that Roman missions, which are so heavily subsidized by the State, are exempt from the provisions of the law, the which fact makes it discriminatory legislation. Restrictions are also placed on catechists, who may not evangelize without official permission. (1) It is understood that the Angola Government has extended the date for the application of this law. Notes James D. H. Annan after attending Greenwood Hills Conference and a few days in Philadelphia, expects to reach New York August 24 to visit the Assemblies. He hopes to sail for St. Vincent, B. W. I., before the end of October. Rolf G. Binder of Esterreja, Portugal, is visiting Germany for health reasons. Marjorie E. Bolton of Puerto Plata, Dominican Republic, writes (July 14, 1939) of encouragement in the four Sunday Schools. The class of young men and that of young women in the Hall each have a weekly attendance of 18 to 22 of an age ordinarily difficult to hold in Sunday School. Adam N. Ferguson on furlough from Natal has visited Assemblies in Illinois, Indiana (including the Cedar Lake Conference), Michigan, Missouri, Ohio, and Pennsylvania. He plans, if the Lord will, to be in the New York district during September, then to Boston, Buffalo on his way to Canada, and to enjoy the ministry of the Chicago Thanksgiving Day Conference after visiting in Michigan, Wisconsin, Minnesota, and Iowa. With Christ—June 21, David M. Gammon aged 21, eldest son of Mr. and Mrs. H. Leonard Gammon of Angola. Suddenly, following operation for appendicitis. Converted 1930, baptized 1931, in training 4 years to join his parents in Africa—The Witness. Michael L. Hoffman of Novi Sad, Yugo-Slavia writes (July 4) of a contemplated trip of three or four weeks, itinerating into places where people have never seen or heard of the Word of God and asks prayer for blessing on the spoken messages and on the spread of the written Word. Alfred E. Horron on furlough from Angola after a series of tent meetings in Paterson, has returned to Buffalo. With his family he expects to occupy the Missionary Home at Union City, N. J., for the month of September. If the Lord so will, they expect to sail in October, desiring to be back in Kavunga in October. Elizabeth O. Johnston of Maimara, Argentina, (July 13, 1939) has been giving help in Tartagal near the border of Eastern Bolivia. She expects to spend some time with the Powells at Tucumán improving her Spanish and giving help in the three Sunday Schools that are short of helpers. Kendric A. Johnson of Frepillon, France, reports the baptism of four of the older children. For medical treatment, Norman L. Kion returned late in July from Trinidad to Canada. Reports some improvement in health. Cornelia Knight, who returned July 17 from language and other preparatory study in Belgium, as a result of her personal observation submits these: Three requests for prayer: 1. That God may breathe His Holy Spirit into the joyless Christless population of Belgium. 2. For God's blessing on the work of the Johnsons in the Orphanage at Fre-pillon, a suburb of Paris, France. 3. Do pray earnestly for the health of Mrs. Robert S. Hoy of La Bourboule, France, who has little strength—though so much zeal—in a land where the work makes so many demands upon health and energy. Jeanette Lape home from the Philippines about a year-and-a-half ago on account of illness begins to take an active part in His service once more. For two weeks, beginning July 10, Miss Lape conducted an outdoor Daily Vacation Bible School under the trees at the ranch home of one of the Christians in Monrovia, California. Mrs. C. Louttit, widow of Thomas Louttit of Buila, Angola, writes (July 28, 1939) from Edinburgh, Scotland: We feel the acute shortage of workers in Angola very much and pray that God may use the many African Christians known to us making them lightbearers where so much darkness prevails. John J. McGehee has visited Assemblies in Canada, New York, Michigan, and Illinois, and expects to return to Memphis in September with the hope of starting soon for their prospective field in Southwest China. John H. McKay of Grenada, B. W. I., reports (July 17, 1939) the baptism of 4 at La Digue on July 3 and plans a visit to Carriacou late in July or early in August. Robert S. McLaren on his way home from Angola writes—"What of the future? To abide in the calling of the Gospel: to return to Africa with Mrs. McLaren as soon as our family of boys and girls are able to look after themselves? In the meantime Mrs. McLaren and I are considering the possibility of opening our home for missionaries' children whose parents are hindered from returning to the field because of responsibility for the spiritual care and education of their children. Pray about this." Henry Miller on furlough from Lithuania will visit Assemblies where there are open doors. He hopes (August 14, 1939) to return next year to Lithuania: 2,500,000 needing the Light, many ready to receive, no missionaries from the Assemblies; over 2,000,000 have never seen a Bible. Harriet F. Minns of Ping Chuan, Jehol Province, Manchukuo reports (July 20, 1939) 7 women, 3 girls, and 2 men applying for baptism with the probability that more will be added when the time is settled. "Everything is being scorched by the hot sun and there is little prospect of a good harvest, as everything is very expensive, I really do not know what these poor people will do if the harvest fails." G. Erma Motter on furlough from Chavuma, sailed August 19 from Southampton, England, due in New York August 27. William Oglesby who returned from Jamaica in July 1938 for reasons of health has found open doors for service in and around Buffalo, N. Y. Though unable to report any great improvement in his physical condition feels more rested and has received sufficient strength for each task. Constance H. Payne of Maimara, Argentina, writes (June 8, 1939) of opposition from the priests and from many others, but kindness of a few. Besides two needy little girls whose mother is too sick to care for them, they have four orphan boys aged from 3 to 6 years, and Rita, the 20-year-old blind girl who helps. "We believe this work is very necessary, 1,000 miles north of the Quilmes Orphanage." James Russell of Buenos Aires, Argentina, continues the full program sketched in the June issue of The Fields. Although their last furlough was 11 years ago, they have decided, in view of the fewness of workers, to stay on for another year or two. In June during the absence spoken of by Dr. Bier in his letter on page 187, Mr. T. Ernest Wilson took charge of the Mbo-ma Mission Hospital. He had much to do, there being a number of in-patients and the building of new houses for the lepers was in full swing. Present Locations of Workers in China Mr. F. J. Hopkins gives the whereabouts of Kiang-Si workers (American and British) on July 25, 1939, as follows: In Kiang-Si Kiuikiang—Mr. and Mrs. W. H. Lester (and daughter Grace) Kuling—Mr. and Mrs. Thomas Melville Mr. and Mrs. Alfred Cuff Miss Norman Miss Dawson Miss Dunphy Ifeng—Mr. and Mrs. E. E. Clarke Mr. and Mrs. Alderson Miss Mary Ridley Miss Strahan Tungkuu—Mr. and Mrs. Pucknell In Wei-hai-wei—Mrs. Margaret D. Buckley and district Mrs. E. Gillan In Shanghai—Mr. and Mrs. C. Wilson Mrs. B. Price Mr. and Mrs. F. J. Hopkins In Hongkong—Mr. and Mrs. E. R. Jones At home on furlough In U. S. A.—Mr. and Mrs. Conrad R. Baehr In Australia—Mr. Reginald Vines In England—Mr. and Mrs. James Mr. Phillips Miss Loggin Miss Gale Miss Foden Miss Hubert In addition, Canadians and Americans working in provinces other than Kiang-Si are In Hopei Funinghsien—Mr. and Mrs. George Foggin Mr. and Mrs. Charles O. Kautto Peiping—Mr. Donald M. Hunter (on furlough) In Shantung Shang Pu Teo—Miss Sarah L. LeTourneau Miss Flora E. Barclay Miss Catherine McKenzie In Jehol Province Pingchuen—Miss Harriet F. Minns Lingyuanshien—Mr. and Mrs. E. J. Tharp Miss R. M. Tharp Mr. R. N. Tharp Mr. and Mrs. J. Russell Davis In Chinhien Province Chaoyanghsien—Mr. and Mrs. F. A. Grubb Addresses of American and Canadian Missionaries on Furlough and New Workers, Outgoing Adams, Mr. and Mrs. S. B. (Venezuela), Box 44, Forest, Ont. Annan, Mr. and Mrs. James D. H. (St. Vincent), c/o Mr. and Mrs. Nelson Doel Avenue, Toronto, Ont. Baehr, Mr. and Mrs. Conrad R. (China), 311 Lyman Place, Springfield, N. J. Bodaly, Mr. and Mrs. John (Angola), 174 Base Line Road, London, Ont. Bygrave, Mr. Kathleen (India), 15 Lakeview Avenue, Toronto, Ont. Craig, Mr. and Mrs. E. B. (Japan), 276 40th Street, Oak Park, Ill. Ferguson, Mr. and Mrs. Adam N. (Natal), 6137 South Dearborn Avenue, Chicago, Ill. Gillespie, Mr. and Mrs. William (St. Vincent), c/o Mr. H. Reilly, 34 Mount Stephen Terrace, Ont. Gould, Mr. and Mrs. L. (Angola), 143 Wem-borough Road, Stanmore, Middlesex, England. Hess, Mr. and Mrs. Lyndon R. (Northern Rhodesia), 2511 West Adams Boulevard, Chicago, Ill. Horton, Mr. and Mrs. Albert E. (Angola), 124 42nd Street, Union City, N. J. Hunter, Donald W. (China), 51 Huttleston Avenue, Fairhaven, Mass. Hynd, William D. (Jamaica), 549 Minnesota Avenue, Buffalo, N. Y. Kion, Mr. and Mrs. Norman L. (Trinidad), 134 Borland Street, Ottawa, Ontario, Ont. Knight, Miss Cornelia (to Belgian Congo), 656 Gregory Avenue, Clifton, N. J. Larkin, Miss Gertrude (Philippines), 504-A Grieswold Street, Glendale, Calif. Loyon, Mr. and Mrs. Wallace (Northern Rhodesia), Box 486, Livingstone. Long, Mr. and Mrs. David B. (Angola), 9 Hillsborough Street, Toronto, Ont. McClelland, Miss Margretta Priscilla (to India), 1322 Fulton Avenue, San Francisco, Calif. McDonald, Mr. and Mrs. John J. (outgoing to China), 175 Stonewall, Memphis, Tenn. McLaren, Mr. and Mrs. Robert S. (Angola), 153 Maple Street, Simpson, Ont. Maitland, Mr. and Mrs. William (Angola), c/o Mrs. David A. Sturges, Detroit, Mich. Martinez, Mr. and Mrs. Joseph G., and Miss Angelita (Paraguay), 364 Hallaide Avenue, Palisades Park, N. J. Miller, Henry (Lithuania), 219 Wisconsin Street, Chicago, Ill. Motter, Erma G. (Northern Rhodesia), 5214 East 28th Street, Kansas City, Mo. Ogden, William J. (Jamaica), 113 Wohlers Avenue, Buffalo, N. Y. Olford, Mr. and Mrs. F. E. S. (Angola), 9 Clifton Road, Newport, Mon., Calif. Reid, Miss Louise (Palestine), c/o A. T. Reid Co., 70 Crawford Street, Toronto, Ont. Rigler, Miss Marjorie (to Angola), Rua S. Mamede 32, 1 (ao Caldas), Lisbon Portugal. Sturges, Mr. and Mrs. Andrew (Chile), 21 Townsend Street, East Hampton, Rhode Island. Steven, Mr. and Mrs. Robert G. (Morocco), Box 350-A, Westwood, N. J. Watson, Miss Eva C. (Venezuela), 23 Pinewood Avenue, Toronto, Ont., Canada. Williams, Mr. and Mrs. William (Venezuela), Box 510, Collingwood, Ont. Witt, Mr. W. H. (Venezuela), 68 Fernwood Street, Ormeau Road, Belfast, Northern Ireland. Wilson, Mr. and Mrs. John (Argentina), c/o Mrs. T. H. Webb, Naini, Station Road, Thatcham near Newbury, Berks, England. Revised Addresses of Workers on Their Fields Mellylle, Mr. and Mrs. Thomas, Lot 13A, Kuling, Kiang-Si, China. Miller, Mr. W. J., Box 364, Nassau, Bahamas, B. W. I. Brubacher, Miss Melinda, Sala Evangelica, San Felipe Reu, Guatemala. China--One of the Fields of the World Let yourself be taken for a few minutes to a distant land where comparatively few foreigners travel—not the land of China's coastal cities—but the China of inland regions. Inland China today offers all contrasts imaginable: old narrow streets paved with flagstone, new boulevards, slippery steps plunging into the river, attractively laid out public gardens, old musty temples, modern concrete buildings, and everywhere hundreds of rickshaws, squeaky barrows, and some of the latest designs in motor cars in the larger cities. China, as one of the fields of the world open to the Gospel, represents an immense population whose many needs right now are tremendous because of an age-old background of ancestor and idol worship and because of the present war's demolition. Here Traditions Many Thousand Years Old are still law and the inner structure of life is still molded in Confucian philosophy. One undertaking to carry the good news of the Gospel to the Chinese is early made to face certain peculiar problems. The conservatism of the masses retards the individual. Language difficulties are a tremendous barrier surmounted only by hard study and much time spent with the people. In China no spoken language, understood both by the educated and the ignorant, prevails throughout the country. One attempt to simplify reading and writing by a system of forty-four phonetic characters had limited acceptance but generally the Chinese have an innate love for the 40,000 characters of their language and prefer to use them. The nearest approach to a universal spoken language is Kuoh Yü or the National Language. This is the official language of the country spoken by every Chinese educated during the last two decades in the modern form of school and is understood by many middle class people. But between north and south there are distinct differences in pronunciation. Then the laboring classes of each locality have a dialect peculiar to that particular region. Accordingly, to those who can read, the tract, Gospel poster, or Gospel signboard is an arrow of truth more liable to hit its mark than the preached word. All Christian work is hindered by illiteracy, particularly among the women. The present war situation has brought about many unusual problems. Local Assemblies of God's children have been troubled and many have been scattered. The government demands men and means. Husbands and sons of the poor are literally torn from their fields and homes, to be trained in the arts of cruelty and then used frequently as targets to waste the enemy's ammunition. Boats, barrows, cars, and strength are commandeered for transportation and little or no pay given for support of dependent frightened families. Sons of the rich often escape service by bribes, and in their privately owned cars have gone westward into regions where some measure of peace prevails. Again, we could tell of other rich men who would gladly have paid $5 for a sip of tea if it could have been obtained. So there is Suffering Among All Classes. Along with the trek of weary refugees have gone the organized church movements for social welfare and war relief. They have done much good for human bodies and we are thankful for it. Nor could we, as a band of workers along Assembly lines, withhold from helping those in need. But the question paramount in many minds is this: What is all this suffering going to effect in soul welfare? Is their distress leading the Chinese to Christ? Many answer that hundreds are turning to Christ and that hearts are more responsive to the gospel than ever before. We must confess that we have not found it so. "Rice Christians" are in greater abundance than ever, but true concern for sin and real desire to settle the well-being of the soul seems completely overshadowed by concern over hungry stomachs and the necessities of physical life. However, prejudices are broken down by humanitarian and medical work among refugees. At least they listen, if only from politeness or gratitude for having been succored in time of need. Our conviction is that God will bring to their minds again and again these eternal truths which they have heard, causing that some shall be saved. Trials are leading Chinese Christians To Grip More Firmly the Rock on which they are built. A letter received from one man says, "I never knew what the refugees in Tsingan had to endure until I became a refugee along with them. But I can say that the sufferings of this present world are not worthy to be compared with the glory that shall follow." A major problem in Assembly life, even in times of peace, is the support and training of Chinese full-time Christian workers. In most places these workers are supported entirely by foreign gifts. Many Chinese think that the foreign missionary has come to initiate and finance all evangelical and philanthropic enterprise. Many mission practices have encouraged this attitude, but the actual poverty of the majority of Christians constitutes a difficult problem. In the Kiang-Si section there are no training schools for native Christian workers. Many local Assemblies put on short-term Bible schools for men and women which undoubtedly are blessed to numbers. But these do not seem to reach those Christians of trainable age who could make the most of such instruction. We feel the need of much prayer that God might help each local Assembly to train its young so that men and women, intelligent in the Scriptures, called and equipped of God would serve in their own localities among their own people. The time is coming, and in some parts now is, when the foreign missionary is not wanted by those in authority and the continual imposition of restrictions will hinder the work. May God raise up His sent ones from among the Orientals to carry on! One elderly Chinese brother, now a refugee, writes that brethren and sisters in his party have arranged bands to go out to preach, on clear days, the unsearchable riches of Christ to those hiding in isolated villages in the mountains. It is paradoxical, isn't it, that God Is Using the Poverty and loss of many to carry riches to others who in ordinary times might never have heard the blessed news? Now, while the door is still open, God needs young men and women from foreign lands as well to answer His call. In our Kiangsi work alone a large majority of missionaries are over sixty years of age and only six or seven are under forty. May God impress upon some young hearts the great need of China and the imperative nature of Christ's Gospel and send them forth to plunge devotedly into the problems and difficulties of the work, relying on our great God. Myrtle R. Baehr. The Call of Yunnan Province YUNNAN Province, situated in the mountain fastnesses of Southwest China, Tibet, and adjacent portions of Central Asia, today comprise the most extensive unevangelized territory on the earth. Although in a tropical latitude, the terrain of this province is of such high altitude (many of the valleys being from six to seven thousand feet above sea level) that the winters in the northern part are extremely cold. It is said by one to be "a place of physical hardness and spiritual luxury for those who would penetrate its boundaries as ambassadors for Christ. Ten million people who do not speak the Chinese language live in this part of China. Nestling in the many narrow valleys and clinging to the precipitous ledges of the high mountain ranges are the innumerable villages of The Aboriginal Tribes-People constituting a people apart, having virtually no intercourse with the Chinese except in the exchange mart. They are heartily despised by their Chinese overlords, from whom they differ in temperament, customs, language, and religion. Many of the tribes-people are hunters and of a warlike temperament, whereas their Chinese neighbors, generally speaking, are of a more peaceable disposition and follow agricultural pursuits. Both men and women wear bright colored clothing in contrast to the more conservative dress of their rulers. Moreover, the ancient civilization and culture of Eastern China have had little effect on their primitive and pagan customs. Generally speaking, These People Are Animists, worshiping spirits which are supposed to reside in sacred trees, rocks, or mountains. Among some of them, Lamaism, a degenerate form of Buddhism, with fanaticism, demonolatry, and devil-dancing, is the religion practiced. As in other heathen communities, such worship reflects itself in the low moral standards of its votaries. Gross immorality and heavy drinking characterize these people. Although there are numerous dialects, their language is based upon an alphabet of 40 letters compiled after several years of labor by Mr. Fraser of the China Inland Mission, one of the first missionaries who worked among them. It bears no similarity at all to the Chinese language and is more easily mastered by the foreigner. The Great Need of the Tribes Is Christ God has blessed the few who have dared the dangers and difficulties of the work there for His Name's sake and has crowned their efforts with souls saved to His eternal glory. At the present there are no workers from the Assemblies in this part of China. Work was first started among them shortly before 1900 by missionaries of the China Inland Mission and the Methodist and Presbyterian denominations as well as by some independent groups. However, "there remaineth much land to be possessed" for Him. Of the 50 known tribes (there are probably many more tribes, for this part of Asia has not been fully explored) the Gospel has only been taken to 12 of them. Large sections inhabited by numerous tribes are as yet wholly untouched by the Gospel. The souls of these needy people cry out, "Come over into Yunnan and help us." One who has spent many years laboring among these people says, "There are real dangers to be met, but the Lord Who said, 'Go ye,' also said, 'Lo, I am with you alway.' Young men and young women with strong, healthy bodies, and lives fully surrendered are needed — those who can rely on Him, seeking their spiritual strength from His Word alone, for there are many hardships to be borne and difficulties to be encountered in this pioneer work." Over a period of two years God has definitely exercised our hearts concerning this part of China. He has seemed to say clearly to us, "This is the way, walk ye in it," as we have considered the need of these people. We are conscious of our own weaknesses, lack of wisdom, and inability in ourselves to cope with the problems and difficulties which surely face us as we look towards this land. But He Who is faithful has promised to supply all our need, and to give wisdom and guidance. In this confidence we would go forth, weak in our own eyes, but "strong in the Lord and in the power of His might." John J. and Betty McGehee We are greatly indebted to the veteran missionary, and our good friend, Mr. Frederick J. Hopkins, for the following concise and illuminating review of the work and statement of present conditions IN CHINA. He and Mrs. Hopkins went to China from England in 1904 and were greatly blessed in their work. Many in America met them as they returned in 1938 to Nanchang. Soon after they had to flee to Shanghai upon the capture and devastation of their city. "He that glorieth, let him glory in the LORD" Rather more than fifty years ago workers connected with Assemblies commenced a testimony in Central China, to the North West of the province of Kiangsi. From one center the work spread to many countries, to cities, towns, villages, hamlets etc. Some thirty seven workers from the United States of America, Canada, England, Scotland, Ireland & Australia are companions together in God's work of making known the glorious gospel of Jesus Christ. They look to the Lord alone for guidance as to sphere of service and to HIM alone for all supplies for the work. Of the thirty seven workers - nine have served the Lord in China for over 40 years, eleven of that number for more than 30 years; making a total of 800 years service. In spite of the many upheavals: - - The Boxer uprising in 1900. - The Revolution in 1911 - Southern Advance in 1936 - Years of Civil Strife - Sino-Japanese Conflict 1932 & 1937 the work has gone forward and extended. In many Assemblies are to be found Chinese brethren raised up, fitted by God to teach and minister the Word, also able Gospel preachers. Varied are the methods used to reach the teeming millions: - Preaching in Halls - " in the Open Air - Tent evangelism - Printing literature - Distribution of literature - Bible Schools for men & women - Colportage work for selling & scattering the Scriptures At the time of writing believers are scattered from practically every center, fleeing for their lives, many of them, in the face of imminent danger. With regard to mission property, much has been destroyed. The extent of damage done cannot be known until workers are able to return inland. Pray ye Do this Go ye Our Saviour's three great Commands for definite action. July 1939 Stephanie Shanghai, China July 25, 1939 KIANG-SI Ifeng MARY RIDLEY—The rapid advance during the last week of March and first days of April brought into Japanese hands 7 or 8 cities occupied by our Kiang-si workers, and Shangkao was in jeopardy. When Kaoran was taken, most of the inhabitants, who had not gone already, fled. After full consideration it seemed the right thing to leave rather than risk being shut off and isolated behind Japanese lines, our friends not knowing what was happening to us. So we came to Ifeng on April 17—refugees! but very comfortable refugees, enjoying the hospitality of our dear friends Mr. and Mrs. Clarke. We have an open door and find plenty to do—some patients every morning for medicines, visiting in homes in town and out in villages, and precious opportunities of speaking to wounded soldiers and to prisoners in the jail. The wounded soldiers were a fresh lot almost daily as this was just a dressing station, with food and a night to rest and on next day; thus perhaps for 7 or 8 days till they reached a hospital where they could be cared for. They have now altered the route, cutting out Ifeng; so our little ministry there is ended. Glad to say nurses, stretcher bearers and others frequently listened to the message also and received literature. Air raid alarm bell rings almost daily, sometimes 2 or 3 times in a day so we know they are busy somewhere. But we are committed to Him Who is able to keep and we have His peace. June 14, 1939 (Received August 10, 1939) Kuling THOMAS MELVILLE—Mails are slow because of conditions and as you may know the censor has his hands full. We were evacuated from here on February 22 in very stormy weather and reached Shanghai on February 27. May 27 we returned here through the kindness of the Imperial Japanese Consul at Shanghai, arriving on the 5th instant. The Hill went over to the Japanese without much difficulty and no foreigners were killed or hurt. All the boxes at our Lot 15A had been opened and looted and contents not wanted thrown about. We hope to remain, D. V., until the early or middle part of September. We hope to be writing you again regarding our movements. We have not been at our home in Fengsin for about a year but our good, gracious God and Father has been caring for us in a wonderful way, and we praise Him for His love and care and for the prayers of His dear people. June 22, 1939 CHINA ANONYMOUS — I am sending this letter on a naval vessel and therefore can write freely. All letters are censored by the Japanese going out and coming in to the Province. They keep records and when they get to Mission Stations make it very disagreeable for any who have written things they do not like. They are arresting foreigners as spies on the smallest pretenses. So please do not have any of this printed unless you omit names of persons and places. Recently a plane flew near one village and dropped several bombs on a village two miles away. From a hill we could see smoke from two different fires. Shortly after the bombing there was a stampede of women and children on to our compound, with the report that the Japanese had entered our village. We took them in but it was pathetic to see many more pass our door, many of them with babies strapped to their backs, going into the hills. The rumor was false, so by night all went back to their homes. The following Sunday we had a public baptism of 14 and our hall was crowded. Planes came near but the people were asked not to run for they bomb fleeing crowds. They dropped a bomb three miles away and left. The Japanese scold the Chinese for taking refuge on Mission Compounds and threaten the missionaries. They have threatened to burn out one of our women missionaries if she takes in any more refugees. In some places the China Inland Mission have had to close their stations. The Japanese have treated them badly and have demanded that some of them leave. We do not want them to have any cause to treat us in the same way. They only come for a few hours; burn, loot, and depart. The guerillas hide while they are in a village for if they shoot the village suffers. All letters, from now on, will be carefully censored, so be careful what you write. Keep praying. We are working hard while the doors remain open to us. July 24, 1939 Conrad R. Baehr. Born in New York City, born again at age 10 in Plainfield, N. J., and at once felt the call to Gospel testimony in foreign lands. At age 23 in a Conference Evangelistic Meeting he devoted his life to that service. Soon after gave up his business employment and after a course in the National Bible Institute, New York, went to Northwest Kiang-si Province, China, with the Gospel. Myrtle R. Soper. Born in Pennsylvania in a definitely Christian home; born again at age 18 while attending Asbury College in Kentucky. At age 7, although unsaved, decided to give her life to the Lord for China in the thought that this would gain salvation. After teaching school for three years she became assured that this was the Lord's will for her and became a student in the National Bible Institute, New York. Meeting Mr. Baehr the two paths mingled by their marriage in 1932 and, becoming one, led both to China. After a period with Mr. and Mrs. F. J. Hopkins at Nanchang for language study they took over the work of Mary R. Pollock at Tsingan, Kiang-si. They are at present in the United States on furlough. The Kitchen God Over every home in China presides the kitchen god. Portrayed now in one picturesque form, now in another, this god usually appears as an old man with his wife; a horse often stands beside this venerable couple for use on journeys. On the 23rd or 24th of the twelfth month this god ascends to the Heavens and makes his report to the Jade Emperor or supreme deity, on the behavior of the household in which he lives. The Chinese look on this god as a benevolent spy and before he departs to make his report on their behavior, do their best to propitiate him. Some rub the lips of his portrait with honey or sugar in order that he may say sweet things only. Some wet them with wine to make him cheery and tolerant. All alike prepare him good food, which is placed before him. His going and coming are great events and must be suitably celebrated. At the time of his departure his portrait is taken off the kitchen wall and is carried out into the courtyard either in its shrine or in a miniature sedan chair. A feast is offered him on an improvised altar and food, candles, wine, and a ladder made of yellow paper are presented for the comfort of his journey. With incense torches to illuminate his road, he goes off in a chariot of fire, for his portrait is set alight by a flame from his own oven. Meanwhile, dried beans are thrown on the kitchen roof to imitate the sound of his horse's hoofs, and straw and tea are provided for his faithful steed. This kitchen god is supposed to remain away for seven days, gossiping with the rulers of heaven. While he is absent the household breathes freely; ordinary restraints are relaxed. All this may seem hard to believe, but it is going on in 99 homes out of every 100 in this city alone. It is enough to break one's heart, but thank God, we have a message that can dispel this darkness. Has He not said we are "conquerors through Him," and as our days so shall our strength be? Catherine McKenzie A Chinese Christian's Suffering A TRANSLATION of a letter written to Mr. BAEHR by one of the believers in the Tsingan assembly in Kiangsi, China. This man, a general store merchant, this year has suffered severe losses in his business because he gave up the sale of candles and paper money used in idolatrous worship and from two subsequent thefts. Just prior to the events which this letter describes he had bought in new stock amounting to about $300 in value. Mr. and Mrs. Bachr, may peace fill your honorable hearts! I respectfully begin this letter by telling of events since the 22nd day of the 3rd month. After you left for Nanchang, Tsingan was bombed but the people dead and wounded were not too many. The larger part of the shops and buildings were burned. From the south gate the fire raged all the way up to the Chang family ancestral hall at the north gate. One half of the west gate street was burned. All of the believers are well, except Chen, the coffin merchant, who was foolish in not fleeing far enough. He only went to his old home 5 li out of the city. Later I heard others say that his oldest son while going over the river was shot down by a solitary bullet from the enemy troops. It certainly is sad. Those of us who fled together are old teacher Liu and his family, Hwang and his family plus his mother and brother and I with my family and my father-in-law. That day we were unusually alarmed and frightened and toward night we heard that the Japanese army had arrived at Kancheo, 5 miles away. In consequence we were so scared that Our Whole Bodies Were Shaking with uncontrollable fright. We didn't know what to do and at that most fearful and tense moment we only grabbed a few clothes (could not think of all the other things) and fled for our lives through the rainy night in the direction of the Cloud Head Mountains. We walked all night and at morning light found we had only come about three miles because the women and children could not keep up. We thought of hiring someone to carry the little ones but at that time every one had to run for his own life. It certainly was a bitter experience. Later we heard that Japanese forces had passed on from our city to Feng Sin, then in our hearts there was a little more peace and we sought out a place to rest for one day. On the 24th day of the month we went a mile and a half farther on to the foot of King's Range. There we met Liu the bamboo-worker, also the rice noodle merchant, Chou and your cook-boy with their families. Your cook-boy told how he had led your horse away with him but soldiers took it by force. He followed them for two days journey but was unable to get it back and in the end came home empty-handed. On that road he ate bitter experience! After staying at this place two days we heard that the Japanese forces had returned to Tsingan so we quickly moved our bodies four miles farther to a place called Teng Feng. Here we met widow Liu and her family and Kueh I, the postman with his family. We were exceedingly rejoiced to meet each other and we stayed together two days and nights until the sound of gunfire (rumor) was not good we went on. At that time Chou's daughter, who four days before they fled from Tsingan gave birth to a child, had developed a high fever. His family with your cook's family stayed behind with her. There was nothing else to do. We went about 8 miles, then, because of danger ahead we turned back to Nine Streams Cave and stopped there over 10 days afraid to go in either direction. Then because of lack of salt and hearing that the Happiness Merchant had salt to sell I went to spy out in that direction. By the time I found the Happiness Merchant (a Christian brass-smith) the salt was sold out. Hearing that the Japanese forces had left Tsingan temporarily I went with Cephas to get again that he had had to leave behind. We entered the south gate and took one look around. We could not restrain letting a deep groan escape. It was unthinkable that such a busy market centre could become Such a Desolate Solitary Expanse of Tiles and broken walls. Our words were the expression of pained hearts! Along the central street we walked straight to the north gate street. The Happiness Merchant's home and Cephas' home and inn were burned to the ground. We went on a little farther to the Gospel Hall, and there it was intact with the door locked. Thanks be to God for sparing it from fire! Our hearts were ten parts full of joy. Then we went out the North gate to my shop. The doors fell down with the shock of the bombing. Only two pieces of the doors were on the ground. All my stock and goods are gone. Counters and shelves were bare. The only thing left was a bit of furniture and of that the best was looted! Then We Went on to Your Home for a look around. The door was broken up and windows smashed. The floors were scattered with books and papers, none of any use suitable for us the house was bare. On the day the city was bombed I had put four lots of cloth and four tankards of kerosene oil in your cellar—these too were gone. We saw lame Li and old Ku Ku there. They know not what to do except to sit there and groan and look at each other. When I returned to Nine Streams Cave we received a letter from Mr. Clark asking us to come on to Ifeng. By this time Chou's daughter had passed away. All the rest went on to Tien Bao and we met for worship on Lord's Day. At Iferng we were favored with Mr. Clark's loving heart for in the name of the Lord he gave every adult $3, and children half as much. Every one of the 58 people received money. Even the neighbors who went along with us will get some help, Mr. Clark said. We praise and thank the Lord because He had moved many people outside our nation to give for relief of us who are in such straits. Still more do we praise the Lord for it was just when We Had No More of the Necessities of life that God's supply came. On the road in only two places did the government relief organization give one pound of rice to each person. If we were dependent on government provision it would be hard to avoid starvation because no one man had much money. I think of hunting up some small business to do. The people here after hearing of the war in Tsingan and realizing they are less than 30 miles from the firing line are very fearful and agitated. The rich have fled and there is nothing doing in the business marts at all. Mr. Baehr, what have we ahead of us? We have committed everything in the Lord's hands and are willing to follow His appointment. That which is before us we do not know. Our hearts were wholly concerned about you until we heard Mr. Clark say you had gone with Mr. Vines to Kian and after encountering innumerable dangers arrived in Shanghai in peace. Mr. Baehr, we are suffering misery and enduring agony because of our country's failures and the sins of the people of China and it is what we ought to suffer. But it certainly makes our hearts sad to think that you have suffered danger and alarm when you are here for the Word of the Lord's sake and to care for His small lambs. In thinking how before the day of the Lord these kinds of Calamities Must Come to Pass we feel comforted, but we do beseech our compassionate Lord to shorten these days for the elect's sake, and to forgive the sins of the Chinese people and cause them to be aroused and quickly repent. Then this country might be saved and warfare early cease. I most earnestly desire that whether the path ahead may be peaceful or fraught with dangers I still may keep my eyes upon Him Who gives grace and cares for me. Our present hope lies alone in the soon return of Christ. Thus we must be comforted and may comfort one another with these words. I pray the Lord to continually be with you both, Amen. Please pray without ceasing for us. FANG TU SHING respectfully presents this letter. A JAPANESE RECIPE FOR WORLD PEACE To preserve the World's peace and to promote the welfare of mankind is the mission of the Imperial family of Japan. Heaven has invested the Imperial family with all the qualifications to fulfill this mission. He who can fulfill this mission is one who is the object of humanity's admiration and adoration and who holds the prerogative forever. The Imperial family of Japan is as worthy of respect as God and is the embodiment of benevolence and justice. The great principle of the Imperial family is to make popular interests paramount. The Imperial family of Japan is the parent, not only of her 60,000,000, but of all mankind on earth. In the eyes of the Imperial family all races are one and the same; it is above all racial considerations. All human disputes, therefore, may be settled in accordance with its immaculate justice. The League of Nations, proposed to save mankind from the horrors of war, can only attain its real objective by placing the Imperial family of Japan at its head, for to attain its object, the League must have a strong primitive force of a supernatural, superracial character, and this force can only be found in the Imperial family of Japan. Translated from a Japanese newspaper. If there be a God, and if He does care, then the most important thing in the world for me is to find out what He wants me to do, and then to go and do it. Cecil Rhodes. AN IGALA PROVERB (sent by RAYMOND DIBBLE, of Nigeria) Agwalo kp'ofu ugbodu ma eun k'i ache n. "When a smithy is beating out the rough forging, the uninstituted has no idea what he is making." "Ugbodu" means "ignorant" in common usage so you will see the point. We must wait till He tells us why; or, maybe, when He has finished all will be clear. The Missionary Problem Recently a well-known missionary remarked that he noticed and felt a decreased interest in missionary work compared with the last time he was at home. This is very serious. We should take to heart this expression of opinion. What can be done to remedy it? 1. Increased Knowledge. This cannot be gained exclusively at missionary meetings. A continuous use of the Prayer List makes one familiar with the names of the workers. Personal contact furnishes more information still. The best public speaker is not always the best missionary, but one who can talk of the needs of his particular field of labor. 2. Increased Prayer. An increased knowledge should always lead to an increased spirit of true prayer. Paul lays great emphasis on this aspect of work and was continually soliciting the prayers of others on behalf of it. Missionary prayer meetings either locally or collectively in some center will always stimulate interest. James Stephen in The Harvester. The worker whose interesting and informative letter follows is of German-Polish descent, unmarried, about 35 years old. For almost 6 years has been an ardent gospeller in Poland, traveling about in the villages, often suffering great hardships. POLAND Lodz EMIL BAUMGART—Our country, which acquired its independence in 1918, has over 30,000,000 inhabitants. The land is mostly fertile marshes, and is being developed with much care. The principal city of Warsaw has a population of about 1,080,000, of which 69% are Poles; 17% are Ruthenians, 10% Jews, and 4% Germans. There are 27 Roman Catholic churches in this city alone. Up until the World War, most of the missionary work was done among Germans; but after the war, the work among Poles and Russians was begun with good results. Even the work among the Jews is crowned with success. The number of spiritually baptized ones amounts to more than 50,000. These are in 3 groups: Baptists, Gospel Christians, and Pentecostals. The latter are trying, lately, to lead their small assemblies into more biblical lines, for a better understanding with the other groups. All three groups have already taken steps toward cooperative work. I am working now for 4 years in this missionfield of Poland, and God has acknowledged my service for Him. Several workers from other countries have been deported lately, which increases our duties and responsibilities. And so we are happy if brethren in other countries help us with their prayers and love in our often not easy task. Several weeks ago I took a trip to Rorzyseiu in Wolhynien, to our meeting place. Early on the first Lord's Day a baptism took place in the open air in the flowing water. Then followed our morning meeting. About 450 guests had arrived on bicycles and by horse and wagon, and listened reverently and prayerfully. The Lord's Supper followed. We closed the day with our afternoon meeting. For the 10 days following I served in several places. Most meetings were held in farmhouses, where up to 200 attended. Sometimes the rooms were so overcrowded that the kerosene lamps refused to burn. A special hunger for the Word of God, I found among the German colonists. But not only Germans, but also Poles, Russians, Ukrainians, Ruthenians, and Bohemians came. I had the privilege of speaking in German and in Polish at 22 meetings, to about 3,400 people. The attendance of strangers in the evening meetings was also good. I also had the opportunity to hold a meeting for the blind. The Lord gave His blessing to the work, and we could see real results, in that several gave themselves to the Lord. July 11, 1939 PORTUGAL (through the eyes of a visiting missionary). (preparing MARJORIE A. RIGLER — The in Lisbon, language student cannot write glowing accounts of Christian work, and when perhaps a complicated rule has been grasped or a difficult verb learnt by heart, it is a relief to his own mind, but hardly anything (as we say) "to write home about." There are lessons to learn more difficult than the language, perhaps more necessary than that too—to learn in a measure to understand a people whose temperament and ideas of Christian living seem totally different. The work here in Portugal needs the faithful remembrance of the Lord's people; there is a small Assembly at the Mission, but at present the number is smaller still because of little differences. The two most loyal and faithful workers, Maria Elisama and Maria de Lourdes, have matters to handle which have been a revelation to me, and the greater revelation is the grace and love and tact they show—more lessons for me to learn! The work here is among the poorer class. Wish you could pop into a meeting and see all the women in shawls, small one for head, larger one around shoulders instead of a coat; many nursing toddlers or even tiny babies. It is so sad to see the extreme poverty (there is no relief in Lisbon or Portugal), T. B. and such like diseases unchecked, and the weakness of the children. In this country improvements, advancement, and such like have evidently been allowed to slide. Salazar, the virtual dictator,—while he has improved conditions greatly—must of necessity spend thousands on new youth movements and armaments. Thousands of youth are training under a new educational scheme, to become Roman Catholic priests. The country already has more churches than it can support, of the most beautiful and expensive workmanship possible; the interiors almost covered it seems, with gold, bronze, silver, and ivory. A country with thousand of crucifixes and without a living Christ. No wonder our hearts ache! I ask your prayers that, amongst a people naturally unstable and changeable temperamentally, in the strength of the Lord we students may consistently and persistently witness a good confession for the Master and be a help to His work here, and not in our ignorance of Portuguese ideas and people, offend and be thereby a hindrance. So, as you pray for Angola, don’t forget her Mother Country, steeped in Catholicism and worldliness, and everywhere giving evidence that these are indeed the “last days,” but still part of “the world” which God so loves. 7-31-1939 The Lord Jesus said:— “LOOK ON THE FIELDS FOR THEY ARE WHITE ALREADY TO HARVEST” Greetings From Erich Sauer Now far away over the wide ocean my wife and I want to send you all our heartiest greetings! After a 3 months’ journey in U. S. A., we reached our homeland Germany in health and safety and want to express again our warmest thanks toward you all, who welcomed us in your homes and Assemblies in such a true Christian spirit. With happy and grateful hearts we look back upon these 4 months we spent abroad, first one month in England, visiting about 20 meetings there, then coming over to U. S. A. and visiting 40 Assemblies. Everywhere—in Norwich, Sheffield, Manchester, Warrington, Liverpool, Birmingham, Bristol, or Bath and later on in U. S. A., in Boston, New York, Philadelphia, or the surrounding places, in Washington, Chicago, Detroit, or Buffalo—we had a time of most happy, brotherly fellowship! Looking back upon this long time, there are two things, which have made an outstanding impression upon our hearts: the unity of God’s people in a true and worldwide brotherly love and the activity and boldness, with which all these Assemblies uphold the Gospel of Christ! Both these things have greatly refreshed and inspired our hearts. We trust that the bond between us, which the Lord Himself has given us, will prove to be a lasting one! We shall keep the work of the Lord in England and U. S. A. on our hearts in prayer and ask you all too to remember us before the Lord. The sea journey was a most pleasant one, and to our joy I had the opportunity to preach the Gospel in the German Sunday-service on board the Bremen, the biggest German boat. About 120 people came to attend the service. Here we had a most loving welcome. The brethren of our Assembly had arranged a special tea-meeting and had invited some Assemblies of the nearer neighborhood, so that we were about 300 people. Then I had to give my first report about our journey and with great joy and interest our brethren and sisters received the greetings from the Assemblies in England and U. S. A. Though countries and oceans may separate us, you, my beloved brethren in America, will always keep a constant place in our hearts. So we commend you all to the Lord and to the word of His grace and greet you with the victorious word of the Apostle Paul, the greatest missionary of all times: “Therefore, my beloved brethren, be ye steadfast, unmoveable, always abounding in the work of the Lord, forasmuch as ye know that your labor is not in vain in the Lord” (1 Corinthians 15: 58). Weidenest, Germany July 1, 1939 GUATEMALA Quezaltenango Charles W. Kramer — Don José has just come in from meetings in Barsovia and San Mateo. In Barsovia, a little Indian village, about 18 or 20 meet each Lord's day to remember the Lord. They are very poor and live in the most primitive way. An Indian couple there accepted the Lord some time ago. Two months ago the husband died and soon after two of their four children. The unsaved told the widow that it was all because she had become a Christian and that If She Didn't Leave It All she would be killed too. She has been suffering persecution for Christ's sake but is firmly trusting in the Lord and none of these things move her. Sunday night her house was set on fire and burned to the ground. Her "house" was a poor little mud hut not half as nice as most chicken coops at home but it was her home. One marvels at the grace of God manifested in the lives of some of these poor ignorant Indians. During a week's meetings in San Felipe some were exercised. One young married woman who attended regularly was deeply exercised and we had hoped that she would finally make the choice. At the end of the week her little girl became seriously ill; she has typhoid fever and has not yet passed the crisis. How this will affect the mother we hardly know but we trust that she may not harden her heart. The unsaved are always ready to insinuate that it is on account of the "Evangelio," Miss Brubacher, who is a nurse, is helping the mother to take care of the little girl and we are praying that God may work in it all. We still hope, when the Lord will, to visit El Salvador. July 26, 1939 ARGENTINA Buenos Aires B. Montllau — In the new Hall at Aconcagua we have seen fruit after 4 months' meetings on Tuesday nights. Some testified of faith in the Lord Jesus and we trust that others will decide for Him. A young man, Domingo Franco, who had lost brothers in the Civil War in Spain, was deterred from committing suicide when he heard the message on Plaza Italia, and is now giving a fine testimony. A woman of 18, who had led a careless life, heard the message just once at our Hall and a few days later when she was dying her testimony was of faith in our Lord Jesus. Another young woman, with a little child, was about to commit suicide before a train, when an old brother stopped her and spoke to her of the Savior; she received the message and trusted in the Lord Jesus. Now she rejoices, with her husband, in the Lord, being very earnest in bringing others to the meetings. For all these blessings we praise our gracious Lord. July 28, 1939 Mendoza A. William Cook—We were waiting on the Lord very especially that He would provide for the coming Gospel effort in this needy province, with the Bible coach from Buenos Aires, and your gift came as a very special answer to prayer. May the Lord enable us to use it to His glory. The Bible coach is the property of Señor Fernando Vangioni of Buenos Aires, he with Señor Blás Bonino accompanies the coach and is a very gifted servant of the Lord. So we are able to abundantly rejoice in these blessings which our Lord is sending us. For the special effort here in the city we have been able to rent an unoccupied corner store. We have seated it with our benches, some which the brethren from Lujan kindly loaned to us, and twenty-five rented chairs. The Lord has been answering prayer. The believers have been working to get the unsaved into the Hall, and the Lord has blessed. However, of the greatest help have been the loud speakers on the Bible coach which invite people daily to the meetings. There is real interest on the part of some; pray that the seed being sown so faithfully by our brethren might be used to the glory of the Lord. July 19, 1939 Santiago del Estera Alfred Furniss—Last Lord's day two stayed behind to manifest their decision for Christ. One immediately had to go back to her home some 30 miles away in the bush. But her family is interested and have opened their house to the Gospel, and we trust she may make full confession of faith there and stir up interest in others. So the gracious work goes on. July 21, 1939 BOLIVIA Aripalka Eric Smith—It is good to be back in dark Bolivia again, and more especially with such a godly, consecrated help-meet as my dear wife is. In a mining center called Churquini, where there are several believers, we took up in Quichua, their own language, such truths as baptism, separation, the judgment seat of Christ, plus those things most surely believed among us. Three confessed Christ. July 11, 1939 PERU Pucallpa Joseph Hocking—We have made two trips more to Masisea to give Brother Alfred Eglington a little help. We made our 24-hour trip up in the mail launch and came back in a canoe. Coming back we made a short cut overland cutting off a huge bend in the river and shortening the trip by some 8 or 12 hours. After several nights of special meetings in the new Hall, early the morning of Saturday, June 19, we baptized 6 in the river. Brother Eglington had looked forward to this event for 10 years. The following Lord's day morning the Lord's table was set up for the first time in Masisea. The most promising of the believers and one of the first to ask to be baptized experienced the power of the Evil One. He came completely undecided as to whether he should take the step. We could see the struggle he was having, so reasoned with him from the Scriptures, and then sought the Lord's special help in prayer, asking the candidate to make up his mind definitely while we were praying. As we finished, the brother's face was smiling and he said he was entirely ready to be baptized. Some time ago a Cashiboyano Indian, the first of his tribe to take a stand for Christ, soon after his confession, went completely out of his mind. He did violence to his family, casting all their earthly possessions into the river. Never before or since had the man known such an attack. His fellow tribesmen said it was because he was reading his Bible; he knew it was the Evil One seeking to overthrow him. While we were in Masisea previously this man had begged us to pray with him and help him in his time of testing, that he might not again bring reproach on the Name. This same Indian has now started a meeting of his own to reach his fellowmen. Mr. Eglington was not surprised after seeing such a work going on in the Indian's soul. July 26, 1939 VENEZUELA El Mene Edith K. Gulston and Fanny M. Goff—The work in the School continues as usual. During the past 6 weeks we have been taking advantage of the dry season to visit, on Saturdays, towns and villages within a radius of 30 to 40 miles, putting Gospel papers into the homes. We have been agreeably surprised to find the people so friendly and only about half a dozen in all have refused to accept the tracts. In some places we were invited in and had opportunities of personal conversations. In other towns the people were more reserved but received the papers courteously. In Riocito, a small village on the ridge of a mountain where the North Venezuelan Oil Company is going to drill a test oil well, the people seemed totally ignorant of anything of a religious nature and had no care at all about the need of their souls. One woman told us all they know about is drinking and dancing. Chichiriviche, where there is a small Assembly, was the hardest town we visited and few wanted tracts. Mr. Saword and Mr. Fairfield are having meetings there this week. July 13, 1939 When we rely upon organization, we get what organization can do; when we rely upon education, we get what education can do; when we rely upon eloquence, we get what eloquence can do; but WHEN WE RELY UPON PRAYER, WE GET WHAT GOD CAN DO. A. C. Dixon DOMINICAN REPUBLIC La Vega HUBERT L. JONES—I have just returned from a 10-day visit with Mr. RATHIE in the country places near Puerto Plata. In seven of eight villages visited we found hearty groups of Christians; in one place called Las Angostas we were able to hold the Lord's Supper. In all good crowds listened to the Gospel. August 7, 1939 Puerto IAN RATHIE—Since last writing you, 6 have been baptized, 3 women and 3 men. Two of the latter are students, and one is beginning medical studies this year. We think with joy of the promise of these young lives, but are sobered by the thought of the manifold temptations they face. In this, the prayers of the Lord's people at home can play an important part. Several others will take the same step when they will have given further evidences of the new life which they profess. Among these is a woman who was prevented from this public testimony because the man with whom she had lived for years refused to marry her and thus legalize their relations. Now she has come to the inevitable "valley of decision" and has chosen to follow her Lord fully. She has had trials of faith, and is in dire need, not yet having found work, but He is faithful. Thus we are encouraged in seeing evidences of the power of the Gospel in this place. The radio broadcasts bring us reports of blessing and requests for Gospel literature from all parts of the Republic, also from Haiti, Puerto Rico, Cuba, and the United States. This manifests another great need in our work here: Gospel tracts in Spanish and a Spanish Gospel paper to reach beyond the spoken word to the homes of thousands in cities and towns far and near. But we continue to thank the Lord of the Harvest for the soul-stirring, priceless opportunity He has given us to reach out to unevangelized thousands in these Latin-American countries by means of the radio. From the reports we know we have a radius of at least 1,500 miles which includes countries with millions of Spanish-speaking people. At two places there are groups of believers asking for baptism. At two others we hear of the local believers carrying on faithfully. At another we hear of four who meet weekly, but that small group also has realized the promise of His presence. We are looking forward to the privilege of reaching out to the regions beyond where the Gospel has not been preached, and ask prayers that the Lord may open up the way, and supply the means to occupy Trujillo City, the capital of this country and most important city, with a Gospel testimony. June 24, 1939 Puerto DUNCAN M. REID—In a Hall Plata packed to the door by 500 people we had a wonderful welcome back to Puerto Plata. A great many could not get into the building. Of 70 bouquets of flowers many were from people who do not even attend the meetings. It was encouraging to receive such manifestations of goodwill and appreciation of our work here. In our absence a number have been added to the Assembly and others have grown spiritually. Because of poverty and lack of work some of the Christians have had to leave and go to other parts in search of work. Quite a few in the country districts have been called home, and we have been at four funerals recently. A sister is dying of cancer. In spite of intense suffering she is very patient and has given a splendid testimony as to her faith and confidence in the Lord. It is a glad reward for bringing the Gospel to these people. What would her death be like if she had never heard? So many having died and so many having gone away to other parts has brought our Assembly down to almost half. Our Sunday night Gospel service is broadcast, and, if we can judge from letters received, the Lord is blessing this effort. I myself listened to the service when in New York and also on the boat on the way down. It is a wonderful opportunity in a Roman Catholic country. Will the Lord's people at home pray for this effort to reach the multitudes? August 5, 1939 PUERTO RICO Santurce Henry Fletcher—Of late, I have been having some interesting visits to the eastern part of the island and have enjoyed preaching in the open air using a public address system attached to the car. Tracts have been well received and we look to God to use His Word to the salvation of precious souls. Two places in that part of the island promise tangible results. One is a country district where I am carrying on a weekly gospel meeting in a farm house. The other is a town called Daguao where a Christian barber has opened his home for meetings. Unemployment is the chronic condition of a large percentage of men on this island. The women can, as a rule, gain something, although a mere pittance, through needlework at home. You will be interested to know that last Lord's day we baptized two girls, older scholars in the Sunday School, in the sea at 8 a.m. We had the meeting in the cocoanut grove at the seaside; it was a solemn, but happy time. Then at 10 a.m. we all gathered in the hall for the breaking of bread meeting. Puerto Rico offers unlimited opportunities among the children. While most Puerto Ricans are nominal Roman Catholics, yet there is a good Public School system which so far, has been entirely free from Romish influence. Of late we have been made to be exercised before the Lord as to how much longer our health will allow us to continue here. We would like to get in touch with a couple (the younger the better, as Spanish is the language spoken here) who have a heart for precious souls. July 5, 1939 ST. KITTS Basseterre Charles F. Brown—Sowing the good seed for the past 3 years has borne much fruit. It has been delightful work, in spite of the many difficulties and severe trials. Today an Assembly of about 70 maintain a godly testimony amidst the sin and filth around. From the Assembly the gospel is carried to other villages such as Boyd's where three of our young men have a school of over 60 scholars. Others go out to Challenger's where a lovely hall has been erected, and a school organized with well nigh 200 scholars. The hall in Basseterre was built two years ago, and has already been enlarged three times. It is filled each Lord's day, and a fine School and Bible Class meets weekly. Our sisters have a lovely class of 50 to 60 women every Wednesday noon. Many calls come from people in surrounding villages. Sandy Point and Monkey Hill are two most needy places. The great problem before us is to erect halls in these places, and furnish the same; then we could reach the people. Meanwhile we hold meetings in the open-air when the weather is suitable; but people here are much like people at home, and will not take a definite stand with you unless you have a hall. During this year we have had visits from various brethren who have had special meetings, which have proved a real blessing. The Hall has been packed every night, and many are now rejoicing in the knowledge of sins forgiven. Recently, when preparing for a campaign during Mr. James Spink's stay, we printed over 12,000 invitations besides over 400 posters, cards, etc. Mr. Spink has been wonderfully helped in this campaign, and many were saved. We thank God for bringing him amongst us, and feel that other godly men might do well in following his example, and turning aside from well beaten paths into this little but fruitful island of St. Kitts. They would see what is seldom seen at home—an eager interest in the Gospel. It is a privilege to sit beside anxious souls. June 23, 1939 ST. VINCENT Kingstown William B. Huxster — In spite of the rainy season, our work goes on much as it has been of late, with exceptionally good attendance of strangers on Sunday nights. An effort to reach women and young people in a rather congested district has been started on the out-skirts of this town by our sister-worker Miss March and certain native sisters. A few of our brethren are seeing some encouragement in a small village about a mile away from the town. At Georgetown, about 23 miles away, they have just purchased a piece of land to build a Hall instead of continuing to hire. We were able to hold, yesterday, a most interesting open air meeting in the yard of the Pauper Asylum. We then went to the Leper Asylum and had an interesting time with them in the Word, before passing on to them their usual monthly dole, most of which has been provided for some years past, from meetings in Belfast, Ireland—while in Belfast I spoke at a well advertised meeting on behalf of the lepers. I am expecting to go down to Union Island next week; probably for a few weeks. Mrs. Huxster will go to Barbados (100 miles distant) to visit Mrs. Stella, a sister in the Lord late of New York, who cared for her some years ago when she was recuperating from her very serious illness. August is not a very pleasant month in Union Island, as one usually has to contend with hordes of sand flies, mosquitoes, etc., apart from the spiritual foes of another nature. July 19, 1939 TRINIDAD San Fernando James C. Kenney — We are very much exercised about work among the East Indians, who form about one-third of the population of Trinidad. They are found in considerable numbers in the outlying districts and plantations. An ideal way to reach them would be by means of a house-car, even though we locate in a house. Upon the expected return in August of the Rotherys, we are considering going to Cedros (pronounced See-dross), where we have labored, as a large proportion of the population there is East Indian. 7-17-1939 PALESTINE Jerusalem W. L. McClenahan—Here in Palestine we are having opportunities among the Jews that are perhaps unprecedented. The hearing that we used to get in my long years among the Arabs is as nothing compared with it. We get all and more than we can do without knowing Hebrew (in any real sense) or German. All the missionaries here tell the same story. We don't have to "make contacts"; we can't avoid them! The work among the Arabs is especially difficult. Knowing the Arabic tongue as we do, we long to get out once again to the villages, a thing we cannot do under present conditions. May it please God once more to make it possible to go about freely as we once did. Islam is, in a sense, the state religion, and is more or less supported by the Government. Here in Jerusalem there is so much religiousness, both among "Christians" and Moslems. As it is, things appear to be getting more difficult not only in Palestine but also in the surrounding countries where Islam holds sway. It is the inveterate enemy of Christ and the truth. July 25, 1939 Who through faith subdued kingdoms, wrought righteousness, obtained promises, stopped the mouths of lions. (Heb. 11:33). ANGOLA Bié Elizabeth A. Murrain—We had a very happy school this year; one could see quite a change in the boys and girls, especially spiritually. Last week we had to bring the school-year to a close because of lack of funds. There are over 30 candidates for baptism and these will be in during the last week of next month for more teaching, etc. April 29 there will be a baptism. There is to be a women's conference soon, too. We are not quite sure when it will be but the women are all ready and eager to have one. So much is needed to help the little mites in our orphan work—milk, clothing, and covering for them. But we cast our burdens upon the Lord and He will help in His own good time. March 30, 1939 (Received July 21, 1939) Quirima T. Ernest Wilson—The enforcement of the law requiring us to employ Portuguese teachers has been postponed for 2 years. God has wonderfully answered the prayers of His people. God helping us, we intend to take advantage of this respite to carry the Gospel to many of those in the unoccupied and unevangelized parts of Angola that are still in darkness. There are 2 places in the Songo country which we would like to see occupied for the Lord this dry season. A new sect called Casonzola, a mixture of paganism and corrupt Roman Catholicism, is spreading rapidly; holy water and the inevitable money-box are very much in evidence. It does not touch the question of sin or immorality and hundreds of poor ignorant natives are being deceived by it. Whole villages that would not have the Gospel have gone right over to it. We are having some encouragement in our meetings. Each Lord's day the Hall is filled and some have professed faith in Christ. June 1, 1939 (Received August 8, 1939) Vila Luso Leslie B. Bier—I am writing this from Capango in the district of Bié. This is one of the oldest mission stations in Angola. We are spending a few days at each of our stations in this part, ostensibly to have a change and a holiday, but of course wherever I go I find sick to treat. What a work there is to be done on these older stations in caring for God's children! Here, for example, is a station having 60 out-schools or villages in each of which a native Christian is preaching the Gospel and teaching the children to read and write. Around him are gathered native Christians, numbering from perhaps 10 to 100 and yet these native Christians have not one doctor to whom they can go in times of illness! Is it any wonder that when trial (in the form of illness) comes that they resort to native medicines and methods of treatment? By so doing they spoil their testimony. But on each of our missions we have one who gives out simple remedies and cares for the sick, but it is impossible to set down in words the need of doctors here in Bié. June 20, 1939 Vila Luso William C. Maitland—For about four months here it has been my happy privilege to reach many people, both white and black, with the Gospel, and many natives have professed faith in Christ. Mr. McLaren was with me most of the time, but he went to Pezo recently. After a short time at Mr. Hallett's station, Luonze, I plan to go to the mines with the Gospel and help for the native believers in the various Assemblies there. How one's heart goes out to them, for they need spiritual food. For instance, in one place where we visited, the elders came to me at the end of the visit and said: "Before you came to us we felt so weak, and so few, and small meetings—few coming; some were saying the house would never be filled again. But now look at it! We are refreshed and happy in our souls. We feel strong. We are very happy. The Lord is with us, and we shall be able to continue on in His presence and service!" June 12, 1939 BELGIAN CONGO Irumu R. Edward Harlow—With about a dozen native evangelists, I am visiting a tribe to the north of us, which has never been opened for the Gospel. On the contrary, a false form of Christianity has gained such a hold, that the people have closed their eyes to the truth. We use one place as a central camp, and go out daily two-by-two to the surrounding villages. Next week we will move on to another large village and so cover another district. In this way we have been able to contact and help many interested individuals. Some profess to believe the words and be saved. One chief says he is willing to have a native teacher come and live there; we are praying that some one will be immediately raised up to enter before the door is closed. Another village chief told me, quite politely but firmly, that these were bad words and they did not want them. Two years ago we were through here to spy out the land, and no one in that village would even receive a tract. I tried to put one in an apparently empty house, when the door opened and a Woman With a Large Knife upraised made her appearance. She probably thought I was putting some bad medicine on her house which would bring her bad luck. On this trip, too, two of the natives went to the next village, and a small riot occurred. One woman swore with an oath that if this was like the old times, blood would be shed. In another village, we hardly had entered before they were told that their words were not wanted there, and were soon driven out with a club. However, some of the opposition is breaking down, and I have sold three copies of John (which cost about a day's pay each) and many tracts and portions were accepted. But we must return to the station this week for the opening of the school program. We will have visited, thus briefly, only a portion of the territory of two of the sub-chiefs of this tribe; there are eleven of them. Pray with us that native laborers may be sent forth to this needy part of the field, and bring in sheaves for His glory. Nyangkundi William A. Deans — The pigmies have built a Gospel Hall! The young evangelist from the Assembly at Nyangkundi reports that 11 of the tiny pigmies have confessed Christ. May they prove to be truly born again, and may their thoughts, as they roam the forest hunting elephants, be of Him Who died for them and rose again. At their conference just concluded, the native evangelists reported 14 conversions in one place, 7 in another, 3 in another. Last Lord's day it was our privilege to baptize 6 believers who wished thus to obey the Lord. Not content with a pole and mud-wattle building for assembly meetings, the believers at Bunga asked us for a hand brick mold, and have given their time and strength to mold bricks enough for a nice hall. Although the bricks will only be sun-dried (not fired), the building will be quite permanent. I hope to spend next week in their village helping them to get construction started; they will build it themselves. Is not the simplicity of the truth wonderful? May their hearts be drawn out more and more in love to Him to Whom they gather! June 26, 1939 FRENCH EQUATORIAL AFRICA Moissala F. William Rogers — We reached Lagos March 30 and Moissala May 3 after a trying trip of 1,800 miles on the motor-truck. Our welcome here thrilled us; the native evangelists Doninga and Tomaitta have been faithful through many difficulties and temptations. These Sara and Mbai natives are primitive and illiterate, having lived in darkness, superstition, and ignorance for so many centuries. But now the light begins to dawn. One of the first needs is to teach them to read God's Word in their own language, and this is no easy task. First of all there must be some believers, then reading Christians, and then believers really taught in the Word. Last week a Christian wedding was celebrated in the Gospel Hall here. The believers gathered in the Hall and sang hymns and prayed; I read the Word of God concerning marriage, and performed the ceremony. The next evening the Christians had a feast with the married couple. What a contrast to the pagan ceremony and to the polygamy practiced in this country. This is but one example of the practical results of the Word of God received into the heart and life of heathen people. Yesterday a believer, returning from a village where he had been visiting for three days, told us of the desire of the people there to hear more of the Way of Salvation. The harvest truly is plenteous, but the laborers are few. The vision before us in this district is to see a number of native assemblies gathering week by week, and preaching the gospel to all around them. June 7, 1939 NATAL Izingolweni Edwin S. Gibbs—Last week we held our Quarterly Conference for the native believers. We put up in our big tent. 12 were baptized. At the breaking of bread, Sunday morning, the native brethren carried forward the whole meeting themselves, with hymns, prayer, and ministry of the Word. It was very touching and beautiful. It is cause for thanksgiving and praise to God to see the fruit of the Spirit brought out in the lives of these dear Zulu Christians. July 7, 1939 THE NEED OF PRAYER Perhaps the greatest need in new fields and among the assemblies today is prayer. Wherever there has been a revival or a real work done for God, it has resulted from exercise in prayer. We are rightly exercised to spread the truth but we need to spend an equal amount of time in prayer if we are going to see blessing. True blessing comes from above. It cannot be worked up, it must be prayed down. Wherever Christians are really praying they are or will see blessing. He has brought you to Himself to have your whole heart wrapped up in His interests, your thoughts, actions, everything, for Him. Are we living enough out of the world (not merely out of its pleasures, but out of its cares), and enough with Christ, for Him to have a large place in the daily thoughts of our hearts? Have we the consciousness from the time we get up in the morning till we go to bed at night, that our hearts are with Christ, a consciousness that He is in us and we identified with Him? John Nelson Darby. INDIA Bangalore Rowland H. C. Hill—Upon our return we find much to encourage us. The Assembly has not only held together well but several have been added. One more was baptized last week and there are several others enquiring about it. But, as could be expected, ground has been lost in the work among the children. The political situation in India is likely to have quite a bearing on the matter of Gospel testimony in days to come. The present Congress party now in power will probably not be satisfied with having the British relax their control, nor even with a large measure of independence. That is nothing new, but seems more assured than formerly. What is new, is the definite trend within the Congress Party toward Totalitarianism; it attempts to control all the local governing bodies. The very men who are insisting on liberty are likely to deny it to their own people when they get sufficient power. The control of local affairs by the Governments of the Provinces will give anti-Christian forces tremendous influence. A free India will mean a shackled Gospel; a Totalitarian India will mean an abolished Gospel. We may be enjoying a privilege that may soon be lost. It is something to pray about. June 29, 1939 Ilangi Annie Watson — We lately started another meeting and last week 182 children were present. Many have taken a definite stand against worshiping idols and some of these are now hindered from coming. One especially bright boy has been sent away to study. Between 600 and 700 are under the sound of the Gospel every week and most of these memorize Scripture. Pray that we may have the joy of seeing many of them definitely saved. May 7, 1939 Kollegal E. Jennie Dorling—There is much work to be done not only in this town of 17,000 but about every half mile all around is a village. No one has come yet to take either Miss Bygrave's or Miss Conway's place. Miss Bird, although 77, reads without glasses, and keeps at the nursing. But the dispensary and hospital are more than she should have to do. Ruth Anderson and I have divided Miss Bygrave's work between us. It means such a keeping on early and late but the Lord gives strength. July 2, 1939 PHILIPPINES Manila Cyril H. Brooks — For six weeks I have been away from home. An invitation to speak at a conference of Christian workers in Palawan Province afforded me an opportunity to visit that province and also to see something of the work being done by Mr. and Mrs. Sutherland at Brookes Point, 400 miles south of Manila. It was a great joy to be able to spend two weeks at Brookes Point. Palawan is a long island with a backbone of mountains, having valuable forests of hardwood trees. Some Filipinos have gone to those parts from other islands, in government school service. A few have planted cocoanut plantations but the country is largely undeveloped. Some Mohammedan Moros are found up and down the coast. Among the hills are primitive pagan tribes, some of them very inaccessible. Those near to Brookes Point are known as Palawanos. Brookes Point is only a small town but is a trading center for coastal plains in those parts. Besides special meetings in the town, I was privileged to make two short trips into the country. At Makagwa, nine miles south, I preached the Gospel to about fifty of these pagan Palawanos. It was a picturesque sight (if you did not look too close!) to see them squatting around the fire, listening to the message. Some of the men wore only a "G" string. Those who have a shirt wear it until it drops from them. Why waste time washing clothes? They only get dirty again! Is there not a significance in the fact that physical dirt so often accompanies spiritual and moral darkness? I felt that an hour or two with these folks was hardly a beginning in dispelling such darkness. My wife had a blessed experience with a Chinese woman in the T. B. Hospital while I was away. Going into a room where there were two Chinese women patients, my wife noticed that one was talking very excitedly. Since it was all Chinese she could not know to whom she was talking and after leaving tracts went on her rounds. A little later her brother, visiting this Chinese woman, asked my wife to go back again. He could not speak English so my wife had to talk to him in Tagalog. The woman took the tract she had received a week before from her purse and it had evidently been read many times for it was quite mussed up. The man explained that she knew that she was a sinner and was afraid to die, especially at night. It was not easy to give her the Gospel. Anna spoke to her in Tagalog and the brother translated into Chinese. Then the other patient who had a Gospel portion added her bit of explanation but of course Anna could only guess as to what they were telling the distressed woman. Arrangements were made for a Chinese evangelist to visit her and other contacts made. Two weeks later there was quite a transformation in the looks of the woman and her brother. They both seemed so happy that my wife felt sure the Lord had found her. She has passed away but we learn from the Chinese evangelist that she was trusting Christ and left instructions that her children should be sent to Sunday School. One feels very helpless when the barrier of language comes between the seeking soul and the one who brings the message of life, but the Holy Spirit is not limited in His working. We praise the Lord for such encouragements in that hospital visiting which often calls for patience and persistence. July 13, 1939 A PRIMER on Preaching By ALFRED P. GIBBS A book of valuable help and instruction to young Christian workers. Nineteen chapters of brief, but helpful information, properly indexed Chap. 1. The Prerequisites of Preaching Chap. 2. The Definition of Preaching Chap. 3. The Purpose of Preaching Chap. 4. The Necessity of Preaching Chap. 5. The Variety of Preaching Chap. 6. The Sermon as a Sermon Chap. 7. The Textual Sermon Chap. 8. The Topical Sermon Chap. 9. The American Sermon and The Title of the Sermon Chap. 11. The Preparation for Preaching Chap. 12. The Preparation of the Outline Chap. 13. The Preparation of the Material Chap. 14. The Presentation of Preaching Chap. 15. What the Preacher Should Watch (1) His Audience and (2) His Language Chap. 16. (3) His Voice Chap. 17. The Public Reading of the Scriptures Chap. 18. The Public Audiences (3) The Theme Chap. 19 (6) His Time and (7) The Results NEATLY PRINTED AND WELL BOUND Paper 50c, Cloth $1.00 Walterick Printing Co., Fort Dodge, Iowa Missionary Wonder Books Indian Realities, Stories and Surveys of Missionary Enterprise in India by workers from assemblies in the Homelands. Interesting, educational ........................................... $1.00 Adventures with the Bible in Brazil, by F. C. Glass Gripping .................................................. $.60 A Thousand Miles of Miracle in China, by Archd. E. Glover, M. A................................. $1.40 Walterick Printing Co., Fort Dodge, Iowa Now Ready-- Correction Sheet FOR Assembly Address Book of Some Assemblies of Christians in United States, Canada, Bermuda, and British West Indies Over 200 Corrections Printed on Gummed Paper to be inserted on blank pages of 1938 Address Book at 10c each 1938 ASSEMBLY ADDRESS BOOK WITH ABOVE CORRECTION SHEET ADDED at 50c each Walterick Printing Co., Fort Dodge, Iowa 50c (Plus Postage) YOUNG FOLK'S BIBLE Peerless Type Page size 4¾x8 7-16 Contains helpful supplementary material, 15 colored illustrations, colored presentation page. Bound in black fabcote, divinity circuit, gilt stamped front and backbone, round corners, red edges. Individually boxed. The first time we are able to offer this size Bible at 50c each. No. 643 WALTERICK PRINTING CO. FORT DODGE, IOWA. U. S. A. GUIDE MAP Numbers in color indicate fields of labor 1. Hopei Province, several workers...page 171 2. Kiang-si Province, several workers...page 171 Mr. and Mrs. Baehr..............page 177 Mr. and Mrs. Hopkins.....page 171, 175 Miss Ridley .......................page 176 Mr. Fang Tu Shing..................page 178 3. Shantung Province, several workers.page 171 4. Yunnan Province, Mr. and Mrs. McGehee ........................................page 170, 173 Manchukuo 5. Chinhsien Province, Mr. and Mrs. Grubb ........................................page 171 6. Jehol Province, Miss Minns............page 170 The Tharps (5)........................page 171 Mr. and Mrs. Davis....................page 171
Sermon preached by Mr F. L. Gosden, at Galeed Chapel, Brighton, Sunday morning 8th October 1967 "Draw me, we will run after Thee: the King hath brought me into His chambers: we will be glad and rejoice in thee, we will remember Thy love more than wine: the upright love Thee." Song of Solomon 1. v.4 We can hardly imagine that the same person that wrote the Ecclesiastes wrote the Song of Solomon. The contrast is wonderful. Do we appreciate the contrast between the Ecclesiastes and the Song of Solomon? To my mind it is a point in experience, it is a teaching. And I do trust that our young people will, in God's time, be able to discern the difference, the contrast, between the Book of Ecclesiastes and the Song of Solomon, for it does show the teaching of the Holy Spirit. I say the same man wrote these two Books under divine teaching. I could commend the reading of the Ecclesiastes to our young people. It would need the Holy Ghost to open their understanding and their heart. But in the Ecclesiastes, Solomon surveys the whole of this world, and everything that is in it. He was in a position, both by his eminent wisdom given to him, and his great riches, to enjoy, to possess everything that this world has to give, and repeatedly, as he speaks of his observations, he comes to the conclusion: "Vanity of vanities, all is vanity." It is a wonderful teaching – this world made a wilderness, really, in experience to be given to see light in God's light, as we look upon this world of sin and death and confusion and darkness, and see vanity stamped upon it all. The whole of this Song of Solomon is the opposite. Immediately he steps out of the world in the Ecclesiastes, where he could find no satisfaction, where he could find no true riches, no happiness, immediately he steps into the sacred sanctuary of the Song of Songs. He sees Him Whom his soul loves: "Let Him kiss me with the kisses of His mouth." O the sacred contrast! I say again, do we know it in our experience? Has that contrast between the world and the things of it, and Christ and His glorious Gospel been made out to us? "Draw me, we will run after Thee." This is a song of love, and I thought our second hymn (968) was a beautiful hymn with regard to this subject: "Hark, my soull it is the Lord" – and how gladly would some here hearken if He would but speak! "Incline your ear, and come unto Me," says the Lord by Isaiah (ch.55:3), and O what a beautiful sound it would be to those who are mourning at His footstool! "Be not silent unto me: lest, if Thou be silent unto me, I become like those that go down into the pit." (Psalm 28:1) "Draw me." For the most part, while here in a body of sin and death, we are "Bound down with twice ten thousand ties." (1072) There are the distractions of this life, business anxieties and worries, responsibilities, family cares, together with a body of sin and death. We shall understand what we sometimes sing: "Up to the fields where angels lie, And living waters gently roll, Fain would my thoughts leap out and fly, But sin hangs heavy on my soul." (480) David found the same: "My soul cleaveth unto the dust: quicken Thou me according to Thy word." (Psalm 119:25) But Hannah shows you how the Lord does raise His people from the dust: "He raiseth up the poor out of the dust, and liftest up the beggar from the dunghill, to set them among princes, and to make them inherit the throne of glory." (1 Samuel 2:8) There you see the quickening power, the reviving influence of the Spirit, raising a poor sinner from the dust to inherit the throne of glory. But we shall know something of the dust; we shall know something of the dust here, also of our entire helplessness to raise ourselves, or to lift ourselves. It is an important point of divine teaching to know ourselves. It is not everybody that knows it, and I am persuaded of this, that if we never know ourselves we shall never need or desire to know the Lord Jesus. "Draw me." To know what it is to go moping along in the dark, helpless with respect to prayer, unable to meditate upon the word and yet bowed down with things of this life, that we cannot shake them off. We have duties and responsibilities, and there is such an oppression upon the spirit and conviction, that you feel as though your wings are clipped, you cannot rise. Now this is unknown to a nominal professor, but how needful it is! "Draw me." It is the language of faith. It is an evidence of the life of God in the soul. I wonder how many here can use this language. I have thought, and it has caused me much heart searching, how solemn it is to speak of things we know nothing about. Very solemn for a minister; and if we never said anything at all except what we really know in experience, we should probably say a lot less than we do. And this may try some of you. Well, I could advise you in this way. It is often this exercise will come upon you of a night, when the curtains of night are drawn and you are alone, and it is good to search our hearts then. Well, it is a good thing to ask ourselves questions. Now to be honest with self, what can I say? Is there anything that I can say honestly before God? Can you say this: "Draw me" — draw me, because you know the terrible influences of your carnality, that you are earthy and are of the earth, and feel it? Well, if you can say that from your heart's feelings, there is evidence of life there. How different this is from religious activity. I feel the danger of it more and more in these modern days. There are activities in religion that have nothing of this sense of helplessness, of being prostrate in the dust, of begging upon a dunghill. Nothing, none of it at all — bright, brief and brotherly. But my friends, there is no root to that. "Draw me" — and there is an object here: "Draw me, we will run after Thee." Peter puts the same thing in a different way; he says: "To whom coming, as unto a living stone...ye also, as lively stones..." (1 Peter 2:4) And this liveliness in these stones derives from the life in the living stone; and there is nothing that can attract a sinner to God except the life of God in the soul. The attractions of Christ are only known by the same life in a sinner's heart; it will attract nothing else. You might as well put a piece of wood to a magnet, it would simply fall away, and there is no affinity between the two. But if you put a piece of steel near a magnet it will immediately be drawn to it. Does this interpret any of your experience? And there will be the contrast. Look at it in this way. We have been speaking of the Ecclesiastes, and all the earth that is in it. Now this prayer: "Draw me" is to draw us away from things as well as to attract to Christ. Draw me away from the Ecclesiastes; draw me unto Christ, His glorious Gospel, His heavenly wisdom. And so you will ever feel that contrast; while we live we shall never lose it. There will be self, there will be a body of sin and death, there will be the earth, and there will be that kingdom which is not of this world at all. So you will constantly, under exercise, need to be drawn away from all beneath the sun, and drawn unto the glorious Sun of Righteousness. Do you feel it? That is as far as we have got. Is it in your experience? Can you really say, from your heart, "Draw me"? I believe I can. And the worse you are, the greater sinner you are, the greater power of drawing you will need. O, but power belongeth unto God, and that is why nothing but power is of any use to you in the pulpit! "Draw me" by Thy power, by Thy grace, by Thy love, by Thy life. And when it is so, what happens? "Who is this that cometh up from the wilderness, leaning upon her beloved?" (ch.8:5) Why, my friends, under the voice of the Lord, under the attractions of Christ by the Holy Spirit, faith will rise and break through every tie. And we have known what that breaking through is; it is so sovereign, the power is not in us; it is in God, communicated to faith. "Draw me." Well then, there will be set before faith Christ in all His sufficiency, in all His suitability, in all His grace, His glorious righteousness, His sin-atoning blood and sacrifice, and that will draw. I can say this – at least, the Scriptures say it for me – that if you know what this drawing is, it is intimately connected with the everlasting love of God. The Lord made this out to Jeremiah. Jeremiah said this: "The Lord hath appeared of old unto me, saying, Yea, I have loved thee with an everlasting love: therefore" – because I have loved thee with an everlasting love – "therefore with lovingkindness have I drawn thee." (Jeremiah 31:3) So it is no little matter if you know what this drawing is. It may as yet only be under a sense of your deep need of Christ and His salvation, but if that need has given you that drawing, longing and following hard after Him, be thankful for it. But you will not be able to rest there. If this drawing and your following after the Lord is of the Spirit, you will never be satisfied until you find Him. "Draw me." Well, there will be this, there will be a connexion between what the Holy Ghost has discovered to you, and taught you relative to yourself and your nature and your ruin and the world that lieth in wickedness, and the contrast that there is in Christ Jesus, His glorious holiness, His saving grace, His sin-atoning blood, His, justifying righteousness. There will be a connexion between the two. As we so frequently say, and cannot help but repeat it, opposites meet, and that is where the drawing comes in. What should we do if the Lord Jesus came into the world to save righteous people? Naturally, a natural, carnal religion would make that conclusion, that the Lord Jesus should come and find the best of people, the very best. Instead of which, He came to seek and to save that which was lost, the very worst. Opposites meet, and there you get the drawing. Do you know what it is to come thus to Him? Have you been thankful that grace shall reign, that "as sin hath reigned unto death, even so might grace reign through righteousness unto eternal life"? And that will attract you, that will draw you. You would never be drawn unless there was something greater than yourself, greater than sin that is in you, greater than the devil that tempts. You could never be drawn unless there was something greater than all that, because it would never have the power to draw. But O, the mighty power of the everlasting love of God the Father, and the power of the invincible grace of the Lord Jesus Christ, and the invincible power of the Holy Ghost to quicken souls into life, and to communicate that life which alone can be attracted to Christ! "Draw me" – me, not somebody else! O how personal true religion is! It may be that the blessed Spirit, through this text, may begin to raise some poor sinner from the dust, and lift some from the dunghill. It may be that this prayer is afresh put in your heart as you sit here: "Draw me." And where? Draw me from where I am to heaven, translate me from an experience of death and destruction in self and in the world, unto that glorious kingdom, the kingdom of Thy grace. Well, raise my soul above the ground, and draw me, draw my thoughts to Thee. I say again, do you know it? If you do, be thankful. And I would again repeat this, the peculiar blessedness of the contrast between the Ecclesiastes and the Song of Solomon. I will leave that with you. You read them, read them both; in one you will find the earth, in the other you will see heaven; and see whether you know the difference, and realise the contrast, and feel that the Song of Solomon draws you away from the earth. "Draw me, we will run after Thee." The spouse here speaks for the church: "Draw me, we will run after Thee." It is good when there is personal and individual teaching, and when those that are thus taught meet together; then there is a running together, a flowing together. "Draw me, we will run after Thee." O what a congregation that would be – a flowing together to the goodness of the Lord! "We will run after Thee." The psalmist says: "I will run in the way of Thy commandments, when Thou shalt enlarge my heart." (Psalm 119:32) Perhaps there are some here that can say that. Well, what would enlarge your heart? This drawing, as the Lord Jesus is revealed by the Holy Ghost – He can be tasted: "O taste and see that the Lord is good." (Psalm 34:8) He can be possessed. It is a marvellous thing that the eternal God, the eternal Son, the Creator of all things, heaven's highest glory, can be possessed by an insignificant sinner. But He can! And if this is made out to you, it will enlarge your heart. And when a poor sinner is given to see the love of God in Christ, how that His love loves to the very end, traces that love in His coming. Love brought Him to that matchless condescension to become Man, to take human nature; love was in that nature. Love moved Him to suffer. Love was in His temptations. Love to His people, when He endured the contradiction of sinners against Himself. Love, when He suffered ignominy and shame and spitting. Love to His people that gave Him to endure the curse, to be made a curse, to be made sin. Love was in the garden of Gethsemane, when He grovelled there. Love gave Him to endure the greatest suffering that He ever knew: "My God, My God, why hast Thou forsaken Me?" (Matthew 47:46) And if you get an inkling of this, it will enlarge your heart and draw you. "I will run in the way of Thy commands, when Thou shalt enlarge my heart." O what a mercy it is to have faith in Christ, and to depend wholly upon Him, and let no other trust intrude! We are apt to seek extra trust, and it is dishonouring to Him. We are apt to say, 'I am unworthy.' So we are, but are you going to honour your unworthiness above the worthiness of the Lamb? We are apt to say, 'But look, look at my nature, look at my sin, look at my life.' And who would contradict you? But are you going to honour your sin above the sin-aton ing blood of the Lord Jesus? "Draw me, we will run after Thee." Well, evidently the prayer here was answered: "The King hath brought me into His chambers." You know that in your measure. But we shall have to look at some of the chambers in order that we may know whether we have been brought therein. It is the King that brings. He is the King of Kings, Lord of Lords. His sovereignty is absolute, and His sovereignty is exercised toward His people in a way of grace. Grace is invincible. "The King bath brought me into His chambers." Let us look at a few chambers, and see whether the King has ever brought us to them. In the first place, take the Word of God. O what a chamber is the Word of God! Not merely the written word. You may go round about a palace and not enter in. You may go round about the Word of God, but not have entered into the palace. But if the Lord Jesus should show Himself, flourish Himself through the lattice of His Word, it will draw you and bring you inside. Now, have you ever been brought inside of the Scriptures? Well, how is it done? By the Holy Ghost bringing the Scriptures inside of you. I do not know of any other way. And the best way to read the Word of God is when the Word of God reads us, and really, unless that is so in some measure, our reading is unprofitable – and I feel this is an important point. It is a land of Bibles, and it is a land of much preaching. It needs to be sanctified, or you will become so used to it that you will become Gospel-deafened, or Gospel-hardened. Now have you ever been brought into the chambers of the Scriptures? When you have read it, as the Holy Ghost takes hold of your heart, "The entrance of Thy Word giveth light." It giveth understanding to the simple. Has it ever done that for you? I do feel these are the questions to ask, my friends. Superficial religion will do us no good. How do we read the Word of God? How have we read it this week? "Draw me," and it is this drawing that brings us into the chambers, and so you will find that the Lord by His Spirit will draw you as you read the Word of God. There will be something like that of a magnet, that is, the life of the Word of God, as you read it, will draw the same life of God in your soul. But it makes it very precious, it will be so suitable, the promises so suitable. You take, for instance, that good word in Isaiah: "Fear thou not; for I am with thee: be not dismayed; for I am thy God: I will strengthen thee; yea, I will help thee; yea, I will uphold thee with the right hand of My righteousness." (Isaiah 41:10) Have you ever been brought into that chamber, so that it has been made to live in your heart? Then it may be a living word of reproof. I looked at it this morning: "If I regard iniquity in my heart, the Lord will not hear me." (Psalm 66:18) And that will cause you to search your heart. O the Word of God is a purging word. But have you not ever found Christ precious in the Scriptures? Perhaps especially in the Psalms? "Draw me, we will run after Thee" – and you will find yourself running after Him in the Word of God. You come to the Scriptures, it may be feelingly cleaving to the dust, dark and dead, and you do not know where to look in the Word of God – whether to look in the Old Testament, or in the New, or to look in the Psalm – but you pray as you open the Scriptures: "Draw me, we will run after thee." Another chamber is the throne of grace. Have you ever found that to be a chamber? I think it warrantable to compare these chambers with vineyards. The promise in Hosea is: "I will give her vineyards from thence...and she shall sing there, as in the days of her youth." (Hosea 2:15) But do you know what it is to be brought into the chambers of secret prayer? Secret prayer: "When thou prayest, enter into thy closet (or chamber), and when thou hast shut thy door pray to thy Father which is in secret; and thy Father which seeth in secret shall reward thee openly." (Matthew 6:6) This is a chamber that everyone that hath grace is more or less acquainted with. This may cause you much heart searching, because you are so unacquainted with Christ in the chamber of secret prayer. Look at it; look at it in the face. I have tried to bring the Scriptures, and how we read them. And now the throne of grace. What do we know about it? Not in the first instance public prayer, which is good, but if our public religion does not derive from a secret exercise, it is wrong. All real religion is in its source in the heart. "The King hath brought me into His chambers" – into the secret place of the Most High. Do you know that chamber? Do you know the sweetness of it? It may be, perhaps, some of you say you remember it, but those golden hours are gone. If they are, enquire why, why they are gone. O may the Lord stir us up to secret prayer! We have only got as much vital religion as we have of secret prayer, and where this is real, then public prayer will be real. "He will reward you openly." Your profiting in secret prayer will appear, appear unto those that hear in public. O how good it is when you can discern in public prayers the affect of secret exercise! "Draw me, we will run after Thee; the King hath brought me into His chambers." Another chamber is communion, communion of saints. He will make the house of God a chamber, and a chamber is a sanctuary. O those sacred chambers! Some of you have known what it is to sit and listen to the Gospel as though you were the only one in the Chapel, the truth has gone up and down in your soul, and you have felt the influence of the glorious Head of grace, even felt the contact between Him and yourself, your soul, in the pew. It has put the world out, it has given you, with Solomon to stamp this world with vanity. It has given you, with Solomon to view Him Whom your soul loves. Has this place been made a sanctuary, a chamber of the Lord, in your soul's experience? Well, you look at it, and lay your experience line by line by what we have feebly traced out, and if you can find it there, you will go to heaven. However great a sinner you are, you will go to heaven. "For greater is He that is in you, than he that is in the world." (1 John 4:4) And greater is His grace than your sin. Infallible is His sin-stoning blood. The infallibility of His blood is greater than the indelibility of the stains of sin. O this will draw, this will enlarge your heart, this will make you run after Him – it will indeed! And if in these things you hear His voice, "If ye love Me, keep My commandments." (John 14:15) If you don't love Me, don't keep them. Amen.
Evaluating Next-Generation Environmental Policy Tools: Adaptive Management in the Bureau of Land Management By Peter Brandenburg BA in Environmental Studies University California at Santa Cruz, 1992 Submitted to the Department of Urban Studies and Planning in partial fulfillment of the requirements for the degree of Master in City Planning at the MASSACHUSETTS INSTITUTE OF TECHNOLOGY June 2005 © 2005 Peter Brandenburg. All rights reserved. The author hereby grants to MIT permission to reproduce and to distribute publicly paper and electronic copies of this thesis document in whole or in part. Author Department of Urban Studies and Planning May 19, 2005 Certified by Professor Judith Layzer Department of Urban Studies and Planning Thesis Supervisor Accepted by Professor Dennis Frenchman Chair, MCP Committee Department of Urban Studies and Planning ROTCH The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper. 1. Demographic Data: This includes information such as age, gender, race/ethnicity, education level, income, employment status, and marital status. Demographic data can be used to identify trends and patterns in consumer behavior, which can help businesses make informed decisions about their marketing strategies. 2. Behavioral Data: This includes information such as website visits, search queries, social media interactions, and purchase history. Behavioral data can be used to understand how consumers interact with a brand and what factors influence their purchasing decisions. 3. Geospatial Data: This includes information such as location, time, and weather conditions. Geospatial data can be used to analyze consumer behavior in different regions and to predict future trends based on current data. 4. Sentiment Analysis: This involves analyzing the emotions expressed in text data, such as customer reviews or social media posts. Sentiment analysis can be used to gauge public opinion and to identify areas for improvement in a product or service. 5. Predictive Analytics: This involves using statistical models to forecast future trends based on historical data. Predictive analytics can be used to identify potential risks and opportunities, and to develop strategies for mitigating or capitalizing on these factors. 6. Big Data: This refers to the large volumes of data generated by modern technology, such as social media, online shopping, and mobile devices. Big data can be used to uncover new insights and to drive innovation in various industries. 7. Internet of Things (IoT): This involves connecting physical objects to the internet, allowing them to collect and transmit data. IoT data can be used to improve efficiency and productivity in various sectors, such as healthcare, manufacturing, and transportation. 8. Blockchain Technology: This involves using a decentralized digital ledger to record transactions and ensure transparency and security. Blockchain technology can be used to streamline supply chain management, reduce fraud, and enhance trust between parties. 9. Artificial Intelligence (AI): This involves using algorithms and machine learning techniques to automate tasks and make predictions. AI can be used to improve decision-making processes, enhance customer experiences, and drive innovation in various fields. 10. Natural Language Processing (NLP): This involves using computer programs to understand and interpret human language. NLP can be used to analyze customer feedback, detect sentiment, and generate personalized recommendations. These are just a few examples of the many types of data that can be collected and analyzed using the methods described in this paper. By leveraging these data sources, businesses can gain valuable insights into consumer behavior and make informed decisions to drive growth and success. ABSTRACT The U.S. Bureau of Land Management (BLM) has begun to embrace the concept adaptive management as an alternative to traditional natural resource planning and management models. Adaptive management may provide BLM managers with a means to evaluate the effectiveness of management actions, the flexibility to adjust actions that have not proved effective, opportunities for rapid learning relevant to improved management, and improved public support for resource management decisions. To realize these benefits, BLM must include two critical elements in its adaptive management strategies: 1) adaptive design of management objectives, actions, monitoring and evaluation protocols and 2) effective collaboration among BLM and interested stakeholders. I evaluate three case studies of BLM adaptive management and find that none of the cases have fully included the critical elements. While there are some encouraging signs, the cases collectively reveal several key shortcomings. The strategies have not capitalized on the potential to improve management through learning. Two cases illustrate the risk that adaptive management may be misapplied to remove requirements for predictive impact analysis and mitigation, putting resources at risk. The cases have not featured a joint fact finding collaborative structure to provide stakeholders with early and integrated roles in the adaptive management process. I also identify a number of institutional barriers that have prevented BLM from consistently including the critical elements. If BLM cannot remove these barriers by providing agency-wide policy and guidance for adaptive management, capacity building for local staff and stakeholders and adequately funded, binding implementation commitments, the agency will not realize the benefits it seeks and adaptive management will not represent a significant improvement to BLM’s practice of natural resource management. Thesis Supervisor: Judith Layzer Title: Assistant Professor of Environmental Policy # TABLE OF CONTENTS ABSTRACT ................................................................................................................................. 3 CHAPTER 1: Introduction ........................................................................................................... 7 Adaptive Management ........................................................................................................... 8 Adaptive Management and BLM ......................................................................................... 12 Methodology ....................................................................................................................... 17 Case Studies ....................................................................................................................... 18 CHAPTER 2: Critical Elements of Adaptive Management ..................................................... 21 Adaptive Design .................................................................................................................. 21 Effective Collaboration ...................................................................................................... 27 Critical Elements Summary ............................................................................................... 31 CHAPTER 3: Case Studies and Discussion – Adaptive Design ............................................. 33 Las Cienegas National Conservation Area ............................................................................ 33 Steens Mountain Cooperative Management and Protection Area .................................... 36 Pinedale Anticline Oil and Gas Exploration and Development Project ............................ 40 Discussion ......................................................................................................................... 44 CHAPTER 4: Case Studies and Discussion – Effective Collaboration .................................... 49 Las Cienegas National Conservation Area ............................................................................ 49 Steens Mountain Cooperative Management and Protection Area .................................... 52 Pinedale Anticline Oil and Gas Exploration and Development Project ............................ 55 Discussion ......................................................................................................................... 59 CHAPTER 5: Institutional Barriers and Implications .............................................................. 65 Agency-wide Policy and Guidance ..................................................................................... 65 Local Capacity Building .................................................................................................... 73 Binding Implementation ..................................................................................................... 76 Funding ............................................................................................................................. 80 CHAPTER 6: Conclusion .......................................................................................................... 83 Adaptive Design ................................................................................................................ 83 Effective Collaboration ...................................................................................................... 84 Institutional Barriers and Implications ............................................................................... 85 REFERENCES ....................................................................................................................... 89 APPENDIX A: Additional Background on Case Studies ....................................................... 95 6 CHAPTER 1: Introduction The Bureau of Land Management (BLM) has recently begun exploring, and in some cases implementing, adaptive management to address complex and challenging resource management decisions. The agency hopes adaptive management will allow it to acknowledge uncertainties surrounding the functioning of natural and other systems and what constitutes the “best” management actions, yet proceed with conservation and development projects based on current understanding of the systems. Monitoring of results and impacts of the projects would allow BLM to evaluate the effectiveness of management actions and, if necessary, rapidly adjust management to a set of actions that better meets the agency’s management objectives. This process of learning and refinement could, if implemented properly, ultimately produce policy and management outcomes that come closer to meeting resource management goals. By providing a role for stakeholders in defining goals, management actions and other stages of the adaptive management process, BLM also hopes to generate public support for management decisions. The thesis presents two broadly defined elements critical to successful adaptive management projects: adaptive design and effective collaboration. I evaluate three current BLM efforts to implement adaptive management – on the Las Cienegas National Conservation Area, Steens Mountain Cooperative Management and Protection Area and in the Pinedale Anticline Oil and Gas Exploration and Development project – and find that they have inconsistently included the critical elements. I identify a number of institutional barriers that have led to the shortcomings in the studied cases. If BLM cannot overcome these barriers by providing the necessary policy and guidance, capacity building and funded, binding implementation commitments, the agency will not realize the desired benefits and adaptive management will not represent a significant improvement to BLM’s natural resource management practice. Adaptive Management According to leading agency practitioner of the technique, the British Columbia (Canada) Ministry of Forests, “Adaptive management is a systematic process for continually improving management policies and practices by learning from the outcomes of operational programs” (Nyberg 1999). Walters and Holling summarize it even more concisely as, “Learning by doing” (Walters and Holling 1990). There are several points common to nearly all definitions of adaptive management: Resource managers and scientists do not and probably never will have complete knowledge of how natural systems function and how various management actions will affect those systems (Holling 1978, Walters 1986, Lee 1993). Adaptive management offers a way to move forward with resource management in the face of these uncertainties based on our current understanding of systems and interactions (Walters 1986, Lee 1999). By iteratively designing, implementing, monitoring and evaluating management actions, we can learn about the interactions among management and natural systems, gradually resolve some uncertainties and feed the acquired knowledge back into the process to develop policy and management options that better meet whatever goals have been defined by government and society (Holling 1978, Walters 1986, Lee 1993). Figure 1 graphically illustrates the iterative process of adaptive management. Adaptive Management was originally conceived by C.S. Holling and others at the University of British Columbia in the late 1960s. To these resource ecologists, adaptive management represented an exciting new tool for testing hypotheses and assumptions about complex natural systems and learning how human interventions affected these systems. By combining management programs and research efforts, early proponents of adaptive management could account for the fact that many ecosystem functions are unique to the specific systems being studied (Walters 1986). Research emerging from actual management was genuinely representative of the systems being managed and directly relevant to its application in improving future management. Further, adaptive management allowed for the design of experiments with a scope and scale impossible in the laboratory or small experimental plot (Holling 1978). Much of the literature on adaptive management focuses on applying management for research purposes. Ecologists describe in great detail a scientific method for defining uncertainties, developing hypotheses that might account for the uncertainties, using the hypotheses as a basis for elaborate models of ecosystem function and, finally, designing a range of management actions – experiments – for the purpose of testing the hypotheses, validating the models and developing new knowledge as a basis for improving management (Holling 1978, Walters 1986, Walters and Holling 1990). The most valuable management experiments for learning are what Walters calls “disruptive probes” – “any change in management tactics deliberately intended to produce an informative response” (Walters 1986). A number of different probes may be implemented to test alternative hypotheses and models and to provide replication and controls for the experiment (Walters 1986, Lee 1993). This type of experimental program, designed to maximize learning, where multiple hypotheses and management actions are evaluated, is usually referred to as “active” adaptive management (Walters and Holling 1990). An oft-cited example is underway on the Colorado River at the Glen Canyon Dam. There a working group is testing a variety of hypotheses about how flow regimes affect fish habitat, recreation and other values (Meffe et al 2002, Lenard 2004). Despite the focus on designing management experiments for maximum learning value, the literature of adaptive management also recognizes the need to balance research with more immediate management imperatives (Walters 1986, Lee 1993). Resource managers’ interest in resolving scientific uncertainties generally only extends as far as the new knowledge will help them meet their management goals and responsibilities which may include providing a stream of commodities for economic use, protecting endangered species, minimizing risk from natural hazards, ensuring compliance with laws and regulations, and responding to politicians and the public. These mandates can lead to lead managers to adopt a more conservative approach in which they avoid risky, large-scale management experiments that might compromise their ability to meet their objectives in the short term and be difficult to sustain over the necessary long term (Walters 1986). Where management imperatives constrain research design, adaptive management plans are usually "passive." Here, scientists and manager effectively select a single most plausible hypothesis and system model, assume its validity, and implement management actions expected to meet management objectives while testing the underlying hypotheses about system response (Walters and Holling 1990). In the Florida Everglades, it is assumed that engineering a water flow regime that resembles historic natural flows will improve wading bird habitat. Implementation and monitoring and evaluation will test this assumption. Managers contend that more "disruptive probing" of alternate hypotheses could pose an unacceptable risk to protected wildlife populations and would disrupt the human communities and economies of South Florida (Gunderson 1999, Walters 1997, Light et al. 1995). The accumulated weight of various non-scientific management imperatives and constraints has meant that the majority of adaptive management efforts to date have been passive. Learning about ecosystems has real value only if the new knowledge eventually improves the ability to meet management goals and objectives (Walters 1986). Though scientists may have a longer-term perspective and managers a more immediate concern, both share the same overall goal in an adaptive management process: to improve the effectiveness of resource management efforts and the ability of managers to meet their objectives. Adaptive management actually provides a way of mitigating the tension between perspectives (Walters 1986). By working directly with managers, scientists are able to consider the applied utility of their research and better understand when, where, why and how their expertise can assist in developing better management strategies. Managers, in turn, are forced to acknowledge scientific uncertainties, the fact that neither they nor anyone else knows exactly what the "best" management strategies are, and that without a structured learning process, better strategies will evolve much more slowly. and only by luck and inefficient trial and error (Walters 1986, Lee 1993, Meffe et al 2002, Holling 1995, Gunderson et al. 1995). Adaptive management is a tool for improving the ability to meet goals. It could be employed to protect the environment, maximize commodity production, manage for economic or social outcomes, or achieve a certain balance among different priorities. Along with mechanisms to meet goals and objectives, adaptive strategies for managing public resources must be include a comprehensive process for defining those goals and objectives that accounts for the legitimate interests of stakeholders and generates public support for management decisions. In the following chapters I explore the processes for defining and managing for resource management goals. Adaptive Management and BLM The Bureau of Land Management is among the public agencies that have begun to plan for and implement adaptive management. Within the United States Department of the Interior, BLM is responsible for 261 million acres of public land, primarily in the Western United States. These lands, amounting to approximately one-eighth of the area of the nation, include extensive rangeland and desert ecosystems as well as forests, high alpine, riparian and arctic resources. BLM also manages the subsurface mineral resources underlying an additional roughly 300 million acres. Like most federal resource agencies, BLM has a multiple-use mandate to exercise responsible stewardship and conservation of the natural and cultural resources under its control, provide a supply of commodities such as oil and gas, timber and grazing land for the nation’s economy and provide access and recreational opportunities on public lands. Over the years, persistent controversy has surrounded BLM’s efforts to balance these priorities. Attracted by a potential for achieving its management objectives more effectively and efficiently, BLM has recently begun to implement adaptive management in a number of planning and management efforts characterized by high levels of uncertainty and public interest. BLM, joined by the Department of Interior, White House Council on Environmental Quality (CEQ) and other government entities, considers adaptive management to be part of a larger toolkit of “next-generation” environmental decision-making methods that are based on sound science and collaboration among stakeholders and government, are flexible and multi-disciplinary, often over entire-ecosystem scales, and integrate social and economic concerns along with environmental values (USIECR 2001, CEQ 2003, DOI 2004). BLM has referenced a two-page Department of Interior (DOI) policy memo in most of its discussions of the adaptive management. The memo offers a decidedly passive definition of the approach, seemingly tailored for agencies dominated by resource managers rather than research ecologists: “A system of management practices based on clearly identified outcomes, monitoring to determine if management actions are meeting outcomes, and, if not, facilitating management changes that will best ensure that outcomes are met or to re-evaluate the outcomes” (DOI 2003b). Adaptive management is applied to BLM lands and resources through the land use planning process. Land use plans, while not specifying every management action, form the basis for every action undertaken or permitted by BLM on public lands. The principles and processes of land use planning are dictated primarily by two federal laws. The Federal Land Policy and Management Act (FLPMA) requires that land use plans be prepared and that management be guided by the multiple-use and sustained yield concept, protecting environmental and cultural resources and providing for commodity production and public access. The National Environmental Policy Act (NEPA) requires that the environmental impacts of all federal actions be considered and minimized where possible. Regulations implementing FLPMA and NEPA lay out a series of required process steps for preparing land use plans and environmental impact documentation. In practice, these steps are combined so that a single process yields a land use plan that also provides NEPA compliance. This process is referred to here as the “NEPA/Planning” process. Resource Management Plans (RMP) are the top-level land use plans for each BLM Resource Area, typically multi-million acre tracts with diverse landscapes, habitats and uses. Under the framework of the RMP, further specificity on management actions and geographic scale is provided in project-specific implementation plans. Most of BLM’s experience with, and documentation of, adaptive management has been in preparing and implementing these land use plans. BLM’s land use planning regulations describe a hierarchy of required planning decisions where specific goals and objectives must outline desired outcomes and subsequent management actions to achieve those goals and objectives are identified (BLM 2005). Below is a simplified and hypothetical example of this planning model (in practice, most goals will have multiple associated objectives and objectives will call for numerous management actions): Goal: Manage to increase the desert tortoise population; Objective: Increase the number of tortoise breeding pairs by 10% within 3 years; Management action: Limit off-highway vehicle use to existing routes in critical tortoise habitat areas. BLM adaptive management efforts have built upon this planning model and map closely to the DOI policy definition, establishing a process for evaluating the effectiveness of management actions in achieving the plan’s goals and objectives and adjusting the management actions if they are found to be ineffective. The hypothetical tortoise example and the basic adaptive management framework illustrated in Figure 1 are generally representative of typical BLM adaptive management efforts: 1. Assess problem: Establish goals and objectives relative to desert tortoise; 2. Design: Develop management actions predicted to meet goals and objectives, including, “No designation of new off-highway vehicle routes in critical tortoise habitat areas;” 3. Implement: Enforce OHV restrictions in tortoise habitat; 4. Monitor: Document any change in number of tortoise breeding pairs; 5. Evaluate: What were the effects of OHV use on breeding pairs? Did management meet goals and objectives? 6. Adjust: If not, adjust OHV management actions, based on new information, to better meet goals and objectives. For BLM managers, the potential to act in the face of uncertainty (Lee 1993, Lee 1999, Lee and Lawrence 1986, Walters 1986), evaluate effectiveness, and rapidly adjust management actions in response to new information are key attractions of adaptive management (BLM 2003, Brandenburg 2005). Currently, NEPA, other planning requirements and associated litigation have resulted in decision-making processes taking so long that decisions and management actions may be obsolete before they are implemented. Monitoring plans, where they exist, are often inadequate to determine whether predicted outcomes have been realized and even minor adjustments to management can invoke a re-initiation of the full-blown NEPA and planning processes (USFS 2002). NEPA/Planning decisions that call for monitoring to validate impact predictions and evaluate the effectiveness of management actions and enable efficient adjustments may represent solutions to what the U.S. Forest Service has termed a “process predicament.” Consistent with an increasing emphasis on collaborative resource planning and management, adaptive management is seen by BLM as a process that can generate public support for agency decisions by facilitating participation of affected agencies and stakeholders (BLM 2003, DOI 2004). While the earlier, conceptual literature does not include stakeholder participation as an important definitional element of adaptive management, more recent work focusing on implementation or evaluation of adaptive management has called for varying degrees and forms of collaborative process as requirements for defining management goals and objectives and maintaining a durable, publicly-supported adaptive management program (Lee 1993, Lee 1999, Margoluis and Salafsky 1998, McClain and Lee 1996, Norton and Steinmann 2001, Shindler and Cheek 1999, Shindler et. al. 1999). Generally speaking, collaboration is seen by current DOI policy as necessary for dealing with complex resource decisions of large scale and scope that will impact the livelihoods of large numbers of people. BLM realizes that much of its process predicament is the result of conflict among stakeholders and that any solution will require mitigating that conflict and building support for agency decisions. A number of adaptive management efforts are underway on BLM lands. The efforts hope to capture the benefits outlined above – timely action despite uncertainty, the ability to evaluate the effectiveness of management actions and make adjustments rapidly in response to new information and durable, supported decisions – to better meet management goals and objectives and fulfill the agency’s multiple-use mission. Even the passive versions of adaptive management articulated by BLM have the potential to provide the hoped-for benefits and to ultimately provide better environmental, social and economic outcomes. Adaptive management is a long-term process and a new concept for BLM and agency efforts, including the cases studied here, are still in the relatively early stages. They have written plans and implemented management actions and monitoring plans, but few, if any, have reached the “adjust” stage. My examination of the Las Cienegas National Conservation Area, the Steens Mountain Cooperative Management and Protection Area and the Pinedale Anticline Oil and Gas Exploration and Development project shows an inconsistent application of two critical adaptive management elements – adaptive design and effective collaboration – and a likelihood that the hoped-for benefits will not be realized. The risk is that adaptive management becomes either simply a method for monitoring the effectiveness of decisions and management, without a means for real learning and rapid improvement, or a convenient way for BLM to avoid making difficult decisions. However, there are lessons to be learned that may allow adaptive management to emerge as a prominent and effective decision-making and management tool for BLM. Methodology I evaluate three current BLM adaptive management efforts, individually and collectively, to determine whether and how two critical elements of adaptive management have been included in design and implementation and whether these efforts can be expected to provide an improved ability to meet short and long-term management goals, public support for decisions, or efficiency of process. I also identify a number of institutional barriers that prevent BLM from including the critical elements and offer some recommendations for overcoming those barriers. None of the adaptive management strategies have been in place long enough to have produced the results necessary to definitively evaluate these outcomes, though some outcome-related observations are made where possible. I collected data through interviews with BLM representatives and participating stakeholders involved in each project. Official and unpublished documents related to the projects, provided data as well. Case Studies The cases, three of BLM’s most comprehensive, well documented adaptive management efforts, were selected to illustrate a variety of settings and scenarios where BLM has determined that adaptive management is the favored approach. They are not intended to be a representative sample of all adaptive management practice within BLM. Additional background information on the cases is included in Appendix A. Las Cienegas National Conservation Area Located in the Sonoita Valley of southern Arizona, the 49,000 acres of Las Cienegas National Conservation Area (“Las Cienegas”) are managed under an RMP completed in 2003. The landscape is a high desert of rolling grasslands punctuated by important riparian areas and is home to outstanding natural, recreational, cultural and historic resources. The primary planning and management concerns on Las Cienegas are maintaining the health of the resources, providing appropriate public access, and ensuring the viability of traditional land uses. Stakeholders have been closely involved with the planning for Las Cienegas through the Sonoita Valley Planning Partnership (SVPP). Steens Mountain Cooperative Management and Protection Area The Steens Mountain Cooperative Management and Protection Area in southeastern Oregon (“Steens Mountain.”) approximately 430,000 acres, and the surrounding 1.2 million acre Andrews Management unit are managed together under an RMP approved in 2005. Steens Mountain itself is a 30 mile long fault-block mountain that rises from the surrounding sagebrush to near 10,000 feet. The area boasts outstanding scenic resources and hosts a diversity of ecological communities. There has been persistent conflict between local residents primarily concerned with maintaining ranching and other traditional uses on public lands and environmental interests who feel that the resources of Steens Mountain should receive greater protection. The federal legislation that designated the Cooperative Management and Protection Area also created the Steens Mountain Advisory Council (SMAC) to formally represent stakeholders, advise the BLM in managing the CMPA and promote “cooperative management.” Pinedale Anticline Oil and Gas Exploration and Development Project Pinedale, Wyoming sits in the Green River valley of western Wyoming. From just outside the city limits, the Pinedale Anticline, a geologic formation thought to contain at least 9 trillion cubic feet of natural gas, stretches south and east for 30 miles. The 197,000 acre project area also provides crucial habitat for important wildlife species and holds other valued natural, historic, scenic and recreational resources. In 1998, several oil and gas companies (“operators”) holding mineral rights for the area proposed to develop the natural gas resources on the Pinedale Anticline. BLM’s project plan for the Pinedale Anticline Oil and Gas Exploration and Development Project (“Pinedale Anticline project”), approved in 2000, permits up to 900 well pads and places a number of other conditions on the development intended to limit impacts to the surrounding resources. Local residents and environmental interests were strongly opposed to the project, due to the potential for negative impacts to the highly valued resources located, literally in some cases, right on their doorstep. A significant public participation component was included in the NEPA/Planning process and part of the adaptive management strategy is the establishment of a Pinedale Anticline Working Group (PAWG) of various local interests and oil and gas operators to advise and assist BLM. When the project plan was approved in 2000, one of the operators filed a lawsuit, challenging the authority of BLM to implement adaptive management and the PAWG structure, which delayed implementation of the strategy until mid-2004. Meanwhile, development of the natural gas resources on the Pinedale Anticline has proceeded at a pace more rapid than even the most aggressive estimates considered in the planning process. CHAPTER 2: Critical Elements of Adaptive Management Adaptive management, particularly with the scope of issues and the geographic scale common to BLM efforts, is a complex process. The work of scholars and agency practitioners has provided a wealth of advice on how adaptive management strategies should be designed and implemented. Drawing on this work, this chapter identifies two critical elements that must be included in adaptive management strategies for BLM to manage responsibly in the face of uncertainty, validly evaluate management actions, rapidly adjust in response to new information and produce durable, supported decisions. The critical elements are: - Adaptive design – to ensure that management actions are developed, monitored and evaluated to maximize the potential for effectiveness and learning; - Effective collaboration – to provide a shared vision of management goals and broad agreements on ongoing management decisions, ideally through a joint fact finding process; These elements do not amount to a comprehensive list of important adaptive management ingredients but represent the considerations most relevant and most critical to BLM’s application of the adaptive management concept. In this chapter I define the elements, outline the rationale for including them in adaptive management strategies, and discuss some of the risks of not including them. In later chapters I discuss the elements as applied to three cases and identify barriers that must be overcome for the elements to be included in future efforts. Adaptive Design Designing an effective adaptive management strategy requires thinking carefully about how information and uncertainty will be considered to shape management actions, monitoring plans and evaluation and response protocols that optimize the imperative of effectively meeting short-term goals and objectives with the imperative of developing new knowledge that can improve the effectiveness of future management efforts. Adaptive design describes the nature of the decisions and evaluations that need to be made to develop and implement an adaptive management strategy – what managers need to do to manage adaptively. Goals and objectives define what management is trying to achieve and guide the development of management actions, monitoring protocols, and the other components of adaptive design. Adaptive management plans need goals and objectives in the form of specific, measurable performance standards to serve as benchmarks for management. Returning to the desert tortoise example from Chapter 1, the objective to increase the number of breeding pairs by 10% might be difficult to measure and might later need to be adjusted to better meet the underlying goal of increasing the tortoise population, but it is a specific, measurable benchmark. As important as developing clear goals and objectives is an explicit identification and acknowledgement of the uncertainties that adaptive management must contend with – questions about how different elements of the managed systems interact and how the systems will respond to various management actions. Uncertainties are identified by synthesizing existing knowledge and seeing where the gaps in this knowledge are. The complexity of these systems and interactions will never be fully understood and modeled. The need to proceed with management despite these persistent uncertainties is a fundamental reason for pursuing an adaptive management strategy (Walters 1986, Lee 1993). To proceed in the face of uncertainty, actions must be based on informed hypotheses about how systems function and interact with management. Managers should use available scientific models and literature, baseline data and other predictions of management impacts and effectiveness to select actions considered most likely to meet goals and objectives. In the tortoise example, the decision to limit OHV use in critical habitat areas would follow an acknowledgement of the uncertainty surrounding how vehicle use impacts tortoise populations and would be the product of analysis of the best available knowledge on the subject and an informed hypothesis about what the impacts would likely be. This may seem to be an obvious point – that to act responsibly despite uncertainty, BLM should use the best available information to move forward with the best available management option – but critiques of adaptive management require an emphasis of the precautionary principle. Some feel that the identification of uncertainties may be used by BLM as a reason to defer difficult but important decisions on specific management actions (Brandenburg 2005a, 2005d, 2005e). A further fear is that adaptive management may be misapplied to forego careful analysis and allow industry and others unregulated use of public lands (CEQ 2003). The American Petroleum Institute has interpreted recent CEQ discussions of adaptive management as supporting a framework that would allow for permitting oil and gas drilling while deferring any determination of mitigation requirements until after monitoring results are available (Dragoo 2004). Clearly outlined uncertainties also suggest where opportunities for learning lie and allow for an adaptive design that can develop the new knowledge necessary for improving future management actions. Although unlikely to resolve all or even most uncertainty, even passive adaptive management actions designed to test hypotheses about system function can serve as the experiments envisioned by Holling and Walters (Bormann 1999). Actions that go beyond testing implicit hypotheses of simple effectiveness, such as “limiting OHV use will be effective to increase the number of tortoise breeding pairs,” to ask how and why limiting OHV use will effect the tortoise will yield the most useful new knowledge (Gunderson et al. 1995). Valuable management experiments may include replication, comparison of alternative treatments or other controls. Failure to integrate explicit hypothesis testing into adaptive management actions will retard the learning process, generate new knowledge only by trial and error, and compromise adaptive management’s potential to develop improved management more rapidly than traditional approaches (Walters 1986, Lee 1993, Gunderson et al. 1995, Meffe et al 2002). NEPA language and the DOI policy memo on adaptive management call, in general terms, for planning to recognize uncertainty. The NEPA/Planning process, however, has traditionally not emphasized an explicit identification of uncertainties and hypotheses in management design (DOI 2003b, BLM 2005). BLM land use planning regulations do require that decisions, in addition to defining goals and objectives, “must identify the actions anticipated to achieve desired outcomes,” and that these actions should be selected in the plan decision (BLM 2005). Planning documents for adaptive management strategies should outline specific actions that represent responsible, precautionary management in the face of identified uncertainties while providing opportunities for testing hypotheses and learning. All discussions of adaptive management recognize that monitoring is a cornerstone of the approach. Monitoring provides the information required for measuring success relative to goals and objectives and for improving future decisions (Hilborn and Sibert 1988, Margoluis and Salafsky 1998, Noss and Cooperrider 1994). BLM planning regulations require that all land use plans, including those with no adaptive management component, be monitored for implementation – whether management actions been implemented as planned – and effectiveness – whether actions have achieved plan goals and objectives (BLM 2005). Agency policy is generally silent on a third critical role of monitoring in adaptive management – enabling real learning from management experience. Monitoring needs to collect the data necessary to credibly test the hypotheses embedded in adaptive management actions. Monitoring implementation is a fairly straightforward task of maintaining progress reports. Gathering the information necessary to determine effectiveness is more difficult. Testing underlying hypotheses to develop new knowledge further adds to this challenge as “How?” and “Why?” are added to the basic question of whether management was successful. Designing a monitoring plan requires a refining of plan goals, objectives and uncertainties to select representative variables and specific indicators to actively monitor. Connecting cause (management action) to effect (change in indicator values) in complex real-world systems takes a considerable level of scientific rigor and requires careful consideration of factors such as frequency of monitoring, sampling design, availability of baseline data, who will monitor, consistency over time and data management (Dresler 2005). Inadequate monitoring plans risk collecting either unreliable, irrelevant or simply not enough data. Without strong monitoring plans managers will be unable to make the evaluations critical to the adaptive management cycle: how well management is working to meet planning goals and objectives and how it might be improved to better meet goals and objectives. A final ingredient in adaptive design is a clear and unambiguous protocol for evaluating monitoring data, determining whether management actions have met goals and objectives, and, if necessary, adjusting actions based on newly developed knowledge (Hilborn and Sibert 1988). Initial BLM discussions of adaptive management have described adjustments as being “triggered” if monitored indicators are not meeting the performance standards outlined in goals and objectives (BLM 2003, Lessard 1998). What sounds like a simple process will, when considering complex systems, rarely follow a simple “If A then B” logic. Interpreting monitoring data to determine if standards are met poses a difficult scientific and often subjective challenge (Ehrmann and Stinson 1999). Distilling new knowledge from the data and formulating an appropriate management response proves similarly complicated. For instance, sampling data on tortoise breeding pairs might yield competing interpretations of whether the population is actually increasing. Have we learned that OHV restrictions are effective in increasing the number of breeding pairs or is some other factor responsible for the increase? How, exactly, should OHV restrictions be adjusted, if at all? Exactly how these evaluations and decisions are attacked can vary. What is most important is that the adaptive management plan include a clear protocol outlining the approach: defining the performance standards, the frequency of evaluations, who will be involved, the range of potential management adjustments and other important details. BLM policy includes fairly detailed guidance on conducting periodic evaluations of the implementation and effectiveness of land use plans. The guidance, though not specific to adaptive management, covers several key points and can serve as a valuable starting point for developing the required evaluation protocols. In the next section I discuss the importance of involving stakeholders in evaluation decisions, through a collaborative joint fact finding arrangement. Adaptive design entails bringing scientific method and rigor to the process of designing management actions, monitoring plans and evaluation and response protocols. With careful analysis and evaluation of implementation and effectiveness, proper adaptive design increases the likelihood that management can accommodate persistent uncertainty yet be successful in meeting objectives. By asking, “What do we need to know, how do we frame the questions, what information do we need to answer and how will we go about answering,” adaptive design enables the learning necessary to rapidly improve management practices. Effective Collaboration Where adaptive design describes the necessary decisions and evaluations of adaptive management, the effective collaboration element describes how stakeholders should be involved in making those decisions and evaluations. In this section I outline a collaborative joint fact finding process in which stakeholders are identified and engaged, have an integral role in the adaptive management strategy, and are able to reach consensual agreements on the decisions and evaluations of adaptive management. This type of process is necessary to ensure that decisions account for the legitimate interests of stakeholders, tap the knowledge and experience of stakeholders, and are publicly supported and durable. BLM has embraced collaborative approaches to adaptive management, and resource management in general, for their potential to mitigate stakeholder conflict and generate public support for agency decisions. BLM hopes that this support will yield more efficient planning processes and a freedom from seemingly perpetual litigation. More fundamentally, the very definition of “resource management” implies that human interests will be at stake in these decisions (Walters 1986). Agencies such as BLM have been granted the authority to manage resources on behalf of the public, but stakeholders – members of the public – have a legitimate interest in, and should have a meaningful role in, making the decisions that guide management (Wondolleck and Yaffee 2000, Lee 1993). Effective collaboration is required for publicly supported decisions because those decisions always involve non-objective judgments that different stakeholders, with different values, will have different perspectives on (Lee 1993). Adaptive management strategies are full of such judgments. In the case of desert tortoise example, what are appropriate goals and objectives for tortoise management? Should management seek to maintain or expand the population? What is an appropriate timeline for meeting objectives? How should tortoise protection objectives be balanced with objectives to provide OHV recreation? Adaptive management’s acknowledgement of uncertainty and the need to proceed with management despite uncertainty make these judgments, including those seemingly based on scientific fact, even less objective and more difficult: What OHV management actions will best meet tortoise protection objectives? How much up-front analysis is enough to decide on a management action? What indicators should be monitored to measure effectiveness? What are breeding pair monitoring data telling us about actual population viability? What is appropriate OHV management response to a given evaluation of monitoring data? An effective collaboration process must go well beyond the standard NEPA “scope and comment” mode of public participation. Joint fact finding is a collaborative process designed for addressing this type of science-intensive non-objective decision and is the ideal means for enabling effective collaboration in adaptive management. In joint fact finding, stakeholders, decision makers and scientific experts are identified and engaged in a structured consensus building process that allows them to work directly with relevant scientific and technical information as well as their own interests and values to negotiate shared understandings on the issues underlying management decisions. From this basis of shared understanding, the parties move on to reach consensus on the actual management decisions. (Ehrmann and Stinson 1999, Ozawa and Susskind 1985, Susskind and Cruikshank 1987). By employing joint fact finding and providing stakeholders with an integral role in decision making, BLM can manage conflict and generate the series of agreements necessary for managing resources in the face of uncertainty. Effective collaboration must ensure that the full range of potentially affected stakeholders has an opportunity to participate in the process. BLM’s stakeholders might include local residents, representatives of local government, commercial or recreational users of public land, other agencies with an interest in management and local and national environmental interests. Regardless of the substantive issues, the simple fact of being left out of the process is a primary source of conflict and litigation in resource management (Susskind and Cruikshank 1987). Full participation will allow for consideration of the full range of issues that need to be addressed in designing goals, objectives and the other components of adaptive design. In joint fact finding, important stakeholders are identified through a conflict assessment, a canvassing of interests and issues that proactively determines which stakeholders should be involved and what the important management issues are (Susskind and Thomas-Larmer 1999). Unlike a simple open invitation to participate, a conflict assessment can identify stakeholders that might be reluctant to participate and determine what the conditions for their participation are. For collaboration to be effective, stakeholders and BLM staff must have the capacities to fulfill their roles (Margoluis and Salafsky 1998, Wondolleck and Yaffee 2000). The parties must understand the principles of adaptive management. An embrace of uncertainty and ongoing management flexibility will not come naturally to all parties and may pose a threat to some interests, such as commercial and environmental interests who have historically preferred regulatory certainty and guarantees of resource protection. Working directly with scientists and scientific data may be difficult for stakeholders without technical training. Finally, engaging productively with other stakeholders and working toward consensus-based agreements is more difficult than simply submitting comments under more traditional processes. BLM staff or an independent neutral party must exercise the capacity to effectively facilitate the process. One or more interests must not be allowed to dominate the process by effectively excluding others or due to superior capacity to participate. In empowering stakeholders as partners in decision making, BLM must retain its own role as the ultimate decision-making authority (Wondolleck and Yaffee 2000). By relying too much on outside interests for decision making or implementation, BLM risks undesirably or unlawfully and abdicating its responsibility to manage public resources (Coggins 1996, 2001, Singleton 2002). The nature of stakeholders’ and decision makers’ roles and responsibilities within the adaptive management process must be clearly defined (Norton and Steimmann 2001). BLM and stakeholders need to agree on and articulate exactly what questions stakeholders are expected to help answer and how their contributions will be integrated into the adaptive management plan (Lee 1999, Ehrmann and Stinson 1999, Ozawa and Susskind 1985). Stakeholders must be convened at the very beginning of the process, buy in to the adaptive management approach and develop a shared vision of the desired outcomes of management (Ehrmann and Stinson 1999, Shindler and Cheek 1999). This vision, in the form of goals and objectives (e.g. increase the number of tortoise breeding pairs by 10% within 3 years), is the basis for all of the subsequent stages of the adaptive design. Even with a clearly defined and shared vision for outcomes, continuing uncertainty and the ongoing cycle of non-objective, potentially controversial, evaluations and decisions (e.g. deciding how to manage OHV use to increase the number of breeding pairs and how to monitor OHV effects on breeding pairs, evaluating what monitoring results are telling us about OHV effects on breeding pairs, and deciding what to do in response), point to the need for an ongoing role for stakeholders in the process. Rather than providing for mere review of and comment on BLM decisions, joint fact finding involves stakeholders directly in the work of framing, researching, and making these evaluations and decisions. Stakeholders and BLM should work, in a consensus building process, to achieve agreements on each of the points of adaptive design, and document these agreements as the basis for official BLM adaptive management decisions. These agreements will allow adaptive management strategies to function efficiently, with public support, to design management actions, evaluate their effectiveness and develop and apply new knowledge to improved management (Shindler et. al. 1999). Where effective collaboration proves impossible, the greater adaptive management approach may also be unfeasible. Critical Elements Summary BLM has embraced the concept of adaptive management for its potential to improve upon traditional planning and management methods. Adaptive management promises an opportunity to learn from management experience, flexibility to adjust management actions rapidly in response to new information and durable, publicly-supported decisions. To capitalize on this potential, two critical elements – adaptive design and effective collaboration – must be included in BLM adaptive management strategies. I applied the following evaluation criteria to three case studies of BLM adaptive management to determine the presence or absence of the critical elements. Adaptive design is represented by: - Official planning documents with measurable goals and objectives, keyed to specific resource conditions, to serve as performance standards for what adaptive management is trying to achieve; - Written acknowledgement of the specific uncertainties that management must proceed in the face of and attempt to resolve; - Management actions designed to test underlying hypotheses and to develop new knowledge applicable to improving future management. These actions include comparison of alternative and control treatments, replication or other evidence of experimental design; • Adequate predictive analysis to select management actions hypothesized to be most effective meeting goals and objectives. Adequacy is determined by how specifically actions are outlined in planning documents and the depth of analysis as described in environmental impact statements and by BLM staff and stakeholders; • Monitoring plans likely to collect the information necessary to determine implementation, effectiveness and to develop new knowledge; Adequate monitoring plans are based on peer-reviewed scientific methods or are being developed in consultation with scientific experts. Plans must include detailed protocols for data collection; • Clearly defined, written evaluation and response protocols that describe the process for interpreting monitoring data, determining implementation and effectiveness, distilling new knowledge and deciding whether and what adjustment is warranted. Effective Collaboration is represented by a joint fact finding or similar approach that includes: • Participation from the full range of affected stakeholders. This is indicated by an absence of any claims of exclusion from the process, BLM staff or stakeholder comments that all important interests are participating, or strategies’ having included a formal conflict assessment; • Capacities, among stakeholders and BLM staff, to work collaboratively toward agreements on science-intensive issues. Adequate capacities are indicated by documented agreements or progress toward agreements within a consensus building process and productive work with scientists and scientific information. • A clearly defined, early and ongoing role for stakeholders in the adaptive management process, intended to produce documented agreements integral to the design and implementation of adaptive management; Adaptive design is the planning work of applying information – existing knowledge and uncertainty – to shape goals and objectives, management actions, monitoring plans and evaluation and response protocols that meet both the short-term imperative of achieving effectiveness and the longer-term imperative of learning. In this chapter I explore how the three BLM cases have or have not included an adequate adaptive design in their adaptive management strategies. Collectively, the cases are found to have adaptive designs that may be sufficient for evaluating the effectiveness of management actions but that sacrifice much of adaptive management’s potential for learning and rapid development of more effective actions. There is also the risk that adaptive management may be misapplied to avoid making important decisions or to forgo some of the important up-front work of analyzing proposed management actions prior to their implementation. Las Cienegas National Conservation Area The Las Cienegas strategy has the best adaptive design of the three cases. Still, it does not capitalize fully on the learning potential of adaptive management. The Las Cienegas RMP lists goals related to particular resource classes along with specific objectives under each goal. Goals concern upland, riparian and aquatic habitats, fish and wildlife management, cultural resource management, recreation management and visual resource management. Associated objectives are specific, usually quantifiable standards such as, “Maintaining ground cover and protective roots on over 90% of upper and lower valley bottom stream banks” (BLM 2003a). The goals and objectives in the Las Cienegas RMP represent detailed and tangible benchmarks that should serve as an excellent basis for selecting, monitoring and evaluating actions under the adaptive management strategy. The RMP goes on to prescribe a detailed set of management actions intended to achieve the desired future conditions and meet the goals and objectives. Specific actions such as, “Organized groups will not be permitted to access areas with nesting Southwestern willow flycatchers during the breeding season” (BLM 2003a) were designed to meet goals and objectives after a hard, predictive look at existing monitoring data and research findings that were relatively plentiful for the Las Cienegas area (Brandenburg 2005b). The RMP, however, does not describe the management actions’ potential to serve as experiments and generate learning. While BLM has recognized that uncertainty is the fundamental reason for an adaptive strategy (Brandenburg 2005b), nowhere in the RMP are particular uncertainties acknowledged or testable hypotheses identified (BLM 2003a). At the implementation level, planning has more directly acknowledged uncertainty and the value of management experiments for learning. Vegetation management projects to improve grassland habitat are being implemented with alternate treatments and controls to test hypotheses about the value of mesquite control for habitat quality and how systems respond to different management techniques (Brandenburg 2005b). BLM and SVPP are working to establish, or in some cases already have established, monitoring programs for the resource groups on Las Cienegas: aquatic habitats, riparian areas, upland vegetation, water quantity, threatened and endangered species, native fish, wildlife and visitor use and impacts. A partnership is also in place with the National Park Service’s Vital Signs Monitoring Network to look at resource trends over the larger Sonoran Desert region. Much of the work on monitoring plans focuses on the need to link cause and effect for credible evaluations of management actions (Brandenburg 2005b). In most cases, peer-reviewed scientific protocols are being customized to map more directly to the specific standards set by the RMP’s goals and objectives and the implicitly hypothesized effects of the selected management actions (BLM 2003a). Work on the monitoring plans has included the development of protocols for evaluating the collected data – what findings should be made, how often and who will be involved. In most cases, BLM’s technical team of agency resource specialists and consulting scientists will take the lead on evaluating the data, then present preliminary findings to BLM and SVPP. All three groups will then jointly determine what, if any, adjustments to management actions and monitoring plans are necessary (Brandenburg 2005b). In the case of grazing management, BLM has continued and refined a successful monitoring, evaluation and response system that was pioneered by a local rancher several years ago. Guided by the RMP’s rangeland health standards and associated monitoring, ranchers, BLM’s Rangeland Resource Team and any other interested parties review grazing practices twice a year and suggest changes to grazing regulations as well as the ranchers’ discretionary practices (BLM 2003a, Brandenburg 2005b). Finally, BLM has partnered with The Nature Conservancy to synthesize, from monitoring data, a “state of Las Cienegas” report from that will complement the resource-specific programs to make evaluations and suggest adjustments at a whole-ecosystem scale (Brandenburg 2005b). With an emphasis on learning and a scientific method, the definition of adaptive management contained in the Las Cienegas RMP mirrors the concept of adaptive design developed here and in the more scientifically-oriented literature on adaptive management: Adaptive management is a formal, systematic, and rigorous approach to learning from the outcomes of management actions, accommodating change and improving management. It involves synthesizing existing knowledge, exploring alternative actions and making explicit forecasts about their outcomes. Management actions and monitoring programs are carefully designed to generate reliable feedback and clarify the reasons underlying outcomes. Actions and objectives are then adjusted based on this feedback and improved understanding. The program put in place at Las Cienegas exhibits a good adaptive design that meets most of these criteria, with detailed and measurable goals and objectives, specific management actions that have been carefully designed, based on current understanding, monitoring plans with good potential to enable credible evaluations and defined evaluation and response protocols. The design outlined in the RMP, however, appears to fall short of a “systematic and rigorous approach to learning.” Implementation-level planning for vegetation management has shown a more explicit identification of uncertainties and inclusion of hypothesis testing. Future implementation of management actions that follows this lead will capitalize on the learning potential of adaptive management and yield better management more rapidly. Steens Mountain Cooperative Management and Protection Area The components of adaptive design are only vaguely outlined in the Steens Mountain planning documents. Rather than recognizing the need to proceed responsibly in spite of uncertainty, BLM’s response to uncertainty in this case has been to defer the design and analysis of specific management actions. Monitoring, evaluation and response protocols are also underdeveloped. The Steens Mountain RMP identifies desired outcome-based goals and objectives for management of 24 different resource classes. Generally not as specific as those in the Las Cienegas plan, the Steens Mountain goals and objectives are only vaguely measurable. Objectives to “limit” erosion rates or “improve” water quality can not, without further clarification, serve as adequate performance standards in an adaptive design. Many of the goals were dictated or influenced by the legislation designating the Cooperative Management and Protection Area and the contentious process that led to the legislation (BLM 2004). As a result, the individual goals and objectives often reflect competing priorities and, taken together, may come into conflict. They do not represent a consistent overall vision for adaptively managing. Management actions prescribed under each objective are actions only in a general sense. There is very little specificity on what BLM intends to do to meet the goals and objectives. For example, under the objective of, “Achieve or maintain a rating of PFC (proper functioning condition) for perennial and intermittent flowing and standing waterbodies…,” the associated action is, “Management prescriptions would be implemented or continued at the activity plan level designed to maintain, restore, or improve specific attributes of riparian/wetland areas to maintain or progress toward attainment of PFC.” Other objectives rely on the implementation of current or prevailing Best Management Practices (BMP), but without any explanation of what the BMPs actually are (BLM 2004, Brandenburg 2005c). This lack of specificity for management actions is a part of BLM’s adaptive management strategy aimed at retaining flexibility (Brandenburg 2005c). As demonstrated by the prescription for waterbodies above, BLM’s plan is to defer the work of designing specific management actions and forecasting their effects until the implementation-planning stage. Some stakeholders, particularly environmental groups, have questioned this strategy and the RMP’s ultimate value, “Rather than make these required determinations in the RMP, the BLM relies upon the land use planning theory of ‘adaptive management’ to put off any real decision-making in the plan, including an assessment of areas suitable and/or “chiefly valuable” for livestock grazing” (ONDA 2004). Where BLM has specified actions in implementation plans, such as in a plan for a restoration project to remove invasive juniper from a grassland system, they have been likewise been accused of not applying the best available existing knowledge to design actions and analyze impacts (ONDA 2005). Implementation planning for the juniper removal project, however, has included identification of uncertainties and hypotheses about how different vegetation treatments will affect the grassland ecosystem. It has been planned with alternative treatments and controls which should make it a valuable experiment for developing new knowledge (Brandenburg 2005c). In this case there is an evident tension between different sources of knowledge – predictive analysis and learning from experience. The RMP’s lack of specificity certainly implies uncertainty – that BLM does not know exactly what to do to achieve goals and objectives. The “Environmental Consequences” chapter of the RMP includes an “Assumptions” section for each resource class which makes some general statements about how potential management actions might affect resources. This would be ideal place for the RMP to identify the specific underlying uncertainties – the reasons why BLM does not know what to do. While this would not necessarily enhance the short-term effectiveness of subsequent actions, it would help justify the adaptive approach and create a framework for building learning opportunities into those actions. Unfortunately there is no discussion of these uncertainties (BLM 2004). Monitoring plans for Steens Mountain, like Las Cienegas, are organized by resource class. At the time of the RMP approval, monitoring plans for some resources, such as cryptogamic soils, were complete and, by outlining protocols and integrating existing science, showed some promise for collecting the data necessary for evaluations. Others were still being developed, often in the context of a project implementation plan, such as plans for monitoring grassland habitat and juniper invasion. Several monitoring plans identified in the RMP, such as for off-highway vehicle use and impacts, did not exist in any form (BLM 2004, Brandenburg 2005c). Evaluation and response protocols were in a similar state. Aside from the overall periodic plan evaluation called for by BLM regulations, the only thresholds or evaluation protocols were those contained in the completed monitoring plans. This lack of consistency and rigor in monitoring, evaluation and response protocols has led to concerns among stakeholders that credible evaluations and adjustment decisions may not be possible for some resources (Brandenburg 2005d). The Steens Mountain RMP is missing many of the ingredients of adaptive design. While focusing on generally-defined desired outcomes at the RMP level and dealing with the specifics of uncertainties, management actions, monitoring and evaluation at the implementation-plan level may be permissible under BLM planning guidance, it represents an undesirable deferring of important decisions and on-the-ground action. One of the advantages of adaptive management, after all, is the ability to move forward with management despite uncertainty. Just because BLM does not know what will work does not mean the agency should not do what it thinks will work. Concerns have been raised at Steens Mountain that adaptive management and the idea of learning by doing may be used as excuses to avoid doing the up-front work of applying the best available existing knowledge to the design of management actions. By not laying out the full adaptive design framework in the RMP, where people can see and understand it all in one document, BLM may be contributing to confusion about how adaptive management is intended to work. Pinedale Anticline Oil and Gas Exploration and Development Project The rapid pace and significant impacts of energy development on the Pinedale Anticline, combined with a four-year delay in implementing the adaptive management strategy, have challenged the project’s adaptive design. Although it shows promise, the Pinedale adaptive design, like the other cases, does not capture the full potential of adaptive management for learning from management experiments. There is also a concern that pressures for increased energy production will result in inadequate predictive analysis of proposed actions. The goals and objectives included in the Record of Decision for the Pinedale Anticline project are specific to the various resources of concern and are mostly oriented toward protecting the integrity of those resources while allowing exploitation of the gas resource in accordance with the operators’ valid existing rights (BLM 2000). Most of the goals and objectives include measurable performance standards which should be an adequate basis for managing adaptively. Others are less quantifiable and require additional refinement. A key factor in BLM’s decision to build adaptive management into the project plan was the extraordinary level of uncertainty surrounding the project. Uncertainty surrounding the extent of impacts was compounded by several underlying uncertainties: How much gas is actually present in the reserve? How many wells will be required to exploit it? How rapidly will the field be developed? Will new drilling and mitigation techniques be applied and effective? Was new federal policy on energy development or land management forthcoming? None of these things are in BLM’s power to control through the NEPA/Planning process. Nevertheless, a plan was urgently needed and the ability to rapidly adjust those things that BLM can control may provide a means for meeting goals and objectives in the face of this uncertainty. The project plan’s alternatives analysis acknowledged these basic uncertainties by using a “three-dimensional matrix” that analyzed alternatives under each of several possible development scenarios (BLM 2000). The Pinedale Anticline plan represented the best acknowledgement of uncertainty of the three cases. The uncertainty discussion, however, is limited mostly to questions of how development will proceed and is not specific on how development and BLM actions might impact resources and how management should accommodate or resolve those uncertainties. Like the goals and objectives, the management actions identified in the project plan relate to bounding the operators rights to develop the gas field in order to protect the various resources in and around the project area. The referenced actions are quite specific and range from fundamental conditions such as the number of well pads and drill holes that will be permitted, to BLM’s package of “standard stipulations” for individual well pads, including prohibitions against surface infrastructure within 500 feet of water resources and or riparian areas or within 1/4 mile of an occupied dwelling, to additional mitigation measures tailored to protect the unique resources of the project area, such as seasonal drilling restrictions to protect wildlife (BLM 2000). The selected management actions collectively represented the “Resource Protection” alternative in the NEPA/Planning process, expected to provide the highest level of protection among the alternatives analyzed. BLM’s analysis of predicted impacts was extensive, as is typical for energy development projects where widespread impacts are virtually guaranteed (BLM 2000, Brandenburg 2005e). While specific and well-researched, the actions outlined in the project plan are not framed as management experiments, with specific testable hypotheses or other features of experimental design (BLM 2000). A recent proposal to adjust management, approved in late 2004, illustrates the challenge of designing actions under an adaptive management framework. One of the operators on the Pinedale Anticline approached BLM with a proposal to remove the restriction on wintertime exploratory drilling operations. The “no winter drilling” stipulation was intended to minimize impacts to mule deer on their crucial winter range. However, the year-round drilling proposal had the potential to significantly reduce other resource impacts by reducing the total number of surface-disturbing well pads and duration of drilling required to recover the gas resource and by eliminating 25,000 truck trips per year. The proposal was also framed by the operator as a management experiment – despite uncertainty, management could proceed and would yield important information about mule deer wintering and the impacts of development (Questar 2004). Some environmental interests did not support the proposal or BLM’s approval. Experimenting on crucial winter range of one of the world’s most significant mule deer herds was seen as too risky and inconsistent with the precautionary nature of the resource protection alternative selected in the project plan. Further, they argued that the proposal and decision did not adequately consider existing scientific research on winter range issues (Brandenburg 2005f). Here again is the tension between relying on existing knowledge and predictions and learning from experience. Owing to the lawsuit and delayed implementation of adaptive management, the year-round drilling decision was made before a fully-fledged adaptive design was in place. A more mature adaptive design might have more clearly identified the existing knowledge and remaining uncertainty regarding winter range. The proposal could then have fully utilized existing knowledge and served as an experiment to address the uncertainty. Stakeholder conflict might have been avoided as well. Monitoring plans and evaluation and response protocols were not completed prior to the approval of the project plan. Following approval, the Pinedale Anticline Working Group and affiliated task groups worked for approximately six months to develop monitoring plans based on plan goals and objectives before the process was halted in 2001. A Department of Justice opinion related to the lawsuit determined that the PAWG had been convened in violation of the Federal Advisory Committee Act (FACA) and dictated that all of the PAWG’s work be thrown out. Aside from limited monitoring for wildlife and surface water, required by sections of the plan that were not subject to the lawsuit, no monitoring has been done in the interim. Since mid-2004 the reconstituted PAWG has formed task groups to redevelop monitoring and evaluation protocols for seven resource themes: reclamation, wilderness, water resources, transportation, cultural/historical/visual resources, socioeconomic impacts, and air quality. Some of the protocols have been completed and will be implemented for the 2005 drilling season, while others are not expected to be ready until 2006 or 2007. Notwithstanding the four-year delay, the monitoring plans appear to have the scientific rigor necessary to enable credible evaluation of management actions and include the procedural steps for collecting data (Brandenburg 2005e, 2005f). Specifically targeted objectives, uncertainties, actions, monitoring and evaluations create the credible links in an adaptive management cycle. As an implementation-level plan focused on one overriding management issue, the Pinedale Anticline project is afforded greater specificity on all of these points and is, after four year delay, beginning to yield a good, if not ideal, adaptive design. Circumstances on the Pinedale Anticline, however, have dealt this adaptive design a stiff challenge. Energy development in this case poses significant threats to highly valued resources and the development’s unmonitored, four-year head start may have already precluded some of the objectives adaptive management hopes to achieve. Monitoring, evaluations and responses, once they are implemented, may not be able to “keep up” with the rapid pace of development. The example of the year-round drilling proposal illustrates how an inadequate adaptive design can put important resources at risk, either by not applying the available existing knowledge to selecting management actions or by failing to adequately monitor and evaluate actions for effectiveness and learning. Discussion My review of adaptive design factors in the three cases yields encouraging signs that adaptive management may improve BLM’s ability to evaluate the effectiveness of implemented management actions. The cases show widespread, if not universal, evidence of goals and objectives with measurable performance standards, adequate up-front analysis of proposed actions with existing information and rigorous, specific monitoring, evaluation and response protocols. Two concerns, however, may compromise adaptive management’s ability to provide better management in these cases, and should likewise be considered in the design of future BLM adaptive management efforts. First, the cases have not fully capitalized on adaptive management’s potential to provide learning about managed systems and how management actions interact with those systems. Not only does adaptive management provide an opportunity for developing new knowledge by learning from experience, but it also promises that learning can happen more rapidly, with less cost and with greater relevance to management, when compared to commissioning traditional research (Holling 1978). Scientific analysis in the NEPA/planning process has traditionally been limited to predictions of impact for different management alternatives, usually with little or no acknowledgement of their uncertainty. All three of the cases reflect a reliance on this typical mode of analysis (BLM 2000, 2003a, 2004, Brandenburg 2005 b, 2005c, 2005e) Had BLM supplemented this typical upfront work to include explicit identification of uncertainties and an integration of hypothesis testing along with the projects’ more promising components, these adaptive designs would have provided a stronger basis for learning and developing new knowledge. As uncertainties are identified in only the broadest terms, in the appendices and introductory remarks of the planning documents for these projects, the management actions prescribed in the plans are apparently not intended to serve as experimental “probes” that can attack uncertainties and quickly develop new knowledge directly applicable to improved management decisions. At the implementation level, several examples of specific actions, including vegetation management on Las Cienegas and Steens Mountain and the year-round drilling proposal on the Pinedale Anticline, have demonstrated aspects of experimental design that should yield useful learning. However, it is unclear exactly what uncertainties are being targeted and what hypotheses are being tested, as this context is not provided in an adaptive design in the RMPs or project plan. There is also a risk that adaptive management’s emphasis on experiential learning may lead BLM to forego the up-front work of clearly defining management actions and carefully predicting their effects. In the Las Cienegas and Pinedale Anticline cases, the use of predictive impact analyses to select management actions was generally well demonstrated. Steens Mountain and the Pinedale Anticline winter drilling proposal show cause for concern. While the case studies did not reveal evidence of a widespread deficiency, it is interesting to note that some of the same examples of implemented actions cited above – vegetation management on Steens Mountain and the year-round drilling on the Pinedale Anticline – have generated criticism among stakeholders about inadequate analysis of existing knowledge and predicted impacts. The fact that operators developed the proposed winter drilling action is also cause for concern, given the oil and gas industry interpretation of adaptive management, that would eliminate some or all up-front analysis in favor of experiential learning. A failure to consider the best available existing knowledge in designing management actions may put important resources such as mule deer winter range or grassland habitat at unnecessary risk in the short term. Retaining the practice of carefully analyzing existing information will provide greater confidence in the initially selected actions and a safer “fall back” in the event that, for any reason, monitoring, evaluation and response protocols are unable to validate the effectiveness of management and suggest adjustments. There is widespread interest in streamlining the NEPA/Planning process by reducing the amount of time, effort and money it takes to reach decisions and implement management on the ground (CEQ 2003). It is unrealistic to expect a well-designed adaptive management strategy to provide this planning efficiency through a reduced need for predictive analysis. The potential of adaptive design for enhancing BLM’s ability to meet goals and objectives comes, rather, from the ability to rapidly learn from experience and develop improved subsequent management actions, as well as the ability to efficiently adjust to these improved actions. Strategies that would simply monitor the implementation and effectiveness of management actions, and try something else if actions are not working, have been advanced as “adaptive management.” So have approaches that, in pursuit of streamlining process, would forgo predictive design and analysis of actions and focus on learning from experience. Depending on the manager’s priorities, either might represent an improvement to current natural resource management practice, but can they legitimately be called adaptive management? Neither fit the definition of adaptive design I have developed. To fully realize adaptive management’s potential to produce better management, in short and long term, the best available information and a sound scientific method should be used for both predictive analysis and designing learning opportunities into management actions. At Steens Mountain and the Pinedale Anticline, there has been tension between advocates of predictive analysis and experiential learning, but there need not be a trade off between these two priorities. In fact, each can leverage the other: analysis of existing knowledge can focus learning opportunities by narrowing the range of uncertainty and focused learning will provide relevant knowledge to apply to design of the next iteration of management actions. 48 Most current discussions of adaptive management consider it to be a fundamentally collaborative approach involving some form of participation of affected stakeholders in management decisions. I describe effective collaboration as a joint fact finding process that allows BLM and stakeholders to forge durable, documented agreements around the science-intensive but often non-objective decisions and evaluations of the adaptive management cycle. In this chapter I evaluate the collaborative element of the three BLM cases, relative to the joint fact finding model, and find that only the Sonoita Valley Planning Partnership comes close to meeting the criteria for effective collaboration. The most significant shortcomings relate to capacities for reaching consensual agreements and addressing scientific questions, and stakeholder roles that were not started early enough and are not integral to the adaptive management process. Las Cienegas National Conservation Area Though not explicitly designed as a joint fact finding process, the Sonoita Valley Planning Partnership comes the closest, of all the cases, to representing the ideal collaborative arrangement for adaptive management. SVPP’s open participation rule and capacities for consensus building and science have generated agreements that are genuine and represent the widest possible range of stakeholders. Stakeholders have had a key and effective role in developing all parts of the adaptive management strategy, from the earliest stages of identifying goals and objectives to outlining alternative management actions to informing monitoring plan design. SVPP also has a well-defined and ongoing role as adaptive management proceeds. Soon after acquiring the lands that became Las Cienegas National Conservation Area in 1989, BLM initiated a traditional NEPA/Planning process where public participation was limited to the typical input on scoping and comment on the draft plan. Intense public concern over the future of the lands and criticism of the limited opportunity for input contributed to BLM’s decision to shelve the initial planning process and proceed with a more collaborative effort involving the Sonoita Valley Planning Partnership (Brandenburg 2005b). The SVPP is informally organized with no designated members or officers. It is not incorporated and was not formally convened by BLM or any other entity. The SVPP arrives at decisions and recommendations on a consensus basis and participation is open to any interested individual, agency, or organization, at any time. Participants have numbered in the hundreds at any given time and a core group of 30-40, representing most key stakeholder interests has been actively involved throughout and has developed the capacity to work with scientists and scientific information and to work productively in a consensus-based collaborative setting. Although a formal conflict assessment was not used to identify stakeholders and issues, SVPP has reached out to certain stakeholder interests, such as motorized recreationists, who had not been as actively involved despite their significant interest in how the public lands are managed. Outreach and the open, voluntary nature of participation have resulted in inclusion of all affected stakeholder groups. This broad representation, and the sheer number of participants, has made it nearly impossible for any single interest or individual to dominate the process (Brandenburg 2005b). Despite the SVPP’s informal organizational arrangement, its work has been carefully structured and targeted at its mission to, “…work together to perpetuate naturally functioning ecosystems while preserving the rural, grassland character of the Sonoita Valley for future generations.” SVPP first came together in 1995 at the roughly the same time that BLM re-initiated planning for Las Cienegas. BLM, as a participant, made it clear that SVPP would have a key role as the primary forum for developing the content of the RMP and adaptive management strategy (BLM 2003a, Brandenburg 2005b). The SVPP has forged agreements on all of the components of adaptive design and BLM has incorporated these agreements in the official planning documents for Las Cienegas. One of the first tasks the group took on was developing and agreeing on a comprehensive list of desired future conditions for the various resources on public lands in the valley (Simms 2000). BLM has adapted and incorporated these desired future conditions into the RMP document as the formal goals and objectives that serve as the basis for adaptive management. Coordinating with the NEPA/Planning process for Las Cienegas, SVPP then agreed on a set of alternative management strategies, designed to meet the desired future conditions, which BLM developed into the alternatives for the Draft Environmental Impact Statement (EIS). SVPP’s consensus on the best management strategy became the selected alternative in the Final EIS and management actions listed in the RMP. SVPP is working with BLM’s separate technical advisory group and other scientific partners to develop the monitoring protocols for different resource classes (Brandenburg 2005b). SVPP’s role will be similarly integrated as the adaptive management plan is implemented. Official language in the RMP and the 1999 legislation that designated Las Cienegas a National Conservation Area calls, in general terms, for continued collaboration with SVPP and others (BLM 2003a). Participation in the SVPP has swelled as management actions have begun to be implemented. On-the-ground management is what stakeholders are most interested in and implementation issues have generated the most significant conflict of the process as stakeholders raise concerns that what is being implemented is not what is called for in the plan (Brandenburg 2005b). Recognizing that the issues involved in implementing adaptive management are significantly different than those in planning, a facilitated workshop was organized in 2004 to further refine the ongoing roles and responsibilities of SVPP and the agency (SVPP et. al. 2004). With reoriented capacities, SVPP’s ongoing focus is on the agreements that will enable implementation, monitoring, evaluation and adjustment of management actions (Brandenburg 2005b). Adaptive management on the Las Cienegas National Conservation Area has enjoyed nearly universal public support and the ongoing process will likely be allowed to proceed efficiently with minimal conflict. Steens Mountain Cooperative Management and Protection Area Despite the mandates for collaboration in the legislation creating the Steens Mountain Cooperative Management and Protection Area, stakeholders do not have a well defined, integral role in the adaptive management process. The primary forum for participation, the Steens Mountain Advisory Council operates as a traditional advisory committee but does not serve as a truly collaborative partner. The BLM and SMAC’s own limited capacities have also limited the effectiveness of collaboration. Since the 1990s, when it became clear that the Department of Interior was seeking an additional level of protection for the BLM lands on and around Steens Mountain, stakeholders have been actively participating in planning for and managing the area. Most of the primary stakeholder groups were represented on an official task force that worked with BLM and Oregon’s congressional delegation to develop priorities and write the legislation that designated the Cooperative Management and Protection Area. Although the process eventually produced a unique designation that all parties could live with, the deliberations were plagued by conflict between environmental advocates and local supporters of traditional uses and access. The Steens Mountain legislation called for the creation of a new Steens Mountain Advisory Council (SMAC) “to advise (BLM) in managing the Cooperative Management and Protection Area and in promoting (its) cooperative management…” The legislation specifies further that the Secretary of Interior shall appoint 12 members to represent specific stakeholder interests and that the group’s decisions and advisory opinions be determined by a majority vote of at least nine of the twelve members. Representation on the SMAC was not determined though a conflict assessment, but BLM staff and stakeholders believe that the SMAC’s structure does fairly represent the important interests on and around Steens Mountain, and that the process leading up to the designation legislation was valuable for identifying the key stakeholders (Brandenburg 2005c, 2005d). This organizational structure, particularly the two-thirds majority decision rule, has limited the SMAC’s capacity to serve as an asset to the adaptive management strategy. Interaction has been focused more on defending interests, and making sure they prevail when votes are taken, than in developing the shared understandings that should be the basis for adaptive management and the documented agreements that should support ongoing adaptive management decisions. Delays in the appointment process left the SMAC without a voting quorum for much of 2004 and 2005. The capacities of BLM and SMAC to resolve the scientific and technical questions that adaptive management revolves around have been limited by a decision not to convene a science advisory committee specifically authorized by the Steens Mountain legislation (Brandenburg 2005d). The SMAC was chartered and first convened as the process for developing the Steens Mountain land use plan was already well under way (Brandenburg 2005d). As a result of this late start and the need to immediately implement management changes to satisfy provisions of the Steens Mountain legislation, the SMAC never developed a shared vision for the goals and objectives of management (Brandenburg 2005d). Jumping right into the work of reviewing and recommending management actions and monitoring plans, the SMAC found itself putting out fires related to wilderness access and grazing management and facing the same deep conflicts that had plagued the pre-designation task force (Brandenburg 2005c, 2005d). Although the SMAC had the opportunity to vote on many of the actions and protocols that make up the Steens Mountain RMP, they were not involved in the design of the overall adaptive management strategy and have not had the chance to develop a common understanding and ownership of the adaptive management process. It was a BLM decision, with little or no collaborative input, to apply an adaptive management strategy on Steens Mountain (Brandenburg 2005c). The SMAC’s ongoing role in the adaptive management strategy as the Steens Mountain plan is implemented is similarly dis-integrated. Though particular BLM management decisions may be brought to the SMAC for review, they are not considered in the context of adaptive management. Adaptive management has almost never been discussed by the SMAC, except as something BLM is doing (Brandenburg 2005d). If collaboration with the SMAC were better integrated into the adaptive management strategy, some of the conflict over management decisions might be avoided. The controversy over whether there has been enough up-front analysis of juniper removal could be mitigated with a shared acknowledgement of uncertainty and a commitment to collaboratively implement, monitor, evaluate and adjust if necessary. BLM has also partnered with numerous other stakeholder organizations, separately from the SMAC structure, to implement management projects. Environmental groups working on ecosystem restoration, ranchers working on fencing issues and others are involved, but these stakeholders likewise have no formal role in the adaptive management process. BLM has described the adaptive management strategy on Steens Mountain as a way to explain what they are doing and to reassure people rather than as way to integrally bring stakeholders into the process (Brandenburg 2005c). With no real role in the adaptive management process and a glaring lack of capacity for negotiating agreements and dealing with scientific issues, the Steens Mountain Advisory Committee will not provide the effective collaboration critical to a viable adaptive management strategy. Pinedale Anticline Oil and Gas Exploration and Development Project The adaptive management strategy for the Pinedale Anticline project includes a collaborative arrangement that has been challenged, like other elements of the strategy, by the extraordinary series of events that have unfolded since the project plan was approved in 2000. The process has representation from all important stakeholder groups and relies on a consensus building decision model, but its capacities are being tested by the amount of work to be done. Stakeholders’ role in the process is well defined and integrated with all of the key steps of the adaptive management cycle, though an earlier start to structured collaboration might have provided an opportunity to avoid conflict that led to a significant delay in the implementation of adaptive management. Collaboration on the Pinedale Anticline shares some features with the ideal joint fact finding model and, despite a few shortcomings, may be able to build the series of agreements necessary for a supported, efficient adaptive management process. The project plan for the Pinedale Anticline was developed in the midst of intense public scrutiny and concern over how the natural gas project would impact the surrounding ecosystems, landscape and quality of life. Public participation in the planning process was a large contributor to the plan’s goals, objectives and prescribed mitigation actions. Recognizing the uncertainty in exactly how the gas field would be developed, and the continued public concern over potential impacts, BLM incorporated an adaptive management strategy into the project plan (Brandenburg 2005e). The strategy created the Pinedale Anticline Working Group to develop monitoring and evaluation protocols and to assist BLM in implementing adaptive management. Convened shortly after the project plan was approved, the PAWG consists of nine members, appointed by the Secretary, from the ranks of the oil and gas operators, local residents, environmental organizations, recreational interests, BLM and other interested government agencies. The PAWG also manages seven task groups organized around different resource classes. Between the PAWG and task groups, over 100 stakeholders are actively involved in the process and most involved believe that the full range of interests is represented in the collaborative process (Brandenburg 2005e, 2005f). According to BLM, the extensive, but less structured public participation in the development of the project plan effectively served as a conflict assessment, identifying key interests and issues (Brandenburg 2005e). The task groups provide the technical capacity, with participation from agency and citizen scientists, to deal with the specific resource issues and membership is voluntary. Both the PAWG and the task groups reach decisions by consensus and many of the participants came to the process with the capacity to work collaboratively, developed from working on other projects in Wyoming, where collaborative approaches are relatively common. These factors enabled the original PAWG and working groups, despite billions of dollars worth of vested interests, to develop a shared vision of environmentally sound natural gas production and to work toward agreements on the design of monitoring and evaluation protocols (Brandenburg 2005e, Mecham 2004). The PAWG and task groups are facing a number of challenges to their collaborative capacities as they begin to implement adaptive management. Participation in the task groups has begun to show signs of attrition. The work involved has proved to be extremely difficult and time consuming and most of the non-agency, non-operator participants are volunteers who need to take time off from work receive and receive no compensation (Brandenburg 2005f). There is hope that, as the adaptive management strategy is implemented, tangible on-the-ground results of stakeholder participation will re-energize participants (Brandenburg 2005e). A corollary to the problem of burned-out volunteers is the fact that representatives of oil and gas operators are professionals who are paid by their employers for their time and travel and often possess superior negotiation skills (Brandenburg 2005f). Independent facilitators have been brought in to assist task groups that have encountered difficulty building consensus due to these imbalances or other reasons. BLM and other agency representatives, stretched thin by competing work demands in the booming gas field, are also struggling to fulfill their roles on the task groups, potentially compromising the task groups’ access to important information and technical expertise (Brandenburg 2005f). The adaptive management strategy for the Pinedale Anticline is clearly outlined in the project plan and depends on stakeholder collaboration at all stages. In addition to developing monitoring and evaluation plans, the PAWG and task groups have ongoing responsibilities, once the adaptive management strategy is implemented, to assist with monitoring, perform evaluations, and recommend management adjustments to BLM (BLM 2000). Agreements reached to date on monitoring plans have been documented and incorporated in official procedures. Future agreements on evaluations and adjustment recommendations will also be documented and likely implemented by BLM. This well-defined and integrated role has earned widespread stakeholder support for the adaptive management strategy (Brandenburg 2005e) and provides the basis for the ongoing series of agreements needed for the process to retain support as it is implemented. Further reinforcing the shared ownership of the process is the fact that BLM’s participation in the PAWG and task groups is as a participating member of a working group, distinct from an advisory group arrangement where BLM retains sole responsibility and might consult with stakeholders only occasionally. Despite the PAWG and task groups’ integral and ongoing role, and generally shared vision for adaptive management, the biggest challenge the process has faced might have been avoided had this collaborative structure been in place earlier. The oil and gas operator that opposed the adaptive management strategy filed suit after BLM’s decision to apply adaptive management was included in the final project plan. Had the decision been made more collaboratively, with an opportunity for the operators to jointly develop the strategy and support for it, prior to its inclusion in the plan, the four-year delay in implementing adaptive management might not have occurred. The four-year delay has hobbled all aspects of the adaptive management strategy, including effective collaboration. The example of the year-round drilling proposal, considered before the PAWG and task groups had been reconvened, illustrates the challenge of trying to manage adaptively without a structured, ongoing role for stakeholders. A documented agreement on the implications of baseline mule deer data and remaining uncertainties, and a collaborative design of the appropriate management action, might have yielded a proposal with broad support. When the adaptive management process was officially re-started and the PAWG reconvened in 2004, the collaborative structure, including broad representation, a consensus decision rule and the roles and responsibilities were retained. The extraordinarily rapid pace of development on the Pinedale Anticline since the project plan was approved has made it a struggle for the PAWG, task groups, BLM and the adaptive management process to catch up and keep up. However, there is still an estimated 10-20 years of natural gas exploration and 70-100 years of production activity anticipated that can be adaptively managed. Discussion In all three of the cases, BLM’s decision to apply adaptive management was made largely in response to high levels of public concern. BLM has acknowledged, in each case, an important relationship between public participation and adaptive management. The efforts, however, have pursued different approaches to enabling participation, none of which fully represent the ideal joint fact finding model outlined in Chapter 2. The approaches that are most like joint fact finding, led by the Sonoita Valley Planning Partnership at Las Cienegas, demonstrated the best results in achieving the shared understandings that form the benchmarks for adaptive management and the best potential for producing the ongoing agreements required for adaptive management to proceed, without conflict, through the cycle of decisions and evaluations. BLM’s attention to issues of capacity, an early start and an integrated role for stakeholders should maximize the effectiveness of collaboration as the three projects move forward and can inform the collaborative elements of future adaptive management efforts. Although none of the cases featured a formal conflict assessment, each has succeeded, according to most observers, in achieving the participation of all key stakeholder groups. This representation alone, however, has not been sufficient to avoid conflict and generate agreement on the various management questions. The organizational structures that include a larger number of participants have shown a greater capacity to resolve competing interests and work together on the substantive decisions of adaptive management. The sheer amount of work required in developing and implementing monitoring plans for a variety of different resource classes is more manageable with a larger group sharing the labor. The SVPP at Las Cienegas and the PAWG groups in Pinedale, each with over 100 participants have made real progress toward implementing adaptive management while Steens Mountain’s 12-member SMAC has remained mired in conflict. These divergent outcomes are due to other factors as well but it seems clear that more people working on the challenges of adaptive management have been more effective than fewer. The SVPP and PAWG’s capacities for consensus building have led to agreements on monitoring and evaluation protocols. As plans are implemented, the consensus building process will encourage stakeholders to move beyond simply defending interests to definitively make the evaluations and decisions required of adaptive management (Brandenburg 2005b, 2005e). Building consensus can be frustrating and time-consuming, but is preferable to the conflict endemic to the Steens Mountain Advisory Council where a two-thirds majority decision rule has led to stakeholders fiercely defending their interests at the expense of agreements. Decisions that are reached at Steens Mountain may not be broadly supported and will be open to challenge from stakeholders on the short end of the vote (Brandenburg 2005d). Finally, SVPP and PAWG’s capacities for collaboration are distinguished by the fact that BLM, while retaining ultimate authority, participates as a working partner. This has contributed to a sense of shared responsibility, ownership and, ultimately, support for the adaptive management strategies (Simms 2000, Mecham 2004). The SMAC arrangement, where stakeholders are more likely to merely review and advise agency decisions than to actively participate in making them, has not generated comparable levels of support (Brandenburg 2005d). In the future, BLM should set up collaborative structures that include many individuals, representing the full range of interests, in a consensus building process with BLM as a working partner. This suggests the need for structures other than traditional advisory committees like the SMAC. All of the cases featured extensive public participation and input from the early stages of planning. However, only the Las Cienegas process had a structured collaborative process from the beginning of the planning process through to implementation. The SMAC and PAWG, by contrast, were convened mid-way through and following completion and approval of the land use plans, respectively. The SVPP’s early start allowed stakeholders to develop and understanding of, and support of, adaptive management before the decision to apply it was made. The SMAC, a product of the decision to apply adaptive management, never had the opportunity to develop an initial understanding and buy-in and jumped right into details. On the Pinedale Anticline, the failure to develop broad understanding and support early in the planning phase may have led to the delay in implementation that has threatened the viability of the entire adaptive management strategy. The volume of simple public comment received during of the Pinedale Anticline and Steens Mountain planning phases was not sufficient generate broad support. For future projects, BLM should follow the lesson of Las Cienegas and establish a structured collaborative process prior to, or in the earliest stages of, the land use planning process. The role of stakeholders in adaptive management must not only be defined and ongoing, but should be integral to each step in the adaptive management process. Agreement on each of the implementation, monitoring, evaluation, and adjustment decisions is best achieved when stakeholders have a defined role in actually making each of those decisions. The PAWG’s responsibilities map directly to the steps of adaptive management and are clearly documented in the Pinedale Anticline project plan. SVPP, having completed its work to develop the Las Cienegas RMP has agreed on a detailed strategy for implementation that clearly defines the roles of the stakeholder task groups. The SMAC’s ongoing role is defined, in general terms, by federal legislation, and they are active in working with management issues on Steens Mountain, but they are not plugged into the adaptive management process. By not integrating SMAC into the process, BLM has diminished the chances that it will be able to implement, monitor and evaluate and adjust management actions without ongoing conflict and delay. In many existing BLM management scenarios, having access to an active advisory committee that represents all the important stakeholder groups might represent a significant improvement to BLM’s collaborative capacity and ability to generate support for management actions. For adaptive management, as defined here, an arrangement such as the SMAC and its role in the Steens Mountain adaptive management process does not approach the ideal joint fact finding model and does not meet the requirements for effective collaboration. Finally, it should be noted that the joint fact finding model for effective collaboration outlined here is necessary but not sufficient to generate the desired outcomes of shared understandings, durable agreements and public support that are the real critical elements of adaptive management. The framework is a process recommendation, for how to deal collaboratively with the issues and interests at stake, but the nature of the issues and interests themselves matters as least as much as the process. 64 BLM’s failure, in the three studied cases, to consistently include the critical elements in adaptive management strategies is due to a lack of centralized, agency-wide policy and guidance for the design and implementation of adaptive management, a failure to build the necessary capacity among local agency staff and stakeholders for productive, science-intensive collaboration and an absence of implementation commitments binding BLM to actually follow its adaptive management plans. Acknowledging that management must proceed despite persistent uncertainty, building experimental design into management actions and sharing authority with outside interests in an ongoing cycle of decisions are foreign concepts for BLM. Although it seems like a simple process, adaptive management strategies will require more than monitoring and setting up an advisory committee if they are to provide a significant improvement over BLM’s current resource management practice. In this chapter I look at the cases comparatively and collectively, and at agency-wide factors, to discuss some of the institutional barriers that have prevented the critical elements from being more consistently applied. I also offer some recommendations for removing these barriers so that future efforts can capture the benefits that adaptive management offers. Agency-wide Policy and Guidance BLM planners and managers have been encouraged to pursue adaptive management, yet the agency has provided virtually no guidance for what adaptive management is or how it should be applied. Guidance is limited to a two-page DOI policy memo (DOI 2003b). BLM’s Land Use Planning Handbook, revised in 2005, only references the DOI memo and offers that adaptive management guidance will be developed in the future (BLM 2005). In each of the studied cases, the decision to apply adaptive management, the working definition of adaptive management and the design and implementation of the adaptive management strategy were products of local BLM staff, and in one case local stakeholder, initiatives. Although there is value in learning from the experience of these and other local efforts, BLM should not expect that these examples alone can define an effective new approach to resource planning and management. If BLM intends to adaptively develop the adaptive management approach, the agency should remember that adaptive design requires not only learning from local experience, but coordinated policy and guidance to provide a consistent definition of the approach and the required critical elements. It is not surprising that the three independent efforts have inconsistently included the critical elements and show varying potential for providing the benefits that BLM seeks. Most lacking is guidance defining and mandating the components of adaptive design. The DOI memo devotes only a few sentences to the notions that adaptive management is a response to uncertainty and that actions must be monitored and changed if necessary (DOI 2003b). BLM’s Land Use Planning Handbook offers general guidance for monitoring and evaluating plans for implementation and effectiveness, but little that could provide for developing new knowledge or suggesting what adjustments are necessary. Some components of adaptive design, such as goals and objectives based on desired outcomes and analysis of the predicted impacts of management actions, were represented relatively well in the cases. These things are required under existing policy, and existing guidance details how to achieve them (BLM 2005). Furthermore, BLM has years of experience preparing goals, objectives and environmental assessments. Policy and guidance requiring and explaining the newer adaptive design components, unique to adaptive management, would have enabled BLM to better acknowledge uncertainty, target management experiments and maximize learning opportunities in all of the cases. The Steens Mountain strategy would not have deferred most of the important adaptive design decisions, and adaptive management would not be applied on the Pinedale Anticline as a means to expedite decisions while placing valuable resources at unnecessary risk. There is considerably more policy and guidance available within BLM and DOI for engaging stakeholders in collaborative resource management. Interior Secretary Norton has advanced a “4 C’s philosophy: Conservation through communication, consultation and cooperation,” backed by official DOI policy statements (DOI 2003a, 2003c, 2004). BLM’s land use planning handbook emphasizes engaging stakeholders in planning and includes an appendix on collaborative principles that echoes many of the points made here (BLM 2005). These resources have helped the Las Cienegas and Pinedale Anticline adaptive management strategies achieve measures of success in setting up effective collaborative structures. Few of these resources, however, address the particular ongoing, scientific challenges of adaptive management and none prescribe the joint fact finding model that is ideal for addressing these challenges. Policy and guidance specific to adaptive management and joint fact finding would have enabled BLM at Steens Mountain to provide a larger number of stakeholders with a more integral role in adaptive management decisions and would have allowed the PAWG in Pinedale to make an earlier start and continuous progress on the work of adaptive management on a rapidly developing natural gas field. To its credit, BLM has initiated an effort to develop agency-wide policy and guidance for adaptive management (BLM 2003, 2005, Brandenburg 2005). For BLM to realize substantial benefits from current and future adaptive management efforts, policy and guidance needs to be comprehensive in defining the critical elements – the complexities of adaptive design and joint fact finding arrangements to facilitate effective collaboration – and the requirements for integrating them into adaptive management strategies. It is important that this effort produce results quickly, as adaptive management is already happening, and already facing challenges, on BLM lands. Competing definitions have been advanced by industry that would sacrifice much of adaptive management’s potential for rapidly achieving better environmental outcomes. In addition to defining and requiring the critical elements, policy and guidance need to ensure that adaptive management strategies are consistent with the variety of existing legal and regulatory mandates that bound BLM’s practice of resource planning and management. BLM’s effort to develop adaptive management policy and guidance has focused on enabling an efficient adaptive design under NEPA and effective collaborative structures under FACA (BLM 2003, Brandenburg 2005). Adaptive Design and NEPA A key attraction of adaptive management is the flexibility to rapidly adjust management actions in response to new information. Current policy for applying NEPA and FLPMA to BLM land use planning decisions, that requires a re-initiation of the time- and resource-intensive environmental assessment and plan revision process for many management adjustments, seems to constrain this flexibility. BLM has considered a number of distinct planning tactics for enabling rapid flexibility within the NEPA/Planning framework. Each tactic has strengths and weaknesses relative to adaptive design but more importantly, BLM policy has not authorized any of the tactics as viable or offered any other guidance on how to implement evaluation and response protocols under the planning statutes. On the Pinedale Anticline, managers hope to propose adjustments that will qualify for Findings of No Significant Impact (FONSI) and require only minimal additional analysis under existing NEPA/Planning procedures (Brandenburg 2005e). This is a traditional and authorized approach, but it will not apply to many management adjustments that entail significant or complex changes and the likelihood of some environmental impact. It is likely that many, perhaps most, adjustments that will be proposed within an adaptive management strategy will not qualify for FONSIs. In fact, any adaptively designed adjustment, with acknowledged uncertainty of results, should face difficulty qualifying for a forecasted FONSI. A second tactic, considered at Las Cienegas and on the Pinedale Anticline, would leverage the initial alternatives analysis of the NEPA/Planning process to “pre-approve” a menu of management actions that can be selected as adjustments, without incurring significant re-planning (Brandenburg 2005b, 2005e). The initial analysis will be most valuable for adaptive design if, as in the Las Cienegas case, all of the initially analyzed alternatives can be reasonably expected to meet a single agreed upon set of goals and objectives. The pre-approval approach has been discussed by BLM planners in early attempts to provide guidance on adaptive management (BLM 2003). The decision of which pre-approved action to select as an adjustment will still need to be made. This approach will allow especially rapid flexibility if contingent agreements, specifying which actions should be implemented in the event of certain performance standards not being met, are reached ahead of time in a joint fact finding process (Potapchuk and Crocker 1999). The pre-approval approach, however, effectively ignores the critical role of learning and new information. Management actions designed, in part, as experiments will generate knowledge that was not available during initial planning and will likely suggest adjustments that were not considered or analyzed initially. Las Cienegas managers are counting on a tactic that holds considerable promise for wide applicability and consistency with the learning imperative of adaptive design. By performing the initial NEPA/Planning analysis on the proposed adaptive management process, including as much detail as possible on actions, monitoring, evaluation and response protocols, roles, and funding commitments, and carefully documenting monitoring results and evaluation findings, the products of the process – management adjustments – should require less or no additional review (Brandenburg 2005b). This “analyze-the-process” tactic accounts for all scenarios and potential adjustments and maximizes opportunities to build newly developed knowledge into subsequent actions. Even if additional NEPA/Planning analysis is not required, however, it will still take time to design new management actions in response to new information, so flexibility will not be as rapid as with the pre-approval/contingent agreement approach. The case studies reveal that, although BLM staff are hoping that these approaches will provide the desired flexibility, they have been neither tested empirically or addressed by agency policy and guidance (Brandenburg 2005b, 2005c, 2005e, BLM 2003). BLM needs to resolve the uncertainties around these approaches by developing policy that determines the viability of the tactics under the planning statutes, and guidance for when the tactics should and should not be applied. An adaptive management scenario might call for one or more of the tactics, depending on the nature of the proposed adjustment, the nature and amount of new information available to inform the adjustment, or a limited time frame within to make the adjustment. Where additional NEPA documents and plan revisions are still required, BLM should provide policy and guidance on how monitoring data and evaluations generated by a joint fact finding process can be applied to make this supplemental NEPA/Planning analysis as efficient as possible. Local BLM staff have focused on these tactics for enabling flexibility and accommodating existing NEPA/Planning regulations because changing the regulations is not an option available to them. BLM, DOI, and CEQ should, in their national-level efforts to “modernize” NEPA implementation (CEQ 2003), consider revised regulations that accommodate the requirements of adaptive design and joint fact finding. These regulations should specify how adaptive management processes can document monitoring and evaluation results, new knowledge and the collaborative development of improved management actions as an alternative to the traditionally required EIS plan revision documents. This would satisfy the NEPA/Planning requirements for documenting an analysis of proposed management actions, with public participation. The intent of the planning statutes is consistent with the goals of adaptive management. Both are intended to produce better environmental decisions and better outcomes (Phillips and Randolph 2000). BLM, however, needs to clarify how the two will procedurally coexist. Effective Collaboration and FACA Like the planning statutes, the intent of the Federal Advisory Committee Act is also consistent with the goals of adaptive management. And as with NEPA and FLPMA, BLM staff in the cases faced considerable uncertainty in determining how FACA applies to their adaptive management strategies. FACA issues have frustrated collaborative efforts at both Steens Mountain and the Pinedale Anticline. Agency-wide policy needs to clarify the types of collaborative arrangements that are subject to FACA and guidance needs to assist staff in more efficiently meeting FACA’s requirements. FACA is intended to limit the influence of special interests, and provide transparency and equal access to the general public, in government decision making (BLM 2005). Under FACA, most committees or other stakeholder groups formally convened by BLM for the purpose of providing the agency with advice or recommendations require a formal charter from the federal Office of Management and Budget and members formally appointed by the Secretary of Interior. Though their opinion has never received a formal legal review or challenge, BLM staff at Las Cienegas are confident that SVPP’s open participation rule, lack of formal incorporation, and the fact that BLM did not formally convene the group, means that SVPP does not require a FACA charter (Brandenburg 2005b). By avoiding any FACA-related delays, the SVPP was able to get up and running before the planning process for Las Cienegas had even started and has maintained continuity through to the implementation phase. The open participation rule is in line with the intent of FACA and effectively precludes any possibility of parties challenging the SVPP on grounds that they have been excluded from the group. The Steens Mountain Advisory Council was planned, from the start, as a formally structured, FACA-chartered group. Although the legislation designating the Cooperative Management and Protection Area called for the SMAC to assist in preparation of the Steens Mountain RMP, the chartering and appointment process took long enough that the group had not convened at the beginning of the planning process and was unable to reach critical early agreements, as discussed in chapter 4. As of March, 2005, the Department of Interior was ten months behind on appointing members and the SMAC had been without a quorum and had not met since November 2004 (Brandenburg 2005c). During the planning process for the Pinedale Anticline, BLM put much thought into assuring that the PAWG could contribute to an adaptive design and enable effective collaboration, but paid inadequate attention to ensuring the group was legal under FACA. Despite broad representation that met FACA’s intent to ensure equal access to government for all interests, the fact that the PAWG was formally convened by BLM, with appointed members and an official role to advise and assist BLM, put the PAWG squarely under the purview of FACA. The consequences of this lack of initial coordination with FACA were severe, as development and implementation of adaptive management was delayed by four years until a proper charter and appointments were secured. The Las Cienegas case revealed earlier and more effective collaboration, due, in part, to freedom from FACA chartering obligations. FACA-related problems encountered in the other cases led to moderate to extreme delays in convening and sustaining stakeholder collaboration. BLM should develop guidance clarifying whether informally structured groups such as the SVPP are, in fact, exempt from FACA requirements. The Las Cienegas model of collaboration may not be appropriate in every scenario. For these cases, BLM and DOI should redouble their commitment to timely chartering and appointments. Local Capacity Building Effective collaboration and adaptive design have been compromised not only by a lack of policy and guidance from agencies at the national level, but, in some cases, by a failure to build the necessary capacities among staff and stakeholders at the local level. The work of designing and implementing an adaptive design in a joint fact finding process is complex, difficult, and involves more than simply deciding to monitor and setting up an advisory board. Chapter 4 described the variety of groups that have been organized to enable collaboration. Chapter 4 also described the varying levels of success the groups have achieved in working effectively to reach agreements on the scientific issues underlying adaptive management decisions and on the decisions themselves. These different outcomes can be traced to the steps that BLM and stakeholders took, or did not take, to build their own capacity for collaborating to negotiate agreements and work with scientific information. To complement agency-wide policy and guidance, BLM needs to be sure that the necessary capacities are built among staff and stakeholders at the local level. The Sonoita Valley Planning Partnership has achieved considerable success in collaboratively developing and implementing an adaptive management strategy at Las Cienegas. BLM staff and stakeholders have recognized the role that capacity and capacity building has played in enabling this success. One of SVPP’s first steps upon convening was to establish ground rules for their process. Ground rules include open participation, a consensus-based decision rule and a commitment to focus on resolving issues and accommodating interests rather than defending positions on issues. A work plan was created that laid out the decisions that needed to be made and kept the group on track to document agreements on the desired future conditions and alternative management strategies that became basis for the Las Cienegas RMP. Scientists directly involved with the SVPP have been able to effectively communicate their expertise to stakeholders, providing the technical capacity for joint fact finding and adaptive management (Brandenburg 2005b). Independent neutral facilitators helped the group build these capacities and also helped BLM staff develop the capacity for facilitative leadership of the group. Capacity building was critical for BLM to fill a multi-faceted leadership role where BLM all at once serves as facilitator of the group, a group member with equal responsibility in the consensus building process and as the agency with ultimate decision making authority. A neutral facilitator has more recently helped the SVPP reorient its capacities and develop new capacities as the group has transitioned into implementing the adaptive management strategy and has recognized the different demands of the implementation phase (SVPP 2004). The story is completely different at Steens Mountain, where virtually no steps have been taken to build capacity among the SMAC membership and local BLM staff. As a result, stakeholders have been mired in persistent conflict over entrenched positions and have not developed a shared understanding of, support for, or contribution to, the adaptive management strategy. BLM staff are accustomed to operating under a traditional top-down interpretation of planning and management regulations and are not comfortable with the idea of sharing responsibility with stakeholders (Brandenburg 2005d). The parties’ capacities for joint fact finding and adaptive management have been further limited by the fact that an independent science advisory committee, specifically authorized by the Steens Mountain legislation, has not been convened due to inadequate funding to pay scientists and BLM’s wariness of FACA requirements (Brandenburg 2005c). BLM’s ability to set performance standards, outline specific uncertainties, perform adequate predictive analysis and incorporate experimental design into actions has been compromised by this expertise deficit. Capacity building for joint fact finding would have brought stakeholders, agency representatives and technical expertise together to reach agreements on the science-intensive yet non-objective decisions and evaluations of adaptive management. It would have enabled the SMAC to manage conflict and work toward consensus despite its members’ history and the majority vote decision rule nominally imposed by legislation. It would have allowed BLM to see adaptive management as a more comprehensively collaborative process requiring a more integrated role for stakeholders. And it would have caused all parties to recognize the critical role of scientific information and capacity in collaborative adaptive management. Forging agreements among diverse, traditionally competing, interests and working with large volumes of technical data presents challenges that most BLM staff and stakeholders will not be prepared for without significant capacity building. BLM and its partners should capitalize on training opportunities and draw on independent neutral facilitators and scientists to build the capacities necessary for collaborating, in a joint fact finding process, on the science-intensive work of adaptive management. BLM’s in-house “Partnership Series” offers multi-day training opportunities in various aspects of collaborative resource management to agency staff and interested stakeholders (BLM 2005). Current offerings cover themes of shared responsibility and consensus building. Courses on the specifics of adaptive design and joint fact finding could be developed and included in the series. Numerous other publicly and privately offered training courses, conferences and events are offered each year as well. BLM staff and stakeholders should take advantage of these training opportunities as part of any adaptive management strategy. The SVPP used independent neutral facilitators and consulting organizations to good effect for capacity building. Independent facilitators, jointly chosen by the collaborating parties, can assist the parties in building most of the necessary capacities, including ground rules for joint fact finding, work plans, leadership training for staff and mediating between scientists and laypersons (Poirier Elliott 1999, Ozawa and Susskind 1985). Finally, involving scientists, with collaborative capacities of their own, directly with stakeholders to communicate and translate their technical knowledge, will greatly improve the capacity of the collaborative group to address the science-intensive decisions of adaptive management. Binding Implementation Adaptive management is a long-term, ongoing process and requires sustained commitments to implement, monitor, and adjust management actions (Walters and Holling 1990, Walters 1986). Adaptive management strategies must be supported by binding commitments that oblige BLM and its partners to actually implement the strategies as designed and meet their ongoing responsibilities at all stages of the adaptive management cycle (Susskind and Cruikshank 1987). The only documented implementation commitments in the three studied cases are the BLM land use plan documents, where the adaptive management strategies are described with various levels of precision and prominence. It is not likely that these commitments, even with support from stakeholders, will be sufficient. BLM needs to develop stronger commitments, including supplemental planning regulations and site-specific, binding agreements to ensure that the strategies are implemented as planned over the necessary long term. The Las Cienegas RMP outlines the adaptive management strategy in general terms and includes detailed monitoring and evaluation protocols for those resource classes that had completed protocols at the time the plan was prepared. The SVPP’s recently completed implementation strategy includes detailed actions, responsibilities and timelines for implementing adaptive management. The document is a written, negotiated agreement, but is not, in its current form, legally binding. BLM has described the continuing engagement of the SVPP and stakeholders’ keen interest in seeing their work implemented on the ground, as planned, as the commitment most strongly binding implementation (Brandenburg 2005b, SVPP 2004). With only a vague description of adaptive management and references to incomplete monitoring plans included in the RMP, there is little in official documents to bind BLM to implement and sustain an adaptive management strategy at Steens Mountain. The SMAC’s lack of integration and investment in the adaptive management strategy means that stakeholders will not be active to prod and assist BLM either. In fact, most local interests and politicians have strong attachments to traditional uses and the way things have always been done on Steens Mountain (Brandenburg 2005d). Changing the status quo of either planning process or on-the-ground actions will be difficult. The Pinedale Anticline adaptive management strategy, with a step-by-step process, clearly defined roles and references to specific monitoring and evaluation protocols, is well documented in the plan, creating as strong a written obligation for implementation as the decision document can provide. The plan’s prescribed management actions, mostly stipulations and mitigation measures imposed on oil and gas operators, can be legally enforced by BLM. In this case, however, intense pressure to expedite energy production significantly constrains implementing an adaptive design. For example, BLM, nationally, has responded to the Energy Policy and Conservation Act of 2000 (EPCA) by issuing guidance directing managers, among other things, to waive stipulations that “are not necessary” (Norton 2001). During the 2002-2003 drilling season, 45 of 52 (86 percent) requests from operators for mitigation waivers were granted by BLM’s Pinedale Field Office. Workload priorities for energy permitting have also led to problems with BLM non-enforcement of standing mitigation requirements (Brandenburg 2005f). As the PAWG continues its work to develop and implement documented monitoring and evaluation protocols, stronger commitments and stakeholder pressure will be brought to bear. Until then and perhaps even then, a failure to bind implementation of the adaptive management strategy, in the face of other priorities, threatens the adaptive design of the Pinedale Anticline strategy and places BLM on a slippery slope, with the risk that the adaptive management concept could be misapplied to remove requirements for predictive analysis and environmental protections until monitoring proves they are necessary. The descriptions of adaptive management strategies in the Las Cienegas and Steens Mountain RMPs – short theoretical descriptions of the adaptive management concept and references to monitoring plans that have not yet been developed – will not strongly bind implementation. Strategies that are more specifically outlined in, and more prominently a part of, land use plans are more likely to be implemented. Even so, land use plans have questionable value for binding implementation of an ongoing adaptive management strategy. History shows that many of the actions called for in land use plans never get implemented. Regulations require BLM to follow specific NEPA/Planning planning steps such as analyzing alternative actions and preparing certain compliance documents and allow BLM to legally enforce decisions such as mitigation requirements for gas drilling. There are, however, no regulations, other than those that generally require BLM to abide by its plans, that obligate BLM to implement and follow an adaptive management strategy identified in a land use plan. BLM and DOI should amend FLPMA and NEPA regulations to require, where adaptive management has been planned, ongoing, step-by-step implementation of the adaptive management cycle, just as the specific steps of the traditional NEPA/Planning process are currently required. These procedural regulations, however, would be insufficient to cover the details of specific monitoring plans, evaluation protocols and timelines. Planning documents and agency-wide procedural regulations should be supplemented, in all cases, with detailed, binding, site-specific implementation agreements – memoranda of agreement or other written products of a joint fact finding process – that reference specific protocols, outline the roles and responsibilities of BLM and its partners, and lay out timelines for implementation. SVPP’s implementation strategy effectively captures these details but is not a binding document. Relying on informal commitments and the goodwill and peer pressure of stakeholders may prove sufficient at Las Cienegas, but in a place with more competing interests, like the Pinedale Anticline, stronger “teeth” to bind implementation will be required. Funding A final barrier to implementing adaptive management strategies that include the critical elements is the availability of funding and other resources. Funding issues have had some impacts on the ability of the studied adaptive management strategies to include the critical elements, but the real challenge will come as the strategies are implemented on an ongoing basis. BLM, in each of the cases, is concerned about the availability of funding. The agency, going forward, should recognize that adaptive management is most likely not a lower cost alternative to traditional planning and management approaches, and should make funding available for monitoring and other essential components of adaptive management. Even the strongest binding implementation commitments will be ineffective without adequate resources. BLM budgets are shrinking and the agency has been asked to cut staff by 20% by 2008 (Brandenburg 2005c). The up-front work of identifying goals, objectives and uncertainties and analyzing alternative management actions is be comparable in cost to traditional planning methods and the logistics of an ongoing collaborative process will incur costs as well. The real challenge, however, is the support of an ongoing monitoring plan. Monitoring can be expensive and time consuming and must be conducted consistently, with the necessary scientific rigor, for the duration of the management application (Walters and Holling 1990, BLM 2003, 2005, Nyberg 1999). While upper levels of BLM and DOI have been quite supportive of the collaborative, adaptive approach applied at Las Cienegas, and may make some additional funding available as a result, local BLM staff are not counting on agency resources to fully cover the required monitoring and other costs of adaptive management (Brandenburg 2005b, BLM 2003a). It is expected that the network of partnerships developed with the SVPP and other agencies and organizations will identify additional funding sources. BLM staff are optimistic that adequate resources will become available, but they are proceeding with significant uncertainty (Brandenburg 2005b, SVPP 2004). At Steens Mountain, local BLM staff have acknowledged that funding limitations will challenge their ability to conduct monitoring that can credibly evaluate management actions. The science advisory panel will likely not be convened for lack of funds (Brandenburg 2005c), further compromising adaptive design. As discussed in Chapter 3, BLM has been accused by environmental groups of neglecting responsibilities for predictive impact analysis and planning (ONDA 2004). This apparent deferment is likely due, in part, to a shortage of funds. Costs for resource monitoring on the Pinedale Anticline were initially going to be shared between BLM and oil and gas operators. Given new budget realities, BLM has since shifted nearly all monitoring costs to the operators. Given the difficulties of requiring and enforcing stipulations on operators, relying on operators for funding is probably not a stable source for the necessary long-term, rigorous monitoring. As energy permitting duties have increased, BLM staff have reduced their role in the PAWG task groups and are relying on non-agency partners to do an increasing amount of the work of adaptive management in the PAWG structure. BLM and its partners need to find ways to pay for adaptive management. Contributions from cost-sharing partnerships and other collaborative arrangements have already been demonstrated, but these may not prove sufficient or sustainable. It is too early to say whether adaptive management represents, on balance, a less expensive approach to achieving management goals and fulfilling BLM’s mission. None of the cases reported cost savings as a rationale for pursuing adaptive management. What is clear presently is that the studied projects will need continued funding for ongoing monitoring and evaluation. It is important that the positive outcomes of these and other early adaptive management efforts be documented and communicated to demonstrate the value of investments in monitoring and adaptive management generally (Brandenburg 2005c). The studied cases’ inconsistent inclusion of the critical elements of adaptive design and effective collaboration is due to a number of institutional barriers that have limited the potential of adaptive management efforts. BLM and its stakeholders must overcome these barriers by providing agency-wide policy and guidance and local capacity building for adaptive management. To ensure that well-designed strategies are implemented as planned, BLM needs to secure binding commitments for implementation and provide the necessary funding for adaptive management. BLM has begun to implement adaptive management in the hope that it will improve upon traditional resource planning and management processes by providing the means to evaluate the effectiveness of management actions in meeting identified goals and objectives, suggest management adjustments that better meet goals and objectives, implement adjustments with a high degree of process efficiency, and generate publicly-supported management decisions. At its core, adaptive management is a simple concept: improving the effectiveness of management by learning from experience. Adaptively managing complex resource systems in a complex institutional and political environment, however, requires that BLM incorporate a number of critical ingredients into its adaptive management strategies. I have grouped these ingredients into two critical elements: adaptive design and effective collaboration. I evaluated three cases of BLM adaptive management efforts, each still in early stages of implementation, and found that they have inconsistently included the critical elements. If BLM cannot overcome a number of barriers to planning and implementing strategies that include adaptive design and effective collaboration, the agency will not capitalize on the potential of adaptive management for improving resource management practice and will not realize the benefits it seeks. Adaptive Design BLM has demonstrated, in two of the three cases, a reasonably strong grasp of the principles of adaptive design. Land use plans with well-defined, outcome-based goals and objectives and detailed, rigorous monitoring protocols should prove valuable for evaluating the effectiveness of management actions. Adaptive designs, however, fall short in two areas. First, BLM’s strategies have not tapped adaptive management’s potential to suggest improved management actions through learning. The specific uncertainties and hypotheses underlying the adaptive management strategies have not been clearly stated and most actions are not management experiments designed, at least in part, to proactively generate the new knowledge necessary for developing improved management actions. Two cases demonstrated the risk that, in the interest of avoiding time- and resource-intensive planning requirements, adaptive management strategies may sacrifice some of the up-front, predictive work of applying the best available existing knowledge to the design of specific management actions. BLM should be concerned that inadequate upfront planning may place important resources at unnecessary risk in the short term. BLM should seek efficiencies from more rapid development of relevant information, not from reduced up-front planning and analysis requirements. An improved ability to meet goals and objectives will be the product of more science, not less. Going forward, BLM should develop guidance for adaptive management planning that confirms the role of specific, measurable goals and objectives and rigorous monitoring. More importantly, guidance should reinforce the importance of up-front predictive planning and building in the means for learning in adaptive management. Effective Collaboration Adaptive management, in each of the cases, was applied partly in response to high levels of public concern over BLM’s management of public resources. Only one of the cases demonstrated a collaborative approach close to the ideal joint fact finding model. The cases produced variable results in achieving the shared understandings that serve as the benchmarks for adaptive management and show limited potential for creating the agreements necessary to support the series of evaluations and decisions of the adaptive management cycle. Public participation strategies in each of the cases succeeded in providing representation to all of the important stakeholder groups, but the collaborative arrangements that included a larger number of participants, working within a consensus building process, with BLM as a working partner, demonstrated better capacities for effective collaboration. In only one of the cases was a structured collaborative process convened from the very beginning of the planning process, enabling early support for and ownership of the adaptive management approach and constructive, collaborative work to develop it. Other cases realized less support for adaptive management strategies, corresponding to how late in the process structured collaboration was initiated. Collaborative groups in each of the cases had defined roles, but these roles represented varying degrees of involvement with the adaptive management process. Strategies that provided stakeholders with a more integrated role in the development and implementation of adaptive management enjoyed greater overall support. The findings suggest that BLM should encourage and facilitate collaborative structures other than typical advisory committees, with wide or open participation in a consensus building joint fact finding process and BLM in a partner role. Stakeholders’ role should be integral to the adaptive management process and should start at earliest stages of planning. Institutional Barriers and Implications Adaptive management efforts in each of the cases have been confronted with similar barriers and uncertainties that have prevented the critical elements from being included in adaptive management strategies and will limit BLM’s ability to implement the strategies as planned. Inconsistent adaptive designs and collaborative arrangements are due, in large part, to a lack of agency-wide guidance and policy offering a consistent definition of the critical elements and requiring their inclusion. Each of the cases represented a purely local effort, with little or no top-down guidance. In particular, BLM faces uncertainty around how to enable management flexibility while meeting the requirements of NEPA and FLPMA, and how to set up effective collaborative arrangements within the context of FACA. A failure to build capacities among agency staff and stakeholders at the local level has constrained BLM and stakeholders’ ability to work with scientific information in a consensus building process to develop adaptive management strategies. It will also limit the parties’ ability to implement the strategies in the future. Existing commitments, mostly general descriptions of the adaptive management concept and references to incomplete monitoring plans, in BLM land use plans will not be sufficient to bind BLM and its partners to implement adaptive management strategies as planned, over the required long term. Uncertain funding for monitoring and other expenses may also complicate implementation. These institutional barriers have constrained the design and implementation of adaptive management strategies in the three cases and have left the strategies with mixed prospects for success. Future efforts will be similarly challenged unless BLM can provide agency-wide policy and guidance that defines adaptive management and requires inclusion of the critical elements, and provides consistency within the statutory framework of NEPA, FACA and other applicable laws. At the local level, BLM and its partners must build the necessary capacities for joint fact finding and the science-intensive work of adaptive management by providing training opportunities for stakeholders and staff, using independent neutral facilitators, and directly involving scientists in the collaborative process. To ensure ongoing implementation of adaptive management strategies, BLM and stakeholders must create binding implementation commitments. These should include more specific and more prominent commitments within land use plan documents, supplemental planning regulations that mandate the monitoring, evaluation and adjustment steps of the adaptive management cycle, and site-specific, collaboratively negotiated, binding implementation agreements among BLM and its partners which detail specific responsibilities and timelines for adaptive management. There is little reason to believe that a continued reliance on uncoordinated, locally initiated efforts will consistently provide the benefits BLM seeks. If BLM can build on the existing potential of the Las Cienegas, Steens Mountain and Pinedale Anticline strategies by accounting for the factors outlined above and providing coordinated guidance to the field, this next-generation approach could indeed prove to be a significant improvement in the agency’s practice of natural resource planning and management. 88 REFERENCES Bureau of Land Management (BLM), United States Department of Interior. 2000. Record of Decision for Pinedale Anticline Oil and Gas Exploration and Development Project Environmental Impact Statement. (Washington DC: Bureau of Land Management). Bureau of Land Management (BLM), United States Department of Interior. 2003. DRAFT Adaptive Management Concept Paper. (unpublished - Washington DC: Bureau of Land Management). 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Lee, Kai N. 1993. Compass and Gyroscope: Integrating Science and Politics for the Environment. (Washington, D.C.: Island Press). Lee, Kai N. 1999. “Appraising Adaptive Management.” Conservation Ecology, 3(2): 3. Lee, K.N., and J. Lawrence. 1986. “Adaptive Management: Learning from the Columbia River Basin Fish and Wildlife Program.” Environmental Law, 16: 431-460. Lenard, Steven R. 2004. “The Role of Research Scientists in Adaptive Management Programs.” Thesis for completion of Master of City Planning. (Cambridge, MA: Massachusetts Institute of Technology). Lessard, G. 1998. “An Adaptive Approach to Planning and Decision-Making.” Landscape and Urban Planning, 40: 81-87. Light, Stephen S. et al. 1995. “The Everglades: Evolution of Management in a Turbulent Ecosystem” in Lance H. Gunderson et al., eds., Barriers and Bridges to the Renewal of Ecosystems and Institutions. (New York: Columbia University Press). Margoluis, R. and N. Salafsky. 1998. Measures of Success: Designing, Managing, and Monitoring Conservation and Development Projects. (Washington D.C.: Island Press). McClain, R.J. and R.G Lee. 1996. “Adaptive Management: Promises and Pitfalls.” Environmental Management, 20: 437–448. Mecham, Prill. 2004. “Lessons Learned from the Pinedale Anticline.” Presentation at Conference on Best Management Practices and Adaptive Management in Oil and Gas Developments. Boulder, CO, May 12-13. Meffe, Gary K. et al. 2002. Ecosystem Management. (Washington, D.C.: Island Press). Norton, Gail. 2001. Testimony before House Resources Committee, United States House of Representatives. June 6. Norton, B. G. and A. C. Steinemann. 2001. “Environmental Values and Adaptive Management.” Environmental Values, 10: 473-506. Noss, Reed F. and Allen Y. Cooperrider. 1994. Saving Nature’s Legacy. (Washington, D.C.: Island Press). Nyberg, Brain. 1999. An Introductory Guide to Adaptive Management for Project Leaders and Participants. (Victoria, British Columbia: BC Forest Service). Oregon Natural Desert Association (ONDA). 2004. Protest of Andrews-Steens Proposed Resource Management Plan and Final EIS. Oregon Natural Desert Association (ONDA). 2005. Scoping Comments on North Steens Ecosystem Restoration Project. Ozawa, Connie P. and Lawrence Susskind. 1985. “Mediating Science-Intensive Policy Disputes.” Journal of Policy Analysis and Management, 5(1): 23-39. Poirier Elliot, Michael L. 1999. “The Role of Facilitators, Mediators, and Other Consensus Building Practitioners in Consensus Building Handbook” in Susskind, L., McKearnan, S., and Thomas-Larmer, J., eds., The Consensus Building Handbook. (Thousand Oaks, CA, Sage Publications). Potapchuk, William R. and Jarle Crocker. 1999. “Implementing Consensus-Based Agreements” in Susskind, L., McKearnan, S., and Thomas-Larmer, J., eds., The Consensus Building Handbook. (Thousand Oaks, CA, Sage Publications). Questar Market Resources Group. 2004. “Questar’s Experiences & Perspectives Regarding Adaptive Management on the Pinedale Anticline.” Presentation to Northwest Colorado Stewardship Group. Craig, CO, October 30. Shindler, Bruce, and K. Aldred Cheek. 1999. “Integrating Citizens in Adaptive Management: A Propositional Analysis.” Conservation Ecology, 3(1): 9. Shindler, Bruce, et. al. 1999. Monitoring and Evaluating Citizen-Agency Interactions: A Framework Developed for Adaptive Management - General Technical Report PNW-GTR-452. (Washington, DC: United States Department of Agriculture Forest Service). Singleton, Sara. 2002. “Collaborative Environmental Planning in the American West: The Good, the Bad and the Ugly.” Environmental Policy, 11(3): 54-75. Sonoita Valley Planning Partnership (SVPP), Bureau of Land Management Las Cienegas National Conservation Area, Sonoran Institute. 2004. Implementing Our Plan. Susskind, Lawrence and Jeffrey Cruikshank. 1987. Breaking the Impasse: Consensual Approaches to Resolving Public Disputes. (Basic Books). Susskind, Lawrence and Jennifer Thomas-Larmer. 1999. “Conducting a Conflict Assessment” in Susskind, L., McKearnan, S., and Thomas-Larmer, J., eds., The Consensus Building Handbook. (Thousand Oaks, CA, Sage Publications). United States Forest Service (USFS), United States Department of Agriculture. 2002. The Process Predicament: How Statutory, Regulatory, and Administrative Factors Affect National Forest Management. (Washington, DC: USDA Forest Service). United States Institute for Environmental Conflict Resolution (USIECR). 2001. Report and Recommendations on a NEPA Pilot Projects Initiative. (Tucson, Arizona: Morris K. Udall Foundation). Walters, Carl. 1986. Adaptive Management of Renewable Resources. (New York: Macmillan). Walters, Carl. 1997. “Challenges in Adaptive Management of Riparian and Coastal Ecosystems.” Conservation Ecology, 3(1): 9. Walters, Carl J. and C.S. Holling. 1990. “Large-Scale Management Experiments and Learning by Doing.” Ecology, 71(6): 2060-2068. Wondolleck, Julia M. and Steven L. Yaffee. 2000. Making Collaboration Work: Lessons from Innovation in Natural Resource Management. (Washington, D.C.: Island Press). 94 Las Cienegas National Conservation Area Located in the scenic and rural Sonoita Valley of southern Arizona, the 49,000 acres of Las Cienegas National Conservation Area and associated Sonoita Valley Acquisition Planning District (together “Las Cienegas”) were acquired in a land exchange in 1989 by BLM for their outstanding natural, recreational, cultural and historic resources. Congress designed Las Cienegas a National Conservation Area in 2000 to further protect these resources. Managed under the Las Cienegas RMP completed in 2003, Las Cienegas is surrounded on three sides by national forest and undeveloped state trust lands but is within an hour’s drive of the rapidly expanding Tucson metropolitan area. The landscape is a high desert of rolling grasslands punctuated by important riparian areas along Cienegas Creek, both rare habitat types, home to several endangered species. Cienegas Creek is critical to the city of Tucson for water supply and flood control purposes and two segments of the creek have been proposed for Wild & Scenic River designation. Historic ranch buildings on Las Cienegas are listed on the National Register of Historic Places. With the spectacular scenery and relatively mild weather, dispersed recreation opportunities are excellent. Hiking, mountain biking, off-highway vehicles and hunting are popular. The area has historically been used for cattle grazing and this use continues today. As a National Conservation Area, the primary planning and management concerns on Las Cienegas are maintaining the health of the resources, providing public access, and ensuring the viability of traditional land uses. Compared with many other BLM lands, where commodity extraction, urgent endangered species concerns or other overriding issues have dominated, the different land uses and management goals at Las Cienegas are not as challenging to integrate and conflict has not been as prominent. Planning and management issues on Las Cienegas include balancing grazing use with resource protection, determining the proper mix of recreational opportunities including siting of a segment of the statewide Arizona trail, managing habitat for at least five recently-listed endangered species, ecological restoration projects, road network designations, utility right-of-ways and protecting water quality and quantity. Stakeholders have been closely involved with the planning for Las Cienegas through the Sonoita Valley Planning Partnership (SVPP). SVPP is made up of organizations and individuals and organizations that have identified a common interest in how public lands in the Sonoita Valley are managed. SVPP participants with an interest in management of Las Cienegas include residents of neighboring towns and the larger cities in Arizona. Some represent organized environmental groups, recreational interests, grazing interests and small-scale mining. Government agencies have also participated through the SVPP, including the US Forest Service, Natural Resources Conservation Service, U.S. Geological Survey, Arizona Game and Fish Department, Arizona State Land Department, Arizona Department of Water Resources, and Pima and Santa Cruz Counties. Adaptive management has been applied on Las Cienegas as part of an “Ecosystem Planning” approach that relies on ongoing collaboration, articulating desired outcomes, and managing ecosystems rather than individual resources, uses or jurisdictional units. Adaptive management is seen as necessary for a management approach that emphasizes desired outcomes rather than prescriptive management actions. The Las Cienegas plan is counting on flexibility to adjust actions in response to new information and surprises, without re-initiating the bureaucratic NEPA/Planning process. Since the Las Cienegas RMP was approved in 2003, BLM and SVPP have been focused on implementation. In those two years, numerous management actions called for in the plan have been applied, monitoring has commenced and management of cattle grazing has actually closed the loop of adaptive management, having been implemented, monitored, evaluated and adjusted. Steens Mountain Cooperative Management and Protection Area Steens Mountain is a 30 mile long fault-block mountain in southeastern Oregon that rises from the surrounding sagebrush to near 10,000 feet. The Steens Mountain Cooperative Management and Protection Area (“Steens Mountain”) was designated by congress in 2000 and is approximately 430,000 acres. The surrounding Andrews Management unit accounts for another 1.2 million acres and together these areas are managed under a single BLM RMP approved in 2005. The Steens Mountain area boasts outstanding scenic resources and due to its varied topography, hosts a diversity of ecological communities. Prominent wildlife species include elk, pronghorn, bighorn sheep, sage grouse, and threatened redband trout. The state’s largest stand of aspen trees is also on Steens Mountain. The legislation that created the Cooperative Management and Protection Area also designated 170,000 acres of wilderness, over half of which is restricted from cattle grazing. 29 miles of rivers were also added to the federal Wild & Scenic inventory. Major issues on Steens Mountain include management of the Steens Mountain Wilderness Area relative to private inholdings and appropriate uses, managing grazing, which is a traditional and valued land use in the community, recreational issues such as trail and road designations and off-highway vehicle use, restoration projects such as juniper removal in sagebrush habitat and riparian area management. There has been persistent conflict among stakeholders regarding management of Steens Mountain. Many local residents, including ranching interests and representatives of Harney County are primarily concerned with maintaining traditional ranching and recreational uses in the area. Environmental interests, both locally and from beyond the local area feel that the unique resources of Steens Mountain should receive greater protection and have supported restrictions on traditional uses. Both sides are concerned about the impacts that a large increase in visitation, resulting from the special designation or further development of recreational opportunities, could bring. The Cooperative Management and Protection Area designation for Steens Mountain contains unique language promoting both grazing and other historic uses along with wilderness and resource protection priorities. A call for “cooperative management” also distinguishes Steens Mountain from more typical National Monument or National Conservation Area designations. The legislation created the Steens Mountain Advisory Council (SMAC) to formally represent stakeholders and advise the BLM in managing the CMPA and promote cooperative management. As in other BLM efforts, adaptive management has been included in the Steens Mountain plan in recognition of the fact that even where the goals and objectives of management are known, BLM does not know exactly how to reach them. The ability to make mid-course adjustments will better enable BLM to achieve those goals and objectives. BLM also sees adaptive management as a response to the mandate for cooperative management and hopes that transparency in acknowledging uncertainty, reporting monitoring results and proposing adjustments will help BLM communicate and build support for its actions. The final RMP for Steens Mountain and the Andrews Management Unit was approved in spring 2005, so very few of its identified management actions and little of the formal adaptive management plan have been implemented to date. However, the SMAC has been up and running since shortly after the special legislation was passed in 2000, and several specific habitat management projects have been planned that can be evaluated relative to the critical elements of adaptive management. Pinedale Anticline Oil and Gas Exploration and Development Project Pinedale, Wyoming, a gateway to Yellowstone and Teton National Parks to the north, sits in the Green River valley of western Wyoming in the shadow of the Wind River Mountains. The town’s economy and lifestyle depend on the natural resources that support oil and gas production and tourism. From just outside the city limits, the Pinedale Anticline, a geologic formation thought to hold at least 9 trillion cubic feet of natural gas, stretches south and east for 30 miles. The 197,000 acre project area also provides crucial habitat for the imperiled sage grouse and migration routes for world-class herds of mule deer and pronghorn antelope. Historic resources include one of the few intact segments of the Oregon Trail and Native American sites. Air and water quality in rural Sublette County have been documented as some of the cleanest in the United States and several pristine designated Wilderness areas lie in the National Forest lands of the Wind River Range, directly downwind of the project area. All of these resources and the previously undeveloped scenic vistas make for high quality recreational opportunities. Local citizens fiercely value these resources located, literally in some cases, right on their doorstep. In 1998, several oil and gas companies (“operators”), which were already active in other nearby gas fields, approached BLM with a proposal to explore and develop the natural gas resources on the Pinedale Anticline. The companies had leased the rights to the mineral resources years before and, under U.S. mining laws, hold valid existing rights that allow them significant latitude in developing the field. BLM implemented a NEPA/Planning process to outline conditions for the development. The Record of Decision and Final EIS planning documents for the Pinedale Anticline Oil and Gas Exploration and Development Project ("Pinedale Anticline project"), approved in 2000, permit up to 900 well pads, place a number of conditions on the project including density and spacing of well pads on the land, seasonal timing of drilling and stipulations on road use and construction. Additional actions to mitigate anticipated negative impacts are also identified. As a project-specific implementation plan, all identified issues relate to regulating development of the gas field and managing the development’s impact on the surrounding resources. The plan outlines an adaptive management strategy for adjusting these actions if necessary. From the time the project was proposed in 1998, it generated controversy in the local community and beyond. Despite the industry’s contribution to the local economy, local residents and environmental interests were strongly opposed to the project, due to the potential for negative impacts to the highly valued resources in the project area and surrounding area. The operators’ valid existing rights and the near guarantee that the Pinedale Anticline field would be substantially developed only heightened stakeholder concerns. Recognizing the community’s interest in making the best of this project happening so close to the town and in the midst of so many important resources, BLM built a significant public participation component into the NEPA/Planning process and to heavily weight public comment in the analysis and selection of management alternatives. Monitoring and the ability to rapidly adjust is seen in this case as a way to continue to accommodate stakeholder interests as the field is developed post-decision. Many environmentalists and others interested in minimizing the impact of the project see adaptive management as vehicle for ensuring that resource protection objectives in the plan are met. Most operators are comfortable with adaptive management where it could eliminate costly but ineffective mitigation requirements. Part of the adaptive management strategy is the establishment of a Pinedale Anticline Working Group (PAWG) and issue-specific task groups to advise and assist BLM in developing monitoring protocols and implementing adaptive management. The PAWG was convened with members appointed to represent various local interests, oil and gas operators and BLM. Another factor responsible for BLM’s building adaptive management into the project plan was the extraordinary level of uncertainty surrounding the project. Uncertainty surrounding the extent of impacts was compounded by several underlying uncertainties: How much gas was actually present in the reserve? How many wells would be required to exploit it? How rapidly would the field be developed? Would new drilling and mitigation techniques be applied and effective? Was new federal policy on energy development or land management forthcoming? None of these things were in BLM’s power to control through the NEPA/Planning process. The ability to rapidly adjust those things that BLM could control could provide a means for meeting management goals and objectives in the face of this uncertainty. When project plan was approved in 2000, one of the oil and gas operators filed an appeal, that later became a federal lawsuit, challenging the authority of BLM to implement the adaptive management strategy and claiming that the establishment of the PAWG was a violation of FACA. Although the lawsuit was dismissed, the U.S. Department of Justice conceded that the organization of the PAWG was illegal under FACA. PAWG was disbanded in Spring 2001 pending reorganization under a proper FACA charter and, further, no part of the adaptive management strategy that PAWG had helped develop was allowed to be implemented. The reconstituted, properly chartered PAWG began meeting in mid-2004 and has started over on the work of developing and applying an adaptive management strategy. Meanwhile, exploration and development of the natural gas resources on the Pinedale Anticline has proceeded at a pace more rapid than even the most aggressive estimates considered in the planning process.
Diagnostic evaluation of the infertile male: a committee opinion Practice Committee of the American Society for Reproductive Medicine American Society for Reproductive Medicine, Birmingham, Alabama The purpose of this ASRM Practice Committee report is to provide clinicians with principles and strategies for the evaluation of couples with male infertility problems. This revised document replaces the document of the same name, last published in 2012 (Fertil Steril 2012;98:294–301). (Fertil Steril® 2015; ■:■–■.) ©2015 by American Society for Reproductive Medicine.) Discuss: You can discuss this article with its authors and with other ASRM members at http://fertstertforum.com/asrmpraccomm-diagnostic-evaluation-infertile-male/ Approximately 8%–15% of couples are unable to conceive after 1 year of unprotected intercourse [1]. A male factor is solely responsible in ~20% of infertile couples and contributes in another 30%–40% of couples [2]. A male infertility factor is often defined by abnormal semen parameters but may be present even when the semen analysis is normal. The purpose of this document is to provide clinicians with principles and strategies for the evaluation of couples with male infertility problems. GOALS OF EVALUATION Male infertility can be due to a variety of conditions, many, but not all, of which can be identified and treated. When the cause of abnormal semen parameters cannot be identified, as is true in many patients, the condition is termed idiopathic. Rarely, patients with normal semen quality may have sperm that either are incapable of oocyte fertilization or harbor genetic abnormalities that prevent normal fetal development. Ideally, the identification and treatment of correctable conditions will improve the male partner’s fertility and allow conception to be achieved naturally. Detection of certain genetic causes of male infertility provides the opportunity to inform affected couples about the risk of transmitting genetic abnormalities that may affect the health of offspring, may affect the chance for successful treatment, and can help to guide treatment options. Evaluation of the infertile man also is aimed at identifying any underlying medical conditions that may present as infertility. Some, such as testicular cancer and pituitary tumors, can have serious health consequences if not properly diagnosed and treated [3]. INDICATIONS FOR EVALUATION Evaluation for infertility is indicated for couples who fail to achieve a successful pregnancy after ≥12 months of regular unprotected intercourse. Earlier evaluation and treatment may be justified, based on medical history and physical findings and is warranted after 6 months for couples in which the female partner is >35 years old [4]. Men having concerns about their future fertility also merit evaluation. At a minimum, the initial screening evaluation of the male partner of an infertile couple should include a reproductive history and analysis of at least one semen sample. If the initial evaluation is abnormal, then referral to someone experienced in male reproduction is recommended. Reproductive History The reproductive history should include: 1) coital frequency and timing; 2) duration of infertility and previous fertility; 3) childhood illnesses and developmental history; 4) systemic medical illnesses (such as diabetes mellitus and upper respiratory diseases); 5) previous surgery; 6) medications and allergies; 7) sexual history (including sexually transmitted infections); and 8) exposures to gonadotoxins (including environmental and chemical toxins and heat). Previous fertility does not exclude the possibility of a newly acquired, secondary, male infertility factor. Evaluation is the same for men with primary infertility (never having fathered a pregnancy) and secondary infertility (having previously fathered a pregnancy). Semen Analysis Semen analysis is the cornerstone of the laboratory evaluation of the infertile man and helps to define the severity of the male factor. Physicians should provide patients with standardized instructions for semen collection, including a defined pre-test abstinence interval of 2–5 days. Although a standard duration of abstinence is important for evaluation of semen parameters, some men with severe oligozoospermia can have equal or better sperm concentration with a short (hours) period of abstinence, supporting the potential use of multiple semen analyses during assisted reproductive technology treatment cycles [5–7]. Semen can be collected by means of masturbation into a specimen cup or by intercourse with the use of special semen collection condoms that do not contain substances toxic to sperm. Ideally, the specimen should be collected at the laboratory. If collected at home, the specimen should be kept at room or body temperature during transport and examined in the laboratory within 1 hour of collection. To ensure accurate results, the laboratory should have a quality control program for semen analysis that conforms to the standards outlined in the Clinical Laboratory Improvement Amendments (CLIA); additional information including proficiency testing can be found on the CLIA website [8]. The semen analysis provides information on semen volume as well as sperm concentration, motility, and morphology (Table 1) [9]. Methods for semen analysis are discussed in many textbooks, and detailed laboratory protocols have been published by the World Health Organization (WHO) [10]. The diagnosis of azoospermia can be established only after the specimen is centrifuged (preferably at 3,000g) for 15 minutes and the pellet is examined. The current WHO criteria for evaluating sperm morphology [10] are similar to the “strict criteria” described by Kruger (Tygerberg) [11, 12], in that relatively few sperm are classified as having normal morphology, even in semen obtained from fertile men. Strict sperm morphology has been used to identify couples at risk for poor or failed fertilization with the use of standard in vitro fertilization (IVF) techniques [11] and thus to identify those who may be candidates for intracytoplasmic sperm injection (ICSI) [13]. However, the value and necessity for ICSI in those having isolated abnormalities in strict morphology has been questioned [14]. Clinical reference ranges have been established for sperm concentration, motility, and morphology to help classify men as fertile or subfertile [15]. The semen parameters of men with documented fertility have been compared with those of infertile men among couples participating in a clinical trial of superovulation and intrauterine insemination (IUI). Sperm parameters that predicted male fertility were sperm concentration >48 million/mL, sperm motility >63%, and sperm morphology >12% normal (strict criteria). Parameters that predicted male subfertility were sperm concentration <13.5 million sperm/mL, sperm motility <32%, and sperm morphology <9% normal. Values between the fertile and subfertile thresholds were considered to be “indeterminate” [16]. Although each sperm parameter could predict fertility and subfertility, none was a powerful discriminator. It is important to emphasize that normal reference values for semen parameters do not reflect normal sperm concentration in the general population, nor do they equate with the minimum values required for conception; men with semen variables outside the reference ranges may be fertile, and conversely, men having values within the reference range still may be infertile. COMPONENTS OF A COMPLETE EVALUATION FOR MALE INFERTILITY When the initial screening evaluation reveals an abnormal male reproductive history or demonstrates abnormal semen parameters, a thorough evaluation by a urologist or other specialist in male reproduction is indicated. More detailed evaluation of the male partner should be considered also in couples with unexplained infertility and those who remain infertile after successful treatment of identified female infertility factors. The more thorough evaluation for male infertility should expand on the screening evaluation by including a complete medical history and physical examination performed by a urologist or other specialist in male reproduction. Based on the results obtained, additional tests and procedures may be recommended, including serial semen analyses, endocrine evaluation, post-ejaculatory urinalysis, ultrasonography, specialized tests on semen and sperm, and genetic screening. Medical History The patient’s medical history can identify risk factors and behaviors or lifestyles that could have significant impact on male infertility. In addition to all of the elements of the reproductive history described above, the medical history should be expanded to include: 1) a complete review of systems; 2) family reproductive history; and 3) a detailed social history, including any past or current use of anabolic steroids, recreational drugs, tobacco, and alcohol. Physical Examination A general physical examination is an integral part of the evaluation of infertile men. Particular attention should be directed to the genitalia, including: 1) examination of the penis, noting the location of the urethral meatus; 2) palpation and --- TABLE 1 Lower limits of the accepted reference values for semen analysis. \| Parameter \| Reference value \| \|----------------------------\|------------------------------------------------------\| \| On at least two occasions \| \| \| Ejaculate volume \| 1.5 mL \| \| pH \| 7.2 \| \| Sperm concentration \| $15 \times 10^6$ spermatozoa/mL \| \| Total sperm number \| $39 \times 10^6$ spermatozoa/ejaculate \| \| Percentage motility \| 40% \| \| Forward progression \| 32% \| \| Normal morphology \| 4% normal \| \| And \| \| \| Sperm agglutination \| Absent \| \| Viscosity \| $\leq 2$ cm thread after liquefaction \| Note: Data from World Health Organization, 2010 [10]. Practice Committee. Evaluation of the infertile male. Fertil Steril 2015. measurement of the testes; 3) the presence and consistency of both vasa and epididymides; 4) the presence or absence of a varicocele; 5) secondary sex characteristics, including body habitus, hair distribution, and breast development; and 6) digital rectal examination where indicated. The diagnosis of congenital bilateral absence of the vasa deferentia (CBAVD) is established by physical examination; scrotal exploration is unnecessary. OTHER PROCEDURES AND TESTS FOR ASSESSING MALE INFERTILITY Endocrine Evaluation Hormonal abnormalities of the hypothalamic-pituitary-testicular axis are well recognized, but uncommon, causes of male infertility. Endocrine disorders are extremely uncommon in men with normal semen parameters. An endocrine evaluation is indicated for men having: 1) abnormal semen parameters, particularly when the sperm concentration is <10 million/mL; 2) impaired sexual function; or 3) other clinical findings that suggest a specific endocrinopathy. Some experts think that all infertile men merit an endocrine evaluation, but there is no established consensus of opinion. The minimum initial hormonal evaluation should include measurement of serum FSH and total testosterone (T) concentrations. When the total T level is low (<300 ng/mL), more extensive evaluation is indicated and should include a second early morning measurement of total T and measurements of serum free testosterone (fT), LH, and prolactin (PRL). Although serum gonadotropin concentrations vary because they are secreted in a pulsatile manner, a single measurement usually is sufficient to determine the clinical endocrine status. The relationships among serum T, LH, follicle-stimulating hormone (FSH), and PRL concentrations help to provide an understanding of the source of abnormal total T levels (Table 2). Whereas many men with abnormal spermatogenesis have a normal serum FSH level, a markedly elevated serum FSH concentration clearly indicates an abnormality in spermatogenesis. In individuals with an FSH level in the upper normal range, there may be impaired spermatogenesis as well. Measurement of the thyroid-stimulating hormone (TSH) concentration also should be obtained in men who require a more thorough endocrine evaluation. Serum inhibin B concentration has been proposed as a marker for spermatogenesis. Inhibin B levels are significantly lower in infertile men than in fertile men and correlate better than FSH levels with sperm parameters (17). Given the significantly greater cost of measuring inhibin B, FSH currently remains the preferred test for screening purposes. Post-ejaculatory Urinalysis A low-volume or absent antegrade ejaculate suggests incomplete semen collection, retrograde ejaculation, lack of emission, ejaculatory duct obstruction, hypogonadism, or CBAVD. To exclude retrograde ejaculation, a post-ejaculatory urinalysis should be performed in men having an ejaculate volume <1.0 mL, except in those diagnosed with hypogonadism or CBAVD. It is important also to determine whether an improper or incomplete collection or a very short abstinence interval (<1 day) might be the cause. The post–ejaculatory urinalysis is performed by centrifuging the urine specimen for 10 minutes at 300g, followed by microscopic examination of the pellet at ×400 magnification. In men with azoospermia or aspermia, the presence of any sperm in the post–ejaculatory urinalysis suggests retrograde ejaculation. In men with low ejaculate volume and oligozoospermia, “significant numbers” of sperm must be observed to support the diagnosis of retrograde ejaculation; there is no consensus of expert opinion on the minimum number required (18). Ultrasonography Because nearly the entire male genital tract can be imaged easily and accurately, ultrasonography is a useful tool for detecting abnormalities of the male genital tract that may adversely affect fertility. However, ultrasonography is indicated for only a minority of infertile male patients. Transrectal ultrasonography. Normal seminal vesicles are usually <1.5 cm in anteroposterior diameter (19). Transrectal ultrasonography (TRUS) revealing dilated seminal vesicles or ejaculatory ducts and/or midline cystic prostatic structures suggests, but does not by itself establish, the diagnosis of complete or partial ejaculatory duct obstruction (20). Affected men typically produce a low-volume acidic ejaculate containing no sperm or fructose. Men with CBAVD may exhibit similar findings because they often have absent or atrophic seminal vesicles. Men with partial ejaculatory duct obstruction often, but not always, exhibit low semen volume, oligoasthenospermia, and poor progressive motility. Some experts recommend routine TRUS for oligospermic men having low-volume ejaculates, palpable vasa, and normal --- TABLE 2 Basal hormone levels in various clinical states. \| Clinical condition \| FSH \| LH \| T \| PRL \| \|--------------------------------------------------------\|-------\|-------\|-------\|-------\| \| Normal spermatogenesis \| Normal\| Normal\| Normal\| Normal\| \| Hypogonadotropic hypogonadism \| Low \| Low \| Low \| Normal\| \| Abnormal spermatogenesis<sup>a</sup> \| High/normal \| Normal \| Normal \| Normal \| \| Complete testicular failure/hypergonadotropic hypogonadism \| High \| High \| Normal/low \| Normal \| \| PRL-secreting pituitary tumor \| Normal/low \| Normal/low \| Low \| High \| <sup>a</sup> Many men with abnormal spermatogenesis have a normal serum FSH, but a marked elevation of serum FSH is clearly indicative of an abnormality in spermatogenesis. Practice Committee. Evaluation of the infertile male. Fertil Steril 2015. testicular size with normal serum T, although there is no consensus on this. Scrotal ultrasonography. Careful physical examination can identify most scrotal pathology, including varicoceles, spermatoceles, absent vasa, epididymal induration, and testicular masses. Scrotal ultrasonography can identify occult varicoceles that are not palpable, but such lesions have no demonstrated clinical significance [21]. Scrotal ultrasonography can be helpful for better defining vague or ambiguous physical examination findings or abnormalities (including apparent masses) and can be performed in men having testes located in the upper scrotum, a small scrotal sac, or other anatomy that hinders physical examination. Scrotal ultrasonography should also be considered for men presenting with infertility and risk factors for testicular cancer, such as cryptorchidism or a previous testicular neoplasm, but not as a routine screening procedure. Specialized Clinical Tests on Semen and Sperm In some cases, semen analyses have failed to predict fertility accurately, spurring a search for other methods that might improve the diagnostic evaluation of the infertile man. Generally, such specialized clinical tests should be reserved for circumstances where results would clearly help to direct treatment. Quantification of Leukocytes in Semen Increased numbers of white blood cells in semen have been associated with deficiencies in sperm function and motility. Under wet-mount microscopy, leukocytes and immature germ cells appear quite similar and are properly called “round cells.” Unfortunately, many laboratories improperly report all round cells as “white blood cells,” and in men with such findings, the clinician must ensure that the two types of cells are differentiated. A number of methods are available to distinguish leukocytes from immature germ cells, including traditional cytologic staining and immunohistochemical techniques [22]. Men with true pyospermia (>1 million leukocytes/mL) should be specifically evaluated to exclude genital tract infection or inflammation. Tests for Antisperm Antibodies Antisperm antibodies (ASA) are a rare cause of male subfertility that do not require routine testing and are typically managed with the use of ICSI. Testing for ASA has historically been done when the semen analysis reveals isolated asthenospermia (with normal sperm concentration) or sperm agglutination. ASAs can be found in the serum, in the seminal plasma, or bound directly to sperm. ASAs can form when there is a breach in the blood-testis barrier and the immune system is exposed to large quantities of sperm antigens or after vasectomy. Risk factors for ASA formation include trauma, torsion, biopsy, orchitis, testicular cancer, and vasectomy. Whereas indirect antibody agglutination assays are used to detect ASA in serum or seminal plasma, a direct immunobead test is used to detect ASA (IgG and IgA) bound to the sperm head or tail. Sperm-bound antibodies are thought to be clinically important because they can decrease motility, block penetration of the cervical mucus, and prevent fertilization, thereby decreasing the likelihood for conception [23]. Although some have suggested ASA testing for couples with unexplained infertility, the clinical utility of the test in such couples is uncertain, and ASA testing is unnecessary if ICSI is planned [24]. One recent study has suggested that detection of serum ASA correlates with the presence of spermatogenesis in men with azoospermia and can obviate the need for diagnostic testicular biopsy to help determine whether obstruction is present [25]. Men with azoospermia and ASA are likely to have reproductive tract obstruction. Otherwise, routine testing for ASA is not indicated. Sperm Viability Tests Sperm viability can be assessed by mixing fresh semen with a supravital dye, such as eosin Y or trypan blue, or by the use of the hypoosmotic swelling (HOS) test [10]. These assays determine whether nonmotile sperm are viable by identifying which sperm have intact cell membranes. In dye tests, viable sperm actively exclude the dye and remain colorless whereas nonviable sperm readily take up the stain. Unfortunately, sperm judged to be viable by means of dye tests cannot be used for IVF. In the HOS test, viable nonmotile sperm, which swell when incubated in a hypoosmotic solution, can be used successfully for ICSI [26]. Viable nonmotile sperm can also be identified by means of incubation in pentoxifylline. Viable sperm will develop motility after exposure to pentoxifylline [27]. Sperm Deoxyribonucleic Acid (DNA) Fragmentation Tests DNA integrity is important for normal embryo development. Sperm DNA integrity is maintained in part by the effect of disulfide cross-links between protamines that allow for the compaction of chromatin in the nucleus. Sperm DNA damage can occur as a result of intrinsic factors, such as protamine deficiency and mutations affecting DNA compaction, or from extrinsic factors, such as heat, radiation, and gonadotoxins. The term “DNA fragmentation” refers to denatured or damaged sperm DNA that can not be repaired. A number of clinical tests have been developed to measure sperm DNA fragmentation rates. Direct methods, such as the single-cell gel electrophoresis assay (Comet) and terminal deoxynucleotide transferase–mediated dUTP nick-end labeling (TUNEL) assays, specifically analyze the number of breaks in the DNA. Indirect tests, such as the sperm chromatin structure assay (SCSA), define abnormal chromatin structure as an increased susceptibility of sperm DNA to acid-induced denaturation in situ [28]. Threshold values used to define an abnormal test are ≥25%–27% for the SCSA [29] and ≥36% for TUNEL assays [30]. Sperm DNA damage is more common in infertile men and may contribute to poor reproductive performance in some couples. Sperm DNA damage is also associated with spontaneous recurrent miscarriage. However, existing data relating to the relationship between abnormal DNA integrity and reproductive outcomes are too limited to routinely recommend any of these tests for the male partner in an infertile couple, but the effect of abnormal sperm DNA fragmentation on the value of IUI or IVF and ICSI results may be clinically informative (31). Although no treatment for abnormal DNA integrity has been proven to have clinical value, varicocele repair and antioxidant use may affect sperm DNA integrity. Sperm retrieved from the testis tend to have better sperm DNA quality in men with abnormal ejaculated sperm DNA integrity (32). Because the prognostic clinical value of DNA integrity testing may not affect the treatment of couples, the routine use of DNA integrity tests in the clinical evaluation of male-factor infertility is controversial (33). Less Commonly Used Specialized Tests Numerous other tests of sperm function have been used predominantly in research studies. Sperm penetration assays may detect defects in sperm fertilizing capacity and could identify patients who would benefit from application of ICSI. However, because ICSI is routinely used during IVF for male-factor infertility couples, this test is rarely of any clinical value. The acrosome reaction of human sperm can be detected with the use of specialized staining techniques. Rates of spontaneous acrosome reactions and acrosome reactions induced by agents such as calcium ionophore and progesterone have been measured. Sperm from infertile men tend to demonstrate higher acrosome levels spontaneously but lower levels in the presence of inducers (34). A number of biochemical tests of sperm function have been studied, including measurements of sperm creatine kinase (35) and reactive oxygen species (ROS). ROS appear to be generated by both seminal leukocytes and sperm cells and can interfere with sperm function by peroxidation of sperm lipid membranes and creation of toxic fatty acid peroxides (36). Other tests and procedures have been used to select sperm for ICSI and may identify gametes with better quality, including hyaluronic acid binding, membrane maturity testing, apoptotic evaluation, and magnified sperm examination (37). However, these tests have a very limited role in the evaluation of male infertility because they have limited clinical utility and typically do not affect treatment. Genetic Screening Genetic abnormalities can cause infertility by affecting sperm production or sperm transport. Men with nonobstructive azoospermia or severe oligozoospermia (< 5 million/mL) are at increased risk for having a genetic abnormality compared to fertile men (38). The most common genetic abnormalities found in such men are numeric and structural chromosomal aberrations that impair testicular function and Y-chromosome microdeletions that are associated with isolated defects in spermatogenesis. In addition, most men with CBAVD can be assumed to have an abnormality of the cystic fibrosis transmembrane conductance regulator (CFTR) gene. When indicated, efforts to identify genetic causes for infertility can have a major impact on the choice and outcome of treatment. Cystic fibrosis gene mutations. There is a strong association between CBAVD and mutations of the CFTR gene, which is located on chromosome 7 (39). Almost all men with clinical cystic fibrosis exhibit CBAVD. Additionally, as many as 80% of men with CBAVD have documented mutations of the CFTR gene. Failure to detect a CFTR abnormality in men with CBAVD does not exclude the presence of a mutation that cannot be identified with currently available methods. Therefore, most men with CBAVD should be assumed to have a CFTR gene mutation unless they have renal anomalies. To determine the risk of conceiving a child affected with cystic fibrosis, it is important to test the female partner of an affected man. Even if the female partner is negative according to currently available testing, the couple remains at some risk because some of the less common mutations may be missed unless the entire gene is sequenced. The prevalence of CFTR mutations is also increased among men with azoospermia related to congenital bilateral obstruction of the epididymides and those with unilateral vasa agenesis. Consequently, genetic evaluation should be considered for those having either abnormality. Some men presenting with either unilateral or bilateral vasal agenesis and unilateral renal agenesis have the mesonephric duct abnormalities associated with hereditary renal adysplasia, which has an autosomal dominant form of inheritance with incomplete penetrance and variable expression. These patients do not have CFTR mutations and require genetic counseling before IVF (40, 41). Karyotypic chromosomal abnormalities. The prevalence of chromosomal abnormalities is increased in infertile men and inversely proportional to sperm count; the prevalence is 10%–15% in azoospermic men (42), ~5% in men with severe oligozoospermia (< 5 million/mL), and < 1% in men with normal sperm concentrations (43). Sex chromosomal aneuploidy (Klinefelter syndrome; 47,XXY) accounts for about two thirds of all chromosomal abnormalities observed in infertile men (44). The prevalence of structural autosomal abnormalities, such as inversions and balanced translocations, also is higher in infertile men than in the general population (45). Rare azoospermic men may be found to have the 46,XX disorder of sexual development resulting from translocation of sex-determining region Y (SRY) to one of their X chromosomes. Couples in which the male partner has a gross karyotypic abnormality are at increased risk for miscarriages and for having children with chromosomal and congenital defects. Therefore, men with nonobstructive azoospermia or severe oligozoospermia should be evaluated with a high-resolution karyotype before using their sperm to perform ICSI. Y-chromosome microdeletions. Microdeletions of clinically relevant regions of the Y chromosome have been found in 7% of infertile men with severely impaired spermatogenesis, compared with 2% of normal men. However, the percentage of men with Y-chromosome microdeletions increases to 16% in men with azoospermia or severe oligozoospermia (46). Such microdeletions are too small to be detected by standard karyotyping, but they can be identified with the use of polymerase chain reaction techniques to analyze sequence-tagged sites that have been mapped along the entire length of the Y chromosome. Most deletions causing azoospermia or oligozoospermia occur in regions of the long arm of the Y chromosome (Yq11) known as the azoospermia factor (AZF) regions, designated as AZFa (proximal), AZFb (central), and AZFc (distal). It appears that these regions, and possibly other regions of the Y chromosome, contain multiple genes necessary for spermatogenesis. For example, the DAZ (deleted in azoospermia) gene, which encodes a transcription factor usually present in men with normal fertility, is located in the AZFc region. The specific location of the deletion along the Y chromosome influences its effect on spermatogenesis. Many men with a microdeletion in the AZFc region of the Y chromosome have severe oligozoospermia. Others with AZFc region deletions are azoospermic but may still produce sufficient numbers of sperm to allow testicular sperm extraction. Sperm production in such men appears to be stable over time, and the results of ICSI are not affected adversely by the AZFc deletion (47). In contrast, deletions involving the entire AZFb region appear to predict a very poor prognosis for sperm retrieval (48). The same may be true for men having deletions involving the entire AZFa region of the Y chromosome (49). Sons of individuals with Y-chromosome microdeletions will inherit the abnormality and, therefore, may also be infertile (50). Although a microdeletion of the Y chromosome is not known to be associated with other health problems, few data exist regarding the phenotypes of the sons of fathers with such genetic abnormalities. A recent report showed that some men with Y-chromosome microdeletions had abnormalities of the pseudoautosomal regions (PARs) of the Y chromosome. Although most of these men had some sperm production, 16% of men had genetic aberrations of the short-stature-homeo-box (SHOX) gene, the best known gene in PAR1. SHOX gene abnormalities are associated with short stature, mental retardation, and arm and wrist deformities (51). It is important to note that a negative Y-chromosome microdeletion test result does not necessarily exclude a genetic abnormality, because there may be other, currently unknown, gene sequences on the Y or other chromosomes that also might be required for normal spermatogenesis. Conversely, some Y-chromosome microdeletions are rarely found in fertile or subfertile males who have fathered children (46, 52). Y-Chromosome analysis should be offered to men who have nonobstructive azoospermia or severe oligozoospermia before performing ICSI with their sperm. SPERM CHROMOSOME ANEUPLOIDY Sperm DNA aneuploidy can be assessed by fluorescent in situ hybridization technology (53). One study has reported that up to 6% of men presenting with infertility and a normal karyotype had an increased frequency of meiotic alterations detectable in their sperm (54). Men with the highest risk of sperm aneuploidy are those with karyotypic abnormalities, severely abnormal sperm morphology, and nonobstructive azoospermia (53). Patients with recurrent pregnancy loss and recurrent IVF failure also may benefit from sperm aneuploidy testing (55, 56). Currently, limitations to the routine use of this technology include cost, inability to screen the actual sperm used in ICSI, and difficulty of assigning a meaningful risk assessment to couples based on the test results (57). SUMMARY Men with nonobstructive azoospermia or severe oligozoospermia (<5 million/mL) are at increased risk for having a definable genetic abnormality and should be offered karyotype and Y-chromosome analysis before performing ICSI with their sperm. Genetic counseling may be offered when a genetic abnormality is suspected in either the male or the female partner and should be provided whenever a genetic abnormality is detected. CONCLUSION An initial screening evaluation of the male partner of an infertile couple is indicated when pregnancy has not occurred after 12 months of unprotected intercourse or after 6 months of failure to conceive when the female partner is >35 years old. Earlier evaluation may be warranted when medical history and physical findings indicate or suggest specific male or female infertility risk factors and for men who question their reproductive potential. A thorough evaluation by a urologist or other specialist in male reproduction, including a complete medical and reproductive history and physical examination, should be performed if the initial screening evaluation reveals an abnormal male reproductive history or demonstrates abnormal semen parameters. Additional tests aimed at defining the cause may be required. Acknowledgments: This report was developed under the direction of the Practice Committee of the American Society for Reproductive Medicine (ASRM) as a service to its members and other practicing clinicians. Although this document reflects appropriate management of a problem encountered in the practice of reproductive medicine, it is not intended to be the only approved standard of practice or to dictate an exclusive course of treatment. Other plans of management may be appropriate, taking into account the needs of the individual patient, available resources, and institutional or clinical practice limitations. The Practice Committee and the Board of Directors of the American Society for Reproductive Medicine have approved this report. The following members of the ASRM Practice Committee participated in the development of this document. All Committee members disclosed commercial and financial relationships with manufacturers or distributors of goods or services used to treat patients. Members of the Committee who were found to have conflicts of interest based on the relationships disclosed did not participate in the discussion. 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Unilateral renal agenesis associated with congenital bilateral absence of the vas deferens: phenotypic findings and genetic considerations. Hum Reprod 2001;16:282–8. 41. McPherson E, Carey J, Kramer A, Hall JG, Pauli RM, Schimke RN, et al. Dominantly inherited renal adysplasia. Am J Med Genet 1987;26:863–72. 42. van Assche E, Bonduelle M, Tournaire H, Joris H, Verheyen G, Devroey P, et al. Cytogenetics of infertile men. Hum Reprod 1996;11(Suppl 4):1–25. 43. Ravel C, Berthaut I, Bresson JL, Siffroi JP. Genetics Commission of the French Federation of CECOS. Prevalence of chromosomal abnormalities in phenotypically normal and fertile adult males: large-scale survey of over 10,000 sperm donor karyotypes. Hum Reprod 2006;21:1484–9. 44. de Braekeleer M, Dao TN. Cytogenetic studies in male infertility: a review. Hum Reprod 1991;6:245–50. 45. Debiec-Rychter M, Jakubowski L, Truszczaik B, Moruzgala T, Kaluzewski B. Two familial 9;17 translocations with variable effect on male carriers’ fertility. Fertil Steril 1992;57:933–5. 46. Pryor JL, Kent-Frist M, Mualem A, Van Bergen AH, Nolten WE, Meisner L, et al. Microdeletions in the Y chromosome of infertile men. N Engl J Med 1997;336:534–9. 47. Oates RD, Silber S, Brown LG, Page DC. Clinical characterization of 42 oligospermic or azoospermic men with microdeletion of the AZFc region of the Y chromosome, and of 18 children conceived via ICSI. Hum Reprod 2002;17:2813–24. 48. Brandell RA, Mielnik A, Liotta D, Ye Z, Veeck LL, Palermo GD, et al. AZFb deletions predict the absence of spermatozoa with testicular sperm extraction: preliminary report of a prognostic genetic test. Hum Reprod 1998;13:2812–5. 49. Krausz C, Quintana-Murci L, McElreavey K. Prognostic value of Y deletion analysis: what is the clinical prognostic value of Y chromosome microdeletion analysis? Hum Reprod 2000;15:1431–4. 50. Kent-First MG, Kol S, Muallem A, Ofir R, Manor D, Blazer S, et al. The incidence and possible relevance of Y-linked microdeletions in babies born after intracytoplasmic sperm injection and their infertile fathers. Mol Hum Reprod 1996;2:943–50. 51. Jorgez CJ, Weedin JW, Sahin A, Tannour-Louet M, Han S, Bournat JC, et al. Aberrations in pseudoautosomal regions (PARs) found in infertile men with Y-chromosome microdeletions. J Clin Endocrinol Metab 2011;96:E674–9. 52. Kent-First M, Muallem A, Shultz J, Pryor J, Roberts K, Nolten W, et al. Defining regions of the Y-chromosome responsible for male infertility and identification of a fourth AZF region (AZFd) by Y-chromosome microdeletion detection. Mol Reprod Dev 1999;53:27–41. 53. Carrell DT. The clinical implementation of sperm chromosome aneuploidy testing: pitfalls and promises. J Androl 2008;29:124–33. 54. Egozcue S, Blanco J, Vendrell JM, Garcia F, Veiga A, Aran B, et al. Human male infertility: chromosome anomalies, meiotic disorders, abnormal spermatozoa and recurrent abortion. Hum Reprod Update 2000;6:93–105. 55. Carrell DT, Wilcox AL, Lowy L, Peterson CM, Jones KP, Erickson L, et al. Elevated sperm chromosome aneuploidy and apoptosis in patients with unexplained recurrent pregnancy loss. Obstet Gynecol 2003;101:1229–35. 56. Petit FM, Frydman N, Benkhalfa M, Le Du A, Aboura A, Fanchin R, et al. Could sperm aneuploidy rate determination be used as a predictive test before intracytoplasmic sperm injection? J Androl 2005;26:235–41. 57. Tempest HG, Martin RH. Cytogenetic risks in chromosomally normal infertile men. Curr Opin Obstet Gynecol 2009;21:223–7.
Neeta Goel, MD, FAAFP INSTALLED AS 2021-2022 President during the VAFP 2021 Annual Meeting & Exposition. SEE PAGE 10 WE DO THIS FOR YOU AGGRESSIVE CLAIMS DEFENSE Getting the right pieces in place is the foundation of every strong defense. At Professionals Advocate, our aggressive and unyielding approach to defending good health care has made us one of the leading professional liability insurers in the region. Our dedicated claims management team utilizes only top defense attorneys. When we’re defending your reputation and your practice, our strategy is simple: we don’t back down. Aggressive claims defense is one of the many benefits of being a ProAd Insured. Our Doctors also enjoy: - Access to the best defense attorneys in the region - The Mutual Advantage Plan financial reward program - MedGuard administrative defense coverage and e-dataRESPONSE data breach response - Comprehensive risk management education programs with premium discounts and CME credits - A large collection of online resources - Superior service from experienced, local insurance Agents and Brokers. Proudly defending Virginia’s Doctors PROAD.COM The mission of the VAFP is to empower its members to be physicians who provide high quality, accessible health care, dedicate themselves to the well-being of the citizens of Virginia, and are guided by the principle that the family physician remain the specialist of choice to guide lifelong health care. The vision of the VAFP is for Virginia to be the best place for our citizens to receive their health care and for family physicians to practice medicine. OFFICERS PRESIDENT Neeta Goel, M.D. • Ashburn PRESIDENT-ELECT David Gregory, M.D. • Roanoke FIRST VICE-PRESIDENT Denee Moore, M.D. • North Dinwiddie SECOND VICE-PRESIDENT Timothy Yu, MD • Fairfax PAST PRESIDENT Jerome Provenzano, M.D. • Newport News TREASURER Charles Frazier, M.D. • Williamsburg SECRETARY Robin Anderson, M.D. • Virginia Beach DIRECTORS Jonathan W. Biggers, D.O. • Aylett Julia A. Bruce, M.D. • Clifton Sharon Diamond-Myrsten, M.D. • Keswick Joseph L. Fields-Johnson, D.O. • Richmond Alison Huffstetler, M.D. • Fairfax Macy Rupprecht, D.O. • Chincoteague Mark Ryan, M.D. • Richmond Bobbie Jo Sperry, M.D. • Yorktown Emily Young, D.O. • Charlottesville RESIDENT REPRESENTATIVES Paulius Mui, M.D. • Shenandoah Valley Family Medicine Residency Kevin A. Lavender, D.O. • Riverside Family Medicine Residency STUDENT REPRESENTATIVES Sarah E. Beaverson • Virginia Commonwealth University School of Medicine Claire Lockman • Liberty University College of Osteopathic Medicine ADVISORS AAFP DELEGATES Jesus L. Lizarraburu, M.D. • Yorktown Kent Willyard, M.D. • Newport News AAFP ALTERNATE DELEGATES Emmeline Gasink, M.D. • Newport News Delmas Bolin, M.D., PhD • Salem EX OFFICIO MEMBERS Alison Dobbie, M.D. • Eastern Virginia Medical School Brian Dickens, D.O. • Via College of Osteopathic Medicine Michael Jeremiah, M.D. • Virginia Tech/Carilion School of Medicine Li Li, M.D. • University of Virginia Raena M. Pettitt, D.O. • Liberty University School of Medicine Scott Strayer, M.D., M.P.H. • Virginia Commonwealth University Dear Colleagues, I hope you have had a great summer taking care of your patients, family, friends, and, most importantly, yourselves. It was great to see many of you at Virginia Beach for the 2021 Annual Meeting. I trust you enjoyed networking with colleagues and the educational sessions organized by Dr. Mitch Miller, the CME Committee Chair, and the Virginia Academy of Family Physicians (VAFP) staff. Over the last year, people across the globe have experienced a healthcare crisis of their lifetime. The Virginia family physicians have risen to the occasion, responding to understandably apprehensive Virginians as the first and most trusted contact for their health concerns, helping them navigate a crisis new to physicians themselves, many times keeping their patients above their safety. It has been a stressful time for all, but I am proud to say that the VAFP has emerged to be stronger, extra resilient, and ready to support you more than ever. The credit goes to the tremendous insights of the past presidents, incredibly talented and experienced team of officers and board of directors led by the Academy’s 74th President, Dr. Jerome Provenzano, and an extremely hardworking and dedicated team of staff led by the Executive Vice President, Mary Lindsay White. This team adapted with time, innovating new ways to connect with the family physicians across the state, ensuring the collaboration with the Virginia Department of Health to address the pandemic’s impact on our family physicians. The COVID-19 crisis has enhanced the partnership among various primary care professional organizations in the Commonwealth of Virginia, as we learned of the common challenges experienced by physicians and patients during a public health emergency. The experts believe that the pandemic has somewhat accelerated the much-needed shift from fee-for-service models to value-based reimbursement models that incentivize physicians for improved health outcomes instead of paying to do more tests and procedures. It will be necessary for family physicians to adapt to these models of care, with more emphasis on outcomes and patient experience, while delivering excellent quality care. The Academy will be here to support the physicians in this transition as appropriate. The member advocacy and legislative initiatives are top priorities for the Academy. We recently sent you a brief survey to help you share the legislative issues you consider a top priority for practicing in Virginia. Your participation will help ensure greater value from the resources currently invested in the VAFP legislative program and will assist our Legislative Committee, led by Dr. Jesus Lizarzaburu and Hunter Jamerson, JD, in advocating for the initiatives most important to you. Thank you all for trusting your Academy to cultivate a Commonwealth of Virginia desirable to family physicians from all walks of life. It is my honor and privilege to serve as the 75th President of your Academy. I look forward to seeing you at the Winter Family Medicine Weekend in January. With tremendous respect and gratitude, Neeta Goel, M.D. NURSE PRACTITIONER AUTONOMY VAFP remains steadfast in its advocacy that appropriate medical education and training is necessary in order to safely practice medicine in Virginia. This debate will continue into fall as the Department of Health Professions publishes its workforce studies. The Joint Board of Medicine and Nursing received recommendations from the Board of Nursing to maintain the reduced two-year clinical practice standard as the basis for autonomous nurse practitioner practice of medicine. Alternatively, the Joint Board of Medicine and Nursing received a recommendation from the Board of Medicine to restore the five-year clinical practice standard prior to autonomous practice of medicine by nurse practitioners. The issue of nurse practitioner scope of practice will be a significant part of the 2022 General Assembly session as the General Assembly determines whether or not to extend the sunset clause on the two-year clinical standard. INTER-SESSION While the General Assembly is not in session, legislative activities continue in the form of Commissions, Inter-Session Committees, and Health Regulatory Boards. VAFP is an active participant in these forums, including the Joint Commission on Health Care, the Health Insurance Reform Commission, the Medicaid Physician Liaison Committee, the Board of Medicine and the Board of Health Professions. These inter-session activities offer the opportunity for more intensive studies and debates of key policy issues. In addition to health workforce studies, VAFP is also focused on prescribing guidance documents, medical and recreational cannabis, and health care reimbursement. One key activity this summer has been the negotiation and development of pharmacist practice protocols related to the initiation of therapy and certain clinical testing. GOVERNOR’S RACE AND GENERAL ASSEMBLY The Democratic nominee for Governor is Terry McAuliffe, who is poised to return to the Governor’s mansion for a non-contiguous second term. Republicans have nominated former private equity CEO Glen Youngkin. Polls have variously shown a race within the margin and a slight lead for McAuliffe outside of the margin of error. While the Senate of Virginia is not up for re-election this cycle, the entire House of Delegates must stand for re-election. Democrats hold a 54-46 advantage in the House today, although several seats were won with very narrow margins (the narrowest being 27 votes). Republicans are contesting nearly every seat in the General Assembly. While shifting population demographics tend to favor Democrats maintaining a narrow majority, a low turnout election could certainly result in Republicans taking control of the House of Delegates. Split control of the General Assembly would dramatically reshape health policy in Virginia. 2022 LEGISLATIVE SESSION PREVIEW VAFP’s legislative priorities include a focus on health equity in order to ensure that all Virginians have an opportunity to be as healthy as possible. Ensuring that all Virginians have access to quality physician-led healthcare, access to clean water, transportation, vaccines, and other necessities, in addition to ensuring that a family physician health workforce is available in all geographies and ensuring that fair compensation is available for physician services will all help improve the quality of health of Virginians. VAFP is helping lead the way on health equity in the Commonwealth. Regardless of the electoral victors, however, VAFP will again vigorously contest and defend scope of practice and health workforce issues. VAFP will also focus on continuing to support the health of the public in Virginia, this year looking closely at mandatory preventative healthcare screenings. Your input into VAFP’s legislative policy is welcome – please contact VAFP Legislative Committee Chair Jesus Lizarzaburu, M.D. or the VAFP staff with your ideas and feedback. DONATE NOW TO THE FAMDOC PAC WWW.FAMDOCPAC.ORG JULY 8, 2021 • Approved the minutes from the April 14, 2021, VAFP Board of Directors virtual meeting. • Heard report from VAFP 2021-22 President Neeta Goel, MD on the Nominating Committee’s slate of officers and directors. • Heard report from VAFP CME Committee Chair, Mitch Miller, MD on the 2021 VAFP Annual Meeting, contract negotiations for the 2022 VAFP Annual Meeting and the dates for the 2022 Winter Family Medicine Weekend. • Heard update from ML White on the group KSA’s completed and scheduled in 2021. • Heard report from VAFP Legislative Committee Chair, Jesus Lizarzaburu and VAFP Legislative Consultant and General Counsel Hunter Jamerson, JD, MBA, on the 2021 Virginia General Assembly Special Session, the VAFP’s 2022 legislative priorities and other regulatory/administrative updates. • Approved communications with the Governor’s office on ways the VAFP supports utilizing the budget surplus monies. • Heard update from members serving on the Virginia Center for Health Innovations’ Primary Care Task Force and Sub-groups. • Held discussion and heard update from Virginia Department of Health physician, Brooke Rossheim, MD, regarding point of care COVID Testing and Monoclonal Antibody Therapy. • Heard update from the Resident, Student & Faculty Committee Co-Chair Denee Moore, MD on the 2021 Scholarly Symposium slated for Saturday, November 13, 2021. • Heard comments from VAFP Resident and Student Representatives – Drs. Paulius Mui & Kevin Lavender, Claire Lockman & Sarah Beaverson. • Heard update on VAFP Foundation Choose VA Scholarship from Foundation Chair Roger Hofford, MD. • Heard update from Dave Gregory, MD, VAFP’s representative to the Virginia Neonatal/Perinatal Collaborative. • Approved a motion to request family medicine representation on the recently created Maternal Death Review Committee. • Heard update from Dr. Hofford on a meeting with the Virginia Workforce Development Authority and Senator Barker. • Reviewed the resolution submitted by the VAFP to the AAFP Virtual Congress of Delegates. • Discussed national leadership opportunities on AAFP Commissions and on the AAFP Foundation. • Presented outgoing Board plaques to the Secretary, Directors and Resident and Student Directors. JULY 11, 2021 • Welcomed new members of the Board Joe Fields-Johnson, DO, Jonathan Biggers, DO and Julia Bruce, MD. • Participated in a Board Orientation as presented by VAFP President Neeta Goel, MD • Heard report from VAFP CME Committee Chair Mitch Miller, MD on the 2021 VAFP Annual Meeting and potential locations for the 2022 VAFP Annual Meeting. • Discussed and approved an opportunity for a member webinar on rapid COVID Testing and Monoclonal Antibody Therapy. • Heard report from VAFP Legislative Committee Chair, Jesus Lizarzaburu and VAFP Legislative Consultant and General Counsel Hunter Jamerson, JD, MBA, on the 2021 Virginia General Assembly Special Session, the VAFP’s 2022 legislative priorities and other regulatory/administrative updates. • Discussed national leadership opportunities on AAFP Commissions. • Discussed the nomenclature of family medicine vs family practice and the words clinician or physician vs. provider with a suggestion from the Board to request all CME speakers to refer to the audience at CME events as family physicians practicing family medicine. 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Over 175 family physicians and other healthcare professionals attended both in person and virtually. All enjoyed a variety of CME! Some comments from the meeting! • Another great meeting! Thanks to all for your hard work. • Excellent speakers, length of presentations was excellent, and live help was wonderful. • Fabulous, as usual! In spite of the pandemic, your dedication to VAFP physicians is phenomenal! Thank you for an outstanding conference! • Great meeting. Congrats to the entire team. Good useful CME. Great setup. Fine meals. Great to be back. • Great to get back to live events and meeting real people • I attended virtually by Zoom and this went very well. • Online was very convenient! Thank you for offering this! • It was great to be back to live meetings. VAFP provides great opportunity for learning, CME activities. Staff is very supportive, thank you for being there all times and assisting with all questions throughout. • Well done meeting as always, CME content was well balanced and strong, location is amazing and the food was great! • Well organized and informative conference! The Academy deeply thanks the following organizations for supporting the 2021 Annual Meeting & Exposition DIAMOND SPONSOR Professionals Advocate Insurance Company The Academy gratefully acknowledges the participation and support of these organizations that chose the 2021 Annual Meeting & Exposition to display their products and service! Thank you! EXHIBITING ORGANIZATIONS 1st Advantage Federal Credit Union Aledade Anthem Boehringer Ingelheim Bon Secours Mercy Health Carilion Clinic Centra Medical Group ChenMed, LLC Defense Health Agency Civilian Medical Corp Esperion Legacy Care LifePoint Health Merek Vaccines Patient First Privia Health Professionals Advocate Insurance Riverside Health System Sanofi Pharmaceuticals Sentara Healthcare The Dairy Alliance Tidewater Physicians Multispecialty Group (TPMG) TrueBlue MD VCU Opioid Addiction Project ECHO Virginia Academy of Physician Assistants YHB/CPA’s & Consultants CME SPONSORS American Academy of Family Physicians - Resiliency and Wellness North Carolina Academy of Family Physicians in collaboration with Spire Learning and supported through an educational grant from Amgen - Osteoporosis Primary Care Education Consortium and supported by an educational grant from Bayer HealthCare Pharmaceuticals Inc. - Diabetic Kidney Disease Professionals Advocate Insurance - Medical Legal Updates Smart Smiles at the Doctor supported by Delta Dental of Virginia - Oral Health The Dairy Alliance - Nutrition Virginia Academy of Family Physicians Foundation - Preconception Care - Planning for Healthy Mom’s & Babies William Johnson West Lectureship VCU Department of Family Medicine & Population Health - Top Ten Evidence-Based Medicine Updates ANNUAL MEETING SPONSORS Professionals Advocate Insurance – Diamond Sponsor, Attendee giveaways The Dairy Alliance – Grab n’ Go Break Sponsor Patient First – Grab n’ Go Break Sponsor TrueBlue MD - Lunch Presentation Sponsor Anthem Healthkeepers Plus ChenMed, LLC Neeta Goel, MD, Ashburn, was installed as the 75th President of the Virginia Academy of Family Physicians on Friday evening, July 9th during the VAFP 2021 Annual Meeting & Exposition. The VAFP 2021 Annual Meeting & Exposition was held July 9-11 in Virginia Beach, Virginia. Sterling N. Ransone, Jr., MD, FAAFP, VAFP Past President & AAFP President Elect had the privilege of installing Dr. Goel. Congratulations Dr. Goel! Newly installed VAFP Board of Directors - The VAFP 2021-2022 Board of Directors is installed by VAFP Past President and AAFP President Elect Sterling N. Ransone, Jr., MD, FAAFP during the VAFP 2021 Annual Meeting and Exposition. Pictured left to right are: President Elect Neeta S. Goel, MD, FAAFP; Roanoke; First Vice President Denee J. Moore, MD, FAAFP, North Dinwiddie; Second Vice President Timothy J. Yu, MD, FAAFP, Midlothian; Treasurer Charles O. Frazier, MD, FAAFP, Williamsburg; Secretary Robin N. Anderson, MD, Virginia Beach; Director Joseph L. Fields-Johnson, DO, Richmond; Director Jonathan W. Biggers, DO, Aylett and AAFP Delegate Kent E. Williard, MD, FAAFP, Newport News. Not pictured are Director Julia A. Bruce, MD, Clifton and AAFP Alternate Delegate Delmas J. Bohin, MD, PhD, FAAFP, Roanoke. VAFP Past Presidents that were in attendance and the newly installed President. Kent E. Williard, MD, FAAFP, Newport News; Charles O. Frazier, MD, FAAFP, Williamsburg; Janice E. Bagland, MD, FAAFP, Herndon; Jerome A. Pravanzano, MD, Newport News; Neeta Goel, MD, Ashburn; Larry G. Mitchell, MD, FAAFP, Richlands; Sterling N. Ransone, Jr., MD, FAAFP, Deltaville; Dena R. Hall, MD, Suffolk; Emmeline S. Gasink, MD, FAAFP, Newport News; Mitchell B. Miller, MD, FAAFP, Virginia Beach & Jesus L. Lizarzaburu, MD, FAAFP, Yorktown. Healthcare in Virginia will never be the same. WILL YOU? We’re transforming healthcare – and lives – in Richmond and Tidewater and we’re looking for some great PCPs to join us. Our value-based care model works. For our physicians and our patients. We need you to help us deliver better health to Richmond and Tidewater’s neediest population: seniors. We’re JenCare Senior Medical Center. Privately-owned and physician-led, we operate nearly 80 primary care practices in 10 states. We’re expanding rapidly, hiring only the very best and brightest who share our commitment to serving Richmond and Tidewater’s seniors with better patient outcomes. Our PCPs enjoy: - Great compensation and benefits - Profit-sharing bonus opportunities - One-year path to partnership - Smaller patient panels (450 on average) - True work/life balance - And so much more To discuss opportunities or for more information, contact Richell Ragin (757) 666-8369 firstname.lastname@example.org Apply today at www.chenmed.com/physicians JenCare Senior Medical Center A ChenMed Company We’d love to discuss the great opportunities we have for you in Virginia. The awards were presented on Friday, July 9, during the 2021 VAFP Annual Meeting at the Annual Business Meeting at the Marriott Virginia Beach Oceanfront Hotel in Virginia Beach, Virginia. Family Physician of the Year Award Presented to Denee J. Moore, MD, FAAFP Denee J. Moore, MD, FAAFP was named the 2021 recipient of the Family Physician of the Year Award. The award is presented annually to a VAFP member who provides his/her community with compassionate, comprehensive and caring medical service on a continuing basis; who is directly and effectively involved in community affairs and activities that enhance the quality of life of his/her home area; who provides a credible role model as a healer and human being to his/her community, and as a professional in the science and art of medicine to colleagues, other health professionals and especially, to young physicians in training and to medical students; and who is in good standing in his/her medical community. Dr. Moore’s award reads: “In deep appreciation for modeling the core values of Family Medicine by providing comprehensive, compassionate care to all patients. Your community activism, passion and dedication for health equity is evident through your student, resident and faculty teaching at The University of Virginia School of Medicine. Improving the quality of life for all patients especially advocating for those most vulnerable truly signifies the immeasurable qualities of an outstanding family physician and is to be commended and applauded.” James P. Charlton, MD Teacher of the Year in Family Medicine Award Presented to Thomas R. Grant, Jr., MD Thomas R. Grant Jr., MD was named the recipient of the James P. Charlton, MD Teacher of the Year Award in Family Medicine. In memory of James P. Charlton, MD, a VAFP Past President, each year the VAFP recognizes a physician for this award. Nominees may include teachers of family medicine who participate in teaching at the medical school level, residency faculty level or community preceptorship level. Dr. Grant’s award reads: “In deep recognition of your excellent work at Eastern Virginia Medical School teaching and challenging students and residents to improve medical knowledge and clinical decision making.” As best said by a third-year resident, “Dr. Grant’s ability to empower students and residents to be the best version of themselves brings out the best in those that he teaches.” To be respected and commended by those who you teach exemplifies the nature of a truly outstanding teacher of family medicine. 2021 President’s Award Presented to Virginia’s Family Physicians! The award reads: “It is with utmost gratitude and sincerest applause to all Virginia family physicians for your incredibly selfless work in the fight against the COVID-19 pandemic. The public health efforts you displayed, not only in your practices but in your entire communities, are truly above and beyond. This award is a small token to recognize the heroic efforts of all VAFP members and the lasting impact your comprehensive and compassionate care will have on the health of the public. You adapted, sacrificed, and delivered care on the front lines in unprecedented conditions to protect the health and wellbeing of the citizens of the Commonwealth.” 2020 VA FP Teacher of the Year Awards James P. Charlton, MD Teacher of the Year in Family Medicine Award Presented to Melissa Bradner, MD, MSHA & Kristina Johnson, MD In memory of James P. Charlton, MD, a VA FP Past President, each year the VA FP recognizes a physician for this award. Nominees may include teachers of family medicine who participate in teaching at the medical school level, residency faculty level or community preceptorship level. Dr. Bradner’s award reads: “In recognition and appreciation for your roles as clerkship and course director, preceptor, mentor, role model and teacher. Your sensitivity and sense of humanity are evident in every one of these roles and in each interaction with learners and colleagues. The impact you have on students is instrumental in helping shape their Family Medicine experience, is pivotal in their choice of specialty, and demonstrates what it truly means to be an outstanding teacher of Family Medicine. Dr. Johnson’s award reads: “In recognition and appreciation for your roles as clerkship and course director, preceptor, mentor, role model and teacher. Your sensitivity and sense of humanity are evident in every one of these roles and in each interaction with learners and colleagues. The impact you have on students is instrumental in helping shape their Family Medicine experience, is pivotal in their choice of specialty, and demonstrates what it truly means to be an outstanding teacher of Family Medicine.” American Academy of Family Physicians Degree of Fellow The Degree of Fellow recognizes AAFP members who have distinguished themselves among their colleagues, as well as in their communities, by their service to Family Medicine, by their advancement of health care to the American people and by their professional development through medical education and research. Fellows of the AAFP are recognized as Champions of Family Medicine. They are the physicians who make family medicine the premier specialty in service to their community and profession. From a personal perspective, being a Fellow signifies not only ‘tenure’ but one’s additional work in your community, within organized medicine, within teaching, and a greater commitment to continuing professional development and/or research. Congratulations to the following VA FP members! Stephen Bunnell DO, FAAFP – virtual Sharon Diamond-Myrsten MD, FAAFP – virtual Anand Kapur MD, FAAFP Anthony Morris MD, FAAFP Susan Osborne DO Timothy Yu MD, FAAFP THE VAFP WELCOMES NEW MEMBERS ACTIVE Mariana Keener, DO John Kriese, DO Kedar Kulkarni, MD Andrew Lam, MD Teresa Landore, DO Tierra Leak, MD Courtney Levendorf, DO Lisa Li, MD Natalie Lipscomb, DO Donald Lock, II, DO Michael Lopoukhine, DO Christian Machado, MD Jacob Maddela, MD Virgil Melvin, MD Elena Messina, MD Stephen Mulkey, MD Thomas Neal, MD Barbara Oppong, MD Jai Patel, MD Samantha Philman, MD, MPH Kenneth Qiu, MD Priyanka Ramsinghani, DO Michael Rinker, DO Andrew Rosenfeld, DO Ellen Rowe, MD Kate Ryan, DO Nadia Saif, MD, MPH Alice Solademi-Dunkle, DO Camelia Soliman, MD Mallory Stewart, DO Samantha Stueck, MD Tabassum Subihi, MD Maya Sukkari, MD Adam Tate, MD Allison Thornton, DO Daniel Tiller, DO Karishma Tolani, MD Justin Tondt, DO Trish Tran, MD Sukrutti Udeshi, MD Courtney Varbanoff, DO Jennifer Ware, MD Charlotte Wertz, DO Stephanie Wesley, DO Allison Yeaman, MD Aubrey Chow, MD Cariana Clanton, DO Derek Clark, DO Jay Clark, MD Matthew Clem, DO Bryan Cochran, MD John Collins, DO Garrett Cudmore, DO Frank Dang, DO Samantha Day, MD Jordan Dehli, DO Deepika Dhary, MD Mitalee Doshi, MD Emily Edwards, DO Scott Estep, MD April Fields, DO Austin Gold, MD Nicole Ha, DO Matthew Hageman, MD Ramin Haidari, MD Henry Hartsoe, DO Madison Heflin, DO Daniel Ho, MD Amelia Huback, DO Taellin Kim, MD David Kirkland, MD Agnijita Kumar, MD Erick Larson, MD Dixon Lee, MD Carlos Llanes, MD Ainsley Lundgren, MD Jenna Lyn, MD Nassim Mafi, MD Marissa Mangini, MD Aubrey Massmann, DO Warren McGee MD Scott McIntosh, DO Springer Michael, MD Michaela Miller, DO Sharvani Naik, DO Kelsey Norris, DO Kudirat Olatunde, MD Vaneesha Patel, DO Neha Patel, MD Ashleigh Powell, DO Isaac Prince, MD Kaitlyn Proctor, DO Matthew Ray, DO Julia Resil, MD Soquel Rey, MD Helay Said-Miakhel, MD Makenna Schultz, DO Angelo Seneviratne, DO Brian Shaffer, DO Connor Sheehan, MD Caleb Southall, MD Christopher Sue-Wah-Sing, DO Alan Tate, DO Hannah Thacker, MD Ginger Tissier, MD Tam Tran, MD Mansi Trivedi, MD Kahsu Tsehay, MD Joseph Tuck, MD Umut Tufan, MD Gregory Turissini, DO Joseph Varner, DO Jennifer Voorhees, DO Michelle Vu, DO Kurtis Wilson, DO Richard Zhou, DO STUDENT Kristin Boakye Gillian Carll Vaisali Chilamkurthy Blanton Cohen Jacob Deubler Saow Renn Ding Landon Hobbs Nancy Kaura Elizabeth Kazarian Lauren Keenan Ariana Kim Peter Larner Connor Lemos Maria Maslyanko Robert McCauley, III Mackenzie McHugh Austin Meals Mohamud Mohamud Mansoor Mubeen Praveena Mylvaganam Sara Negash Hayne Noh Sarah O Berry Hakeem Oufkir Aneesha Penn Fallon Peplinski Rosellen Provost Miaybi Saito Rhitwika Sensharma Charles Siegel Allison Smith Hollie Soave Lucy Su Jasmine Vatani Grace White Devan Wilkins Julia Worley Christie Zheng RESIDENT Mohsin Ali, MD Hassan Arrabi, MD Momna Ayub, DO Alexandra Bachman, DO Micah Brickhill-Atkinson, MD Steven Brodar, MD Kara Cabbage, MD Priscilla Caldwell, MD Katelyn Carpenter, MD Lindsey Casal-Roscum, MD Sahra Hossainzada, MD Adam Hurtya, DO Nauras Hwig, MD Sharese Jefferson, MD Christopher Jeu, DO Christopher Joachim, DO Misty Kasky, DO Ryan Kasky, DO Kara Keefe, MD Sahra Hossainzada, MD Adam Hurtya, DO Nauras Hwig, MD Sharese Jefferson, MD Christopher Jeu, DO Christopher Joachim, DO Misty Kasky, DO Ryan Kasky, DO Kara Keefe, MD Gene E. Clapsaddle, 98, of Vinton passed away on August 24, 2021. Dr. Clapsaddle is survived by his four children, Sara Gipson, David Clapsaddle, John Clapsaddle, and Anne Cinsavich; granddaughters, Emily Gipson, Margaret Gipson, and Katherine Gipson; grandson, Jakob Nathaniel Tyler Clapsaddle; and one great-grandson, Maurice Burrelle. A private family service was held at Thrasher Memorial United Methodist Church. In lieu of Flowers, the family suggests friends make memorial contributions to Thrasher Memorial UMC, Good Samaritan Hospice, or to a charity of their choice. A few words from VAFP Past President Al Hagy, MD A few months short of his 99th birthday Gene finished his last ride with hospice at his side insuring a smooth final trip. He died peacefully August 24, 2021. His death closed the door on a pioneer who, in 1974, moved from a highly successful General Practice in Vinton, Virginia to that of educator in the new specialty of Family Practice. Armed with a faculty position from The University of Virginia, Family Practice Board certification and observed practice skills, each element placed a critical steppingstone on his path to medical education and his appointment as Program Director of Roanoke Memorial Hospital’s Family Practice Residency. The Carilion Health System grew around his program from the bedrock of Roanoke Memorial Hospital, giving added strength and attraction to a steady parade of strongly prepared young graduate physicians, who, with his guidance, would complete the three years of training, with many of these graduates serving patients in the communities of Virginia. His stature as a leader in Family Practice led him into the 1979-80 term as president of a young and growing Virginia Academy of Family Practice. His energies were not spent entirely in medical education as many weekends would find him astride his favorite horse riding to the hounds. And further evidence of his leadership was rewarded by selection as Master of the Rockbridge Hunt, to lead the chase in singular prominence wearing special attire of red coat with tails, green velvet collar and gold piping. Mondays would find him decompressed and ready for all goblins. So, a highly skilled physician and medical educator has “ridden into the sunset” leaving a long trail of accomplishments and an untarnished reputation in several fields of endeavor. Tally-Ho Dr. Clapsaddle! The VAFP is pleased to provide as a membership benefit a free subscription to Daily POEMs from Essential Evidence Plus. Daily POEMs (Patient Oriented Evidence that Matters) alerts and 3,000+ archived POEMs help you stay abreast of the latest and most relevant medical literature. Delivered directly to you by e-mail every Monday through Friday, Daily POEMs identify the most valid, relevant research that may change the way you practice. Monthly, the complete set is compiled and sent for additional summary review. Ongoing since 1996, their editors now review more than 1,200 studies monthly from more than 100 medical journals, presenting only the best and most relevant as POEMs. The acclaimed POEMs process applies specific criteria for validity and relevance to clinical practice. If you want to subscribe, please e-mail the VAFP at email@example.com so your e-mail address can be added to the distribution list. Please enjoy this complimentary VAFP membership benefit. For more information on the VAFP Foundation, please visit www.vafpf.org or call 1-800-THE-VAFP. Secure donations can be made online at www.vafpf.org or checks can be mailed to the VAFP office. The AAFP National Conference of Family Medicine Residents and Medical Students was held July 29 - 31, 2021. This year’s conference was held virtually. The National Conference is a place for residents and medical students to learn more about family medicine, explore residency programs, and connect with potential employers. The following Virginia Residency Programs were represented at the conference: Carilion Clinic - VTC Family Medicine Residency EVMS Lynchburg Family Medicine Residency University of Virginia Family Medicine Residency VCU - Fairfax Family Medicine Residency VCU - Shenandoah Family Medicine Residency VCU – St. Francis Family Medicine Residency and Blackstone Rural Tract HCA - Lewis Gale Family and Community Medicine VAFP Resident Board Members Paulius Mui, MD, Shenandoah Family Medicine Residency and Kevin A. Lavender, DO, Riverside Family Medicine Residency attended along with VAFP Student Board Members Sarah E. Beaverson, Virginia Commonwealth University and Clair Lockman, Liberty University School of Medicine. EMMA YORK, DO EVMS FAMILY MEDICINE, PGY-2 AAFP RESIDENT DELEGATE TO THE AMA RFS 2020-2021 This past year I had the opportunity to serve as an AAFP Resident Delegate to the American Medical Association’s Resident Fellow Section. The Resident and Fellows section (RFS) is the dedicated branch of the AMA that gives a voice to and advocates for issues specifically impacting resident and fellow physicians. Functionally, the RFS operates as an autonomous “mini-AMA” made up of an appointed body of resident and fellow delegates who elect a governing council. At these RFS assembly meetings, resolutions are introduced, debated, and voted upon to incorporate as new policy into the RFS and sometimes, resolutions are forwarded to the AMA House of Delegates (HOD) to become potential policy within the full AMA. As an AAFP Delegate, my role was to represent family medicine and family medicine residents by advocating for primary care issues. A key role of the AAFP resident delegate is to bring back the views of the RFS to the full AAFP delegation so that priority issues can be identified and represented in the house of delegates. Altogether, this year’s delegation represented family medicine at the November and June AMA meetings testifying on many important primary care issues including: identifying racism as a public health threat, protection of resident and fellow training in the case of hospital or training program closure, telemedicine regulations and clarifying roles of non-physician post-graduate medical training. This year’s meetings, although virtual, displayed the strength of our physicians to advocate on pressing issues regardless of the adversity facing them. As a delegation, we attended the meeting from more than 10 states and represented many areas within family medicine including residents, private practice, rural medicine, women’s health, underserved medicine, and sports medicine. This past year solidified the importance of getting outside of my local bubble and comfort zone. To me, this meant engaging with residents and physicians who aren’t Enjoy Lean Beef Your Patients Can Continue to Enjoy Lean Beef • Today’s beef is much leaner than 30 years ago • Heart-healthy diets, even those including lean beef, can help manage cholesterol • Beef is as effective as chicken as part of a healthy diet to manage cholesterol Learn more and visit http://bit.ly/VAHealthInfo 1. McNell SH, et al. The evolution of lean beef: Identifying lean beef in today’s U.S. marketplace. Meat Sci. 2012; 90(1):1–8. 2. Russell MA, et al. Beef in an Optimal Lean Diet study: effects on lipids, lipoproteins, and apolipoproteins. Am J Clin Nutr. 2012; 93(1):9–16. 3. Maii KC, et al. A meta-analysis of randomized controlled trials comparing lipid effects of beef with poultry and/or fish consumption. J Clin Lipidol. 2012; 6:352–61. based solely at my training hospital about issues that are pertinent to both family medicine and the medical community as a whole. By seeing what issues are being discussed at the national level, both within family medicine and outside of it, it brought a new perspective to the issues I am seeing in my own community. It sparked new ideas on how to address problems at my program and also gave me the opportunity to inform others about the work that is being done at the national level. It was incredible to see all physician groups and specialties represented in one meeting and hear about what topics they, and sometimes what we all, are passionate about. I feel extremely fortunate to have been able to represent family medicine residents, physicians and primary care at these meetings. I learned the value of speaking on behalf of those I was representing and was able to conquer my fears of speaking in front of a large group of my highly-esteemed colleagues. My favorite moment in this role was partaking in resolution writing at the AAFP national conference where the resolution I authored, “Recognizing Osteopathic Manual Therapy as a Treatment for Musculoskeletal Conditions” was passed. This resolution will now go on to effect policy at AAFP by recognizing OMT as a first line treatment for musculoskeletal conditions, increasing research on OMT and increasing CME opportunities for family physicians to learn about this treatment modality. Without my position this past year, I likely would not have participated in advocacy on this level. This year was truly an inspiring one for me. I watched medical students and residents push the boundaries on topics being discussed at the AMA, reinforcing the idea that medicine should not be a hierarchical field because when we are all represented and work together, our best ideas are created. I’m excited to see what the AMA and AAFP do with the resolutions passed at this year’s meetings and hope to continue my advocacy journey throughout residency. If any residents out there are considering being involved on the national level, I urge them to take the plunge. You won’t regret it! Continued on page 18 Virginia Academy of Family Physicians Scholarly Symposium November 13, 2021 10:00 a.m. – 1:30 p.m. Virtual Via Zoom CALL FOR SCHOLARLY ACTIVITY The Virginia Academy of Family Physicians is seeking submissions for the VAFP Scholarly Symposium. Criteria/Who Can Participate: Submissions from AAFP members ($15 fee) and non-members ($25 fee) who are medical students, residents, and fellows. Meeting Format: The 2021 Scholarly Symposium participants can either attend in-person or virtually. All participants will prerecord their presentations – oral presentations limited to 5 minutes and poster presentations limited to 2 minutes. The preliminary schedule of events will be based on the number of submissions received/selected but is anticipated to be based on the format below. Preliminary Schedule: 10:00 a.m. – 11:30 a.m. – Presentation of Research 11:30 a.m. – 12:30 p.m. – Guest Speaker and Presentation of Awards Guidelines: Scholarly activity may be presented in poster format or as an oral presentation - Type of scholarly activity may be clinical or population health research, medical education research, literature review, case reports, QI/PI projects, clinical successes, patient stories, or educational projects. - Topic should be relevant to family medicine/primary care. - Submissions must be of original work not yet published or presented at regional or national meetings (except institutional symposiums). - Submission may be a work in progress or completed. - Collaborative work is welcome. - Concurrent (2021) submissions to other conferences such as the North American Primary Care Research Group (NAPCRG) and Society of Teachers of Family Medicine (STFM) are encouraged. - Medical student projects previously presented at medical schools are accepted/encouraged. Format of Submission: The format may be an oral presentation, electronic poster or printed poster viewed in a gallery setting on boards. Submissions from each category by registrant type (medical students, residents, and fellows) will be included. The pre-recorded presentations (oral – 5 minutes and poster – 2 minutes) will be followed by a question-and-answer session that will be “live” either in-person or virtually by the presenter. Feedback on Submitted Research: All projects will be reviewed and provided written feedback by a minimum of two judges. Review will focus on the following: - Significance of findings for practicing family physicians - Innovation of scholarly activity - Quality of presentation - Quality of methods used to generate findings For presentations and posters in which the above criteria do not apply, reviewers will seek to evaluate the extent to which the submitted presentation is of interest to family physicians. How to Submit Your Project: Complete the application form at the following link: https://www.surveymonkey.com/r/Scholarly2021 If you have multiple submissions, one application form should be completed for each submission. Submission Deadlines: Submit application including abstract (250 words or less) no later than October 1, 2021. Submit audio files, electronic posters and/or oral presentations no later than November 1, 2021. Questions: Please call Cheryl Modesto at 804-968-5200 or e-mail firstname.lastname@example.org. "Choose Virginia" Scholarships for Graduating Medical Students and Family Medicine Residents The Virginia Academy of Family Physicians (VAFP) Foundation is delighted to offer a medical student scholarship and a resident scholarship for assistance with education loan repayment. Many medical students and family medicine residents in Virginia have expressed an interest in staying in Virginia after their graduation to complete a family medicine residency or to practice in a medically underserved area. Over the past few years the VAFP Foundation has received donations to support this effort to keep our own. This year the Foundation will offer one graduating Virginia medical student a $1,500 scholarship. The successful candidate will meet the following criteria: 1) Graduating Virginia medical student in good academic standing 2) Entering a Virginia family medicine residency program. A letter from the program director is required. 3) Will have completed the PGY-1 year successfully and be entering into the PGY-2 year at that program. A letter from the program director is required in order to receive the scholarship check for loan repayment at that time. 4) Must submit a 250-500 word letter explaining why he/she wants to practice family medicine in Virginia as a resident and as a family physician. In addition, we are offering one $2,000 scholarship for a graduating PGY-3 Virginia family medicine resident who wishes to practice in an underserved area of Virginia. The requirements for this scholarship are as follows: 1) Graduating as a PGY-3 Virginia family medicine resident 2) Have an up-to-date Virginia medical license 3) Practicing family medicine in an underserved medical area after graduation as designated by United States Human Resource Service Administration (HRSA) and/or Virginia Department of Health. A letter verifying this is required. 4) Must submit a 250-500-word letter explaining why they he/she wants to practice in an underserved area of Virginia 5) Practicing at the underserved site for one year. Documentation is necessary to receive the scholarship check for loan repayment after one year of practice in an underserved area. Application letters may be sent to Mrs. Mary Lindsay White at email@example.com or to Dr. Roger Hofford at firstname.lastname@example.org. The deadline for application letters is June 30. Each month, the VAFP will feature unique happenings from the Family Medicine Residency Programs across the Commonwealth. The VAFP hopes these SpotLights will encourage residents to learn from each other and show our student members how amazing it is to be a Family Medicine Resident in Virginia! Continued on page 20 As Michael Scott stated in The Office, “Mo’ money, Mo’ problems.” Obviously stating, “I declare bankruptcy!” does not make your money problems go away. With our current student loan debt and limited learning during medical school and residency, it is crucial we learn how to manage our money. Personal finance is just that, personal. So the advice given here is for educational and entertainment purposes. If you have further questions please seek professional advice. Student Loans Most medical students and residents finish academic medicine woefully underprepared to tackle debt. Whether that is having a plan of action or just ignoring it. Most family physicians will have two options to tackle their student debt: either using the Public Service Loan Forgiveness (PSLF) program or paying them outright. The PSLF program is for those who have federal debt, in an income-driven repayment plan, and make 120 monthly payments while employed by a non-profit (503c). Paying them off outright is another option that requires careful planning and a desire to eliminate debt as soon as possible. Each person must decide what is best for them and their situation. Do not forget that most states offer other repayment options and forgiveness. Google “physician loan forgiveness” for the state you are in. There are also the National Health Service Corps (NHSC) and Armed forces. The more you Google, the more you will find. If you intend to pay them off outright, then you will need a BUDGET! Budget If you are like me, my parents tried really hard at this. But then I got my first paycheck and, oh boy, did that go fast. In high school, I decided it would be brilliant to spend my hard-earned summer job money on a $1200 kayak and $700 golf clubs. Now, these did bring me pleasure, but now just wonder what my Roth IRA would be worth… As for medical students and residents, building a strong and emotionally healthy relationship with money is crucial to paying off loans. We learn how to live on a budget during residency. The best advice to give is follow your pennies and dimes. Start tracking your spending and monitor closely. If you have a significant other you share an account with, have a financial date once a month. There are plenty of apps out there like Mint and YNAB. Personally, I just use an Excel sheet. I borrow my wife’s phone a couple times a month to plug in the expenses. Then I promptly find out that I have an addiction to coffee and should have put more money into my Roth IRA. Retirement Trading stocks and becoming an investor has become more accessible since apps on our phones let us trade without commissions. We all heard about GameStop, Bitcoin, AMC, and started experiencing FOMO (fear of missing out). We wanted to put money into these stocks and watch our money grow. Who can argue with that? Well, I will. For those that might not have researched capital gain taxes and taxable accounts, they might have paid more money than they gained. I would argue that ALL residents should max out their Roth IRAs first. A Roth IRA is a tax free account, meaning you put a part of your take-home pay into the account. Now there are stipulations to contribute to this account. If you are married and making >$196,000 you are able to contribute $6,000 a year. If you are single and making <$125,000 you can contribute $6,000 as well. Most residents are below these thresholds and should have the goal to max out the Roth IRA for 3 years. If anything is left over after maxing out the Roth IRA and in your budget, then have some fun day-trading, but make sure you DO NOT need the money first. Finally, and the most important piece of advice. Live like a resident until all loans, except for mortgage, are paid off. Resources Books: The White Coat Investor by: James Dahle $16 on Amazon Financial Residency by: Ryan Inman $15 on Amazon The Physician Philosopher Guide to Personal Finance by: James Turner $25 on Amazon The Boglehead’s Guide to Investing by: Mel Lindaduer $16 on Amazon Podcasts/Blogs: The White Coat Investor (blog and podcast) Financial Residency (blog and podcast) Money Meets Medicine (podcast) The Passive Income MD (podcast) (For direct links, please visit http://vafp.org/highlights-from-virginias-family-medicine-residency-programs/) We have a newsletter that the wellness committee works on and distributes four times a year. The content included in that newsletter consist of topics ranging from personal tips as a resident to avoid burnout, hot topics in medicine today, and upcoming events at the residency. Especially during COVID, this newsletter has been helpful as we have not been together as a group. It keeps us in touch. Prior to COVID, we were trying to do a wellness event every month/couple of months so we could enjoy each other’s company outside of the residency. Thankfully, while getting used to a new normal, we have been able to modify and restart our wellness events. We appreciate our program’s flexibility and support as we all try to navigate wellness together. Monthly Resident Lounge The VAFP resident lounge is a casual space to bring together family medicine residents in Virginia. Residents meet each month to explore shared interests and network with each other. Check your email for the monthly invitations! Wellness Lynchburg Family Medicine Residency is fortunate to have had one of our residents create a wellness elective. The goal of this elective was to educate others and ourselves about burnout and other mental health issues we experience as physicians. The elective can be a 2-4 week rotation pending the needs of the residents. It helps to educate the residents as well as help them avoid burnout while doing the majority of their work at home or wherever they needed to be. A Conversation with Dr. Fauci and Healthcare Providers Held, on August 3rd, this virtual event focused on strategies for building confidence in the COVID-19 vaccines, engaging communities about the importance of vaccination, and collaborating with trusted messengers. The panelists included: - Dr. Anthony Fauci, Chief Medical Advisor to the President - Dr. Danny Avula, Virginia Vaccination Coordinator - Dr. Chris Ghaemmaghami, Professor of Emergency and Internal Medicine, UVA - Honorable Ralph Northam, Governor of Virginia - Dr. M. Norman Oliver, State Health Commissioner - Dr. Gloria Addo-Ayensu, Director of Health, Fairfax County - Dr. Erin Brickley, MountainView Pediatrics, Marion To access this recording, please visit: governor.virginia.gov/providerwebinar Updates in Family Medicine – Monoclonal Antibody Therapy and Covid-19 Point of Care Testing Held on July 29th, Brooke Rossheim, MD, MPH, Public Health Physician Specialist, COVID-19 Health Information Team at the Virginia Department of Health led a discussion on Monoclonal Antibody Therapy and Covid-19 Point of Care Testing. The following was reviewed: - Current monoclonal antibody products that are indicated for treatment of patient with mild to moderate Covid-19 - Current clinical criteria that patients need to meet to be eligible for monoclonal antibody therapy - Data supporting the use of specific monoclonal antibody drugs in the treatment of patients with mild to moderate Covid-19 - Instructions on how to order and obtain monoclonal antibody products for patients, or how patients can be referred to another site for monoclonal antibody treatment - Current point-of-care molecular and antigen tests for the diagnosis of acute Covid-19 - The concept of screening antigen testing for people who are not fully vaccinated against Covid-19 To access this recording, please visit: www.vafp.org/current-webinars VAFP Zoom Meeting with Danny Avula, MD, State Vaccine Coordinator On Wednesday, June 16th the VAFP had Danny Avula, MD, State Vaccine Coordinator, present to engage with VAFP members on updates in vaccine distribution, changes to vaccine storage and handling and a discussion on ways to encourage patients around vaccination. Primary Care Opportunities IN THE SHENANDOAH, ROANOKE, AND NEW RIVER VALLEYS Carilion Clinic, a community-based, integrated health system, is an organization where innovation happens, collaboration is expected and ideas are valued. Our mission-driven organization is built on progress and academic partnerships. Our courageous team is always learning, never discouraged and forever curious. With electronic medical records (Epic), our primary care physicians are collaboratively healing patients and improving outcomes. And you’ll find it all in Virginia’s family-friendly Blue Ridge region, where exceptional schools, low cost of living and abundant year-round outdoor activities consistently rank among the nation’s highest-rated places to live. THIS IS TOMORROW’S HEALTH CARE Visit CarilionClinic.org/careers AMY MARSH, PHYSICIAN RECRUITER email@example.com 540-224-5197 Equal Opportunity Employer: Minorities Females/Protected Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity 7 hospitals/75 specialties \| 700+ physicians/220 practices \| 280+ residents/fellows 25 GME programs in affiliation with Virginia Tech Carilion School of Medicine Student Loan Repayment Available Serving as the 74th President of the Virginia Academy of Family Physicians, has been an honor and a privilege. I began this journey after responding to a request for volunteers for Board members by Past-President Dr. Lindsey Vaughn. Usually, I am more passive but as I have gotten older, I have become more outspoken with regards to issues pertaining to physicians in the Commonwealth. We as physicians must continue to advocate for our specialty and for our patients. Advocacy without involvement is ineffective. Theodore Roosevelt once said complaining about a problem without offering a solution is whining. And so, I became involved with the Virginia Academy. My year as President has been anything but “normal”. All national and state CME meetings that would have attended in person have been virtual, all Board meetings have been held via Zoom (the household name for anything that allows people to connect via their computer!), we began seeing patients via telehealth, navigated a General Assembly without ever seeing a legislator in person, guided our patients through the pandemic and now finally are working to ensure that our patients receive the COVID-19 vaccine and begin to emerge out into what we now know as the “new normal”. The Academy experienced many highlights during this past year of which we all can be very proud of despite having to accomplish them in an unfamiliar manner! VAFP leadership and staff quickly transitioned in July the 2020 VAFP Annual Meeting and Knowledge Self-Assessment (KSA) to virtual experiences, our AAFP Delegation did the work of the AAFP Congress of Delegates over two weekends in October via the Lumi platform, the Academy supported VAFP Past President Sterling Ransone, MD’s candidacy for AAFP President-Elect (Sterling is the first from Virginia!). VAFP held the first annual Resident and Student Scholarly Symposium in October via Zoom, VAFP hosted the 2021 Winter Family Medicine Weekend in January via Zoom; our Legislative Committee and Legislative Consultant Hunter Jamerson navigated the 2021 General Assembly via text and virtual meetings, nine VAFP leaders attended the AAFP’s Annual Chapter Leadership Forum and National Conference of Constituency Leaders in April and finally, the 2021 VAFP Annual Meeting is back in person in July at the new Marriott Virginia Beach! I look forward to “really” seeing all that attend. The Academy worked diligently with the Virginia Department of Health and the State Vaccine Coordinator to offer our members the opportunity to engage directly with the leadership at VDH on vaccine testing, vaccine distribution and vaccine coordination efforts. Many of you participated in the VAFP’s COVID-19 Testing webinar in May of 2020 and many more of you will participate in the June 2021 meeting with Dr. Danny Avula, State Vaccine Coordinator. Your leaders and staff worked on your behalf to ensure that family physicians played a vital role initially helping our patients navigate how to access COVID testing and now how to access a vaccination. We are very fortunate in Virginia to have a group of forward thinking and engaged physicians who hail from various practice models and locations. They have provided a very balanced approach to the issues facing physicians in the Commonwealth today. I would like to thank the officers and directors for their expertise and for serving our Academy in such an exceptional way during my Presidency. Finally, I would like to thank my wife Kris, who is the best person I know and who has an unwavering moral compass. And without whose help in corralling seven dogs and numerous grandchildren I would not have been able to participate over the years in VAFP leadership positions. We as family physicians are the true specialists who collaborate for the lifelong care of our patients and for that, I thank all of you. No one knows what the future holds but we can rest assured that the Virginia Academy of Family physicians will remain engaged, responsive, and enduring. Dear Colleagues, As the 75th President of the Virginia Academy of Family Physicians (VAFP), it is my honor and privilege to serve you, the Family Physicians of Virginia, for next year. To those of you who could make it to this year’s annual meeting in-person, it is truly exciting to welcome you to the beach! I hope you are thrilled to get away from the online meetings and have an opportunity to “see” your colleagues from across the state and beyond. If you were not able to make it in-person, no worries, your experience should be no less than amazing, learning and networking virtually – thanks to our wonderful Academy staff and the Continuing Medical Education (CME) committee led by Dr. Mitch Miller. The team has been very meticulous in putting together this year’s CME event, ensuring your safety and comfort while offering the best of the class speakers to enhance the learnings of all medical professionals who have joined us. I like to believe that there is no profession as rewarding as medicine. Like many of you, I chose to be a family physician because I wanted to positively impact every patient’s life, regardless of age or gender. During the early part of my medical career, I was involved in caring for individuals living in remote villages in India. I touched the lives of many with the greatest healthcare needs. It was an incredible experience – very humbling and, at times, incredibly overwhelming. In return, they touched my life in so many ways, helping me grow into a more compassionate physician, instilling in me a greater sense of purpose. Over the years of practicing family medicine in Virginia, I have been fortunate to have experienced a variety of practice settings, starting with a single-specialty group practice, moving onto being a solo family physician, and then transitioning to be a team member in a large healthcare system. Each of these practice experiences has allowed me to interact with not only the patients facing a myriad of healthcare challenges but the family physicians who have their unique needs, regardless of their practice setting. This led to my quest to be part of the efforts required to change the lives of family physicians for the better. I was introduced to the VAFP Board by one of our past presidents, Dr. Lindsey Vaughn. I was immediately impressed by the team’s immense focus on the well-being and interest of all family physicians in the Commonwealth of Virginia. I feel honored to have been part of the VAFP Board as a Director and Officer over the last five years and am humbled to now have the opportunity to serve as President. Last year, people across the globe experienced a healthcare crisis of their lifetime. The Virginia family physicians rose to the occasion, responding to understandably apprehensive Virginians as the first and most trusted contact for their health concerns, helping them navigate a crisis that was new to physicians themselves, many times keeping their patients above their safety. It has been a stressful time for all, but I am proud to say that the VAFP has emerged to be stronger, extra resilient, and ready to support you more than ever. The credit goes to the tremendous insights of the past presidents, incredibly talented and experienced team of officers and board of directors led by Academy’s 74th President, Dr. Jerome Provenzano, and an extremely hardworking and dedicated team of staff led by the Executive Vice President, Mary Lindsay White. This team adapted with time, innovating new ways to connect with each other and with the family physicians across the state, ensuring the collaboration with the Virginia Department of Health to address the pandemic’s impact on our family physicians. Last year’s crisis enhanced partnership among various primary care professional organizations in the Commonwealth of Virginia. We recognized the common challenges experienced by physicians and patients during a public health emergency. This has made us stronger together as the organization serving the best interest of all primary care physicians. The COVID-19 pandemic has caused enormous devastation, unfortunately affecting certain ethnic and socio-economic groups much more than others. As the pandemic raged through parts of our state, family physicians saw their revenues going down, and many had to close their practices. The experts believe that the pandemic has somewhat accelerated the much-needed shift from fee-for-service models to value-based reimbursement models that incentivize physicians for improved health outcomes instead of paying to do more tests and procedures. It will be necessary for family physicians to adapt to these models of care, with more emphasis on outcomes and patient experience, while delivering excellent quality care. The Academy will be here to support the physicians in this transition as appropriate. One of the most significant recent legislative successes of the VAFP is the passage of bill HB1090, requiring all Virginia children to have access to immunizations recommended by CDC to protect their health and well-being. We are proud to have Hunter Jamerson, J.D., and Dr. Jesus Lizarzaburu, the Chair of VAFP’s Legislative Committee, representing us in the Virginia General Assembly for these issues. In the coming year, we will continue to have the support and expertise of this team to drive additional agenda items, such as the need to continue to defend the scope of practice and healthcare workforce issues. All healthcare team members have a role to play in patients’ care, but the education, training, skill set, and expertise of a physician cannot be replaced by a non-physician provider. This year’s agenda will also continue to include payor reforms to allow family physicians fair Continued on page 26 and equitable telemedicine services to all Virginians. This includes video and telephone visits, recognizing that not all Virginians have access to the technology required to perform a video visit. The VAFP will continue to engage medical students and residents in having them consider making Virginia their permanent home. The Academy organizes many students and resident activities during its annual and winter meetings. In addition, similar to the last year, we plan to have a Scholarly Symposium this Fall, where medical students and residents will have an opportunity to present their clinical research, case reports, Q.I. projects, or other educational projects, with a goal of shared learning and networking. To represent the interests of all family physicians in the Commonwealth of Virginia is a huge responsibility. I feel ready to be on this journey with you, knowing that I am supported by a highly experienced team of VAFP staff, Directors, and Officers. I want to extend my warm welcome to the Officers to the VAFP Board - Dr. David Gregory as President-Elect, Dr. Denee Moore as First Vice President, Dr. Timothy Yu as Second Vice President, Dr. Robin Anderson as Secretary, and Dr. Charles Frazier as Treasurer. I am also pleased to welcome the new and returning Board of Directors. Thank you to Dr. Dan McCarter for your service as Secretary for the past two years and our outgoing President, Dr. Jerome Provenzano, who led the VAFP during a unique time of our lives. The VAFP is nothing without the support of our talented and dedicated VAFP staff - Mary Lindsay White, Matt Schulte, Cheryl Modesto, Kristi Reynolds, and Kristie Duncan. Thank you all for serving with a passion and for making a difference! Thank you all for placing your trust in us to cultivate a Commonwealth of Virginia desirable to family physicians from all walks of life as we together help our patients live healthier lives. With tremendous respect and gratitude, Neeta Goel, M.D. LEGISLATIVE UPDATE Hunter Jamerson, JD, MBA, General Counsel & Legislative Consultant Whether virtual or in-person, the legislative business of the Commonwealth has continued through the time of COVID. VAFP quickly adapted to the challenges of advocating remotely in order to lobby for the success of family medicine in Virginia. VAFP faced both opportunities and threats during the 2020-2021 legislative cycle as detailed below: 2020 Virginia General Assembly Special Session The Virginia General Assembly completed a virtual legislative special session in the fall of 2020 that focused on social equity and criminal justice reform matters in the wake of the murder of George Floyd as well as COVID-19 matters and continued to figure out how to legislate during the time of COVID-19. The special session focused on several issues specifically impacting the practice of family medicine. In particular, the General Assembly examined the issue of telemedicine. During COVID-19, telemedicine utilization became a central part of patient care. As a result, the General Assembly worked to relax site of service requirements to ensure patients can undertake telemedicine encounters from any location. Additionally, the General Assembly worked to ensure continuity of audio-only telemedicine coverage in the Medicaid program through COVID-19. VAFP was successful in advocating for a change in the law to preclude health plans from requiring physicians utilize a proprietary telemedicine system and requiring that physicians be allowed to use any means to conduct telemedicine. Over VAFP’s opposition, the special session also enshrined in code a waiver of current law regarding experience and training requirements for the autonomous practice of medicine by nurse practitioners during COVID-19. Delegate Dawn Adams filed legislation in the 2021 regular general assembly session that called for the reduction of the education and training requirements for the autonomous practice of medicine by nurse practitioners from 5 years down to 2 years. VAFP strongly opposed this reduction and emphasized the importance of the review of the Department of Health Professions study and report to the General Assembly regarding the number of nurse practitioners who have applied for autonomy and where those nurse practitioners are now practicing. 2021 Virginia General Assembly Medical Malpractice and Litigation VAFP, in coordination with the broader House of Medicine, successfully defeated legislation by Senator Bill Stanley, Senate Bill 1107, that would have rolled back Virginia’s medical malpractice cap. Presently, Virginia is one of the few states that limits physician exposure to medical malpractice claims. Virginia still operates under a 20-year graduating medical malpractice cap agreed to in negotiations between the House of Medicine and the Virginia Trial Lawyers Association. VAFP was also successful in defeating another measure, Senate Bill 1446, brought by Senator Surovell to require physician participation as a fact witness in civil personal injury proceedings. While this legislation would have permitted a physician to present a fee schedule for these services, VAFP is opposed to any legislated mandate on physician participation in personal injury litigation. Both this measure and the malpractice cap are likely going to be the subject of legislative study during the inter-session period. Scope of Practice Nurse Practitioners - During the COVID-19 public health emergency, physician supervision of mid-level providers continued to be undermined by executive and legislative action. The Governor’s Executive Order, waiving autonomy qualifications during the public health emergency was enshrined into the state budget during the summer special session. During the 2021 regular session, the General Assembly passed legislation, House Bill 1737, from Delegate Dawn Adams to legislate a reduction in clinical experience prior to eligibility for autonomous practice from the current five-year requirement down to two years. VAFP succeeded in applying a sunset provision onto the bill so that the legislation expires on June 30, 2022, unless renewed by the General Assembly. The Department of Health Professions will complete a workforce study of nurse practitioner autonomy in the fall of 2021 in time for review of the issue again in the General Assembly’s 2022 regular session. Pharmacists - The General Assembly continued to expand the scope of practice of pharmacy. While VAFP was able to restrain some of the most aggressive expansions, such as near universal non-controlled prescriptive authority, multiple provisions in legislation, House Bill 2079, patroned by Delegate Sam Rasoul advanced including broader vaccination administration authority and initiation of HIV prophylaxis. These activities will be governed by statewide protocols which must be developed jointly by the Board of Medicine and Board of Pharmacy. Naturopaths - VAFP successfully defeated legislation, House Bill 2044, from Delegate Sam Rasoul to license naturopaths. Despite a recommendation by the Board of Health Professions not to license the profession of naturopathy, this legislation nearly advanced for the second year in a row. Had the legislation advanced, it would have represented a substantial infringement on the scope of practice of family medicine. COVID-19 The General Assembly passed legislation from Senator Siobhan Dunnavant, Senate Bill 1445, and Delegate Lamont Bagby, House Bill 2333, to empower Department of Health Professions licensed health care providers who completed training in vaccine administration to provide COVID-19 vaccines during the public health emergency. VAFP was successful in restricting this measure to trained providers and has carefully monitored utilization of this emergency authority to ensure it did not lead to future scope of practice encroachments. VAFP advocated throughout the spring of 2021 for broader distribution of vaccines through family medicine offices. It was no coincidence, as distribution of vaccines to family physician offices increased, infection prevalence dramatically decreased – confirmation that office-based distribution helps reach vulnerable and reluctant populations. Although prevalence of COVID 19 waned in the spring, the political impact of COVID-19 remained as some of the Governor’s Executive Orders expired, other measures taken, purportedly to expand access during the pandemic, such as temporary experience waivers for nurse practitioner autonomy remains in place. VAFP is steadfast in its advocacy that appropriate medical education and training is necessary to safely practice medicine in Virginia. This debate will continue in the fall of 2021 as the Department of Health Professions continues its workforce studies. The issue of nurse practitioner scope of practice will be a significant part of the 2022 General Assembly session. Re-Districting Legislative redistricting will re-set the electoral boundary lines for both state house of delegate and senate elections as well as congressional house of representative elections. This will be the first redistricting cycle in history where district lines will be drawn by a bi-partisan redistricting commission. These lines will be used in November 2021 when the General Assembly holds elections for all 100 seats in the House of Delegates. Intersession While the General Assembly is not in session, legislative activities continue in the form of Commissions, Inter-Session Committees, and Health Regulatory Boards. VAFP is an active participant in these forums, including the Joint Commission on Health Care, the Health Insurance Reform Commission, the Medicaid Physician Liaison Committee, the Board of Medicine, and the Board of Health Professions. These inter-session activities offer the opportunity for more intensive studies and debates of key policy issues. In addition to health workforce studies, VAFP is also focused on prescribing guidance documents, medical and recreational cannabis, and health care reimbursement. One key activity this summer has been on further discussion and implementation of directives to combine all Medicaid programming into one managed care program. Virginia Medicaid continues to move forward with this initiative and is presently negotiating the re-setting of rates with its contracted MCOs. It is likely the re-contracting with Medicaid MCOs will result. Implementation of HB 1090 – July 1, 2021 In the 2020 General Assembly, the VAFP drafted and was instrumental in advocating for the passage of House Bill 1090 patroned by Delegate Patrick Hope. This legislation amends the minimum vaccination requirements for attendance at a public or private elementary, middle or secondary school, childcare center, nursery school, family day care home, or developmental center. The bill amends the dosage for the human papillomavirus (HPV) vaccine to two, rather than three doses. The bill also requires the State Board of Health to amend the State Board of Health Regulations for the Immunization of School Children as necessary from time to time to maintain conformity with evidence-based, routinely recommended vaccinations for children and to provide for a 60-day public comment period prior to the adoption of the regulations. In addition, the Department of Health and the Department of Education are directed to jointly review immunization requirements in the Code of Virginia and report to the House Committee on Health, Welfare and Institutions and the Senate Continued on page 28 Committee on Education and Health on the effectiveness of the required vaccination program in promoting public health by December 1, 2021. The VAFP is working closely with the Virginia Department of Health and the Department of Medical Assistance Services to promote vaccine administration and to ensure access as families seek to meet school vaccination deadlines. VAFP also continues to monitor the need for additional legislative changes to ensure that herd immunity is established in Virginia for all illnesses which can affect children for which a vaccine is widely available. 2022 Legislative Session Preview VAFP’s legislative priorities will continue to take shape through the Fall as Virginia’s gubernatorial and General Assembly elections proceed. Regardless of the electoral victors, however, VAFP will again vigorously contest and defend scope of practice and health workforce issues. VAFP will also focus on continuing to support the health of the public in Virginia, this year looking closely at mandatory preventive healthcare screenings. Your input into VAFP’s legislative policy is welcome – please contact VAFP Legislative Committee Chair Jesus Lizarraburu, MD or the VAFP staff with your ideas and feedback. I hope that you will consider donating to the VAFP’s political action committee. (www.famdocopac.org) This is frankly more important now than ever. We have much more limited ability to be face to face with legislators and distribute our message. As a result, our ability to influence the legislative process through our political contributions and campaign contributions really is critical. Thank you for serving the patients of the Commonwealth and advocating for the specialty of Family Medicine. The 2021-2022 legislative cycle promises to present unique challenges to the practice of family medicine. The VAFP looks forward to meeting those challenges to ensure the laws and regulations in Virginia provide you with the resources to navigate today’s health care environment. --- CONTINUING MEDICAL EDUCATION The Virginia Academy of Family Physicians continues its tradition of offering first class, affordable continuing medical education conferences for Academy members. Each year, the Academy sponsors two major CME activities. The Wintergreen Winter Family Medicine Weekend is held over four days in the winter months of January or February annually. This year the conference was held virtually over the dates of January 30-31 due to the COVID-19 pandemic. The virtual offering drew over 175 family physicians, residents, medical students, and other health care professionals. The exhibit portion of the conference was also held virtually, and 8 organizations supported the meeting. The Academy’s Annual Meeting & Exposition is held each summer in mid-July or early August. This year’s Annual Meeting is scheduled for July 9-11, 2021, at the Marriott Virginia Beach Oceanfront Hotel and is also offering a virtual component. The meeting will be comprised of two full days and one-half day of general CME sessions and up to 16.50 credits of live CME. Sessions will be in-person at the Marriott and streamed via Zoom to those physicians attending virtually. The VAFP sponsored five group learning sessions to assist VAFP members with the completion of their ABFM Family Medicine Certification Process requirements. Knowledge Self-Assessment (KSA) programs were held during 2020 and the first half of 2021 virtually and an in-person and virtual Family Medicine Certification KSA will be held in conjunction with the VAFP 2021 Annual Meeting. These sessions drew maximum attendance and continue to be evaluated very highly. The facilitation of the KSAs virtually has truly been a great member benefit as it allows members to feel as though they are in person without having to travel. Continued in 2021, the VAFP offered at each major CME event an opportunity to attend a pain management continuing medical education session. Physicians who attend these sessions satisfy the Board of Medicine requirements for continuing education in pain management, proper prescribing of controlled substances, and the diagnosis and management of addiction. The Board requires all prescribers licensed by the Board of Medicine to obtain 2 hours of education in the 24 months prior to their next biennial renewal. The Academy expresses its deep appreciation to the Chair of the Continuing Medical Education Committee, Mitchell B. Miller, MD, FAAFP and his committee for their outstanding work in creating superb CME for VAFP members and to Kurtis S. Edward, MD, MPH, FAAFP and Mark H. Greenawald, MD, FAAFP, for their exceptional work as Family Medicine Certification session presenters. --- MEMBERSHIP The Virginia Academy of Family Physicians membership was impacted by this year’s pandemic in that the membership decreased in all categories just slightly. As of May 2021, total VAFP membership stood at 3,328 with Active membership totaling 1,833, resident membership at 321 and student membership at 833. Four additional categories including Life membership totaled 341. The Academy is seeing a rebound with increases in all categories of membership in both June and July. The VAFP continues to offer multiple member benefits including access to the Daily POEMS, the VAFP Career Center and legal resources for employment contract negotiations, regulatory and administrative issues. Daily POEMs (Patient Oriented Evidence that Matters) from Essential Evidence Plus provide members with complimentary daily alerts and over 3,000 archived POEMs to help members stay abreast of the latest and most relevant medical literature. Delivered directly to by e-mail every Monday through Friday, Daily POEMs identify the most valid, relevant research that may change the way physicians’ practice. Since 1996, POEMs editors review more than 1,200 studies monthly from more than 100 medical journals, presenting only the best and most relevant as POEMs. The acclaimed POEMs process applies specific criteria for validity and relevance to clinical practice. The VAFP Career Center is housed on the VAFP website and is the career hub for physician employment opportunities in Virginia. The VAFP Career Center is the premier resource for you to explore employment opportunities in Virginia or to recruit for open positions within your practice. The VAFP has discounted member rates for those that want to advertise open positions within the VAFP Career Center. The VAFP’s General Counsel, Hunter Jamerson, JD, MBA, continues to partner with the VAFP to provide a legal resource for flat fee physician employment contract review and negotiations. This service was developed in 2016 by the VAFP’s General Counsel K. Marshall Cook, JD and is invaluable to those physicians that are beginning their practice of family medicine after residency completion or those members that are changing employers or hiring partner physicians. For information on all the member benefits, please contact the VAFP at firstname.lastname@example.org or 1-800-THE-VAFP. The VAFP Career Center is the hub for physician employment opportunities in Virginia and is the premier member resource to explore employment opportunities in Virginia or to recruit for open positions within your practice. The VAFP has discounted rates for members that want to advertise open positions within the Career Center. To access the Career Center visit www.vafp.org and utilize the Career Center link on the home page. The VAFP Career Center will provide the opportunity to: Manage Your Career - search and apply to multiple family medicine positions that are all located in Virginia, upload your anonymous resume, and allow employers to contact you through the Career Center’s messaging system, set up job alerts specifying your skills, interests, and preferred location(s) to receive email notifications when a job is posted that matches your criteria. Recruit for Open Positions - promote your jobs directly to VAFP members via the exclusive Career Center email system, search the anonymous resume database to find qualified candidates, manage your posted jobs and applicant activity easily on this user-friendly site. One of the goals at the VAFP is to provide members with training and tools to advance their career development. Please utilize the VAFP Career Center to find or fill a job in the future. If you have any questions, please do not hesitate to contact the VAFP at 1-800-THE-VAFP or e-mail Matt Schulte at email@example.com. Desmond J. Longford, MD Smithfield, Virginia Ernest E. Moore MD Big Stone Gap, Virginia The VAFP will be making a $500 donation to a charitable organization that supports patients in the Commonwealth in memory of these members that passed during the year. The VAFP made donations at the end of 2020 in memory of those physicians that had passed to the Mercy House in Williamsburg and to the Central Virginia COVID Response Fund. The Virginia Academy of Family Physicians Board of Directors has two elected resident representative and two elected medical student representative who serve a one-year term on the Board beginning in the fall. Representatives are funded to attend all VAFP Board Meetings as well as the AAFP’s National Conference of Family Medicine Residents and Medical Students held annually in August. The process for election of the Resident Representative is facilitated by each Virginia residency program nominating one resident to run as a candidate. Candidates complete an online nomination form and each Virginia family medicine residency program is entitled to cast two votes for residents nominated for Resident Director on the VAFP Board of Directors. Only one vote may be for the resident from their respective program for the ballot to be valid. The process for election of the Student Representative is facilitated by each Virginia medical school nominating one student to run as a candidate. Student candidates complete an on-line nomination form and each medical school must vote for two candidates for the ballot to be valid, of which only one of these votes may go to a student from their school, if one is nominated. In a typical year, the VAFP would provide complimentary housing for Continued on page 30 students and residents to attend the VAFP Winter Family Medicine Weekend but this year since it was virtual, the Academy promoted the virtual attendance at specific sessions focused on each group. Nine residents and fifty students attended the Winter Family Medicine Weekend in 2021. Continued from 2020, was a resident panel discussion that offered students the opportunity to ask questions of residents and get a good feel for what it is like to be a family medicine resident. At the conclusion of the research and panel discussion, the residents and students enjoyed a virtual social event. The VAFP also supports residents with discounted employment contract review by the VAFP’s General Counsel and a Career Center that houses multiple job offerings in the Commonwealth. The VAFP supports the Family Medicine Interest Group’s at each of the six Virginia medical schools with $500.00 in funding to develop programs that promote Family Medicine. The VAFP Foundation offers a graduating medical student that attends a Virginia Residency Program a $1,500 scholarship as well as a Virginia PGY-3 Graduating Resident a $2,000 scholarship that chooses to practice in an underserved area of Virginia. The Foundation awarded its first scholarships in 2017. The fall of 2020 brought about a new offering for residents and students, The VAFP Scholarly Symposium. This one-day event showcased scholarly work in the areas of clinical or population health research, medical education research, literature review, case reports, QI/PI projects, clinical successes, patient stories, or educational projects. Nine residents and fourteen students presented research during the virtual event. The session was highly attended by not only student and resident presenters but other family physicians from across the Commonwealth that were interested in learning about future family physicians’ research. Academy dues are paid by the VAFP for resident members in their first year of residency and all medical student dues are complimentary. FINANCES The Virginia Academy of Family Physicians continues its tradition of operating under sound financial management. This effort is led by VA FP Treasurer Charles Frazier, MD, and the members of the VA FP Executive/Finance Committee. The committee meets each year to develop an operating budget that meets the needs of the Academy yet is very mindful of the fiscal responsibility to the Academy. During the meeting, the committee also reviews the Academy’s Financial Reserve Policy. The VA FP’s dues are the second lowest in the country as compared to other AAFP Chapters with an active membership of similar size. Additionally, the VA FP has had only three dues increases in the last 30 years. Net income for fiscal year 2020 was $119,798. This is significant given the financial impact of COVID-19 related to the non-dues revenue that is typically generated by the VA FP’s CME offerings. COVID-19 had a negative impact on the income of the Academy related to non-dues revenue but also greatly decreased the expenses resulting from limitations on travel and education gatherings. These offsetting increases/decreases allowed the Academy to stay on sound financial footing during the pandemic. The VA FP held steady and ended fiscal year 2020 with Total Assets of just over $2,200,000. PRACTICE ENHANCEMENT & QUALITY Committee Service Interested in Quality and Practice Enhancement? VA FP Incoming President Neeta Goel, MD is the Chair of the VA FP’s Committee on Quality and Practice Enhancement. Dr. Goel is excited to work with VA FP members that have an interest in this strategic focus area’s goal which is to continue to promote, encourage, and educate our members on effective models of care and care delivery. The VA FP Quality and Practice Committee will focus its work to support the VA FP Legislative Committee and Board of Directors in the areas of: - Health care delivery - Performance measurement - Practice redesign/quality improvement - Health information technology - Practice management - Physician payment - Practice environments If you are interested in serving as a member of this committee or would like additional information, please contact the Headquarters office. Family Physicians Serving on Statewide Commissions and Task Forces In the late summer of 2020, Governor Ralph Northam announced the creation of a task force on primary care in partnership with the Virginia Center for Health Innovation (VCHI) and Secretary of Health and Human Resources Daniel Carey, MD. The Governor’s Task Force on Primary Care was developed to address the stresses that the COVID pandemic caused to primary care. There are several VA FP members serving on the task force and its subcommittees. Family physicians who serve on the task force and on one of the subcommittees are: Drs. John Brady, Neeta Goel, Gordon Moore, Jesus Lizarzaburu, and Katherine Neuhausen. The family physicians serving on sub-committees are Drs. Andrew Bazemore, Daniel McCarter, Charles Frazier, Scott Strayer, Alex Krist, Mark Watts, and Mitchell Miller. In addition, Gordon Moore, MD serves on the Board of VCHI, and Drs. Neeta Goel, David Ellington, and Lindsey Vaughn serve on the VCHI Leadership Council. The Virginia Department of Health also created task forces around the COVID I9 pandemic and a special thank you to Dr. Mark Ryan for serving on the Telehealth Task Force and Dr. Sterling Ransone for serving on the Testing Task Force. Thank you to all who are serving to represent the specialty of Family Medicine. The following VAFP Members were chosen to present their research posters during the AAFP National Conference of Family Medicine Residents and Medical Students, The conference was held virtually July 29 - 31, 2021. The National Conference is a place for residents and medical students to learn more about family medicine, explore residency programs, and connect with potential employers. The poster applications were reviewed by a panel of active physician judges. Applicants could submit under one of four categories: clinical inquiry, community project, educational program, and research. Posters had to be submitted by an active student or resident member and were to reflect work done while the applicant was a student or resident. The subject of the poster was to be of value to family medicine and within the scope of the specialty, and projects were required to be complete at the time of submission. Akta Bhukhen, MD Eastern Virginia School of Medicine Family Medicine Residency Program Cassandra Dao Eastern Virginia Medical School Deepika Dhary, MD Centra Health --- CME Calendar 2021 - Palliative Care KSA - Saturday, November 6 - 8:30 a.m. - 12:00 noon - Virtual via Zoom - computer and internet access is required. - Health Counseling and Preventive Care KSA - Saturday, November 6 - 1:00 p.m. - 4:30 p.m. - Virtual via Zoom - computer and internet access is required. 2022 - 2022 Winter Family Medicine Weekend - January 27-30, 2022 - Wintergreen Resort - Visit www.vafp.org for more information and to register! --- Donate now to FamDocPAC, the Political Action Committee of Virginia’s Family Physicians!! FamDocPAC The Political Action Committee of Virginia’s Family Physicians “FamDocPAC puts family doctors at the table when health care decisions are made.” FamDocPAC is the political action committee through which you can support the election or re-election of those candidates for state office who share your commitment to family medicine. - Richmond Donor $250+ - Yorktown Donor $175 to $249 - Williamsburg Donor $100 to $174 - Jamestown Donor $50 to $99 To donate please visit [www.famdocpac.org](http://www.famdocpac.org). You will receive a commemorative lapel pin in recognition of your donation. FamDocPAC 1503 Santa Rosa Road, Suite 207, Richmond, Virginia 23229 Phone: 804-968-5200 Fax: 804-968-4418 We have your back, so you can move forward. When a problem occurs, you need a proactive partner that can navigate unforeseen challenges and help you solve the tough legal issues that come with practicing medicine. In our collaborative claims process, our in-house attorneys and our roster of local defense attorneys help you – our valued members – to be ready for what lies ahead. Move forward with us at www.svmic.com
SECURITIES AND EXCHANGE COMMISSION FORM SC 13D/A Schedule filed to report acquisition of beneficial ownership of 5% or more of a class of equity securities [amend] Filing Date: 2013-01-09 SEC Accession No. 0001193125-13-008056 (HTML Version on secdatabase.com) SUBJECT COMPANY NEPHROS INC CIK: 1196298 \| IRS No.: 133971809 \| State of Incorp.: DE \| Fiscal Year End: 1231 Type: SC 13D/A \| Act: 34 \| File No.: 005-80319 \| Film No.: 13520369 SIC: 3841 Surgical & medical instruments & apparatus Mailing Address: 41 GRAND AVENUE RIVER EDGE, NJ 07661 Business Address: 41 GRAND AVENUE RIVER EDGE, NJ 07661 201.343.5202 FILED BY Southpaw Asset Management LP CIK: 1361978 \| IRS No.: 202641361 \| State of Incorp.: DE \| Fiscal Year End: 1231 Type: SC 13D/A Mailing Address: TWO GREENWICH OFFICE PARK GREENWICH CT 06831 Business Address: TWO GREENWICH OFFICE PARK GREENWICH CT 06831 203.862.6206 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) (Amendment No. 6) Under the Securities Exchange Act of 1934 Nephros, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 640671103 (CUSIP NUMBER) Southpaw Asset Management LP Two Greenwich Office Park Greenwich, CT 06831 (203) 862.6206 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) - with copies to - Eliot D. Raffkind Akin, Gump, Strauss, Hauer & Feld, L.L.P. 1700 Pacific Avenue, Suite 4100 Dallas, Texas 75201-4618 (214) 969-2800 September 28, 2012 (Date of event which requires filing of this statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g) check the following box ☐. The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934, as amended (the “Act”), or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act. Southpaw Credit Opportunity Master Fund LP \| \|---\|---\| \| (2) \| Check the appropriate box if a member of a group* (a) □ (b) ☒ \| \| (3) \| SEC use only \| \| (4) \| Source of funds* OO \| \| (5) \| Check box if disclosure of legal proceedings is required pursuant to Item 2(d) or 2(e) □ \| \| (6) \| Citizenship or place of organization Cayman Islands \| \| Number of shares beneficially owned by each reporting person with \| (7) Sole voting power 0 (8) Shared voting power 1,003,496 (9) Sole dispositive power 0 (10) Shared dispositive power 1,003,496 \| \| (11) \| Aggregate amount beneficially owned by each reporting person 1,003,496 \| \| (12) \| Check box if the aggregate amount in Row (11) excludes certain shares* □ \| \| (13) \| Percent of class represented by amount in Row (11) 8.3% \| \| (14) \| Type of reporting person* PN \| * SEE INSTRUCTIONS BEFORE FILLING OUT Southpaw Asset Management LP \| \|---\|---\| \| (2) \| Check the appropriate box if a member of a group* (a) □ (b) □ \| \| (3) \| SEC use only \| \| (4) \| Source of funds* WC \| \| (5) \| Check box if disclosure of legal proceedings is required pursuant to Item 2(d) or 2(e) □ \| \| (6) \| Citizenship or place of organization Delaware \| \| Number of shares beneficially owned by each reporting person with \| (7) Sole voting power 0 (8) Shared voting power 1,003,496 (9) Sole dispositive power 0 (10) Shared dispositive power 1,003,496 \| \| (11) \| Aggregate amount beneficially owned by each reporting person 1,003,496 \| \| (12) \| Check box if the aggregate amount in Row (11) excludes certain shares* □ \| \| (13) \| Percent of class represented by amount in Row (11) 8.3% \| \| (14) \| Type of reporting person* PN \| Southpaw Holdings LLC \| \|---\|---\| \| (2) \| Check the appropriate box if a member of a group* (a) □ (b) □ \| \| (3) \| SEC use only \| \| (4) \| Source of funds* WC \| \| (5) \| Check box if disclosure of legal proceedings is required pursuant to Item 2(d) or 2(e) □ \| \| (6) \| Citizenship or place of organization Delaware \| \| Number of shares beneficially owned by each reporting person with \| (7) Sole voting power 0 (8) Shared voting power 1,003,496 (9) Sole dispositive power 0 (10) Shared dispositive power 1,003,496 \| \| (11) \| Aggregate amount beneficially owned by each reporting person 1,003,496 \| \| (12) \| Check box if the aggregate amount in Row (11) excludes certain shares* □ \| \| (13) \| Percent of class represented by amount in Row (11) 8.3% \| \| (14) \| Type of reporting person* OO \| Kevin Wyman \| \|---\|---\| \| (2) \| Check the appropriate box if a member of a group* (a) □ (b) □ \| \| (3) \| SEC use only \| \| (4) \| Source of funds* WC \| \| (5) \| Check box if disclosure of legal proceedings is required pursuant to Item 2(d) or 2(e) □ \| \| (6) \| Citizenship or place of organization United States \| \| Number of shares beneficially owned by each reporting person with \| (7) Sole voting power 0 (8) Shared voting power 1,003,496 (9) Sole dispositive power 0 (10) Shared dispositive power 1,003,496 \| \| (11) \| Aggregate amount beneficially owned by each reporting person 1,003,496 \| \| (12) \| Check box if the aggregate amount in Row (11) excludes certain shares* □ \| \| (13) \| Percent of class represented by amount in Row (11) 8.3% \| \| (14) \| Type of reporting person* IN \| Howard Golden \| \|---\|---\| \| (2) \| Check the appropriate box if a member of a group* (a) □ (b) □ \| \| (3) \| SEC use only \| \| (4) \| Source of funds* WC \| \| (5) \| Check box if disclosure of legal proceedings is required pursuant to Item 2(d) or 2(e) □ \| \| (6) \| Citizenship or place of organization United States \| \| Number of shares beneficially owned by each reporting person with \| (7) Sole voting power 0 (8) Shared voting power 1,003,496 (9) Sole dispositive power 0 (10) Shared dispositive power 1,003,496 \| \| (11) \| Aggregate amount beneficially owned by each reporting person 1,003,496 \| \| (12) \| Check box if the aggregate amount in Row (11) excludes certain shares* □ \| \| (13) \| Percent of class represented by amount in Row (11) 8.3% \| \| (14) \| Type of reporting person* IN \| This Amendment No. 6 (this “Amendment”) to Schedule 13D is being filed to amend and restate Items 4 and 5 as follows: Item 4. Purpose of the Transaction This Amendment No. 6 is being filed to report that Southpaw Management no longer provides investment management services to certain private institutions, including the Managed Account and, therefore, no longer has the power to vote or dispose of the shares of Common Stock of the Company held by such accounts. Item 5. Interest in Securities of the Issuer (a) As of January 8, 2013, Master Fund is a direct beneficial owner of 1,003,496 shares of Common Stock of the Company (the “Master Fund Shares”) held for its own account, which consists of (i) 483,254 shares of Common Stock held for its own account, and (ii) 520,242 shares of Common Stock that can be obtained by the Master Fund upon exercise of the Common Stock Warrants. The Master Fund Shares represent 8.3% of the Company’s outstanding shares of Common Stock. Southpaw Management serves as the investment manager of Master Fund and receives a performance-based and an asset-based fee for managing the investments of Master Fund. Southpaw Holdings is the general partner of Southpaw Management. Mr. Wyman and Mr. Golden are principals of Southpaw Holdings. By reason of such relationships, Southpaw Management, Southpaw Holdings, Mr. Wyman and Mr. Golden may be deemed to be indirect beneficial owners of the Master Fund Shares. The percentage of class specified above (and in the cover pages to this Amendment No. 6) are calculated on the basis of 11,627,902 shares of Common Stock issued and outstanding as of November 5, 2012 based on information provided by the Company, increased by the aggregate number of shares of Common Stock issuable upon exercise of the Common Stock Warrants. (b) Master Fund, Southpaw Management, Southpaw Holdings, Mr. Wyman and Mr. Golden have the power to vote and dispose of the Master Fund Shares. The filing of this Schedule 13D shall not be construed as an admission that any of the Reporting Persons is, for the purposes of Section 13(d) or 13(g) of the Act, the beneficial owner of any of the Master Fund Shares. Pursuant to Rule 13d-4 of the Act, Southpaw Management, Southpaw Holdings, Mr. Wyman and Mr. Golden disclaim all such beneficial ownership. (c) The transactions in the Company’s securities by the Reporting Persons during the sixty days prior to the obligation to file this Amendment No. 6 are listed as Exhibit 1 attached hereto and made a part hereof. (d) Not Applicable. (e) Not Applicable. Signature After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: January 9, 2013 Southpaw Credit Opportunity Master Fund LP By: Southpaw GP LLC, its general partner By: /s/ Howard Golden Name: Howard Golden Title: Managing Member Southpaw Asset Management LP By: Southpaw Holdings LLC, its general partner By: /s/ Howard Golden Name: Howard Golden Title: Managing Member Southpaw Holdings LLC By: /s/ Howard Golden Name: Howard Golden Title: Managing Member /s/ Kevin Wyman Kevin Wyman /s/ Howard Golden Howard Golden \| Security \| Transaction Date \| Number of Shares of Common Stock Sold \| Purchase Price \| \|--------------------------\|------------------\|--------------------------------------\|----------------\| \| Common Stock Warrants \| 12/11/2012 \| 41,439 \| $0.60 \|
St. Mary's Collegian YEAR BOOK 1939 The Collegian THE YEAR BOOK of Saint Mary's College HALIFAX, NOVA SCOTIA 1939 JESUITS OF HALIFAX 1061 Wellington Street Halifax, N. S. B3H 3A1 WITH hearts brimful of joy and thankfulness we dedicate this issue of the Collegian to His Holiness Pope Pius XII, praying God that the reign of His new Vicar may result in untold spiritual and temporal blessings to all peoples in all nations. S.S. Pio XII His Holiness Pope Pius XII In union with millions of loyal subjects, we offer our respectful greetings and bid a cordial welcome to their Majesties King George and Queen Elizabeth on the occasion of their first official visit to our beloved Canada. Their Majesties King George VI and Queen Elizabeth Patroness of Saint Mary's College FOREWORD The editors of the Collegian have aimed to make this issue a souvenir of all activities during the past scholastic year. Within its pages the photo of every college student appears. This feature should make it a treasured possession for the graduates. BROTHER LANNON President of Saint Mary's College President's Message To The Graduates FOR four years of College education, you have been preparing for the great adventure in the world outside College Halls. By lectures, experiments, research, and the free exercise of expression you have been endeavoring to broaden your comprehension of life. Into that vast field of opportunity of turmoil and trial you are carrying unused weapons. These implements fashioned in the ardent heat of your preparation are awaiting the test of their strength. You will need both courage and skill in every moment of the struggle if you are to reach successful issues. Life is not standardized and with the best preparation which you might have made there would still be many gaps which experience alone can fill. Neither is the measure of your present ability to be the measure of your future worth, for it may be true to say of you as it has been true to say of many other graduating groups "The last shall be first and the first last." Not all great men have been College bred but certainly the majority of those who have achieved leadership along their fellows have been privileged to wander broadly in the fields of knowledge. It is, therefore, with caution and humility conjoined with optimism and courage that you must enter into your possessions. Within as well as without the boundaries of their own nations, people to-day face menaces to their peace and happiness. There is everywhere concentration, as there must be, on the physical elements necessary for defense. Those who will not defend may well expect subjugation by invading foes. The lesson may be spiritually applied to you. The battles of youth are not always external to ourselves. The greatest victories are not those that have been won on foreign fields but rather those won over our own will and mind and heart. For that reason your courses have been framed to enable you to secure and to defend freedom and peace of heart. A spirit of tolerance and intelligence has been generated to guarantee a calm and wise judgment in the conduct of life; a disciplined and manly spirit has been evoked to add strength and steadfastness in the face of those alluring calls to weakness and selfishness; integrity of conscience has been fostered as an antidote against the sanctions of luxury and greed. All this has been done because intelligence means little if it has not also brought with it a virile adoption of those spiritual elements that minister unerringly to a man's peace. Finally, whilst you have been engaged in this preparation for life you have not as yet ever come face to face with yourself. Only when you have begun to put your intelligence and moral endurance to the tasks of life will you become wisely aware of your strength and of your weakness. The distance you will travel along the road to success will be the measure of your own self-mastery, and self-mastery is a life-time task. BROTHER LANNON. JOHN JOSEPH BURKE Halifax, N. S. St. Mary's High School. Phi Phi Sigma. Tau Gamma Sigma. Debating Society. C.O.T.C. Sgt.—Rifle Team '37-'38-'39—Captain '39. Associate Editor Journal '39. Treasurer—Senior Arts '39. Prize Orator '39. JOHN EDWARD CARYI Halifax, N. S. St. Mary's High School. Phi Phi Sigma. Tau Gamma Sigma. C. O. T. C. Rifle Team '39. Assistant Manager of Intercollegiate Rugby Team '38. Debating Society. EDWARD ARTHUR COOLEN Halifax, N. S. St. Mary's High School. Athletic Association. Intercollegiate Rugby '39. Intercollegiate hockey. Vice-Pres., Tau Gamma Sigma, '39. Associate Editor, Journal '39. C. O. T. C. Debating Medalist '39. Gold "M" for athletics. FREDERICK ROBERT FAULKNER Halifax, N. S. St. Mary's High School. Cheer Leader. Handball. Sport's Editor of Journal '37—'38. Manager Intercollegiate Football team. C.O.T.C. Editor-in-Chief, Journal '39. Delegate to Maritime Students' Conference. Glee Club. Dramatics. DANIEL JOHN JANIGIAN Halifax, N. S. St. Mary's High School, and St. Patrick's High School. Phi Phi Sigma. College Glee Club. College Rugby. Athletic "M" for Rugby. Tau Gamma Sigma. Prize Winner. "A" Certificate C. O. T. C.; Manager—College Hockey Team '39. MARTIN STANISLAUS MACDONALD Halifax, N. S. High School, Iona, Cape Breton and St. Patrick's, Halifax. Phi Phi Sigma. Freshman Prize Winner. Interfaculty Handball. C. O. T. C. Intercollegiate and Intermediate Rugby. Intercollegiate Hockey. Interfaculty Baseball. GEORGE ALEXANDER MCKAY Halifax, N. S. Matriculation at St. Mary's. Interfaculty Hockey '36, '38. Phi Phi Sigma. Handball. Baseball '35, '36, '37. Intercollegiate Rugby '38. Intercollegiate Hockey '39. Athletic "M". C. O. T. C. Tau Gamma Sigma. Dramatics. HERBERT THOMAS MULCAHIE Halifax, N. S. St. Patrick's High School. Medal for Prize Essay while at St. Mary's. Rugby Captain, '38. C. O. T. C. Elocution Contest. Dramatics. Debates. Phi Phi Sigma. Tau Gamma Sigma. Athletic "M" in Rugby. Rifle Team. BRIAN JOSEPH O'CONNELL Halifax, N. S. High School, St. Mary's. President, Phi Phi Sigma. Rugby. Sport's Editor, Journal. Manager, College Football. Sport's Editor Collegian. Editor Journal '37. President Tau Gamma Sigma '39. President Debating Society '39. President, Senior Class, C. O. T. C. Delegate to Maritime University Students' Conference. DERMOT LAWRENCE O'KEEFE St. John's, Newfoundland St. Bonaventure's College, St. John's. Prize Debate '37. Dramatics. Glee Club. C. O. T. C. Associate Editor, Journal. Class Secretary. Delegate to C. C. Y. U. Convention '39. President, Mission Crusade Soc. '39. Declamation Winner. GERALD FRANCIS RENNER. Halifax, N. S. High School at St. Mary's. Junior Debate Medalist. Philosophy Prize '35, '36. Treasurer, Tau Gamma Sigma. Associate Editor, Journal. GEORGE BERNARD TOLSON Halifax, N. S. St. Mary's High School. Phi Phi Sigma. Dramatics. C. O. T. C. Circulation manager of Journal. Handball. Intercollegiate Rugby '36, '37, '38. Debating Award '39. Tau Gamma Sigma. Radio Debate team '39. WILLIAM ALLISON CAMPBELL Halifax, N. S. High School at Halifax County Academy. St. Mary's C. O. T. C. Junior Rifle Team '38. Tech C. O. T. C. Senior Rifle Team '39. Engineering Society. Junior-Senior Debating Society. Engineering Diploma '38. LLEWELLYN GREER MARKS Armdale, N. S. High School at Halifax County Academy. Junior-Senior Debating Society. Engineering Society. C. O. T. C. Engineering Diploma '38. PATRICK TERRENCE O'LEARY Armdale, N. S. St. Patrick's High School and Halifax County Academy. Engineering Diploma '38. Sec. Engineering Society '37. Sect. Mission Crusade '38. C. O. T. C. Interfaculty Handball. EDWARD JOSEPH DEVINE Shelburne, N. S. B. A. St. Mary's '34. Tau Gamma Sigma, Phi Phi Sigma. Treas. Holy Name Society. Sport's Editor Collegian. Interfaculty baseball, hockey and handball. Intercollegiate football. WILFRED THOMAS COOLEN Halifax, N. S. B. A. St. Mary's '36. Gold Medalist in Sophomore, Junior and Senior. Prize Essay Medal in Sophomore. Valedictorian of Graduating Class '36. College Orchestra. Literary "M". Senior hockey, handball and baseball. Radio Debater '39. WILLIAM JAMES MORRISCEY Halifax, N. S. High School St. Mary's. Debating Society. Glee Club. C. O. T. C. OWEN PATRICK QUINN Halifax, N. S. High School St. Mary's. Vice-Pres. Delta Lambda Kappa '36-'37. Business Manager of Journal '37-'39. Vice-Pres. Mission Crusade Society. President of Delta Lambda Kappa '38-'39. GERALD PATRICK SCALLION Halifax, N. S. High School St. Patrick's. Business Manager of Journal. Manager of Debating Society. Delegate to Maritime University Students' Conference. GERALD BERNARD JEFFERSON Halifax, N. S. High School at St. Patrick's. Officer in C.O.T.C. and 10th. Fortress Coy., R.C.E. Engineering Society. Junior-Senior Debating Society. Intercollegiate Rugby '37. GERALD FRANCIS KELLY Halifax, N. S. High School at St. Patrick's. Junior-Senior Debating Society. Engineering Society. C.O.T.C. CEDRIC WILLIAM McLEOD Halifax, N. S. High School at Bloomfield. Junior-Senior Debating Society. Engineering Society. C.O.T.C. PAUL ERNEST MURPHY Halifax, N. S. High School at St. Mary's. Engineering Society. Junior-Senior Debating Society. GORDON FREDERICK PHELAN Halifax, N. S. St. Patrick's High School. Engineering Society. Debating Society. C.O.T.C. HAROLD THOMAS ROSE St. John's, Newfoundland High School at St. Bonaventure's College, St. John's. Prize Debate '37. Engineering Society. C.O.T.C. Associate Editor of Journal. Junior-Senior Debating Society. Interfaculty Hockey and Handball. Gold Medalist in '37 and '38. JAMES WILLIAM SPRUIN Halifax, N. S. High School at St. Mary's. Vice-President of Engineering Society '39. Intercollegiate hockey and rugby. Interfaculty handball. JOHN JOSEPH SHEEHAN Halifax, N. S. St. Patrick's High School. C.O.T.C. Engineering Society. Tennis. BOYACK EDDINGTON WEBBER Dartmouth, N. S. Dartmouth High School. Engineering Society. C.O.T.C. JOHN PARKER WOODS Halifax, N. S. High School at Halifax Academy. Engineering Society. Intercollegiate Hockey. C.O.T.C. Junior-Senior Debating Society. Interfaculty Hockey and Handball. Journal Staff. BENNETT VALENTINE BARRETT Halifax, N. S. High School St. Patrick's. Coach Commercial Hockey Team. ARTHUR GEORGE CROSS Halifax, N. S. High School St. Patrick's. Interfaculty Hockey. C.O.T.C. LEO EMILE DEVEAU Halifax, N. S. High School St. Patrick's. Intercollegiate Rugby. Intercollegiate and Interfaculty Hockey. C.O.T.C. WILLIAM GRAHAM DYER Halifax, N. S. High School at St. Mary's. Intercollegiate Rugby. Interfaculty Hockey. C.O.T.C. CHARLES STEPHEN DWYER Halifax, N. S. High School St. Mary's. Debating. Intercollegiate Rugby '39. Intercollegiate and Interfaculty Hockey. C.O.T.C. Rifle Team. ROBERT KANE GIBSON Halifax, N. S. Chebucto High School and St. Mary's High School. Badminton. Baseball. Handball. GERALD JAMES MULCAHY Halifax, N. S. High School St. Patrick's. Intercollegiate Rugby. Intercollegiate and Interfaculty Hockey. C.O.T.C. LAWRENCE JAMES O'CONNELL Halifax, N. S. High School St. Patrick's. Intercollegiate Rugby '39. Intercollegiate and Interfaculty Hockey. Interfaculty Handball. C.O.T.C. CLASSES 1939 1940 1941 1942 SOCIETIES Tau Gamma Sigma Late in October the members of Junior and Senior Arts met and elected the following slate of officers: President - BRIAN J. O'CONNELL Vice-President - EDWARD COOLEN Secretary - GERALD MOFFAT Treasurer - GERALD RENNER On December 15 the annual initiation ceremonies took place. The Society began to take on a healthier appearance when such names as Don Campbell, John Theriault, Tom Power, Michael Fitzpatrick, Jim Fennessy, Harold McGrath, Ralph Vaughan, Leo MacDonald and John McIsaac were added to the roll. Social and other activities were at a low ebb during the year but the work of re-organization was encouraging and considerable. Executive and members are now engaged in studying the constitution with a view to rectifying the present situation and rendering the terms more suited to our needs. Desirable changes will be made at the pre-Convocation general session. All indications point to a live organization for 1940 with grads and undergrads both determined that Tau Gamma Sigma will climb back to its former position as the leading student society at St. Mary's. JUNIOR AND SOPHOMORE ARTS Front row—John Theriault, Harold McGrath, Thomas Power, Joseph Nunn, Gerald Murphy, Marshall Brackett, Gerald Moffatt. Second row—Thomas Connolly, Donald Campbell, James Fennessey, Ralph Vaughan, John MacDonald, Alan Wilson. Third row—John McIsaac, Gerald Kelly, John McDougall, Leo MacDonald, Clyde Duggan. FRESHMAN ARTS Front row—Wallace Samson, Terence Martin, John Delaney, Joseph Grandy, Gerald Hardiman, Charles McGinn, John Ward. Second row—William Dalton, Paul Laba, Joseph Hallisey, Edmond Carrigan, Augustine McCarthy, Boris Bochoff, Delbert Aymar, Allan McPherson, Edward Earl. Engineering Society As another scholastic year draws to a close we are compelled to look back and think over what has been done in the past eight months. I will attempt, then, to gaze into the past and recall some of the activities of the transit men since the drafting boards were first dusted off last September. The first thing I see is a fine husky bunch of fellows asleep under an apple tree. One of them is getting up and going over to a funny looking thing on three legs. Well! if it isn't a transit. Yes, you've guessed it—a party of St. Mary's Engineers at the Truro Surveying Camp, and what a camp. Oh! to be in Truro now that April's there, but I guess we'll have to wait till next fall and hope that the next camp will be as successful as the last. All good things cannot last forever so here we are back at St. Mary's. Once more the walls of this grand old college resound to the din created by the drafting room jitterbugs. Next the Engineers are hosts of an "At Home" at the Knights of Columbus Hall. The guests at this gala affair were the Junior and Senior classes of Mount Saint Vincent and the graduating class of Saint Mary's College. At last we come to a sad day in the year. I see crepe hanging on the drafting room door. The invincible Engineers have finally been beaten, much to the joy of the would be millionaires from the top floor—the boys of Business Training—who beat us for the Interfaculty Hockey title. Ah! There I see a bright spot as I gaze into the past. The Engineers' social event of the season at the Lord Nelson Hotel. The speaker at the Banquet was Lt. Col. S. Ball of Nova Scotia Technical College, who spoke on "The Engineer—The Soldier". SOPHOMORE ENGINEERS Front row—Basil Nunn, William Flemming, Vincent Vaughan, George West, Felix Quinn, George Hoganson, John Foran. Second row—Frank Dempster, Edward Carroll (first year), Michael Greene, Harry Zinn, John Whitely, Edward Smith, George Haliburton, Patrick Campbell. FRESHMAN ENGINEERS Front row—Edward Cosgrove, Terence Foley, Harris Miller, Clarence Coolen, John Munro. Second Row—John Meagher, Egbert Tulk, Thomas Martin, Cyril Hoganson, George Janigian, Eric Holloway. Delta Lambda Kappa The initial meeting of the Delta Lambda Kappa, elected the following officers for the coming year: President - OWEN QUINN Vice-President - GORDON BULLEY Treasurer - KENNETH JOHNSTON Secretary - BERNARD VAUGHAN Four new members were introduced and received into the society, Robert Gauvreau, James McNeil, Michael Resk and Edward Smith. Discussion followed concerning the activities for the year. During the year an enjoyable evening was spent at the home of one of the members, in the form of a smoker. The Delta Lambda Kappa are now planning an outing immediately after the final exams, but as yet the destination is not definitely settled. The society contributed a donation to the Mission Crusade for the purpose of sending the president of that organization to represent St. Mary's at the Catholic Youth Convention held in Ottawa. The Delta Lambda Kappa entered a team in the Interfaculty hockey league this year. Although we did not win, it was generally agreed that the hockey was enjoyed by us all. This was proved by the attendances and spirit shown at these games. At the time of writing the handball tournament has not reached the finals and the senior commerce men are still in the competition. On behalf of the society we sincerely hope that the graduating members of our society will have success in their business undertakings. FRESHMAN, SOPHOMORE AND JUNIOR COMMERCE Front row—Robert Gauvreau, James Reardon, George Smith, Kenneth Johnstone, Bernard Vaughan, Lyall Murphy, Gordon Bulley. Second row—Gerald Sullivan, Cyril Hanrahan, Francis MacNeill, Frederick Keating, Terrance Power, William Bishop, Michael Resk. FIRST YEAR BUSINESS TRAINING Front row—John Quinn, Russell Lownds, Frederick McGrath, Gerald Smith. Second row—Clark Mullock, Donald Brackett, John Hansen. Mission Crusade Society In the early part of September, a new executive took over the reins of the noblest and busiest society in the college: \| Position \| Name \| \|-------------------\|--------------------\| \| Spiritual Director\| REV. BRO. BIRMINGHAM\| \| President \| DERMOT O'KEEFE \| \| Vice President \| OWEN QUINN \| \| Treasurer \| FRANK REARDON \| \| Secretary \| JOHN MACDONALD \| Throughout the year this executive worked zealously and tirelessly for the welfare of both home and foreign Missions and, supported whole-heartedly by the student body, succeeded in upholding the excellent traditions of this flourishing society. The president, Mr. O'Keefe was delegated by unanimous vote to represent the society at the Catholic Youth of Canada rally held in Ottawa. On his return Mr. O'Keefe submitted a report to the Crusaders. The annual triduum in honour of our Patron was marked by a debate and two interesting lectures. On the first day the debate took place between Arts and Commerce. Jack Burke and Bernard Tolson were declared winners over the Commerce team of Ken Johnstone and Owen Quinn. On the second day Rev. Father Durney gave an interesting talk on Bermuda, illustrating his lecture with pictures. On the third day, Father Cormier, C. J. M., college chaplain, delivered an address on the life of St. Francis Xavier and concluded the triduum with Benediction. The society backed the Canada-wide drive against the sale of indecent literature. All took the pledge and vowed willing support wherever and whenever it was required. Several of the members visited the vendors of magazines and presented them with the questionnaire. Dermot O'Keefe, Wilfred Coolen, Gerald Renner, Ralph Vaughan, Gerald Murphy, and John MacDonald were the Crusaders who devoted themselves to this enterprise. Athletic Association Slate of Officers for 1938-39 MR. G. R. SULLIVAN - - - President MR. W. GRAHAM DYER - - - Treasurer MR. H. E. LAWRENCE - - - Secretary REV. BRO. P. B. CROKE - - - Faculty Representative MR. J. WALLACE - - - High School Representative It is only within the last few years that the A. A. A. has been properly organized under a group of officers including a representative from the High School. A member of the College faculty acts as adviser. St. Mary's had a most successful year athletically. We take great pleasure in announcing that as well as paying its way throughout the year the A. A. A. has made a very substantial decrease in the debts contracted in previous years. The Annual Victory Ball was held at the Nova Scotian Hotel. In conjunction with this affair the A. A. A. sponsored a banquet in honor of St. Mary's Intercollegiate Football team, Provincial Champions. Our guest speaker was Mr. Harold Connolly, M. L. A. We have great hopes of enlarging our athletic ventures next year. Although handicapped by the lack of a "gym" we hope to add basketball to our list of major sports. At the recent meeting of the Maritime Amateur Athletic Union, intercollegiate badminton was proposed. In this sport too, it should be possible to send a strong representation from St. Mary's. If it does not interfere with rugby a track team may be possible. The constitution is being amended so that those who take part in tennis, rowing, or rifle shooting, may gain a "Letter". Debating Society On the 25th of October 1938, the Seniors and Juniors of the various departments assembled at Brother Lannon's suggestion to form the St. Mary's College Debating Society. The purpose of the proposed society was threefold: a useful training for the students, a means of establishing contact with other Maritime Colleges, and a preparation for such competitions as might be entered upon. The slate of officers elected was: Honorary President and Director, Rev. Brother Lannon; President, Brian O'Connell; Secretary, Dermot O'Keefe; Manager, Gerald Scallion. Regular meetings took the form of discussions from the floor on topics of interest which were announced in advance. Varieties in this programme were Mock Trials and Hat Debates. The executive corresponded with other Colleges on the subject of the formation of a Maritime Catholic College Debating Society. Approval was voiced everywhere and a schedule of debates will be drawn up next year. A delegation from the Society was invited to the Maritime Conference of University Students at St. Francis Xavier University, Antigonish. Representatives were asked to the all-Canadian students' conference at Hamilton, Ontario, next year. Representatives were entered in the Catholic Women's League declamation contest. A radio debate against Dalhousie was undertaken. King's has asked to meet St. Mary's via the airwaves. St. Mary's has been offered a weekly quarter-of-an-hour on the air in Halifax. The Society has accepted an invitation to join the Maritime College Debating League. The St. Mary's College Debating Society, largely because of the unfailing support, enthusiasm and encouragement of Brother Lannon, has made a name for itself, has proved of inestimable benefit to its members, and offers possibilities of a very bright future. PRIZE DEBATING TEAMS Frank Reardon Edward Coolen Joseph Nunn Gerald Renner RADIO DEBATING TEAM Bernard Tolson Wilfrid Coolen Michael Fitzpatrick PUBLIC SPEAKING TEAM Dermot O'Keefe John Burke Owen Quinn 1939 St. Mary's Students Attend Conferences Early in October Dermot L. O'Keefe went to Ottawa to take part in the first convention of the Canadian Catholic Youth Union. The convention had the full support of the Canadian Hierarchy and of the Most Rev. Ildebrando Antoniutti, newly appointed Apostolic Delegate to Canada. Members of the hierarchy and prominent laymen took part in the discussions. The governing body of the Union will be a National Committee made up of representatives from the various provinces, proportionately elected. Mr. John Dickey, B.A. '36, was elected to serve on this body. St. Mary's made a second appearance at the conference table when Brian O'Connell, Robert Faulkner, Gerald Scallion and Wesley Theakston journeyed to St. Francis Xavier University, Antigonish, where, on Feb. 14, 15, 16, the First Annual Conference of Maritime University Students was held. Brian O'Connell presided over the "Industry and Society" session while Gerald Scallion, discussing "Education", presented a paper prepared by the delegation. Robert Faulkner acted on the "Steering" Committee and shared in the organization of the new Maritime Press Union while Wesley Theakston acted as group secretary throughout. Our representatives would particularly like to express their appreciation to Pius Nearing, Leo MacIntyre, Cameron McDonald, Bernie Henry and the numerous other student officials who labored so hard and so willingly to make the stay at St. Francis Xavier an enjoyable one. Athletic Association Will Hold Annual Meeting ST. MARY'S JOURNAL Tamarians Elected F. Robert Faulkner Gerald Scullion John A. McDonald Richard C. Edmon Harold T. Roe Carol J. Revere Kathryn Johnson Michael Hargrave John Woods Edward A. Oder Owen Quinn Graham Dyer Wesley Richardson William K. Linton John J. Burke Will Hold Meeting Staff of St. Mary's Journal TECHNICAL COLLEGE AND ST. MARY'S COMPANIES C. O. T. C. AT PETEWAWA. Front row—J. O'Leary, D. Mackey, P. Campbell, G. Kelly, R. Colville, J. MacDonald, J. Murphy, J. Redmond N. O'Neill, L. DeMene. Second row—Lt. G. Sullivan, Lt. G. Jefferson, Lt. J. Dumaresq, Capt. D. K. Todd, Lt. Col. S. Ball, O.C., Lt. H. Dickson, Lt. G. Theakston, Lt. A. Forster, Lt. N. Whippley, E. MacDonald. Third row—E. McGrath, J. Caryi, J. Smith, M. O'Neill, F. Spicer, C. Hayes, W. Archibald, G. Thomas, B. Vaughan, B. Tolson, D. Conter. Fourth row: A. Bernard, E. Small, D. Kline, G. Pumple, V. Williams, H. Rosier, A. Foley, A. Cross, L. Carey. Fifth row—R. Faulkner, E. Coolen, W. Morrissey, M. MacDonald, G. McKay, D. Jamigan, J. Burke, G. Moffatt, T. O'Leary, H. Mulcahy. Canadian Officers Training Corps. For the year 1938-39 the St. Mary's C. O. T. C. has advanced still further towards becoming the "most efficient" unit of its kind in this Military District. The Unit's activities "officially" got under way with Lt. Col. Spencer Ball, Officer Commanding of the N. S. T. C.-S. M. C. Contingent, entertaining for the members of the Corps and their friends. Then began the lectures and drills for the Juniors which, for the first time in the Unit's short history, were given by our own officers and N. C. O's. In February lectures for the Seniors began and bore fruit when about twenty members wrote for "A" and "B" Certificates. The successful candidates in these examinations will not be known until June. With the examinations concluded, preparation was made for the District Officer Commanding's annual inspection held in the Armouries. To the pleasure of the many friends of St. Mary's who filled the balconies, the Cadets gave an excellent display of ceremonial drill. After this drill the Unit went "into action" as a two-gun battery and carried out a "shoot" with the 18 pounder guns, in a most creditable manner. With the closing of the college year there remains only one or possibly two more highlights for the Cadets. The first is the annual camp at Sandwich Battery. It is at this camp that the Cadets put into practical use the knowledge of Artillery acquired during the year. The second will be the eight-day camp at Petawawa, Ontario. Last year was the first time that the Unit attended such a camp. So successful and enjoyable was it that this year everyone of the eighty-five members of the Unit is looking forward to the trip. REV. FRANCIS L. CARROLL, B. A. '33 Holy Heart Seminary, Halifax REV. R. ERIC O'CONNOR, S. J., B. A. '26 RIP. Weston College, Weston, Mass REV. MICHAEL B. DWYER China Mission Seminary Scarboro Bluffs, Ontario. LAWRENCE F. O'BRIEN, B. A. '33 Graduate of Dalhousie Law School 1939 REV. CHARLES B. MURPHY Lishui, Chekiang, China MICHAEL I. WEBB Graduate of Dalhousie Law School 1939 REV. WILLIAM F. NEALY, O.P., B.A. '32. St. Joseph's Priory, Somerset, Ohio. Technical College Graduates 1939 WILLIAM H. ACKHURST Bachelor of Electrical Engineering BRUCE W. HAMER Bachelor of Mining Engineering JOHN G. BELLIVEAU Bachelor of Civil Engineering JOHN E. ROUE, B. Sc. '37 Bachelor of Electrical Engineering ANTHONY J. BERNARD Bachelor of Civil Engineering JAMES B. TERNAN Bachelor of Electrical Engineering JOSEPH J. GILLIS, B. Sc. '37 Bachelor of Mining Engineering GERALD E. THOMAS Bachelor of Mining Engineering FALSTAFF SCENE FROM HENRY IV. M. Fitzpatrick, R. Lownds, J. Delaney, H. McGraith, C. Coolen, R. Vaughan The Falstaff Scene from Henry IV and the one-act play, Retribution, were part of the Annual Entertainment presented April 25th, at the Nova Scotian Hotel. SCENE FROM "RETRIBUTION" F. Reardon, G. McKay, J. Grandy, J. MacDonald ATHLETICS CITY INTERCOLLEGIATE CHAMPIONS NOVA SCOTIA INTERCOLLEGIATE RUGBY CHAMPIONS Front Row—Vincent Vaughan, John Meagher, Harold Lawrence, Herbert Mulcahie, Captain, George Hoganson, Bernard Tolson, Charles Dwyer. Second Row—Alan Coolen, Coach, Leo Deveau, Lawrence O'Connell, Edward Coolen, George West, Gerald Mulcahy, Robert Feulkner, Manager, John Caryi, Assistant Manager. Third Row—Martin MacDonald, Daniel Janigian, George McKay. College Football At the start of the football season, the prospects of success for the "fighting Irish" were anything but bright. Post graduate work necessitated the absence from the city of Tom Sullivan, the football coach for the past two seasons. The logical choice for the past was Allan "Bim" Coolen, himself one of the finest footballers ever developed in the college. Fortunately, "Bim" was able to spare the time from his work, and so the coaching problem was well taken care of. When the call went out for candidates, eighteen men reported—the smallest turnout in the history of college football. Of this number, five boasted previous inter-collegiate experience, three were raw recruits, and the rest came up from last year's high school team. "Bim" faced the herculean task of transforming these "huskies" into a fast, aggressive team, capable of representing St. Mary's in the Inter-collegiate football league and the Intermediate league. Little did anyone think that St. Mary's inter-collegiate team of '39 was destined to be the year's outstanding fifteen in English football in the Maritimes. Faced with the heavy schedule of eight games, St. Mary's started the season off on the right foot with a win over King's College. Under the captainship of "Herbie" Mulcahie, the Saints commenced their victorious drive by steamrolling King's to the tune of 16-0. By defeating the Technical College 9-0, the Santamarians won the city inter-collegiate title and qualified for the provincial playdowns. In the Nova Scotia semi-finals, St. Mary's played Acadia University. After holding the Acadians to a 6-6 score on Raymond field, the Irish scored a decisive 13-8 victory over the Axemen on the Wanderers grounds, thus qualifying to meet St. Francis Xavier, last year's Maritime champions, in the provincial finals. A "sudden death" game was played at Studley campus, with the St. Mary's ruggers still in the "underdog" class. However, the Santamarians "upset the dope" by taking the Maritime champions over the hurdles by the surprising score of 9-0. St. Mary's College had won its first Nova Scotia inter-collegiate football crown since its short history in senior competition. The Saints then met Mount Allison University for the Maritime championship in a "sudden death" game at Truro. After a scoreless first half, in which the Santamarians had a definite edge in territory and scrimmage, the Mounties capitalized on a penalty kick, a loose dribble which resulted in a try, and a successful convert, making the score 8-0 for the Mounties. Weared from their inter-collegiate schedule, St. Mary's fought past a heavy Navy squad to meet the Wanderers club for the city intermediate championship. Failing to show the spark which characterized their play throughout the season, the Saints, dominating the play from start to finish, lacked their usual scoring punch and came out on the short end of a 3-0 score. Thus the curtain was rung down on the most successful college football season St. Mary's has ever enjoyed. The original eighteen men had been moulded into a team that climbed unprecedented heights in the face of tremendous obstacles, starting a new chapter in the sport annals of St. Mary's College. To Coach "Bim" Coolen goes the honor of having turned in the year's outstanding coaching achievement in English football in the Maritimes. The members of the team are Herb Mulcahie, captain, George Hoganson, Bernie Tolson, Ed Coolen, Fred Keating, Dan Janigian, Leo Deveau, George McKay, Vinnie Vaughan, Jerry Mulcahy, Johnny Meagher, Larry O'Connell, George West, Hal Lawrence, Marty MacDonald, Graham Dyer, Charlie Dwyer and Mike Resk. Coach . . . . . . . . . . . . . . . . . . . . M. A. Coolen Manager . . . . . . . . . . . . . . . . . . . F. R. Faulkner Assistant . . . . . . . . . . . . . . . . . . J. J. Caryi INTERCOLLEGIATE HOCKEY TEAM Front row—George West, Edward Coolen, Charles Dwyer, Kenneth Johnstone, Ralph Vaughan, John Munro, John Woods. Second row—Gerald Mulcahy, Leo Deveau, Martin MacDonald, Daniel Janigian, Manager, Lawrence O'Connell, Captain, James Spruin, Vincent Vaughan. Intercollegiate Hockey With happy recollections of a most successful rugby season, the College hockey team started off with a bang. The Dal Tigers were the first team to contest St. Mary's right to march toward the Provincial playoffs. The Santamarians came out on top 6-2. Next came Tech, and when their team paraded on the ice it looked almost like our old College team. It was quite evident however before the game had been long in progress that the old boys of St. Mary's had not taken their hockey as seriously as their studies and were really no match for this year's team. St. Mary's won 10-2. Our team was going great guns, but we went to Acadia leaving behind our heaviest artillery. There certainly was plenty of fire in the game and when the smoke had cleared, the score board read Acadia 5, St. Mary's 3. INTERFACULTY HOCKEY CHAMPIONS Front row—Russell Lownds, Charles Dwyer, Art Cross, Gerald Smith, Clark Mullock. Second row—Lawrence O'Connell, Gerald Mulcahy, Bennett Barrett, Coach, Leo Deveau, John Quinn. Interfaculty Hockey Winner of the Interfaculty Hockey League this year was the Business Training team sparked by the brilliant playing of Larry O'Connell and Gerry Mulcahy. They well deserve the title, "Champions". The team was managed by Ben Barrett and captained by Larry O'Connell. Others on the roster of the team were Art Cross, Leo Deveau, Gerry Mulcahey, Charlie Dwyer, Gerald Smith, Graham Dyer, Russell Lownds, Clark Mullock and John Quinn. The League was made up of four teams representing respectively the Faculties of Arts and Science, Commerce, Engineering, and Business Training. The league officially got under way with President Reverend Brother Lannon facing the puck off for the first time. The official referee appointed by the A.A.A. was Professor John E. Lynch, B.A. The showing of some of the students in the Interfaculty League assured them positions on the Intercollegiate Team. Much interest was shown in the League by both the students and the Faculty. MM MM MM St Mary's College 1940-1945 In Memoriam JOHN NEVILLE The late Mr. John Neville was a member of the college senate—a position the duties of which he fulfilled with a conscientiousness that was truly both inspiring and challenging especially when his advancing years and consequent infirmities might have well excused him from any but the most pressing obligations. With an enthusiasm unusual in one so old he took part in the conferences held previous to the annual graduations and evidenced the keenest joy at seeing the growing importance of St. Mary's in the promotion of higher education for the Catholic youth of Halifax. Our deceased friend's name has a place in our hearts and on the honoured roll of the tried and true supporters of St. Mary's College. God grant him eternal rest. In Montezuma's Day Chocolate was a favoured beverage LONG before Cortez set out on his first voyage of discovery, chocolate or chocolatl—as it was called—was the national drink of the Aztecs, their Emperor, Montezuma is said to have taken no other beverage. So highly did the Aztecs esteem chocolate that they valued the cocoa bean above gold. Introduced by Hernando Cortez to Spain in 1526, by the end of the 17th century chocolate was the aristocratic beverage of Europe. It was then that chocolate houses were first established. The best cocoa beans are grown in the equatorial zones in the West Indies, West Africa, Ceylon and other countries. Many are the processes of refinement that have been discovered since chocolate was first introduced. Because Neilson's employ the most modern machinery and use only the finest cocoa beans, Neilson's chocolate is so smooth, so rich, so delightful in flavour and matchless perfection that it is indeed the best chocolate made. Get a bar of Neilson's Jersey Milk Chocolate, bite into it and let it melt in your mouth—truly it is—"the food of the Gods." Neilson's JERSEY MILK CHOCOLATE THE BEST MILK CHOCOLATE MADE 5¢ Reach Sporting Goods C.C.M. Bicycles and Parts Imported English -- FISHING TACKLE -- American Salmon and Trout Rods, Reels, Lines, Landing Nets, Casts, etc. Largest Assortment of Flies in the Province. MacDonald Hardware Co., Ltd. Sherwin-Williams Paint Headquarters Spring Garden Road Halifax, Nova Scotia EATON'S Summer Sport Togs YOUTHS and young men will find an excellent range, moderately priced, at EATON'S! You'll be wanting flannel trousers for warmer weather wear, or a smart tweed or flannel suit in snappy pleated back style. Then there are polo shirts, sports jackets, shoes, socks, etc., in wide variety. The Sporting Goods Department is ready to outfit you with the equipment you need for the beginning of the tennis season.—Racquets, presses, balls, tennis nets, etc. THE T. EATON CO. MARITIMES LIMITED Buy FARMERS' MILK ALWAYS RICH! ALWAYS PURE! ALWAYS SAFE! Farmers' Ltd. « » Halifax To The Graduates of St. Mary's We extend our Sincere Congratulations The Phinney Music Co., Ltd. "A Complete Musical Service." "Quality Sporting Goods." Gauvin and Gentzel Photographers to St. Mary's College 18 Spring Garden Road Halifax, N. S. Special Rates to Students PHONE B 6992 IF ITS SOMETHING FOR YOUR OFFICE...... WE HAVE IT! Complete Office Outfitters Frank M. O'Neill & Co., Ltd. 152 Granville St., Halifax, Nova Scotia College Jewellery "Challenger" Watches Gifts for all occasions HENRY BIRKS & SONS Limited Barrington Street Halifax, N. S. HOWARD'S Limited Wholesale Grocers Tea Importers, Ship Outfitters, Army and Navy Contractors THE BIG FOOD HOUSE HALIFAX, Nova Scotia Conn & Martel Buckingham Street BOWLING — BILLIARDS "Bowl where the Good Bowlers Bowl" The Shop for Wedding Presents In CHINA, CUT GLASS, SILVERWARE, Etc. WEBSTER-SMITH CO. Limited 174-176 Granville Street John Tobin & Co., Limited Established 1825 Wholesale Grocers Tea Merchants HALIFAX CANADA Compliments of CLARK'S BEAUTY SALON AND BARBER SHOP 177 QUINPOOL ROAD B.9645 Thomas Wallace Sons and Daughters Optometrists and Opticians "If you want to see well see Wallace" Y.M.C.A. Bldg. Halifax, N.S. B.6881 PHONE L-1638 Orange Crush Bottling Co. Orange, Lemon, and Lime Crush Capitol Ginger Ale, Pepsi Cola DELIVERED ANYWHERE "Pleasing You Means Success to Us" 16 Almon St. Halifax, N. S. St. Mary's College HALIFAX, NOVA SCOTIA Conducted by the Christian Brothers of Ireland COURSES (1) An Arts Course leading to degree of Bachelor of Arts. (2) Science Course leading to degree of Bachelor of Science. (3) An Engineering Course of three years leading to diploma admitting to Nova Scotia Technical College. (4) A Commerce Course covering four years of College Work leading to degree of Bachelor of Commerce. (5) Commercial Course of College Grade, covering two years. (6) High School Course enabling Students to qualify for University Matriculation. Resident and Non-Resident Students. For Information apply to Registrar. Refreshments..... When you want it, and the way you want it. The Green Lantern 407-409 Barrington St. Halifax, Nova Scotia A Canadian National Welcome awaits you -- at -- The Nova Scotian HALIFAX, N. S. Rooms $3.50 all with Bath Here in the Capital of Nova Scotia is a Hotel where you may stay for business or pleasure, and find just the accommodation you desire. Spacious airy rooms, courteous service, and most reasonable rates in the dining room and the lunch counter. Headquarters for College and University Social Functions. Read The HALIFAX DAILY STAR FOR COMPLETE NEWS COVERAGE 1939 Penguin and Pebian Books The Biggest selling line of Books in the World. 18c, 2 for 35c at THE BOOK ROOM 349 Barrington St. B.6971 Compliments--- CAPITOL THEATRE GIFTS FOR ALL OCCASIONS at COOLEY BROS. Specialty—College Jewelry. 395 Barrington St. Halifax Domestic and Imported FRUITS and VEGETABLES Nickerson & Crease Limited Wholesale Fruit & Produce Halifax Nova Scotia JOHN HUTTON Wholesale Only Tobaccos, Cigars & Cigarettes, Nut Bars and Chewing Gum Cor. Jacob & Barrington Sts. Phone B-7702 Arthur & Conn Limited ELECTRICAL CONTRACTORS Argyle and Buckingham Sts. Phone B-6812 BOUTILIER'S HEADQUARTERS FOR SEA FOOD and POULTRY "The Finest Store in Eastern Canada" 30 Bedford Row Halifax, Nova Scotia 1939 FUR COATS Silver Fox Scarves FRIGID FUR STORAGE Repairing, Remodelling and Relining Nova Scotia Technical College Offers Professional Courses Leading to the degree of: Bachelor of Engineering, Civil, Electrical, Mechanical, and Mining Engineering. Tuition—$75.00 per year. The Technical College is affiliated with St. Mary's College, and six other Colleges and Universities in the Maritime Provinces and Newfoundland. The Province offers twenty Scholarships of $75.00 each to worthy students, two for Halifax County, two for Cape Breton County, and one for each other County. Write for information and calendar to Technical College, Halifax, N. S. READ The Newspapers that carry all the best Features, the latest News and have a circulation that covers Nova Scotia. Reaches more than 50,000 homes daily. The HALIFAX HERALD and The HALIFAX MAIL 25 years experience as Students' Barber We treat you right Jack Mitchell, Prop. 41 Spring Garden Rd. Halifax --- COMPLIMENTS OF --- Evans & Company JOHN W. GORDON "Everything in Hardware" 203 AGRICOLA ST. PHONE L-1589 HALIFAX, N. S. --- Congratulations to the Graduates Maple Leaf Dairy A. D. Johnson, Prop. 59 DUNCAN STREET, Halifax --- DRINK--- ARCTIC GINGER ALE Original Belfast Type "Good alone or in company" Arctic Beverage Co. 372-376 Gottingen St. Halifax --- --- COMPLIMENTS OF --- Home Laundry --- THE Halifax Transfer Company Limited BAGGAGE, FURNITURE and PIANO MOVING Phone B-7138 --- Davis and Fraser Pork Packers Prince Quality Products Charlottetown, P. E. I. Halifax, N. S. --- --- Compliments of --- Wm. STAIRS, SON, and MORROW Halifax, N. S. --- Compliments of --- EDDIE'S BARBER SHOP 248 Quinpool Rd. Halifax --- COMPLIMENTS OF --- J. P. DONALDSON'S STATIONERY STORES 98 GOTTINGEN ST. Oxford Theatre Bldg., Quinpool Rd. Greeting Cards for all occasions. Everybody Uses . . . Ben's Tasty Twist Bread BEN'S LIMITED, Halifax DISTINCTIVE PHOTOGRAPHS --by-- CLIMO Serve— Donovan's Beverages Have You Tried Our Fruit Punch or Coffee Royale W. H. DONOVAN Phone B-6821 Halifax, Canada "Herm" Kaplan "Bob" Kaplan PRINCE CLOTHING STORE Clothing and Furnishings 523 Barrington St. Phone B-6047 J. A. McQUINN DRUGGIST 282 Quinpool Rd. HALIFAX, N. S. ALFRED E. JAMIESON Sun Life Insurance Co. Insure In Sure Insurance A. J. HALIBURTON & CO. COMPLIMENTS OF JAS. E. DEAN Dartmouth’s Leading Grocer WHOLESALE AND RETAIL Dartmouth Nova Scotia CUNARD’S Superior Hard Coals, Soft Coals, Coke, and “Hi-Heat” Fuel Oil are all guaranteed to give the most in heating value and economy. S. CUNARD & CO., LTD. Halifax, B.6211 Dartmouth, H.2111 “Heat Merchants since 1835.” Charles A. Pender Taxi Limited 690-692 Robie Street Special Trips can be arranged to anywhere in Nova Scotia TAXI SERVICE DAY and NIGHT—ANYWHERE CALLS ATTENDED PROMPTLY CALL L-3717---L-3718 New 7 Passenger Cars Uniformed Chauffeurs. 3 - SAFETY SERVICE SATISFACTION MAIN OFFICE B-6123-6124 WEST END B-9655 SOUTH PARK St. B-9614 For over 20 years the Largest and Most Reliable Taxi Service in the Maritimes. Adams Transportation Company Trucking and Forwarding Agents Phone B 7305 Halifax, N. S. McCaffrey's Drug Store 61 Windsor Street Complete line of Drugs and Patent Medicines. Smokers' and Toilet Requisites Magazines, Newspapers. C. N. R. Railway Money Orders Fire Insurance Of Every Description Marine Accident Grant, Oxley & Co. LIMITED 50 BEDFORD ROW Halifax Day or night 24 hour SERVICE McCurdy Printing Co. Limited 54 Argyle Street (B7606) HALIFAX COMPLETE OUTFITS ON BUDGET PRICES AND EASY CONVENIENT CREDIT Kay's LIMITED Barrington St. Halifax, N. S. COMPLIMENTS OF D. Gestetner (Canada) Ltd 46 Granville Street - - Halifax, N. S. We have our machines in every College and University in the Maritimes. Sweeten the Day with CANADA'S CANDY Moirs LIMITED HALIFAX, CANADA It Costs No More Because It Goes FURTHER. Morse's Selected Orange Pekoe Tea Sold at all good grocers, 70c per pound. James Donahue, Ltd. Roofers and Sheet Metal Contractors Auto Body and Radiator Repairs 8-14 Queen St. HALIFAX, Canada Compliments of KINLEY'S Drug Stores Thompson Adams & Co., Limited GENERAL INSURANCE Phone B-7371 166 HOLLIS STREET HALIFAX, N. S. No. 400 School Desk Chair This number has been designed through the research department by specialists in posture and seat hygiene. It has a large writing surface and is supplied with convenient book drawer in seat. It is firmly built throughout and made without adjustments which enable us to supply in it a maximum of strength and durability. A new feature in the drawer construction now eliminates practically all noise in operation. The 400 is finished in golden oak and made in assorted sizes. DOMINION CHAIR CO., Limited BASS RIVER, Nova Scotia Comfortable Commodious and Convenient to St. Mary's The Lord Nelson A MODERN FIREPROOF HOTEL W. A. MALING & CO. Fifty Years in the MEAT BUSINESS Your Guarantee For Service - Quality Fair Dealings OWNED IN HALIFAX BY HALIFAX PEOPLE. Wholesale Argyle and Duke Sts. Retail Quinpool Rd. and Quinn Sts. The Ross Print Ltd. PRINTERS, PUBLISHERS, BOOKBINDERS Dance Programmes, Invitations, "Printing on Short Notice" PHONE B. 8338 95 Argyle St., HALIFAX, N. S. This book was made a reality through the kind and generous co-operation of our advertisers, Please patronize them whenever possible.
Safety of high-dose-rate stereotactic body radiotherapy Sonja Stieb, Stephanie Lang, Claudia Linsenmeier, Shaun Graydon and Oliver Riesterer* Abstract Background and purpose: Flattening filter free (FFF) beams with high dose rate are increasingly used for stereotactic body radiotherapy (SBRT), because they substantially shorten beam-on time. The physical properties of these beams together with potentially unknown radiobiological effects might affect patient safety. Therefore here we analyzed the clinical outcome of our patients. Material and methods: Between 3/2010 and 2/2014 84 patients with 100 lesions (lung 75, liver 10, adrenal 6, lymph nodes 5, others 4) were treated with SBRT using 6 MV FFF or 10 MV FFF beams at our institution. Clinical efficacy endpoints and toxicity were assessed by Kaplan-Meier analysis and CTCAE criteria version 4.0. Results: Median follow-up was 11 months (range: 3–41). No severe acute toxicity was observed. There has been one case of severe late toxicity (1%), a grade 3 bile duct stricture that was possibly related to SBRT. For all patients, the 1-year local control rate, progression free survival and overall survival were 94%, 38% and 80% respectively, and for patients with lung lesions 94%, 48% and 83%, respectively. Conclusions: No unexpected toxicity occurred. Toxicity and treatment efficacy are perfectly in range with studies investigating SBRT with flattened beams. The use of FFF beams at maximum dose rate for SBRT is time efficient and appears to be safe. Keywords: Flattening filter free, Stereotactic body radiotherapy (SBRT), Stereotactic ablative radiotherapy (SABR), Dose rate, Toxicity Background Novel linear accelerator technology allows compensating non uniform photon fluence by use of intensity modulation instead of directing the beam through a flattening filter. A major advantage of using flattening filter free (FFF) beams is that the dose rate can be multiplied in comparison to flattened beams thereby shortening beam-on time [1,2]. This is especially attractive when a high dose per fraction is used, e.g. in the case of stereotactic body radiotherapy (SBRT). Although FFF beams at maximum dose rate have been rapidly introduced into clinical use, little clinical data about their safety and efficacy are available. Shortening of treatment time improves patient comfort especially in elderly and frail patients and was shown to improve patient stability [2-4]. On the other hand, it may introduce novel hazards, e.g. in case of patient or organ movement there is less time to intervene. There are also dosimetric uncertainties due to the interplay effect; e.g. Ong et al. [5] investigated the dosimetric impact of intrafractional motion during spine radiosurgery and found an increased sensitivity of the target coverage and dose to the spinal cord if FFF beams are used compared to flattened beams. Because of putative unknown radiobiological hazards of using high instantaneous dose rate, several research groups recently performed preclinical investigations. Using exclusively in vitro assays, four studies could not detect any effect of high dose rate on clonogenic cell survival [6-9], whereas Lohse et al. [10] found that FFF beams given with high dose per pulse impaired clonogenic survival and this effect became significant with high dose per fraction. Only one preclinical study so far investigated the effect of extremely high dose rate in vivo. Using a murine lung fibrogenesis model as well as human xenografts and murine syngenic and orthotopic... lung tumors a differential response between normal and tumor tissue in mice was shown when ultrahigh-dose-rate flash irradiation was compared to conventional dose rate irradiation [11]. Also classical radiobiological considerations seem to support a dose rate effect of very high dose rates. Based on the linear quadratic model, in a recent comprehensive review it was suggested that the influence of high dose rate on tumor response and toxicity is determined by beam-on time with late reacting tissue being more sensitive to dose rate effect than tumors and early reacting tissues [12]. Our clinic was the first to use FFF linear accelerator technology at maximum dose rate for SBRT in patients. With the lack of a clear biological rationale not to use FFF beams we introduced this technology assuming that the benefit in terms of increased treatment efficiency would outweigh the minimal risk of additional toxicity. Here we report the results of our patients with focus on patient safety, which is the biggest patient cohort reported so far. Methods From March 2010 to February 2014 84 patients were treated with SBRT using FFF beams at our institution. Patient and treatment parameters are listed in Table 1. Clinical data were collected retrospectively from the patient charts and radiotherapy parameters were extracted from the Eclipse treatment planning system. Patients and lesions treated Altogether 84 consecutive patients with 100 lesions were included in this study. Inclusion criteria were defined as the use of FFF beams at maximum dose rate for SBRT. Patients with pancreatic lesions were excluded due to the pre- or postoperative setting of radiotherapy. Of the 84 patients, 48 were male and 36 female. Patient age ranged from 19 to 88 years (median: 67 years). The irradiated lesions were localized in the lung 75 (75%), liver 10 (10%), adrenal glands 6 (6%), lymph node 5 (5%) or other sites 4 (4%) (Table 1). Of all tumors 25% were primary tumors (19 non-small cell lung cancers and 2 small cell lung cancers with histology, 2 solitary lung nodules suspicious for primary lung cancer but without histology, 2 liver cancers), 45% metastases, 16% tumor recurrences and for 14% no differentiation was possible. Mean gross tumor volume (GTV) was 15.4 cm$^3$ (range: 0.6–126.7 cm$^3$). BED was $\geq$100 Gy in 33% of the patients. For patients with lung lesions the mean forced expiratory volume (FEV1) was 1.87 l (range: 0.41–4.30 l) and the mean diffusion capacity (DLCO) was 66% (24–115%). Table 1 Patient and treatment parameters \| Parameter \| N$^1$ \| \|----------------------------------\|-------\| \| Gender \| \| \| Male \| 48 (57%) \| \| Female \| 36 (43%) \| \| Age \| \| \| Mean/Median [years] \| 66/67 \| \| Range [years] \| 19 – 88 \| \| RT localization \| \| \| Lung \| 75 (75%) \| \| Liver \| 10 (10%) \| \| Adrenal gland \| 6 (6%) \| \| Lymph node \| 5 (5%) \| \| Other site \| 4 (4%) \| \| Lesions treated \| \| \| Primary tumor \| 25 (25%) \| \| Metastasis \| 45 (45%) \| \| Tumor recurrence \| 16 (16%) \| \| Primary tumor/Metastasis \| 14 (14%) \| \| Prescription dose \| \| \| 48 Gy/4 fx \| 19 (19%) \| \| 40 Gy/4 fx \| 10 (10%) \| \| 35 Gy/5 fx \| 6 (6%) \| \| 60 Gy/10 fx \| 5 (5%) \| \| 50 Gy/10 fx \| 5 (5%) \| \| Other \| 55 (55%) \| \| BED \| \| \| <100 Gy \| 66 (66%) \| \| $\geq$100 Gy \| 34 (34%) \| \| GTV size \| \| \| Mean [cm$^3$]/Median [cm$^3$] \| 15.4/6.7 \| \| Range [cm$^3$] \| 0.60 – 126.7 \| \| <14 cm$^3$ \| 65 (65%) \| \| $\geq$14 cm$^3$ \| 35 (35%) \| \| PTV size \| \| \| Mean [cm$^3$]/Median [cm$^3$] \| 58.2/35.2 \| \| Range [cm$^3$] \| 5.9 – 368.7 \| \| Energy \| \| \| 6 MV \| 84 (84%) \| \| 10 MV \| 16 (16%) \| \| Dose rate \| \| \| Mean [MU/min.]/Median [MU/min.] \| 1319/1400 \| \| Range [MU/min] \| 451 – 2400 \| N$^1$ = number of patients or lesions if not indicated otherwise. (RT: Radiation Therapy, fx: fractions, BED: Biologically Effective Dose, GTV: Gross Tumor Volume, PTV: Planning Target Volume, MU: Monitor Unit). Treatment A TrueBeam linear accelerator (Varian Medical Systems, Palo Alto, CA) was used to apply 6 MV FFF or 10 MV FFF beams with a maximum dose rate of 2400 MU/min. Overall mean dose rate considering all treatments was 1319 MU/min (range: 451–2400 MU/min). Patients were treated using Volumetric Modulated Arc Therapy (VMAT) with 1–4 arcs. The tumors were delineated as internal target volumes (ITV) on 4-dimensional computed tomographies (4DCTs). For peripheral and central lung lesions the planning target volume (PTV) was defined as the ITV + 6 mm and 3 mm, respectively, and for liver, adrenal gland and lymph node lesions ITV to PTV margins of 5 – 10 mm were used. Prescribed doses were 21–66 Gy in 3–15 fractions. In case of curative intention a BED of at least 100 Gy was envisaged (usually 48 Gy in 3 to 4 fractions, 10 × 6 Gy for tumors adjacent to the thoracic wall, 8 × 7.5 Gy for centrally located lung tumors). For palliative indications individualized and risk-adapted regimens were used depending on tumor localization, remaining organ function and anticipated life expectancy. Normal tissue constraints for lung tumors were adopted from current RTOG protocols (RTOG 0618 and 0915, http://www.rtog.org). Treatment planning was performed on the average projection of the 4DCT in the Eclipse treatment planning system (Varian Medical system, Palo Alto). The dose was prescribed inhomogeneously to the PTV in a way that 95% of the PTV should receive 100% of the prescribed dose with maximum doses between 125% to 152% [13]. Follow up The patients were usually seen at three months after SBRT and then in 6-monthly intervals. For follow-up imaging either CT of the chest or FDG PET/CT were used. Data analysis Local control rate (LCR), progression free survival (PFS) and overall survival (OS) were assessed at 1 year after start of treatment. Local tumor recurrence or distant relapse were evaluated following the RECIST criteria version 1.1 [14]. In case RECIST criteria were not useful, an FDG PET/CT was performed to differentiate between tumor recurrence and lung fibrosis. Acute and late toxicities were assessed according to the Common Terminology Criteria for Adverse Events Version 4.0 (CTCAE v4.0). Acute toxicity was defined as adverse event within a 90 days period from start of treatment and late toxicity as adverse event thereafter. Grade 3–4 toxicity was assessed for all patients and grade 1–2 toxicity only for radiological changes in the lung (pneumonitis, pleural effusion, atelectasis) due to the retrospective character of the analysis. The biologically effective dose (BED) was calculated by the following formula: $BED = nd \left(1 + \frac{d}{\alpha/\beta}\right)$, whereby $\alpha/\beta$ was assumed to be 10 (n: number of fractions, d: dose per fraction). BED was calculated and analyzed for prescribed dose. Statistics Descriptive statistics were used to calculate number, percentage, mean, median and standard deviation. Survival curves were calculated by Kaplan Meier analysis. Log-rank test and Cox regression were used to analyze correlation of outcome with BED, tumor size and mean dose rate. For log-rank test a BED of 100 Gy and a tumor volume of 14 cm$^3$ (diameter ~ 3 cm) were chosen as cut-off values because BED above 100 Gy and tumor size $\leq 3$ cm were associated with improved tumor control rates after SBRT with flattened beams [15-20]. A p-value of $\leq 0.05$ was considered to be statistically significant. All statistical analyses described above were performed using the software program SPSS Version 22 (IBM SPSS Statistic Software). Results Toxicity There was no treatment related mortality or $\geq$ grade 3 acute toxicity observed. Only 2 patients (3%) presented with grade 2 acute pneumonitis (Table 2). Late toxicity could be assessed in 74 of 84 patients, who had a minimum follow-up of 90 days from start of treatment. One patient with centrally located liver metastasis developed a grade 3 bile duct stenosis after SBRT with 4 × 12 Gy. However this patient also had hemihepatectomy after SBRT with the resection line being close to the bile duct and the relationship to both treatments remains unclear. The patient received a percutaneous biliary drainage and was still alive at last follow-up, 22 months after treatment. Of 75 lung lesions 63 were peripherally and 12 centrally located. No $\geq$ grade 3 late lung toxicity \| Adverse event \| Grade \| \|---------------------\|-------\| \| \| I \| II \| $\geq$III \| \| Acute toxicity \| \| \| \| \| Pneumonitis \| 11% \| 8% \| - \| \| Pleural Effusion \| 3% \| - \| - \| \| Atelectasis \| 8% \| - \| - \| \| Late toxicity \| \| \| \| \| Pneumonitis \| 44% \| 6% \| - \| \| Pleural Effusion \| 14% \| 2% \| - \| \| Atelectasis \| 20% \| 2% \| - \| If patients were treated at multiple sites, each site was analyzed separately. occurred and there have been only 4 patients (5%) with grade 2 late lung toxicity: two cases with pneumonitis, one case with pneumonitis and atelectasis and one case with pleural effusion. Treatment efficacy The median follow-up of all patients was $11 \pm 10$ months. For all patients the 1-year LCR, PFS and OS were 94%, 38% and 80% and for patients with lung lesions 94%, 48% and 83%, respectively (Figure 1). If lung lesions are stratified into primary lung cancers ($n = 48$) and lung metastases of other histologies ($n = 27$) the 1-year LCR, PFS and OS were 93%, 60% and 85% for primary lung cancers and 95%, 29% and 77% for lung metastases. All patients with liver metastases ($n = 9$) or thoracic lymph nodes ($n = 4$) remained locally stable after one year and all but one patient with adrenal lesion ($n = 5$). No significant correlation could be found between GTV size and LCR, if all lesions were analyzed, whereas for lung lesions there was a significant negative correlation when using the log-rank test with a cut-off value of $14 \text{ cm}^3$ ($p = 0.02$), but not if Cox regression analysis was performed (Table 3). No significant correlation was found for LCR and the PTV surrounding BED ($p = 0.52$), but all patients irradiated with $\text{BED} \geq 100 \text{ Gy}$ remained locally stable after 1 year of treatment, or between LCR and mean dose rate ($p = 0.44$). Discussion In the present study we analyzed the clinical results of the patients treated with SBRT and FFF beams at maximum dose rate at our institution. We included all patients treated so far, although it is a heterogenous cohort, because we wanted to analyze overall patient safety and detect any unexpected toxicity rather than investigating specific tumor sites. We show in 84 patients with 100 lesions in the lung, liver, adrenal glands, lymph nodes and other sites that the use of FFF beams for these indications is associated with low rates of acute and early late toxicity and results in excellent early local tumor control. The results shown appear similar to results of studies using SBRT with flattened beams and lower dose rates. Most of the data published about FFF beams explored their physical properties [1,2,13,21-25]. Altogether these studies show that the use of FFF beams significantly reduces treatment time for high single fractions and dose distributions are comparable to flattened beams. Apart from the technical benefits there have been some concerns about patient safety when FFF beams with high instantaneous dose rate are used due to physical uncertainties of beam application and biological considerations. A physical concern is that very short beam-on times introduce dosimetric uncertainties in case of tumor shifts. In patients with spinal metastases Ong et al. [5] investigated shifts of 1–5 mm during 5–30 seconds in the case of single fraction SBRT with flattened or FFF beams. Dosimetric deviations in FFF plans were approximately 2-fold greater than with flattened beams, which resulted in significant overdosage of the spinal cord and underdosage of the GTV with increasing shift size and dependent on shift duration. In their study GTV to PTV margins of 2–3 mm were used. In our clinic until recently we did not use SBRT for spinal metastases and therefore the lesions analyzed had usually less proximity to critical organs. In addition we fractionated SBRT und applied much larger margins (3–10 mm). Therefore potential dosimetric uncertainties are much less important for the treatments reported by us. Recently several preclinical studies were published investigating the biology of high instantaneous dose rate in clonogenic cell survival assays [6-10]. Sorensen et al. used Chinese hamster and FADU cells irradiated with 6 MV flattened beams with single doses up to 10 Gy, dose rates between 5 and 30 Gy/min and instantaneous dose rates per pulse between 56 and 338 Gy/s [8]. They did not find any effect of high instantaneous dose rates on cell survival. In contrast, Lohse et al. [10] irradiated different glioblastoma cell lines using 10 FFF beams with overall dose rates of 0.2 Gy/min or 24 Gy/min and instantaneous dose rates per pulse up to 350 Gy/s and found that high dose per pulse but not delivery time reduced clonogenic survival. The anti-tumor cell effect of high dose rate increased with fraction size and became significant at 10 Gy. Three additional preclinical studies were published investigating FFF beams in different cell-lines, all showing no difference in clonogenic cell survival if FFF beams with dose rates up to 24 Gy/min are used [6,7,9]. A preclinical study using clinically more relevant in vivo models was recently published by Favaudon et al. [11]. The authors used a lung fibrogenesis model and human tumor xenografts as well as syngenic and orthotopic murine lung tumors and treated them with high single fractions of ultrahigh-dose-rate flash irradiation (dose rate $\geq$ 40 Gy/s) versus conventional dose rate irradiation ($\leq$0.03 Gy/s). Interestingly both techniques exerted similar anti-tumor effects but the ultrahigh-dose-rate flash irradiation induced much less TGF-$\beta$ dependent lung fibrosis indicating a differential response between normal and tumor tissue. A somehow contrary differential effect was recently suggested and modeled by Ling and coauthors considering various factors such as different mechanisms of DNA repair and implications of the $\alpha/\beta$ model [12]. Their conclusion was that the dose rate effect is not determined by the instantaneous dose rate but instead by beam-on time, which mostly affects late reacting tissues. By computing with the LQ Model they calculated for example that, if a single fraction of 10 Gy is given in 2 minutes instead of 10 minutes, this acceleration increases BED to the tumor ($\alpha/\beta = 10$) by $\sim$1.5% and BED to late responding tissue ($\alpha/\beta = 3$) by $\sim$3.9%. We previously demonstrated that the gain in beam-on time by using 6 or 10 FFF beams in comparison to a 6 MV flattened beam increases with dose per fraction and amounts to several minutes when fractions beyond 10 Gy are used [2]. Therefore based on the paper by Ling et al. there might be clinical situations, e.g. in case of spinal SBRT when high doses are given in close proximity to critical serial organs, when the use of FFF beams with maximum dose rate might lead to a small increase of complications. Only few clinical studies so far investigated the clinical outcome of SBRT with FFF beams in patients [26-31] (Table 4). Almost all studies except the studies by Prendergast and Wang were conducted from the research group of the Humanitas Cancer Center in Milano [26-28,30,31]. Generally, patient numbers in these studies were small and the follow-up was short. In the biggest retrospective patient series, 67 patients with 70 lesions in different organs were treated with SBRT using FFF beams [30]. The treatment schedules ranged from 32–48 Gy in 4 fractions for lung and 75 Gy in 3 fractions for liver tumors. With a minimum follow-up of 3 months two acute grade 3 lung toxicities (3%) were observed and 89% of patients showed a tumor response at 60–90 days after SBRT. In the only prospective study published with FFF beams so far, 40 prostate cancer patients were treated with 35 Gy in 5 fractions [26]. After a median follow-up of 11 months no grade 3 toxicity was observed. In the studies of the Milano group the dose was prescribed homogeneously to the 95% isodose [26-28,30]. In contrast, we use a SBRT protocol, where the dose is prescribed inhomogeneously to the PTV with dose maxima in the tumor of up to 152%. Therefore, in case of similar dose prescription, the patients reported by us received a substantially higher dose to the GTV and immediately surrounding PTV without evidence of increased toxicity. The only study that reported substantial high-grade toxicity when using SBRT with FFF beams was published by Prendergast et al. [29]. This study included 64 patients with lung malignancies receiving 30–60 Gy in 3–5 fractions. Median follow up was 11.5 months and 6 cases of severe $\geq$ grade 3 late toxicity (12%) occurred; of these, five were pulmonary and one nerve-related. One patient died because of sepsis after pneumonia in the irradiated lobe. Tumor control and survival data were not presented. Table 4 Clinical studies investigating toxicity and outcome of SBRT with FFF beams \| \| Current study \| Wang 2014 [31] \| Prendergast 2013 [29] \| Alongi 2013 [26] \| Navarria 2013 [28] \| Alongi 2012 [27] \| Scorsetti 2011 [30] \| \|--------------------------\|---------------\|----------------\|-----------------------\|------------------\|--------------------\|------------------\|---------------------\| \| Patients (Lesions) \| 84 (100) \| 20 (22) \| 64 \| 40 \| 46 \| 25 (28) \| 67 (70) \| \| Tumor \| Various (mostly lung) \| HCC \| Lung \| Prostate \| NSCLC Stage I \| Abdominal/pelvic LN \| Various (mostly lung) \| \| RT schedule \| 21 – 66 Gy (3–15 fx) \| 40 - 75 Gy (3–10 fx) \| 30 – 60 Gy (3–5 fx) \| 35 Gy (5 fx) \| 48 Gy (4 fx) \| 45 Gy (6 fx) \| 32 – 75 Gy (3–6 fx) \| \| Median follow-up (range) \| 11 months (3–46) \| 7 months (3–13) \| 12 months (3–25) \| 11 months (5–16) \| 16 months (2–24) \| 6 months (2–19) \| NA<sup>7</sup> \| \| Acute toxicity<sup>1</sup> ≥ G3 \| 0% \| 5%<sup>3,6</sup> \| 2%<sup>4</sup> \| 0% \| 4%<sup>4,6</sup> \| 0% \| 3%<sup>4</sup> \| \| Late toxicity<sup>1</sup> ≥ G3 \| 1%<sup>2</sup> \| 12%<sup>4,5</sup> \| 0% \| 0% \| 0% \| - \| - \| \| Local control \| 1-y-LC: 94% \| Actuarial-LC: 95% \| NA<sup>8</sup> \| NA<sup>8</sup> \| 1-y-LC: 100% \| Actuarial-LC: 100% \| Actuarial-LC: 89% \| <sup>1</sup>Toxicity was assessed either by number or by lesion; <sup>2</sup>Bile duct stricture; <sup>3</sup>Radiation induced liver disease (RILD); <sup>4</sup>Pulmonary toxicity; <sup>5</sup>Brachial plexopathy; <sup>6</sup>Data show overall toxicity; <sup>7</sup>Minimum follow up 3 months; <sup>8</sup>Local control not reported. RT: radiotherapy, fx: fractions, LC: local control, LN: lymph node, y: year, NA: not applicable. We report a 1-year local control rate of 94%. All tumors treated with a PTV surrounding BED > 100 Gy were locally stable after one year and small lung tumors ≤ 14 cm$^3$ (~3 cm diameter) had a significant lower recurrence rate. Dependency of tumor control on BED and tumor size is well known from studies predominantly performed with flattened beams [19,32,33]. In addition, the toxicity reported by us is similar or even lower in comparison to the toxicity reported in the literature for SBRT with flattened beams [17,34-36]. In order to detect small changes in toxicity, when FFF beams are used, large randomized studies would be needed, which are unlikely to be performed, because FFF beams are rapidly adopted into the clinic and are FDA-approved. In addition to LCR and toxicity we also analyzed PFS and OS. Of clinical importance, the PFS was much lower than the LCR suggesting that patients tend to recur distant from the irradiated lesion. In addition, the low numbers of 1-year PFS and OS in primary and secondary cancers indicate a selection bias of inoperable, comorbid or extensively pretreated patients. A limitation of our study is the retrospective design, which doesn’t allow evaluating all side effects of radiotherapy in the same manner. On the basis of medical records we often could not distinguish between toxicity grade 1 and 2, therefore we focused on side effects of grade 3 and higher: events that made hospitalization or prolongation of hospitalization necessary. Because of only one case of ≥ grade 3 toxicity we could not perform statistical analysis of toxicity related risk factors (e.g. radiation dose, tumor size, centrally located vs. peripheral lung tumors, etc.). Although our clinic was the first center to implement FFF beams for clinical use, the median follow-up of 11 months is relatively short with, on the other hand, the follow-up period ranging up to 41 months. Conclusion In our cohort of patients with lung, liver, adrenal gland and lymph node lesions, who were treated with FFF beams, the acute and early late toxicity, local control and survival data are perfectly in range with the literature investigating SBRT with flattened beams. Therefore the use of FFF beams for SBRT appears to be safe for these indications, if carefully applied. Competing interests The authors declare that they have no conflicts of interest. Authors’ contributions SS carried out the data analysis, performed statistical analysis and drafted the manuscript. SL participated in data analysis and statistical analysis. CL helped to analyze toxicity. SG participated in data analysis. OR conceived of the study, participated in study design and data analysis and helped to draft the manuscript. All authors read and approved the final manuscript. Acknowledgements This work was supported by the KFSP Tumor Oxygenation of the University of Zurich. Received: 10 October 2014 Accepted: 21 December 2014 Published online: 23 January 2015 References 1. Hrbacek J, Lang S, Klock S. Commissioning of photon beams of a flattening filter-free linear accelerator and the accuracy of beam modeling using an anisotropic analytical algorithm. Int J Radiat Oncol Biol Phys. 2011;80:1228–37. 2. Lang S, Shrestha B, Graydon S, Cavelaars I, Linsmeijer C, Hrbacek J, et al. Clinical application of flattening filter free beams for extracranial stereotactic radiotherapy. Radiother Oncol. 2013;106:255–9. 3. Mancuso P, Castiglioni S, Reggiani G, Catalano M, Alongi F, Pellegrini C, et al. 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Hello, craftsman and welcome to April! March was a very busy month for us. Starting out, we hosted the Grand Lodge officers for our annual Corned Beef and Cabbage night. Many thanks to everyone who pitched in to pull that off, especially Worshipful Brother John Porter, who did a lot of the cooking and gathering of supplies. Additional hearty thanks go out to Brother Scott Rassbach, our Senior Warden, and his wife Patty who put on an excellent ladies program for the women who came along with their Grand Lodge officer husbands. It really takes a lot of teamwork to pull off these Lodge functions and I really appreciate everyone’s help! We also put on another entered apprentice degree in March. Congratulations to our newest Entered Apprentice, Seamus Bean! Seamus is the stepson of our Senior Warden, Brother Scott Rassbach. He also currently the youngest Freemason in Oregon, having recently turned 18! As many of you know, I have been organizing a “Breakfast with the Brothers” day for the last couple of months. These breakfasts have been a wonderful opportunity for people to get together, have some good food, and get to know each other a little better. If you have not received an invitation to these breakfasts, please contact me or the Lodge Secretary to make sure that we have your email address. I’m looking forward to seeing all of you at our next stated communication! Events/Announcements - April 2nd: Official visitation from RWB Steve Vanderzanden, GL District Deputy - May 7th meeting program: Jared Brandon Flande, topic TBA - May 18th: Pancake Fundraiser for School Outreach Program - June 4th meeting program: Bro. Scott Rassbach, Contemplative Masonry - June 6-8th: Grand Lodge in Seaside - July: Regional family picnic with Tuality Lodge, Holbrook Lodge, and others - September: WB Johnny Edwards, guest speaker, topic TBA - October: WB Gene Hill, guest speaker, topic TBA Fraternally, Matt Gerbrandt Worshipful Master Two remaining cardinal virtues remain for our consideration: Justice and Fortitude. Fortitude is the moral virtue that ensures firmness in difficulties and constancy in the pursuit of good. It strengthens our resolve to resist temptations and to overcome obstacles in the moral life. It is the virtue of Fortitude that conquers fear, even fear of death, trials and persecution. Justice is the moral virtue that consists of the constant and firm will to give their just due to the Great Architect and neighbor. Justice toward Deity is called the “virtue of religion.” Justice toward men disposes one to respect the rights of each and to establish in human relationships the harmony that promotes equity with regards to persons and for the common good. The just man is distinguished by the habitual fairness of his conduct toward his neighbor. The Four Cardinal Virtues as being the ‘Perfect Points of Entrance’, to wit: ‘Guttural the throat, Pectoral the breast, Manual the hands and Pedal the feet’. They are also associated with the tassels. One article has given specific positions for the tassels as well as the Cardinal Virtues. The article is a mixture of both the Canadian and American rituals. This article places the tassels and Cardinal Virtues as follows: In the northwest corner is Temperance which is related to guttural, since the throat is the avenue of the body which is most employed in the sins of intemperance. Temperance refers to the entrance upon the penal responsibilities and ‘lest any brother should forget the danger to which he is exposed in the unguarded hours of dissipation, the virtue of temperance is wisely impressed upon his memory by its reference to one of the most solemn portions of the ceremony of initiation.’ In the northeast corner is Fortitude which is related to pectoral since the heart has always been considered the seat of fortitude and courage and hence by this word is suggested to the Mason certain symbolic instructions in relation to the virtue of Fortitude. In the southeast corner is Prudence which is related to manual since masons are, in a peculiar manner reminded, by the hand, of the necessity of a prudent and careful observance of all their pledges and duties, and hence this organ suggests certain symbolic instructions in relation to the virtue of Prudence. In the southwest corner is Justice which is related to pedal, since the just man is one who, firmly planting his feet on the principles of right, is as immovable as a rock, and can be thrust from his upright position neither by the allurements of flatter nor the frowns of arbitrary power. And hence this word is suggested to the mason certain symbolic instructions in relation to justice. The directions, though, are not fixed. In the questions and answers from a lecture in Lancashire, England, dating to the end of the 18th century included the following: Q: What do your furnish it with? A: The four Cardinal Virtues. Q: What are they? A: Justice, Prudence, Temperance and Fortitude. Q: How do you place them? A: Justice in the East, Prudence in the West, Temperance in the South and Fortitude in the North. Scott Rassbach - Senior Warden Tidings from the South Work Life Balance Our monthly Stated Meetings at Union Lodge are on the first Tuesday of the month, promptly at 7:30. The balance is sometimes difficult. Many Brothers work varying shifts, often out of town. The mad dash to Lodge for me to our March Stated Meeting stressed me out. The big night. The Corned Beef and Cabbage dinner. As Junior Warden I got the honor of being the MC for the event. Introductions of the Grand Master and his delegation, talking in front of a crowd keeping the flow going. After a wonderful dinner Lodge started promptly at 7:30. In Lodge I noticed we had a large turn-out. After a long day at work, a stressful drive home and rush to the Lodge, I was doubting myself. Then I saw a big delegation of Brothers from Tillamook, some from Rickreall, Rainier and Clatskanie. I thought to myself it is Tuesday, a work day and promptly at 7:30 all these Brothers traveled far and are here with me. That put it all into perspective. Matt Coady - Junior Warden From the Secretary’s Desk “To enlarge the sphere of social happiness is worthy of the benevolent design of a Masonic institution; and it is most fervently to be wished, that the conduct of every member of the fraternity … may tend to convince mankind that the grand object of Masonry is to promote the happiness of the human race.” -- Bro. George Washington One of the neat things about being a Mason is that you become part of a history and a tradition that extends back so far that its origins are shrouded in mystery. With a wink and a nod we refer to some traditions as existing “from time immemorial” because we all know that frequently in Masonic Lodges “time immemorial” means “that’s the way we’ve done it for the last couple of decades.” And yet, the basic Speculative lessons of the Craft may well be able to lay claim to that ancient title. As we end our meetings the officers of the Lodge admonish us to meet on the level, act by the plumb and part on the square. As Speculative Masons, we know the meaning of the moral lessons taught by these workman’s tools. And while we have practiced these moral lessons unchanged since the founding of our Grand Lodge, nobody really knows how far back these traditions really extend. But history does give us a few fascinating glimpses of our ancient heritage. In November of 1830, Bro. James Pain was working as a contractor in the removal of the ancient Baal’s bridge in Limrick, Ireland. The earliest reference to the original four-arch bridge dates from 1558. Even then it was known as an older structure, named on various maps as the Tide Bridge, Tyce Bridge or Baal’s Bridge. As Bro. Pain excavated the NE corner of one of the supporting piers, he came across a small bronze square which had been laid with the foundation. Badly pitted with age, the square was inscribed with the words “I will strive to live with Love and Care. Upon the Level, by the Square.” The square is the exact shape of the Master’s Jewel, and includes hearts at each corner and a date – 1507. B. Pain presented the artifact to Provincial Grand Master Michael Furnell, who made a tracing and wrote about the square. Upon his passing, his widow presented the square to Antient Union Lodge No. 13 in Limrick, where it resides to this day. If the date on the square is accurate, that means that the lessons of Speculative Masonry were being practiced in Ireland five centuries ago. Time immemorial, indeed. As Masons, we are the current embodiment of our Ancient Craft. The living tools by which the concepts of Freemasonry will be passed on. But we are only the latest chapter in a long and storied history, the most recent generation in many generations of men who have applied the teachings of Masonry to improve themselves, their families and their communities. It is both humbling, and a source of great pride, to realize that we are part of that ancient tradition. -Walk in light my Brothers. The Adventures of a Country Master Mason Abroad Fraternal Greetings from across the pond! A lot has been going here in the last few months. I was installed as Senior Deacon in January. February saw the beginning of my “trial by fire” – double EA, double FC, double MM in February, March and coming up in a couple weeks at our April meeting. We have a potential problem with the line, so it’s possible that I’ll be jumping ahead to Sr. Warden next year. This doesn’t frighten me too much, except that it shortens my preparation time for the Master’s chair. The Master confers all degrees here and it’s different from our degree conferrals. Here, much of what we cover in the lecture is delivered by the Master in each of the degrees. The most challenging is the FC degree, which is called here “the Master’s Degree” as 80-90% of the speaking is performed by him. Also in February, besides the double EA in Craft Lodge, I was exalted in the Royal Arch degree at Cabot Chapter. There is only one degree in Royal Arch. At one time, it was delivered in Blue Lodge but was later extracted. I’m given to understand that, much like the Craft Lodge ritual here in Bristol, there are elements to the Royal Arch degree that are unique to the Province. Notably, this is represented in a part of the ceremony called “The Passing of the Veils.” It was a unique ritual. As the candidate, it was confusing and disconcerting (most of it is conducted while hood-winked) but I’ll get a chance to see it conferred later this week at a different chapter. As I think I’ve mentioned a couple times, the Province of Bristol, which covers the ancient boundaries of the city and county of Bristol (Bristol has been a county in its own right by Royal Decree in 1381), has 37 Craft Lodges, a couple dozen Chapters (Royal Arch), Mark Masters, Ark Mariners, Rose Croix (roughly equivalent to the Scottish Rite in the States), Camp of Baldwyn, Order of Aethelstan, and a few other Rites and Orders all of which meet in the same building – Freemason’s Hall on Park Street in Bristol. The Province is unique in being the only one that covers only a single city and with all constituent Lodges meeting in one hall. One of the benefits of that arrangement is that it makes it easy to visit other Lodges, Rites, and Orders to which you may belong – there’s only one hall; you only need to choose your night to attend and you’ll hit something, for sure. I’m sure it makes a difficult job for the building manager to arrange Stated Communications, dinners, practices, committee meetings and the like. Another benefit of that is that you get to know Brethren from all over the Province just by showing up and having a beer or a coffee in the lounge in the basement while you or they are preparing. It also makes it easier to be sociable across Lodges. All the Master’s in any given year are automatically joined to a “Circle” for that year – for example, all the Masters of the 37 Lodges in 2019 will be members of the 2019 Circle. They will elect a presiding officer and a couple assistants and plan meetings periodically for charity and visitation, supporting each other and each other’s Lodges from that point forward. You can tell Circle members by their lapel pin with a Roman numeral of their joining Circle. There is also a social organization just for junior Brethren – Brethren who have not received Provincial honors - called “The Dunckerleys.” They get together for outings, dinners, and other social activities (going to watch the Bristol Bears rugby matches, for example.) As a bit of an aside, the Dunckerleys take their name from Thomas Dunckerley, a naval officer, potentially an illegitimate son of George II, and aprominent Brother in the mid-18th century – he was raised in Portsmouth in 1754, received a charter for a floating Lodge on his ship The Vanguard, which he later transferred to several other naval vessels under his command. He was appointed Provincial Grand Master of Hampshire in 1767, Provincial Grand Master of Essex in 1776, and it was his request that formed the Province of Bristol in 1786 with himself as Grand Master. At one point he is also appointed Provincial Grand Master for the counties of Dorset, Essex, Gloucester, Somerset and Southampton, and the Isle of Wight. He was a vocal and energetic advocate for Royal Arch, Mark Masonry, and Ark Mariner Masonry. He later became the first Grand Master of the English Masonic Knights Templar. Altogether an underachiever, especially when you consider that he also wrote extensively and published articles, charges, lectures, and songs and was instrumental in standardizing ritual and record keeping in each of those bodies. I’ll keep everyone informed about the progression, but if you’re looking for something to do in a couple years and might fancy a trip across the pond, I’d love to host a large continent of Brethren from my home Lodge when I’m installed as Master at Cabot Lodge here. It will either be January 2021 or January 2022, depending on how things go. I give a mean medieval walking tour of Bristol and can arrange for some fun hosting activities including Masonically and historically interesting sites nearby. The Bristol Workings and the variation of the installation ceremony would be a lot of fun for any of you (especially Past Masters in the crowd.) If you think you might have an interest, let me know and I’ll keep a running list for planning purposes. Through Lodge Brethren I can also get some discounts on lodging and entertainment. For the time being, this is probably a good update. I have a Bristol Masonic Society meeting, a Royal Arch Chapter visit, and practice to work on for the double MM in April this week; that is beyond the research and writing that I’m meant to be doing. Frarnally, -Frank Some Thoughts from WB Johnny Edwards Recently while working at the Grand Lodge of Oregon Library and Museum I came across a very rare book. An Ahiman Rezon dated 1825. The GLO Library has a few reproductions but not a copy that is close to the age of its actual use in Masonic History. To give a dollar amount perspective, a similar copy dated 1819 was being sold for $1600.00. Very exciting find. If the reader has never heard of the Ahiman Rezon I would suggest turning your Masonic Light Bulb on and “get to it!” To wrap-up this month’s column, here are a few pictures from the 22nd annual Corned Beef and Cabbage Dinner, held on March 5th. The Brothers of Union Lodge are encouraged to submit articles for The Beacon. Submissions should be in Microsoft Word documents. Please email your articles to Tom Gardner at email@example.com by the 15th of the month for inclusion in the following month’s edition of The Beacon. Be sure to keep up with Lodge activities between editions of the Beacon by checking our website http://www.unionlodge3.com or Visit Union Lodge # 3 on Facebook and be sure to Like us. April-May 2019 Calendar Apr 2 - Union # 3 - Stated - 7:30 pm Apr 2 - Holbrook # 30 - Stated - 7:30 pm Apr 3 - Rickreall # 110 - Stated - 7:30 pm Apr 6 - Tuality # 7 - Stated - 10:00 am Apr 10 - Sheridan-Dayton - Stated - 7:00 pm Apr 11 - Newberg # 104 - Stated 7:30 pm Apr 30 - Trustees Meeting 6:30 pm Officers meeting 7:30 pm May 7 - Union Lodge Stated 7:30 pm May 18 - Union Lodge annual Pancake Breakfast fundraiser for our school outreach program
REQUEST FOR QUOTATION Date: March 25, 2019 RFQ No. 2019-102 Sir/Madam: The Philippine International Convention Center, through its Bids and Awards Committee, intends to procure SUPPLY OF LABOR AND MATERIALS FOR THE REPLACEMENT OF EXISTING GLASS DOORS TO NEW GLASS DOOR SETS, with an Approved Budget for Contract (ABC) of Two Hundred Eighteen Thousand Six Hundred Twenty Four Pesos (Php 218,624.00), VAT Inclusive, which will be undertaken in accordance with Section 53.9 of the 2016 Revised Implementing Rules and Regulations of Republic Act No. 9184. Please quote your best offer for the service/s described herein, subject to the Terms of Reference provided for this RFQ. Submit your quotation/offer duly signed by you or your duly authorized representative not later than 5:00 p.m. of April 1, 2019. A copy of the following are required to be submitted along with your quotation/offer: a. 2019 Mayor’s Permit; b. BIR Registration Certificate; c. PhilGEPS Registration Number; d. Omnibus Sworn Statement. (To be submitted by the lowest complying and responsive offeror prior to issuance of Notice of Award to the winning bidder/supplier); e. List of all ongoing government and private contracts including contracts awarded but not yet started, if any, whether similar or not similar in nature (see attached form); f. Statement of the offeror’s Single Largest Completed Contract (SLCC) similar to the contract to be bid within the last three (3) years from the deadline of submission of offers, supported with its Contract and Certificate of Completion/Invoice/Official Receipt (see attached form); g. Certificate of Ocular Inspection issued by the Technical Services Department. Open quotations may be submitted manually or through facsimile or email at the address and contact numbers indicated below. For any clarifications, you may contact Ms. Cathy D. Esteban at telephone no. (02) 789-4761 or email address at email@example.com or firstname.lastname@example.org. ENGR. ALBERTO C. GONZALES OIC, Procurement Unit I. PROJECT TITLE: Supply of Labor and Materials for the Replacement of Existing Glass Doors to New Glass Door Sets II. APPROVED BUDGET FOR CONTRACT (ABC): Two Hundred Eighteen Thousand Six Hundred Twenty Four Pesos (Php 218,624.00), VAT Inclusive III. SPECIFICATIONS AND SCOPE OF WORKS: 1. The CONTRACTOR shall be licensed contractor with at least three (3) years’ experience in the supply and installation of aluminum analok glass doors. 2. The works shall be supply of all materials, labor, tools, equipment and other services incidental necessary for the supply of labor and materials for the replacement of existing glass doors to new glass door sets at the various areas of PICC in accordance with plans, specifications and subject to the terms and conditions of the contract. 3. The following features of the work shall be performed but not limited to the following: A. General requirements: 1. Mobilization - Manpower, tools, materials and equipment 2. Health and Safety requirement - Personal Protective Equipment (PPE) for workers 3. Demobilization - Manpower, tools, equipment, including hauling out of debris B. Replacement of existing glass doors to new glass doors, see plan for locations. 1. Delegation Building a. Number of pieces to be replaced: - 2 pieces: D-211 at 2nd floor - 1 piece: Summit Hall G leading to viewing deck of 4th floor. b. Specifications - Glass: 6mm tempered glass, bronze, submit sample - Glass frame: Aluminum analok frame (same as existing), submit sample - Floor Hinge: Heavy duty, load capacity 1,000 kg, submit brochure for approval - Mid-panel: Narra plywood (same as existing) 2. Secretariat Building a. Number of pieces to be replaced - 4 pieces: Hallway leading to MR 2-8, adjacent to Delegates Lounge b. Specifications - Glass: 6mm tempered glass, bronze, submit sample - Glass frame: Aluminum analok frame (same as existing), submit sample - Floor Hinge: Heavy duty, load capacity 1,000 kg, submit brochure for approval - Mid-panel: Narra plywood (same as existing) C. Restoration of affected structures. D. Cleaning, turn-over and hauling of debris: - Cleaning of all affected areas - Turn-over all the old doors to PICC, such shall be hauled to the PICC warehouse. - All debris/garbage shall be hauled out from PICC. IV. SCHEDULE OF REQUIREMENT: Work should be completed within thirty (30) calendar days reckoned seven (7) calendars days from date receipt of the Notice to Proceed. V. TERMS OF PAYMENT: 1. Full payment shall be released within thirty (30) calendar days after submission of the following: a. Letter request of the CONTRACTOR for the release of payment for work accomplished. b. Photographs of work accomplished. c. Joint inspection inventory report of the CONTRACTOR and PICC’s Representative on the condition of the adjoining area; and existing utilities prior to commencement of works. d. Invoice 2. PICC shall have the right to deduct from the CONTRACTOR’s billings such amount as may be necessary to cover the third party liabilities, as well as uncorrected discovered defects in the project. VI. WARRANTY: 1. The warranty shall be One (1)-Year guarantee reckoned from the date of final turn-over and acceptance. 2. The obligation for the warranty shall be covered by retention money in an amount equivalent to five percent (5%) of the total contract amount. Said warranty obligation shall be released only after the expiration of warranty period, however, the same will be forfeited by PICC as part of payment for any damage if the contractor refuses or fails to restore/repair the damaged unit and/or replace its damaged components/parts attributable to Contractor’s negligence or poor workmanship. VII. PERFORMANCE BOND: Within ten (10) calendar days from receipt of the Notice of Award, but in no case later than the signing of the contract by both parties, the successful bidder shall furnish the performance security in any of the following forms: a. Cash or Cashier’s check/Manager’s check or Bank draft/guarantee issued by a Universal or Commercial Bank in the amount of ₱ 10,931.20, which is equivalent to five percent (5%) of the contract price. b. Surety bond, callable upon demand, in the amount of ₱ 65,587.20 which is equivalent to thirty percent (30%) of the Contract Price issued by a surety or insurance company duly certified by the Office of the Insurance Commission as authorized to issue such security. VIII. SPECIAL CONDITIONS OF THE CONTRACT: 1. The Contract Documents, Specifications and Drawings are mutually complimentary. What is noted in one although not shown in other shall be considered contained in all, in case of conflict. The Specifications shall prevail over the Drawings. The documents forming the Contract shall be interpreted in the following order of priority: a. Contract/Construction Agreement b. Letter of Acceptance c. Contractor’s Bid d. Terms of Reference e. Drawings f. Any other documents as form part of the Contract. 2. The CONTRACTOR is required to inspect and examine the site and the surroundings of the proposed project to arrive at an accurate estimate of labor, materials, equipment, facilities and services necessary to carry-out the works. 3. The CONTRACTOR shall submit sample materials for approval prior to any works to be started/installed. 4. The CONTRACTOR shall provide all supervision, labor, materials, plant and Contractor’s equipment, which may be required. 5. The CONTRACTOR shall be liable to all fire and accident claims and other related claims arising for the injuries and damages, which occurred in the vicinity. 6. The CONTRACTOR shall free the PICC and its personnel from and against all liability for damages arising from injuries or liabilities to persons or damages to property occasioned by any act of omissions of the CONTRACTOR including any and all expenses which may be incurred by PICC and its personnel in the defense of any claim, action or suit. 7. Any work that may affect the operation, security and image of the Center shall be coordinated properly to PICC’s Representative and shall be done in accordance with Center’s approved schedule. 8. Cost of rework and restoration of damaged properties due to CONTRACTOR’s poor workmanship or negligence shall be borne by the contractor. 9. The CONTRACTOR must submit list of personnel assigned to the project including their Police/NBI Clearances before commencing to the above scope of works. 10. The CONTRACTOR’s personnel assigned to the project must wear their company’s ID at all times while working inside the Center. 11. The work throughout shall be executed in the best and most thorough manner to the satisfaction of PICC and its engineers and supervisors who will jointly interpret the meaning of the scope of work and its conditions and shall have the power to reject any work, method of accomplishing every part of work and material used which in their judgment are not in full accordance therewith and are disadvantageous to PICC. IX. GENERAL CONDITIONS OF THE CONTRACT: 1. ALL PRICES QUOTED HEREIN ARE VALID, BINDING AND EFFECTIVE FOR ONE HUNDRED TWENTY (120) CALENDAR DAYS FROM DATE OF QUOTATION. 2. The Contractor shall be responsible for the source(s) of his services/equipment shall make deliveries in accordance with schedule, quality and specifications. Failure by the AWARDEE to comply with the same shall be ground for cancellation of the award. 3. The Contractor shall pick up RS and NTP issued in his favor within three (3) days after receipt of notice to that effect. A telephone call, fax transmission or email shall constitute an official notice to the Awardee. Thereafter, if the RS remain unclaimed, the said RS shall be sent by messen-gerial service to the Awardee at the latter’s expense. To avoid delay in the service of the requesting agency’s requirement, all Defaulting Awardees shall be precluded from proposing or submitting a substitute sample. 4. Subject to the provisions of the preceding paragraph, where Awardee has accepted a NTP but fails to deliver the services within the time called for in the same order, he shall be extended a maximum of fifteen (15) calendar days under liquidated damages to make good his services. Thereafter if Awardee has not completed delivery of services within the extended period, the subject RS & NTP shall be cancelled and the award for the undelivered balance withdrawn from that Awardee. The PICC-BAC shall then purchase the required services from such other source(s) as it may determine, with the difference in price to be charged against the Defaulting Awardee. Refusal by the Defaulting Awardee to shoulder the price difference shall be ground for his disqualification from future bids of the same or all items, without prejudice to the imposition of other sanctions as prescribed under RA 9184 and its IRR-A. 5. All services by the contractor shall be subject to inspection and acceptance by the PICC. 6. A penalty of one tenth (1/10) of one percent (1%) of the total value of services/works shall be deducted for each day of delay including Sundays and holidays in the delivery of the services. 7. All transactions are subject to withholding of creditable Value Added Tax (VAT) per Revenue Regulation No. 10-93. REQUEST FOR QUOTATION TO: PHILIPPINE INTERNATIONAL CONVENTION CENTER ROXAS BLVD., 1307 PASAY CITY Sir/Madam: After having carefully read and accepted the Terms of Reference, I/we submit our documentary requirements and quotation/offer as follows: \| DESCRIPTION \| AMOUNT \| \|----------------------------------------------------------------------------\|--------\| \| Supply of Labor and Materials for the Replacement of Existing Glass Doors to New Glass Door Sets \| \| We undertake, if our quotation is accepted, to deliver the services in accordance with the delivery schedule specified in the Schedule of Requirements. The PICC-BAC reserves the right to accept or reject any and all others, annul the procurement process, and refuse to make an award, without thereby incurring any liability to the affected offerors. __________________________________________________________ Signature over Printed Name __________________________________________________________ Position/Designation Name of Company: _________________________________________ Address: ________________________________________________ Office Telephone No./s: _________________________________ Fax No: _______________ Email Address/es: _______________________________________ Mobile No.: ___________
Into the Darkness: Dissecting Targeted Attacks Rodrigo Rubira Branco (@bsdaemon) Director Vulnerability & Malware Research Qualys, Inc. Troopers – March/2012 – Adobe Reader X Code Execution – 13 Adobe Shockwave Code Execution – 2 Microsoft Office Excel Code Execution – Microsoft Word Code Execution – Internet Explorer Code Execution – 2 Solaris 10 Remote Code Execution – 3 AIX 5 Remote Code Execution – 3 HP-UX 11.11 Remote Code Execution – CUPS Remote Code Execution (All BSD/Linux) – Apple Quicktime Remote Code Execution – 4 Vulnerabilities in MacOS X (Remote and Local) Since three years ago in Troopers... I start from the end ;) wmic OS Get DataExecutionPrevention_Available wmic OS Get DataExecutionPrevention_Drivers 6685-8924-9131-1651-931... the last digit is in the last slide... APT APT Advanced Persistent Threat APT Advanced Persistent Threats ASIAN Pacific WASHINGTON - The data breach of Sony's PlayStation Network resulted from a "very carefully planned, very professional, highly sophisticated criminal cyber attack designed to steal personal and credit-card information for illegal purposes," a Sony executive says. In a letter to members of the House Commerce Committee released Wednesday, Kazuo Hirai, chairman of Sony Computer Entertainment America L.L.C., defended the company's handling of the breach. Sony disclosed the problem last week. It said the attack may have compromised credit-card data, e-mail addresses, and other personal information from 77 million user accounts. On Monday, Sony said data from an additional 24.6 million online gaming accounts also may have been stolen. WASHINGTON - The data breach of Sony's PlayStation Network resulted from a carefully planned, very professional and sophisticated criminal cyber attack to steal personal and credit-card information for illegal purposes," a Sony executive said. In a letter to members of the House Energy and Commerce Committee released Tuesday, chairman of Sony Computer Entertainment America L.L.C., defended his company's response to the breach. Sony disclosed the problem last week after the long holiday weekend and is still struggling to restore IT services. Pacific Northwest National Labs, a research and development facility operated under contract to the Department of Energy, was attacked during the long holiday weekend and is still struggling to restore IT services. Raytheon's cyberchief describes 'Come to Jesus' moment A rash of attacks following missile sales to Taiwan prompted a major cybersecurity review Jeremy Kirk October 12, 2011 (IDG News Service) After Raytheon began selling missiles to Taiwan in 2006, the defense company's computer network came under a torrent of cyberattacks. Now, the company sees an incredible 1.2 billion -- that's billion -- attacks on its network per day, Blake said. About 4 million spam messages target Raytheon's users, and the company sees some 30,000 samples per day of so-called Advanced Persistent Threats, or stealthy malware that seeks to stay long-term on infected computers and slowly withdraw sensitive information. Raytheon's cyberchief describes 'Come to Jesus' moment A rash of attacks following missile sales to Taiwan prompted a major cybersecurity review Jeremy Kirk October 12, 2011 (IDG News Service) After Raytheon began selling missiles to Taiwan in 2006, the defense company's computer network came under a torrent of cyberattacks. Now, the company sees an incredible 1.2 billion -- that's billion -- attacks on its network per day, Blake said. About 4 million spam messages target Raytheon's users, and the company sees some 30,000 samples per day of so-called Advanced Persistent Threats, or stealthy malware that seeks to stay long-term on infected computers and slowly withdraw sensitive information. After Raytheon began selling missiles to Taiwan in 2006, the defense company's computer network came under a torrent of cyberattacks. Now, the company sees an incredible 1.2 billion -- that's billion -- attacks on its network per day, Blake said. About 4 million spam messages target Raytheon's users, and the company sees some 30,000 samples per day of so-called Advanced Persistent Threats, or stealthy malware that seeks to stay long-term on infected computers and slowly withdraw sensitive information. To APT or not to APT? Infection Case Study Case Study RSA EMC: RSA was hit with sophisticated attack, SecurID data lifted By Larry Dignan \| March 18, 2011, 5:03am PDT EMC said that its RSA unit was hit with a "sophisticated cyber attack" that swiped information related to Attack Vector Attack Vector E-Mail Target Target APT? The Attack E-Mail The email was crafted well enough to trick one of the employees to retrieve it from their Junk mail folder, and open the attached excel file. It was a spreadsheet titled "2011 Recruitment plan.xls." I forward this file to you for review. Please open and view it. I forward this file to you for review. Please open and view it. The Attachment 2011 Recruitment plan [Compatibility Mode] - Microsoft Excel 2011 Recruitment plan [Compatibility Mode] - Microsoft Excel Flash 0-day running RSA Exploit Just Crashes Excel… The Malware Poison Ivy Poison Ivy 2006 Poison Ivy 2006 → mincesur.com I forward this file to you for review. Poison Ivy 2006 →mincesur.com == known bad domain Going deeper… SWF File divided in ABC Segments: abcFile { u16 minor_version u16 major_version cpool_info constant_pool u30 method_count method_info method[method_count] u30 metadata_count metadata_info metadata[metadata_count] u30 class_count instance_info instance[class_count] u30 script_count script_info script[script_count] u30 method_body_count method_body_info method_body[method_body_count] } Action Script Source Code Adobe Flash Creation Products SWF File (bytecode) JIT Machine Code trace("aaaaaaaa"); findpropstric <q>[public]:trace pushstring "aaaaaaaa" callpropvoid <q>[public]:trace, 1 params mov dword ptr [ebp-14], 2BC5732 ; 0x2BC5732 is the atom of "aaaaaaaa" mov eax, dword ptr [edi] push ecx push 1 push edi call eax ; call to "flash!trace()" ByteCode → Verification Process - Passed → Generation Process - Passed → Execution Process - Failed → Exit if failed findpropstric <q>[public]::trace pushstring "aaaaaaaa" callpropvoid <q>[public]::trace, 1 params pushint 0x41414141 pushstring "aaaaaaaa" callpropvoid <q>[public]::trace, 1 params Inconsistent stack state after a jump to the incorrect position Instructions write to the wrong object in the ActiveScript Stack, overwriting memory: mov ecx, dword ptr ds:[edx+70] -> Program fails here* lea edx, dword ptr ss:[ebp-70] mov dword ptr ss:[ebp-70], eax mov eax, dword ptr ds:[ecx] push edx push 0 push ecx call eax Countermeasures DEP DEP Data Execution Protection DEP Data Execution Protection XP SP2 (2006) I forward this file to you. To help protect your computer, Windows has closed this program. Name: a Data Execution Prevention helps protect against damage from viruses or other threats. Some programs might not run correctly when it is turned on. For an updated version of this program, contact the publisher. What else should I do? Microsoft Office 2010 Microsoft Office 2010 Protected View Sandbox This file originated as an e-mail attachment and might be unsafe. Click for more details. Protected View This file originated as an e-mail attachment and might be unsafe. Click for more details. Enable Editing Flash 0-day Running Contained Microsoft Office 2007 Microsoft Office 2007 Limit Active Content For ActiveX controls in documents not in a trusted location: - Disable all controls without notification - Prompt me before enabling Unsafe for Initialization (UFI) controls with additional restrictions and Safe for Initialization (SFI) controls with minimal restrictions - Prompt me before enabling all controls with minimal restrictions - Enable all controls without restrictions and without prompting (not recommended; potentially dangerous controls can run) Safe mode (helps limit the control's access to your computer) For ActiveX controls in documents not in a trusted location: - Disable all controls without notification - Prompt me before enabling Unsafe for Initialization (UFI) controls with additional restrictions and Safe for Initialization (SFI) controls with minimal restrictions - Prompt me before enabling all controls with minimal restrictions - Enable all controls without restrictions and without prompting (not recommended; potentially dangerous controls can run) Safe mode (helps limit the control's access to your computer) For ActiveX controls in documents not in a trusted location: - Disable all controls without notification - Prompt me before enabling Unsafe for Initialization (UFI) controls with additional restrictions and Safe for Initialization (SFI) controls with minimal restrictions - Prompt me before enabling all controls with minimal restrictions - Enable all controls without restrictions and without prompting (not recommended; potentially dangerous controls can run) Safe mode (helps limit the control's access to your computer) Blacklisting Blacklisting Known Malicious Domains After this, Poison Ivy connects back to its server at good.mincesur.com. The domain mincesur.com has been used in similar espionage attacks over an extended period of time. Found 6 RRs in 0.27 seconds. \| Domain \| Type \| IP Address \| \|-------------------------\|------\|--------------\| \| download.mincesur.com \| A \| 188.8.131.52\| \| good.mincesur.com \| A \| 184.108.40.206\| \| hjkl.wekby.com \| A \| 220.127.116.11\| \| man.mincesur.com \| A \| 18.104.22.168\| \| qwer.wekby.com \| A \| 22.214.171.124\| \| uiop.wekby.com \| A \| 126.96.36.199\| After this, Poison Ivy connects back to its server at good.mincesur.com. The domain mincesur.com has been used in similar espionage attacks over an extended period of time. Found 6 RRs in 0.27 seconds. \| Domain \| Type \| IP Address \| \|-------------------------\|------\|--------------\| \| download.mincesur.com \| A \| 188.8.131.52\| \| good.mincesur.com \| A \| 184.108.40.206\| \| hjkl.wekby.com \| A \| 220.127.116.11\| \| man.mincesur.com \| A \| 18.104.22.168\| \| qwee.wekby.com \| A \| 22.214.171.124\| \| uiop.wekby.com \| A \| 126.96.36.199\| Windows 7 Windows 7 No Active X Flash Windows 7 No Active X Flash Alternative OS To APT or not to APT? Advanced? Persistent? Threat? Information Asymmetry Information Asymmetry Community Knowledge Thank you firstname.lastname@example.org @bsdaemon
AMERICAN INSTITUTE OF ARCHITECTS NOV 29 1963 LIBRARY Indiana Architect SIGHTS AND SOUNDS OF FRENCH LICK NOV. '63 For outstanding wall performance... MASONRY CEMENT Bring out the best in your wall designs. Specify mortar made with masonry cement. Precision-made, masonry cement encourages good workmanship. It takes the guesswork out of making mortar as specified, makes tighter joints with uniform color and good bond strength. Simplifies and speeds work because everything except sand and water is delivered in one bag... and no special skills are needed for mixing. Masonry cement has excellent workability and high water retentivity thus assuring good wall performance. More and more architects are specifying mortar made with masonry cement for use with the newer forms of concrete masonry, as well as brick, tile, stone and glass. PORTLAND CEMENT ASSOCIATION... A national organization to improve and extend the uses of portland cement and concrete 612 Merchants Bank Bldg., Indianapolis 4, Ind. Indiana Architect Official Journal, Indiana Society of Architects and the Northern Indiana Chapter, both Chapters of The American Institute of Architects 3637 North Meridian Street, Indianapolis 8 Vol. VII NOVEMBER, 1963 No. 8 The Indiana Architect is the sole property of the Indiana Society of Architects, AIA, and is edited and published monthly in Indianapolis by Don E. Gibson & Associates, 3637 N. Meridian Street, P. O. Box 55594, Indianapolis 5, Indiana. Current average-monthly circulation, 3,400, including all resident Indiana architects, school officials, churches and hospitals, libraries, selected public officials, and members of the Indiana construction industry. Further information available on request. TOUSLEY CONSTRUCTION CO., Inc. General Contractors Commercial and Industrial Construction 925 East St. Clair Street MEIrose 6-5505 Indianapolis, Indiana Specialists In . . . Construction Equipment Anchoring & Drilling Methods Powder Actuated Tools, Pins, Loads and Accessories; Phillips, Rawl and other Anchors; Diamond Core Drilling Equipment; Diamond Saws and Blades; Cadweld Process; Black & Decker Electric Tools; Milwaukee Electric Tools; Pipe Threaders, Benders and Pushers; Pumps; Trowelers; Generators; Vibrators; Scaffolding. FL 7-1102 Ram TOOL & SUPPLY, INC. 3515 Southeastern Avenue Indianapolis, Indiana INDIANA LIMESTONE panels, 4x9 ft., with only two bolts top and bottom, were used to gain the panoramic view, reduced the cost of the University School, Bloomington, Ind., and made possible an "expansion" so that classes can be easily moved to enlarge even one classroom in this complex of grade and high school buildings now under construction. SAWED SCREEN—This unusual effect in Indiana limestone is indicative of the many attractive and imaginative designs provided by this famous stone which is so easily carved and shaped. CONSULT AN ARCHITECT LOOK UP TO Indiana Limestone Consult An Architect National Advertising Campaign An aggressive campaign of publicity and advertising in support of architects' journals, magazines and newspapers of general circulation. NEW IDEAS Indiana Limestone PRESCOLITE MANUFACTURING CORPORATION 1251 Doolittle Dr., San Leandro, Calif. FACTORIES: San Leandro, California Warrington, Penna., El Dorado, Arkansas Write for Catalog No. G-14 These wall and ceiling lighting fixtures may be used singly or to create a three-dimensional effect. The finish of the glass provides a diffused glow that is uniquely Prescolite. Glass cube size—4½" sq. The BEST WAY to BUILD for - Greater Value - Lower Operating Costs - Reduced Maintenance - More Efficient Operation On both public and private buildings, the owner or the taxpayer is entitled to receive the best that his money can buy. He has the right to demand an evaluation of construction costs and results. In the construction industry, there are two methods of awarding contracts most often used: (1) Separate Prime Contracts... Mechanical, Electrical and General, and (2) Unified Contracts.* In SEPARATE PRIME CONTRACTS the mechanical trades are responsible for installation of the heart or mechanical portion of a building including all machinery and equipment. These are the vital functioning systems of the building and they must operate smoothly and efficiently to assure proper value received for the owner. The responsibility for the job completed falls squarely on the shoulders of the man who performed the work and not on the general contractor who supervises the trades involved in the construction of the foundation, the frame work and the shell of the building. Under this system the general contractor also benefits, because this system attracts the higher quality and better qualified mechanical and electrical contractors to the job through separate bidding as well as separate contracts. Construction through SEPARATE BIDDING and SEPARATE CONTRACTS by prime mechanical and electrical contractors is the owners' best assurance of efficient and economical installation as well as continued satisfactory operation and service from the heart of his building. This assurance is the result of qualified experts working in their specialties and accepting full responsibility for their work. Unified Contracts: The general construction contractor takes bids from mechanical and electrical sub-contractors for each of the trades, then submits one overall bid for the entire building. This total bid price includes basic cost of construction plus the contractor's head and his profit. He often acts primarily as a sales agent for the subcontractor. For additional information regarding SEPARATE CONTRACTS and UNIFIED CONTRACTS, and the initial cost and maintenance cost savings possible through the SEPARATE CONTRACT SYSTEM, write to either of the following associations: MECHANICAL CONTRACTORS ASSOCIATION OF INDIANAPOLIS, INC. • 621 E. 38th Street, Indianapolis 5, Indiana or NATIONAL ELECTRICAL CONTRACTORS • NORTH CENTRAL INDIANA CHAPTER 617 E. 38th Street, Indianapolis 5, Indiana INDIANA SOCIETY OF ARCHITECTS (Clockwise from top center) ALFRED J. PORTEOUS, AIA, Indianapolis, President CARL L. BRADLEY, AIA, Fort Wayne, Vice-President JOHN H. JELLIFFE, AIA, Indianapolis, District Director WALLACE WAYNE GIVEN, AIA, Evansville, Director-At-Large WALLACE E. JOBUSCH, AIA, Lafayette, District Director JAMES O. JOHNSON, AIA, Anderson, Director-At-Large WALTER SCHOLER, JR., AIA, Lafayette, Immediate Past President and Regional Director Elect RAYMOND W. OGLE, AIA, Indianapolis, Secretary (Treasurer Wayne M. Weber, AIA, Terre Haute, is pictured center-fold) In this one operation... MORE SUB-FLOORING MORE SOUND DEADENING MORE UNDERLAYMENT MORE WEATHERPROOF PROTECTION All 4 only in—4-WAY FLOOR DECKING by HOMASOTE Three-ply, wood-fibre construction makes Homasote “4-Way” SUPER STRONG for sub-flooring. You can nail each 2’ x 8’ panel directly to floor joists and set partitions right on top. No additional fitting and cutting of underlayment. Homasote’s resiliency makes it a perfect base for wall to wall carpeting. This same resilience cuts down noise transmission, makes “4-Way” especially attractive for garden apartments and motels. Greater density and weatherproof construction of “4-Way” provide constant resistance to moisture, dampness and air penetration—termite and fungus protected, too! Write for samples and bulletins. ASK YOUR HOMASOTE REPRESENTATIVE FOR DETAILS OR WRITE DIRECT TO HOMASOTE COMPANY Trenton 3, New Jersey HOMASOTE COMPANY, Dept L-4 Trenton 3, N.J. I want complete information on your new 4-Way Floor Decking, as checked. ☐ Send bulletins ☐ Send sample ☐ Have representative call NAME__________________________________________ COMPANY_______________________________________ ADDRESS________________________________________ CITY_________________ STATE______________ The AIA Today J. ROY CARROLL, JR., FAIA President, The American Institute of Architects (Speaking at French Lick, Indiana) A standard, unabridged English dictionary contains well over 600,000 entries, and the language is steadily growing as the limits of our knowledge continue to expand. These words, many of them complex and of shifting, sometimes contradictory meanings, are used both crudely and cunningly to confuse as well as to illuminate our times. Many groups within our society have semantical habits and patterns of their own. Electronic engineers speak casually of such things as masers and lasers, servomechanisms and nano-seconds, while listeners wonder if this is the same mother tongue they speak. Or consider architects, who, as you know, are exceptionally articulate and eloquent people. Some, in fact, are even more famous for talking than they are for designing. They speak of "function" with a dozen different shades of meaning. They nimbly juggle parabaloids and post-tensioning and tetrahedrons and communities of polymers to demonstrate their technical competence. But they can as easily produce soft clouds of verbal aesthetics when this will more convincingly bedazzle an audience. Considering all this, I tremble to think what might be the awesome reaction of good Dr. Johnson, author of our language's first dictionary. You may recall that Dr. Johnson single-handedly produced this famous work and all its definitions, not without some errors creeping in. According to Boswell, a lady once asked Johnson how he came to define pastern as the knee of a horse. "Instead of making an elaborate defense, as she expected," Boswell reported, "he at once answered, 'Ignorance, Madam, pure ignorance.'" If a modern lexicographer were to eavesdrop on architects talking to each other, he would hear a remarkably different language from that which he uses at other times. It takes on a terse, blunt quality and often is expressed more in question than in answer. By careful and independent survey by the semantical experts at AIA, one question has been found to recur frequently over the years. According to the records it is, and I present this verbatim, "What is the AIA doing for me?" According to the same research findings, in recent years the chapter president or national director to whom the question has been put frequently responded: "What are you doing for the AIA?" And more recently, a third question has been raised and raised again. It is: What are we doing, through AIA, for our community? I am here to bring you some answers. I don't know whether it's occurred to you or not, but these three questions can't be separated from one another in a genuine professional society. It is the purpose of a professional society to advance, protect, and continually inform and educate its members. It is the obligation of the member to contribute his energy and knowledge for the advancement of himself and his fellow architects. It is, gentlemen, the purpose of a profession to serve the community, not so that the professional may receive rewards, but to better the condition of man. These then are the aims of the Institute — to advance, protect, inform, and educate the member; to provide an opportunity for the member to contribute to the advancement of himself, his fellow-architects, and his art through service to the Institute; and to harness our combined energies and talents so that man will benefit by what we do on this earth. Energy, of course, must not only be harnessed. It must be converted into power and dispensed efficiently to accomplish specific ends. In the past few years, the structure and operation of your Institute have been radically altered to create more power and to disperse it more efficiently. To adapt AIA's routine to change, a number of things have been done. At the staff level in your Octagon in Washington, there are now four principal Departments of personnel. These four are the Departments of Institute Services, headed by Will Rankin; Professional Services, directed by Elliott Carroll; Public Services, headed by Ken Landry; and business management, headed by Comptroller Bill Wolverton. There is only one purpose in this arbitrary organizational setup — to make the staff perform as efficiently as possible under the leadership of Executive Director Bill Scheick. The four Departments represent logical groupings of staff functions. They are arranged to allow tasks which are related to one another to communicate with maximum ease in minimum time. They are also arranged to provide maximum service to the member Committees and the five Institute Commissions under which all AIA committees are grouped. These five Commissions represent the most far-reaching step in committee organization undertaken in recent Institute history. Each committee of the Institute operates under one of the Commissions, with the exception of a few assigned to the direct supervision of an officer. The five that I speak of are the Commission on the Professional Society; the Commission on Education; the Commission on Professional Practice; the Commission on Architectural Design; and the Commission on Public Affairs. Broadly speaking, the Commission on Architectural Design is charged with responsibility for aesthetics and the architectural design of buildings, their facilities and environment. The Commission on Education is responsible for scholastics, training, registration and research. The Commission on Professional Practice deals with standards of architectural practice and the aids thereto. The Commission on the Professional Society deals with membership, leadership, rules, honors, ethics, and the physical plant. The Commission on Public Affairs is concerned with public and member communication and service, as well as governmental and international relations. These Commissions have a number of purposes. An obvious one is to coordinate and control AIA's proliferating committees. This is done by grouping them together according to function and coordinating the work of committees within each group. Another obvious function of the Commissions is to maintain liaison between the Board and the committees. Still another function of the Commissions is to monitor committees to make sure they aren't overlapping one another and to recommend the creation or termination of committees as circumstances dictate. Finally, one of the main functions of Commissions is to evaluate the plans and projects of individual committees. This is done first by the parent Commission, then by the five Commission chairmen. So convened and acting with an appointed chairman, this group constitutes the Committee on Committees. Following its deliberations, appropriate recommendations are made to the Finance Committee on the appropriation of funds for committee projects. So much for the Commissions. Now let me return for a moment to the related subjects of supplemental dues and committee projects. The Supplementary Dues Program, which is based on the ability-to-pay principle, makes it possible for the Octagon to finance new projects and activities that are necessary to advance our profession. Specific accomplishments of the Institute in recent months have been many, far too many to go into here. Nonetheless, it may be of interest if I touch on just a few. Early in 1962, the New York Chapter of the Institute held a conference in New York on the theme, "Who Is Responsible for Ugliness?" It was a pilot project, but one attended by several hundred people from government, business, government, education, the professions and the arts. It was a major effort to mobilize the responsible leaders of the community and make them recognize the condition of their city and determine to do something about it. While its success as a means of improving New York City was by no means conclusive, it was largely instrumental in launching similar efforts throughout the nation. A direct result of this New York conference was the formation, for the first time in 107 years of Institute history, of chapter design committees. These committees were set up both to elevate the quality of architectural design and to hold public conferences to marshal the forces of the community for the aesthetic improvement of the community. We have had one such here today. By the end of this year, six such aesthetic responsibility conferences will have been held in various parts of the country. Ten more will follow. At the same time, architects have called together related professionals and government leaders on the local and regional level to hold professional discussions on the techniques of urban design — that all-but-lost art of designing of towns and cities. Four such regional conferences on urban design will have been held by the end of 1963. Seventeen conferences — one in every region of AIA — have been held during the past year and one-half to present to architects information and documented case histories on comprehensive services. A major development of the national public relations program was the AIA's co-sponsorship with Columbia University of a three-day seminar for newspaper reporters in the Fall of 1962. This meeting, the first of its kind ever held, brought together reporters from 30 urban newspapers representing every major region of the United States. For three days and two nights, the reporters argued with architects, economists, entrepreneurs, and the faculties of the schools of architecture and journalism. We told them very bluntly that there was a great gap in the reporting of the American newspaper and that they were abdicating a responsibility to lead community thinking in the building and re-building of America. They told us that it was largely our fault and demanded information to fill that gap. That group of 30 is still corresponding with us and each other. The verbatim proceedings have been distributed to every newspaper in the nation with a circulation of 25,000 or over. Six full books of clippings attest to the continuing productivity of the original 30. Members of that group are fanning out to spread the word to other journalists. So far, under AIA auspices, five regional press seminars have been held or are planned for this year. The impetus of this educational campaign led us into still another direction. With the advice and help of the Secondary School Principals' Association, we produced the first filmstrip on architecture and environmental design ever to be offered to the social studies teacher in the public secondary school. Every one of the 3,000 copies produced has been sent to a high school at the written request of a high school teacher. We will shortly order additional copies and are now midway in the production of a second audio-visual tool for the high school student. Another important area in which the Institute is greatly stepping up its activities is research. Quite a lot of research that directly affects the profession is going on all over the country. But most of it is fragmentary, and there is a great need for coordination of these activities so that their findings can be implemented by the profession. The Institute intends to fill this gap and at the same time to encourage greater efforts in those fields which are of major concern to the architect. Having listened to all this you may well ask, what is all this Institute activity for? I answer that, it is for the expansion and elevation of the profession. It is to help our profession compete in America's enduring environment of which we and our children can be proud. In every age, some profession has tended to dominate. When our country was founded, it was religious persecution that drove settlers here and it was the ministry that kept them together and acted as their temporal and spiritual leaders in the New World. Later, the lawyers erected the legal framework in which we could develop a political system and society of law. Still later, the engineer, backed by the financier, developed our transportation systems that permitted this nation to expand and fill our last frontier. Now that the land has been exploited, today's need is for the professional who can remake our physical environment into something economically sound and esthetically exalting. The creation of a better America is going to demand the talents of many — the banker, the realtor, the lawyer, the merchant, and the educator, to name a few. No one group can do it alone. But some one person must serve as the catalyst, and I submit that that person is the architect. The evidence around us suggests that we are moving into an entirely new age with new technology, new and still undefined social patterns and, perhaps, new or different aesthetic standards. The evidence suggests that this new society badly needs technical help in the design of better buildings, better towns, and better cities. The evidence suggests that it will only get these things if architects become and remain competent to handle these problems. And the evidence shows, without question, that this will in truth become the age of the architect only if the architect assumes leadership in his profession and in his community. We would like to welcome you to this East Central Regional Conference on Aesthetic Responsibility. It is a Conference because we hope everyone here will participate. It concerns Aesthetics, which Webster defines as the study and appreciation of that which is beautiful. And the key word is Responsibility. Who is responsible for aesthetics? Is it the architect? The planner? The local art museum? Our teachers in schools? Our local mayor and city council? The President of the United States? Who is responsible for aesthetics? The American Institute of Architects' Board of Directors has charged the AIA Committee on Aesthetics as follows: "Acquaint the public with the aesthetic values of architectural design, and encourage and assist all Institute components in the development of appropriate programs in furtherance of this program." And to add a little commercial here, this conference today is made possible through the AIA Supplementary Dues Program. Now the AIA Committee on Aesthetics believes, as far as this charge is concerned, that we as architects have been talking too much to each other. It believes that if we will provide a program and a platform for perceptive, respected community leaders to talk to each other about our physical, man-made environment, then these important people will become even more interested in what is really happening (such as the sterility of our over-efficient freeway system, the urban jungle of our overhead wiring, the neon and billboard city-scrapes, and our cities which are being built for the convenience of machines instead of the aesthetic experience of people). If so, we will be far ahead in the creation of a better atmosphere in which our profession can fulfill all of which it is capable. That is the purpose of this meeting today. We hope it will be successful, and that it will act as a catalyst in inspiring similar discussions and panels in your own communities, where the architectural profession will take the initiative in sponsoring community discussions about what can be done to counteract ugliness. Only through an awareness of, and an interest in, the actual status of our environment by our community leadership will community attitudes and action be excited. Our speakers, in order of their appearance, are: Mr. Grady Clay, a Louisville newspaperman of national note, editor of LANDSCAPE ARCHITECTURE QUARTERLY, and Real Estate and Building Editor of the "Louisville Courier-Journal." He is a former Neiman Fellow at Harvard University; he is past president and board chairman of the National Association of Real Estate Editors; he has served as critic and lecturer at many universities; he has received many awards for his work from the American Institute of Architects and the American Institute of Planners; and he happens to be an honorary member of both organizations. Mr. Joseph C. Graves, Jr., vice-president of Graves-Cox & Company, retail clothiers, Lexington, Kentucky. Mr. Graves is a founder board member and former president of the Lexington Citizens' Association for Planning, a key figure in the establishment of Lexington's urban renewal agency, and a member of several neighborhood organizations responsible for upgrading, rehabilitating and restoring many of Lexington's historic areas, and he has participated in many community-wide meetings on environmental control. Mr. Nathan Cabot Hale, a sculptor from New York City. Mr. Hale attended the Chouinard Art Institute, Santa Monica City College, and the Art Students' League of New York, with special training in anatomy at the New York University Medical School and in welding at the Los Angeles Technical School. He has published a number of articles on art, has written and published one book, "The Removal of Fig Leaves," and is working on a second and has lectured at many universities and to many professional groups. Mr. Hale currently teaches at Pratt Institute and has a number of architectural sculpture commissions underway. Incidentally, Mr. Hale also participated at the first Conference on Aesthetic Responsibility, held in New York City. Mr. Raymond Daly, president of the Bank of Indiana, Gary, Indiana, president of the Hotel Gary Corporation, director of Incentive Capital Corporation, United Tractor, Inc., Gary Goodwill, Gary Chamber of Commerce, Gary United Fund, trustee of Saint Mary Mercy Hospital and of St. Joseph's College (Calumet Center), and a member of the Gary Committee of 100. Mr. William G. Greif, executive director, Evansville Future, Inc., Evansville, Indiana. In 1956, Mr. Grief spearheaded the reorganization of the Redevelopment Commission and Planning Commission in Evansville, and now is directing Evansville Future, which is an overall community development corporation. It has been responsible for the helping with money and with influence to properly staff the planning commission and the redevelopment commission, so that Evansville, today, has a community plan which includes a master plan for the Central Business District. Dr. Harold B. Gores, president, Educational Laboratories, Inc., New York City, a foundation established in 1958 by the Ford Foundation to help schools and colleges solve their physical problems. Dr. Gores began his career in education as a professor of mathematics, and for ten years was Superintendent of Schools in Newton, Massachusetts. His Doctorate degree was earned at Harvard, and recently received (along with Walter Gropius) an Honorary Degree from Williams College at their convocation on Education and Architecture. This country of ours, up to a very few years ago, was a rural nation. The Legislatures of our States and the Congress of the United States passed many laws to assist the farmer and the rural community to grow. As examples, look at the State Universities and the Agricultural Colleges which were developed, or the Departments of Agriculture in this State and the Nation which were created. This attention helped our rural communities to grow, to the extent that today we produce more farm goods than we can consume, with far fewer people. With the advent of the Industrial Revolution, our country has fast become an urban society, and with the rush of people to the cities has come ugliness. Look at your own city. There are vast areas of slums in the core of your cities; the downtowns are depressed looking. You have traffic problems; you have worn-out streets. And, as someone mentioned here earlier, you have these great new highways which bypass the cities and which already are grown up with hamburger stands. You have developers who have planned subdivisions miles from the centers of towns, with wide gaps between the cities and subdivisions, requiring great sums of money to bring the services of the communities to the subdivisions. Public facilities' plants are worn out; cities can't cope with the great expansion that is going on. You have worn-out private facilities—the old factories built in the 1890's. All these things are problems for our communities which must be solved. We've studied our communities inside and out; we have brought in planners, experts, research men—all of whom are concerned only with the economics of a community. Evansville has enlisted the aid of such men as George Pinnell of Indiana University; Real Estate Research from Chicago; Roy Wenslick of St. Louis; The Fantus Factory Locating Service analyzed us for our assets and our liabilities five years' ago. When we reached fourteen per cent unemployment and the economy reached an all-time low, everyone in Evansville recognized that something had to be done, and everyone was willing to put his shoulder to the wheel. In our first endeavors eight years' ago, we blew $500,000 on a Committee of 100 attempting to sell industry on locating in our community. But when they accepted our invitation to visit Evansville and look us over, they failed to find anything attractive; we had nothing to sell. They went away about as depressed as the people of Evansville; they had no interest in our community. It took us three years to discover this, but out of these frustrations came a new concept—to bring together in one Board of Directors in one organization, thirty-five people who represent what we consider the total community of Evansville. We organized Evansville Future, Inc., made up of the Mayor, the President of the County Commissioners, the head of the school corporation, the heads of the major power interests in our community, the president of the Chamber of Commerce, the top men in the two local labor organizations, and the presidents of twenty of the largest businesses and industries in our community. We hit on the idea that to make our city attractive to business and industry, to attract new industry and new businesses to come to our community, and to make it possible for existing business and industries to continue to grow, we had to have something to sell. We now are putting our house in order with various community development projects. We believe that private capital, in the form of industry, will come to our community—and it has already. We now have the lowest unemployment rate in the State of Indiana—three per cent. We have been written up in articles throughout the country, because the people of Evansville, and this includes the architects on whose aesthetic judgment we depend, are sold on the idea of making our city attractive. We have such projects as the new Civic Center. We worked on such menial things as devising a new Minimum Housing Standards Ordinance, which today is held up as the model inspection program in the nation. We are going to have a new City-County Building, and our old historic areas are now being conserved. As I see it, by having an overall community development organization with broad community backing, you are able to do things that you were unable to do when you were fragmented and unorganized. I think that you as citizens, not architects or developers or construction men, must urge the power interests of your communities to form the organization with this broad concept, which would include your government officials, to back an over-all development program. I think in this way every city will overcome its problems. Thank you. A NEW STAR ON THE HORIZON! CURTAIN WALL BY EMROK ★ City-County Building - Indianapolis, Ind. ★ Federal Office Building - Pittsburgh, Pa. ★ Department of Taxation - Albany, New York ★ Commerce Towers - Kansas City, Missouri ★ Federal Office Building - Boston, Mass. ★ National Bureau of Standards - Gaithersburg, Md. ★ University of Illinois Assembly Hall - Champaign, Ill. EMROK METAL PRODUCTS CORP. — Indianapolis, Indiana W.H.S. ELECTRIC COMPANY "Sign of Quality" ELECTRICAL ENGINEERING and CONSTRUCTION INDUSTRIAL COMMERCIAL 3529 SOUTHEASTERN INDIANAPOLIS, INDIANA FLEETWOOD 6-2478 Complete Residential & Commercial Service Architectural Hardware Hollow Metal Doors & Frames Toilet Room Accessories Directional Signs & Plaques Central Indiana Hardware 1134 E. 54th Street Indianapolis, Indiana Today we are meeting to discuss Aesthetic Responsibility. To me, aesthetic responsibility means a concern for beauty — and a concern about ugliness. I would like to discuss a special kind of ugliness that presents a very great challenge for every American concerned about aesthetic responsibility. As Mr. Russell Lynes of "Harper's Magazine" has pointed out, we tend to confuse two kinds of ugliness — the socially ugly and the aesthetically ugly. What we really object to in the decaying part of our cities and in their honky-tonk approaches is not aesthetic ugliness nearly so much as it is social ugliness — the result of waste, of greed, of soft headedness, of indifference, and of political expediency. Examples of social ugliness are present in every American community I have visited. One third of the people in our Nation live in slums; belt-line highways built to speed traffic around a city become congested service streets for drive-in theaters, used car lots, and discount stores. The race toward total ugliness proceeds relentlessly. The air we breathe is polluted in many of our industrial cities. More of our lovely beaches and sea shores, our cool, clear streams and bubbling springs are being lost each day to the determined bulldozers. And yet the American people care. They love to load the kids in a station wagon and visit the great National Parks. Conscientious builders and developers strive for excellence as they work out new methods of subdividing land to provide more open space, safer streets, and buried utility lines. I believe our American people yearn for the beautiful, the orderly, the well planned. I believe our American people know that with our democratic form of government, Americans can preserve and create order and beauty and stem this surging tide of social ugliness. But we have not stemmed the tide or even slowed it, why not? Garden clubs have buttonholed legislators in Kentucky and our interstate highways are free of billboards—for the moment. Architects are exerting more and more leadership in their communities to encourage good design. Yet the pressure for cheapness which confronts them leads to lower standards of workmanship instead of producing longer-lasting and more beautiful products and buildings. Throughout the Nation, citizen groups have been organized to obtain better city planning, to preserve historic sites, and to conserve our wildlife and National resources. All of these good works and many others must continue. The effort must be accelerated, the ground swell of public support must be deepened. But we have not yet mentioned the most important step we can take to stem the tide of social ugliness. We must have leadership for our cause. Political leadership. Political leadership in our cities, in our states, and in our Federal government. We must have men and women in public office who believe it is not, after all, only beauty itself but also the striving for beauty that lifts up men and makes a civilization. We must have men and women in public office who believe that buildings ought to be built in a manner that is distinguished and will reflect the dignity, the enterprise, the vigor, and the stability of the American government and that these buildings should represent the finest contemporary architectural thought. We must elect Mayors and County Judges who will appoint qualified citizens of character and integrity to our Planning Commissions and Boards of Adjustment. We must defeat Mayors and County Judges who appoint friends and political hacks who, in turn, gut good planning by granting indiscriminate zone changes to friends, associates, and to the politically powerful. We must elect Governors who will provide leadership for regional and state-wide planning. We must send people to Washington—thoughtful, pensive, imaginative, courageous people who can provide National leadership. Leadership which believes that man's environment can be man's greatest work of art. There are such men and they have and are providing splendid leadership for Americans who are concerned about the beauty of their environment. Former Mayor Joseph S. Clark of Philadelphia is such a man. Clark brought Chief City Planner, Edmund Bacon, to Philadelphia. Bacon worked and observed. He looked at the fine, historic old buildings that needed space around them to be enjoyed, and at the deteriorated old buildings that were very much in the way. He looked at the city and the rivers—and at what William Penn had in mind when he sketched his plans for (Continued on Page 16) The 1958 Annual Meeting was held on May 20, 1958 at the Hotel Pennsylvania in New York City. The meeting was attended by 340 delegates and guests from 16 countries. The meeting was presided over by Dr. John W. Hulbert, President of the Society. The meeting featured a variety of presentations and discussions, including a keynote address by Dr. Hulbert, a report on the activities of the Society by Dr. Robert E. Smith, and a discussion of the future of the Society by Dr. Hulbert. The meeting also included a dinner and a reception, where attendees had the opportunity to network and socialize with other members of the Society. The meeting was well-received by attendees, who praised the Society for its efforts to promote the study of chemistry and its applications. The meeting was also a success in terms of attendance, with a record number of delegates and guests in attendance. LEGEND Opposite Page, upper left: 1963 Scholarship Winner Dexter Douglas, Muncie, addressing the ISA Convention at French Lick; upper center: 2nd place Scholarship entrant Mike Conley, Indianapolis; upper right: Convention ladies selecting the proper corsages; center: Honored Fellows and wives at Fellowship Banquet include (l. to r.) Ray Kastendieck, Gary; George Wright, Indianapolis; Mrs. Kastendieck; Walter Scholer and Mrs. Scholer, Lafayette; Warren Miller and Mrs. Miller, Terre Haute; Charles Betts and Mrs. Betts, Indianapolis; Frank Montana and Mrs. Montana, South Bend; and Merritt Harrison, Indianapolis; center right: former ISA President and new Treasurer Wayne Weber, Terre Haute, presiding during the deeply moving ceremony honoring the Fellows; bottom: Registration Board Chairman James Walker, New Albany, introducing the new registrants at the Saturday luncheon. Above, upper left: Former President Charles Betts reading plaque presented Executive Secretary Don Gibson in appreciation of his service; upper right: Indiana Lieutenant Governor Richard O. Ristine opening the Saturday Seminar; lower left: AIA President J. Roy Carroll, FAIA, speaker for the Saturday night banquet; lower right: East Central Regional Director James Clark, AIA, Lexington, Kentucky, presiding at Saturday morning session. COVER Top: Delegates and wives at Friday night banquet; center left: Aesthetic Responsibility Seminar panel; lower right: Strip-tease style show for the ladies — and a few men who sneaked in — on Saturday afternoon. Philadelphia in 1682. Then Bacon decided where the logical center of the city was, how the various parts and arteries of the city should function and relate to each other and where there would be a fine view of a landmark so you would know where you are in the city. Bacon sketched all of this. Then he called in the city's leading architects who worked up a three dimensional visual. The concept was built into an enormous model. It was put on public display and much photographed by the newspapers and television. The Public became enthusiastic and public pressure, for a change, worked for the plan. Then Urban Renewal was brought in and implementation began. Edmund Bacon and many others have contributed to what is emerging as an orderly and lovable city. But Mayor Clark was indispensable; he had the wisdom to obtain Bacon, the vision to support and encourage him, and the political savvy to sell the plan to the citizens of Philadelphia. The Honorable Gaylord Nelson was twice elected Governor of Wisconsin and now serves his state as United States Senator. Governor Nelson initiated regional planning in Wisconsin. Because of Nelson's leadership, Wisconsin will be one of the first states to complete a comprehensive state master plan—a plan to guide the orderly growth and development of the entire state with careful planning for the conservation of its beauty and natural resources. Joseph C. Graves and Gaylord Nelson—two men who treasure the beauty of their environment; two men who abhor waste, greed, and indifference; two great men who will never permit political expediency to interfere with their efforts to make this a more attractive world. We are familiar with the good works of Mayor Richard Lee of New Haven, and of Mayor David Lawrence of Pittsburgh. There are many others. Mayors, County Judges, Governors, Senators, Representatives, and our President who provide intelligent, sensitive, and when necessary, courageous leadership. Unfortunately, almost every American community is familiar with the type of elected official who contributes to social ugliness by his greed and his lack of integrity, intelligence or concern for his community. Perhaps the official buys up choice land around the interstate highway interchanges and then depends upon his political influence to have the property rezoned profitably for business, in spite of the objections of residents of adjacent subdivisions and in spite of the objection of the professional planning staff. Or a Mayor who replaces a qualified planning commission member with a real estate developer who thinks that planning is theoretical foolishness and that zone changes should almost always be granted. All of us are acquainted with local officials of this ilk. Who is to blame? We are, of course, for permitting their election, for permitting them to attain positions which give them such an excellent opportunity to despoil our cities and our counties. We should strive to establish a continuing tradition of strong competition among our most competent citizens for each elected office in our communities. Only with such a tradition can we really strive for excellence in every facet of local government. To reverse the tide of social ugliness we need vigorous and intelligent political leaders who can mobilize the support of our citizens for good planning, for proper zoning administration, for the actions and programs so urgently needed to preserve what is yet unspoiled of our beautiful country. A revolutionary change has happened to our lives and our communities in the memories of most of us. I have picked the year 1949 for the watershed date of this great change, for that was the year that the National Housing Act was passed. Since that date, the word "ought" has been injected into our professional lives at every turn. In London, the Germans conveniently knocked out the neighborhood around St. Paul's, and for the first time since Christopher Wren built the place, Englishmen could stand blocks away and see that magnificent structure. In their wisdom, the London City Council decided that the building "ought" to be preserved with the open space around it, that no one "ought" to be allowed to build in the view. So that today, you and I as tourists can go and stand in front of a beautiful garden and see this great building as no Englishmen saw it for 400 years. In Pittsburgh, the City Council in their wisdom decided that the point where the Monongahela and Alleghany Rivers come together "ought" to be divested of its warehouses and old, rundown commercial slums and "ought" to become a new national park. In Washington, on the Ship Channel, the redevelopment commission of that community decided that the Ship Channel edges, which for years had been given over to shrimp boats and commercial fishing "ought" to be returned to the public. Today under that redevelopment plan, a magnificent transformation is taking place with a new public promenade by Cloothiel Smith, and many other wonderful facilities. The word "ought" is the key word. I, perhaps in common with many of you here, grew up in what are sometime laughingly called the "remnants of the Puritan tradition"—in which the word "ought" meant a good bit. Most of our lives are governed by some form or some collection of "oughts." And I believe that we "ought" to leave the world a better place than it was when we found it. I think that this pervasive idea is the key of what I understand to be the AIA's concern with aesthetic responsibility. Now in the past, architects, planners, and newspapermen, as three somewhat loosely related groups, have had little to do with what actually happened to their cities. These three professions in many ways have been peripheral to the power which has changed our world. The major economic and political decisions have not been made by professional planners, architects or newspapermen. They may be made by people who own newspapermen or who control planners or architects, but this is changing. And I think the injection of the word "ought" into our political-economic process is responsible for this. Let me give just three brief examples. The first is San Francisco, where the city's Redevelopment Commission has been run by a man with an understanding of aesthetic policy, and the Commission has been chairmanship by a local businessman with a tremendous concern for how his community looks. That Redevelopment Commission has a policy that is an aesthetic policy. It brings the question of whether what is proposed for that city is spook-checking or not into the marketplace of discussion and into the marketplace of ideas. And so, they have had architectural competitions, they have had architectural juries, and they have injected ideals of quality into their day-to-day political decisions. In contrast, in Louisville, my home city and a city that I think is typical of many, the redevelopment plan has no design policy. It is a land-use plan, and with the exception of a few setback restrictions, there are no design goals in this policy. This is, I think, a policy that is bereft of one of the major supports that it might have in gaining public support. The third item is Wisconsin. A week ago I covered a meeting, and later met Senator Gaylord Nelson of Wisconsin. They have set up a $500 million comprehensive long-range plan for the development of the natural resources of that State. They get a billion dollars a year from us tourists—and only a half billion dollars from taxes. This is not the dairy state that we used to think it was. They have discovered that they have assets that are worth billions to them—so-called environmental corridors. They hired a team of landscape architects, ecologists, and others, to map the entire state and find out what are the qualities that bring Kentuckians there for summer or what keeps Wisconsonians there spending money and enjoying recreation out-of-doors. The landscape architectural report is now a part of the State policy, and they are buying 2,000 miles of scenic easements to protect some of these open, wonderful qualities along the rivers and along the ridges that make this a distinctive landscape. Now, it seems to me that each of these cases is a perfect marriage of power and aesthetic goals—and like all marriages, something less than perfect. Neither one is worth a hoot without the other. Now, who is responsible for ugliness? It's easy to say "Shucks, we're all responsible, and I ought to go home and LONG DISTANCE... QUICKEST WAY TO MOST ANYWHERE! INDIANA BELL TELEPHONE COMPANY Fabricators of Structural Steel for Buildings and Bridges CENTRAL STATES BRIDGE and STRUCTURAL CO. ME 9-4533 601 BEECHER ST. Indianapolis J. L. 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And I’m not talking about the press as something off by itself, but as a living part of the community, and a part that has to live every day with the support of that community. Even though I work for a monopoly newspaper it would go pretty quickly if it did not enjoy the support and backing of those citizens. And if you think you have a good or bad newspaper in your town, my main advice is that they can be convinced that aesthetic goals—a concern with the looks of one’s community—are a valid goal for that newspaper as well as for the political structure of that community. Now we in the newspapers have a great failing: We believe in the fait accompli. If something is built, “it must be good, because somebody invested in it.” But that, as you go from one community to the next, you will find that there are very few editorial writers who have the courage, or even the knowledge, to suggest that the newest bank building in town was built in the wrong place, that it fits not with its neighbors, and that it represents a design tradition that is thirty years behind its time. Now this, I think, takes the same kind of courage that it takes to attack a political opponent who might do you great harm. And yet it is this recognition of environment that I think is up to the newspapers, and up to a far greater collection of groups in your town and mine than now practice it. Now we in the press very often forget that the most important decisions are made long before buildings are built. I met John D. Parkin, an architect of Toronto, the other day, and he told me that the Toronto “Star and Mail” published a long and vigorous criticism about three weeks ago of the new city hall. Among other things, this critic raised the question “What will it look like from the back?” Those of you who remember the huge semi-circular building with the round convention hall in the center will agree these are dramatic, striking buildings. Well, it just happens that the design was chosen as the result of a competition, and the jury handed in its decision on September 22nd, 1958. So, the essence of newspapering, the essence of journalism, being timely, the time for you, as architects, to suggest to newspapers that they take a campaign for or against a certain aesthetic goal is at the time the cards are being stacked—when the decisions are being piled one on top of the other in the committee rooms before contracts are let, long before the decisions are finalized. And that also means long before the public hearings. Public hearings, in my experience, are a ritual we go through to ratify decisions that have been made long ago in private. And if this sounds cynical, just think of the public hearing that you yourself know or have watched. My point is that aesthetic decisions are susceptible to all the pressures and all the economic forces of the community, and should be so treated. Now, very few architects, or businessmen for that matter, like to discuss what they are going to do before they do it. A friend of mine once interviewed Corbusier on Chandigarh for a profile in the NEW YORKER. Corbusier said that he was quite reluctant to discuss many of the details of the plan, and my friend, Christopher Rand, decided that this great man did not want to expose his great design to “premature veto.” This is very understandable, but when you as an architect, you as a businessman, are dealing with the future shape of a community of a 100,000, or a half million, or whatever, then there is no such thing as premature veto. And so I would urge that all preliminary plans be publicised to to the fullest so that they get out into the marketplace of discussion, so that the average citizen will begin to be familiar with the plans and what those plans are going to do to him five years from now—whether these plans be for highways, urban redevelopment projects, new churches, public buildings, or whatever. I would end my remarks by saying that it is possible to write design and quality into the specifications of our communities. One of the funny things that is happening is that more and more decisions that used to be left up to the marketplace or up to God, or up to nature, or up to something way out there are actually being “handled” every day. Now we may not like this, but decisions are being rationalized. People, committees, mortgage committees (who sometime have a tremendous influence on how our communities will look five years from now), are making formal decisions in writing, usually though sometimes not in writing, that will affect the way not only your community and mine will work, but look five years from today. I call these occasions “pressure points in urban design.” Every one of these small decisions, whether by the mayor’s sub-committee of an advisory committee or urban renewal, or by a building committee of a major downtown church, or by an informal advisory committee—you can name a thousand committees—each one of these decisions are affecting the way our communities are going to look. And so I would urge that this group do everything you can to put good design on the agenda of these communities, and then to see that it comes into the full light of public discussion. I have enough confidence in the democratic process to believe that once it is fed into the marketplace of public discussion, the public will begin to get the idea that they can have an influence over their environment, they will begin to loose this dreadful apathy—the social scientists call it among us the feeling of being lost and unable to influence one’s environment—which is one of the greatest kinds of hopelessness I know. Once, as architects, you businessmen feed these ideas into public discussion, I have enough confidence in the democratic process to believe that these ideas will in fact and in truth begin to result in better looking buildings and a better looking environment for us all. 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WA 6-3351 Acousti-Seal operable walls 51-STC* . . . a better sound barrier than an 8" concrete block wall *For full details and test data, call WILSON-PARTENHEIMER, INC. 2818 E. 55th Place Indianapolis • Clifford 1-4541 or OLD FORT SUPPLY CO., INC. 2013 South Anthony Street Ft. Wayne • A-6425 Here's how easily Acousti-Seal operates! The discussion area in the background quickly converts to a private classroom with Acoustic-Seal operable walls. Panels are connected in pairs. Center suspension and floor guides assure balanced, drag-free travel. When panels are in position, a simple turn of the lever "squeezes" the entire wall to lock panels into place. There are certain professions which can be classified as form-producing; these range from engineering through architecture to some aspects of design and into the art of sculpture. All these professions affect our lives visually as well as physically, altering the landscape for better or worse. The form-producing professions have in common the use of Nature's materials and Nature's functional laws. These professions are beneficial to mankind to the degree of their comprehension and use of these laws in the circumstance of specific human development. Aesthetic attraction is a natural function of Nature, but is difficult to grasp unless it is given its due importance with the other aspects of Nature's creative forces. The United States has grown large under the framework of our constitutional system (and by the grace of a rich and fertile continent), but it has expanded in a quantitative sense at the expense of any consideration for general aesthetic quality, and there can be no growth in this all-important direction unless the form-producing professions face their mutual aesthetic responsibilities. These professions are the organs of expression of our Nation and the system under which we function. Our aesthetic condition is not just a matter that affects those within our borders, but it is also a matter of interest to those outside our land who would measure and evaluate the full worth of our system. So aesthetic responsibility is much more than a mere slogan... it is the vital concern of a maturing nation. The late Frank Lloyd Wright and other form-builders have often used the term, "organic," in describing important aesthetic concepts. It is a particularly apt word to keep in mind when discussing form concepts that relate to the human environment. It is a word that embodies "the living, that indicates an oneness, a unity with nature. It seems a most useful key to finding a more meaningful approach to aesthetic standards for our age, for to really determine what our aesthetic scale of values should be, we should be able to gauge the effect and importance of created forms on the individual and community organism. Our concept of the organic signifies "livingness," but as there are all degrees of living, it will do us no harm to set our standards high, to try for the best possible situations, the healthiest, the most pleasurable. For if there is any value at all in our scientific and technological advances, that value should be reflected in a more joyous and well-ordered life. Aesthetics have very much to do with making us happy, not in a shallow or trivial way but in the sense of the deepest affections. The aesthetic measuring stick—the living human organism—tells us what is good or bad if one can attune one's intellect to its most subtle reactions. As long as one can conceive of man as a unified expression of Nature, dependent on, and interacting with, the natural environment of atmosphere, earth and the living plants and creatures, our understanding will have an aesthetically sound basis. But once reasoning departs from contact with the environment which nurtures life, aesthetic reasoning becomes distorted and often deadly. But to give the example of the reasonableness and naturalness of the organic approach to aesthetics, let us analyze three different entities from our environment, using the human organism as our monitor. First, let us examine a man-made object of rather great significance to modern civilization—an electrical generator. This object would have no meaning if it did not function according to the larger laws of cosmic energy for the lesser but still important objectives of mankind. We channelize and use cosmic energy through the man-created form of the electrical generator. The generator itself may have some interest as a form (as does everything under the sun), but it is an object of subservience and secondary beauty which is measured by the quantity of produced energy and the quality (maintaining factor) of the chemistry. All of this may seem to give a sense of aesthetic satisfaction to engineers who are closely concerned with generators, but this is a very esoteric and misplaced avenue to aesthetic fulfillment if taken as a sole source. The vast majority of the public is more or less indifferent to the delights of the generator, as it is cut off from the generator's deeper meanings by several layers of social insulation. The fullest significance of the generator really can only be felt by an electric light bulb, an electric motor, or an electronic circuit. The sophisticated human organism shuns all manner of body contact with either the generator or its product, and reserves its appreciation to circumspect appeal of its services. Let us proceed to our next object. For our second analysis, let us examine the ever-popular apple tree. Aside from the famous medical properties of the fruit and the mythic possibility that we all might be living at our ease in the Garden of Eden if Eve had not taken her historic bite, the apple tree bears a certain aesthetic impact for us which transcends all the trite or banal things we might say about it. There is a much greater sense of intimacy with it than with the electrical generator; with it there is a much larger scope for identification and appreciation. It can affect our senses directly in many ways: It lives, it dies, it branches out into space, it reacts to cold or warmth, sends out roots for security and nourishment, and bears fruit for the self-perpetuation of its kind. When we look at it, we see, bend and give. The roots and branches are as veins and nerve systems; the trunk, a torso; the branches, arms. It is a shelter with arches and columns. We can touch it with hand or eye, and consume the fruit it bears. Above all, we know that for reasons of its own, the apple tree survives by an intent to attract. It gives us a gift for coming to it. Finally let us analyze the aesthetic impact of the human being himself. As form producing professionals who work for personal survival as well as for the betterment of human society, we must understand the aesthetic values which are inherently part of man's own fibre as well as in the various relationships of mankind. Marriage, birth and friendship, love, work and knowledge—all these dwell within the human form and are capacities held in this living form. The human form is a high expression of Nature's laws, a masterpiece of vast aesthetic depth. For us, there is no greater identification or interchange than between our own kind. What is most beautiful and worthwhile to us is the human. It is self-perception and the perception of those around us, their forms and movements, that touch us most deeply. As we depart farther away from the human and living, we find that the intensity of aesthetic appeal of other forms lessens. The form-producing professions have had, during various periods in the past, a much greater aesthetic sense than they possess today. There have been much closer to Nature than we are today. This, of course, is not said to decrie the important new gains that have been made for these professions in the increase of scientific and technical knowledge. These gains are like all knowledge—a two-edged sword that can destroy the bearer. These new gains have, through misuse, in many ways separated us from the living vitality of Nature and have insulated us from life. Aesthetically, one of the chief effects of this has been the overwhelming over-use of the harsh, unsoftened, geometrical form. We have entrapped ourselves in a labyrinth of soul-less squares and rectangles. Unlike the shapes of organisms, which are full of living significance, these geometrical forms are impossible to identify with, as these forms are the structural patterns of inorganic matter. These forms exist only in non-living Nature. The human production and use of these forms in our environment stems from several causes. The cause of major significance today is the standardization in the production of so many basic materials and the resulting type of logic which rationalizes that what is cheapest is best. The form-creator has been conditioned, from childhood to a certain kind of thinking, that pure geometry is the only enabling Tinker-Toys and Erector-Sets. By the time a young man is ready to enter the form-producing professions, he can adapt quite readily to the limited, multiple-choice aesthetics of the lumber yard, the steel industry, and the trade-union craftsman who has dismembered himself of his past craftsmanship. The capacity of the human organism to achieve a highly selective sense of aesthetics is very great, but the aesthetic sense is the most vulnerable of all human capacities. It is easily damaged; it is easily crushed; it is easily killed. It is being crushed and maimed in our people today through the miserable rationalization that something is being saved by the erection of ugly and barren geometrical shapes in our landscape rather than well-considered flowing organic forms. All this is not intended to reject the plane surface, the square, the rectangle, or any other product of geometrical invention; it is said rather to point out how one-sided and anti-life our form concepts have become. We have become aesthetically crippled. The form-producing professions are the builders of environment, the organic reshaping and gentling of forms in our environment is their major responsibility. No building or structure, regardless of its basic utilitarian purpose, can continue to rely on the bare skeleton of structural members with the Puritan or miserly claim that these constitute a full aesthetic expression. The fully organic expression is an extra-added consideration given by the form-builder to his work for the delight of his fellow man. As in any other type of human relationship, the intent of the form-builder should be to harmonize and please. One well-designed factory in an area may be a blessing, but ten may be a curse—despite the fact that the individual buildings seem deving. For if structures are to be organic, they must relate primarily to Nature. If an area is overbuilt, the structures tend to relate to other structures until contact with Nature is totally absent. Then the only analogy one can make is that of the hive and hill or the bee-hive. Let the form-producers examine all aspects of the environmental situation for the public good. The use of the plant form, the animal shape and the human figure as a source of inspiration to the form-producing professions has a history of 30,000 years. This tradition was harshly curbed at one point in this century, perhaps due to its miss-use or over-use. But despite this, no adequate replacement or substitution has been made which fulfills the human need for these forms. In the light of this knowledge, we must resolve to reinstate their use. One thing you must realize is that bankers, by nature, usually have a low sense of aesthetic value. We're also sort of bugs on personnel testing. One of the tests we give any employment applicant concerns the explanation of values; needless to say, the first value questioned concerns economics, and the last, aesthetics. Anyone high on the qualities we look for would be low on aesthetics. This is a serious problem you face in your quest for wider aesthetic appreciation. I would like to present two personal examples. When we were about to construct a new branch bank, we told our architect we wanted a colonial bank building. He came back about a week later and told us that there was nothing colonial about us, and that the building was going to be extremely modern, and that was that. Now this is the kind of problem you face all the time with architects. But when you architects start explaining to those of us who are low on aesthetic values why and how this all makes sense, then together we are all going to start getting the job you want done. Example Number Two. I was fishing in Wisconsin last week with a friend on the Board of Trade. We were listening to news about the drought that is affecting all of this part of the country, and we were discussing it while waiting for the fish to bite. Now I would think that if you have any aesthetic values, you would be concerned that forests are burning down, that there isn't any water anywhere. But those of us with low aesthetic values thought about the problem, and decided to invest in soy beans because they are going to be pretty good in a few months. This is how people in the economic field feel — they look at the dollar sign; they just don't understand what all of you are talking about today. I can guarantee you that I never looked at an apple tree like I've heard about one today; in fact, I never thought anything about apples except the price per bushel. Nathan Hale's remark that aesthetics costs more is so true, but I also feel, as Joe Graves pointed out, that we can make aesthetics pay. There is no doubt about it, and this is what you have to sell the economic community. You have to get out and start educating the general public. For four years in Gary, we have had a Committee of 100 (which actually is a Committee of 51). We've made a lot of talk; we've had a lot of meetings; we've cleared away a lot of ground. But we're having a pretty tough time attracting new investment. Just recently have we come to the conclusion that until we get our pollution problem straightened out and until we get our political problem solved, we're not going to attract that investment. Now we're spending some money to rip some things down; we're starting to leave a little space; we're starting to solve a few problems. Maybe we're starting to appreciate what an apple tree is. But we are only fifty-one people out of 180,000. Sure, we've had tremendous articles in the newspapers, because the press is sold on our program. But I wonder just how much of this people actually read. Architects and sculptors are pretty sold on this aesthetic business, but you have to sell the average person. And our testing indicates that people are pretty low on aesthetic values and pretty high on economic values, or religious values, or some other values. I think these people want to be educated; they want to be told, to learn. But so far, we haven't done much of a job educating them as to just what's it all about. I can't do it; I'm the kind of a fellow who looks at a picture and wonders: "Now if I buy that and keep it for ten years, will I make some money with it?" You buy that picture because you like it, because you appreciate its beauty, and I envy you. But because you understand aesthetics, the problem of aesthetic responsibility initially must be thrown back in your laps. You who understand aesthetics must get out and explain it to the public. Use speakers' bureaus, seminars like this one today throughout the State, whatever you can, to take your message to the general public — educate them to appreciate the beauty in their lives; educate them to want more of it. And above all, educate them to elect those public officials who also have a deep concern for aesthetics. Beauty is more expensive, perhaps, but in the long run, it will pay. Get out and sell it. SPEAKING OF ECONOMY! TRY—STEEL STUD HOLLOW PARTITIONS OF GENUINE LATH and plaster STEEL STUD HOLLOW PARTITIONS ELIMINATE COSTLY WEIGHT • CONCEAL PIPING, GIVE BUILDINGS A CLEAN APPEARANCE WHILE SAVING VALUABLE SPACE INVESTIGATE — SPECIFY — DEMAND ECONOMICAL STEEL STUDS ON YOUR NEXT PRODUCT Lathing & Plastering Bureau of Indianapolis, Inc. P.O. Box 573, Indianapolis 6, Ind. Business Manager: WALTER J. STROUGH, 130 Winona Dr., Carmel, Ind., Victor 6-5394 REPRODUCTIONS - Blue Prints - White Prints - Autopositives - Film Reproductions - Photo Copies SUPPLIES - Slide Rules - Surveying Inst. - TwoWay Radios - Drafting Furniture - Graph Papers THE H. LIEBER CO., INC. INDIANAPOLIS ME 5-2355 ME 5-4373 Again, Architects Specify Flameless ELECTRIC HEATING Here is another example. Architects are specifying safer, cleaner, more dependable electric heating in modern schools, churches, hospitals and commercial buildings. Flameless electric heating is practical for home use, too. See us today for complete details! Central Elementary School, Clinton, Indiana. Architect: Miller, Vrydagh & Miller, Terre Haute. Completed in 1959, this modern school is heated entirely with flameless electric heat. Operating costs have been most satisfactory with safer, cleaner electric heat. PUBLIC SERVICE COMPANY OF INDIANA, INC. At the outset I should make it clear that I am not an architect, not an engineer, not a city planner. If I am anything other than an educator in the context of today's theme, I'm a consumer. But I'm a rather large consumer in the sense that each year the Educational Facilities Laboratories, Inc., of which I am President, grants $1.5 million to schools and colleges all over the country to help them with their physical problems, with their buildings and equipment, the environment, the surround. From my coign of vantage I can serve this conference best if I do only one thing, namely complain. I have two general complaints—one directed at architecture, and one directed at education. The first complaint is about where I work. Having lived in Boston suburbs for 25 years, I moved to New York to work in the center of a big city. My office is on the 23rd floor which, as floors go in Manhattan, isn't very high. But it is high enough to give me an unobstructed view of the biggest junkyard in America. To be sure the tallest buildings along Park and Madison and Fifth, present a pleasantly metallic facade; but I am not talking about them. We who live in the valley, down 23 floors, see only their sides and not their tops, and besides, these tallest buildings, particularly at night and in February, have a certain antiseptic beauty about them, these machined stalagmites which have shot up from the heap of lesser rooftops. The shock comes when you look down on the shorter buildings. What you see is a collection of planned and unplanned debris, of doghouses rampant on a field of tar, of vascular systems venting to the air and writhing on the roof in indecent exposure. Who cares what's on the top of the building—certainly not the man in the street. But at any moment in time there may be more people looking down on buildings in Manhattan than are looking up at them. It is not surprising that most photographs of the cityscape take their pictures from the street looking up the canyons or from the air at a great and hazy distance. Close up, the pictures would reveal the tarvia wastelands. Some day somebody will care about how a low-rise city building looks when it's looked down on. The ancient arrogance of designing from the street will give way to a more solid geometry, especially for those lesser buildings that live out their days in a valley. Some day we may look out from the 23rd floor and see a living city, an expanse of rooftop that nourishes the eye, that acknowledges that oxygen and chlorophyll belong in a city, that the grass and flowering shrubs—high up—can soften the glassy, brassy facelessness of these bland boxes. Some day a New York City building may have to employ a gardener, probably some Scarsdalian commuter with sickle in briefcase, who comes to town daily to tend the building's verdure. He will be in charge of the rooftop field, the ledges and setbacks to which cling the rambler rose or maybe a rocket of sunflowers from the 15th story, a hanging garden to which the seasons come and the birds without embarrassment. Who knows?—some day the Westchesterfieldian suburbanite, arriving home in the evening, may tell his family that autumn came today to Seagrams and to 666. And at that point he may suddenly rethink the reasons that caused him to defect to the suburbs in the first place. There is hope. Though the architects and the owners of these elevated junkyards go on their way, oblivious to the sensibilities of those who look down on the exposed intestines of their mechanical boxes, nature is waiting in the winds. For years I have watched one of these tarpaper villages atop a 10-story neighboring building. I can report that this year from one sooty corner a flower emerged. It struggled against its hostile asphalt environment and the dirty air through July and August, and by September you could tell from a hundred yards that nature had meant it to be a petunia. Let the architect beware. If he doesn't care, nature does. If he doesn't contrive against the money changers to design his buildings from all angles of view, if he doesn't see to it that setbacks are generous enough to fling a landscape against the city, and help to hold people to the city because it is not again hurricane, nature will. Some day autumn leaves will fall again on the city street, by design or by default. The handwriting is already on the rooftop. Secondly, it is the nature of my business that I travel from campus to campus, from school to school, listening to what educators tell me are their major physical problems. They tell me about the schoolhouse, the most public of public buildings; the public building more people care about, plan for, and decide about. Why, they ask, are so many schoolhouses lacking in beauty? It seems to me that the major reason is poor educational specifications. The educator, in a sense the client, asks the architect to give him a school that, to quote Alonzo Harriman from Maine, "would imply that the only criterion is cost per square foot." Neglected is the question of whether the building will work; will it speed the learning of children; will it be a gracious place for the young to be brought up in and to gain a feeling of what America is about and what its promise is. The educator writes something he calls specifications which are half architecture and half education. He omits the objectives that give the architect the feel of the place, that tell him what people are going to be doing there—alone and together—in what size groups and with what kinds of materials. Instead, he informs the architect that he wants glazed tile, that drinking fountains will be so high, and other matters with which he should not be concerned. He asks, in effect, for a big box filled with equal-sized little boxes called classrooms. He asks for classrooms that are essentially kitchens—hard, reverberative, utilitarian, indestructible, and antiseptic, and filled with kitchen furniture for the child—a hard ceramic vault in which—from September to June—the teacher confronts 25 children if the community is rich, 35 if it is poor, and 50 if it doesn't care. These are the educational specifications so frequently given, and because of them we are getting the schools we ask for. One of my major efforts is to try to get the educator out of architecture; to get him to describe to the architect what he wants performed in the place. Then the architect can slip an envelope around the people and the process. Conversely, I hope that some day we will get the architect out of education. Very often the architect makes educational decisions simply because nobody else is. One architect told me that he got the entire specifications for a school over the telephone from a superintendent who said, "Joe, they gave you the job last night. It's to be an 18-room elementary school with square rather than rectangular classrooms. In the preliminaries lay the classrooms out 900 square feet. When the cost estimates come in the Board will probably cut it down so we'll end up with 780 square feet. However, we can take care of that later. I want a kindergarten (a kindergarten is always one and a half times the size of a classroom; this is a rule of thumb); a library (two classrooms in size); a cafeteria that will feed the students on two shifts; an auditorium to seat one-half of the student body; and a gymnasium for basketball." These were the specifications and end of the conversation. With specifications of this sort, if the building is to have any distinction and any function the architect has to make educational decisions. The frontier in this business is education and not architecture. We must provide the architect with better educational specifications; the kind of educational specifications that are descriptive prose—not statistics about the height of drinking fountains. Another reason why we don't get beauty in our school buildings is a general cultural guilt about beauty. We permit our school buildings to stand naked (unlike the English who use the building simply as a canvas against which the shrubs bloom, giving visual protection to the building) because many school boards feel guilty about buying a tree that is taller than two feet. If you suggest that it be a full-size shrub, some calculating soul will discover that if you buy a little one and wait long enough time will make it a bargain—a bargain in which the children in the early years never shared. I am acquainted with one school system where the architect and contractor, having created a $3.5 million high school consisting of four houses around a center court, wanted to donate a piece of sculpture for the center court. The school board would have accepted the gift but in this particular community the mayor said that the taxpayers would never understand that they hadn't paid for it themselves. It would be a constant source of municipal explanation. The Board, sensing the political winds, turned down the sculpture, worth $10,000 but costing the taxpayers nothing, to be placed in the center of the $3.5 million complex that will be standing by the year 2020. The general notion that beauty is extravagant is part of a pattern of cultural guilt. If beauty costs money it doesn't necessarily follow that beauty is extravagant, but that is the general opinion held by the man in the street. A third plea that I would make to those of you who are engaged in city planning is that you tell the city planners that the city schoolhouse can be an instrument for holding middle class people in the city. The city schoolhouse that is only a masonry lump afloat on a sea of blacktop and surrounded by a hurricane fence with two basketball uprights is an evil thing. This kind of school tends to drive the mobile people—the middle class—to the suburbs. Anything you can do to get urban renewal to embrace school renewal, before the tide runs out on these central cities, will be in the public interest. The cities renew their highways, their housing, their harbors, yet they leave their schoolhouses sitting there in an advanced state of decay and neglect. There are no comparable examples (e.g., Chicago and New Haven). In New Haven, Mayor Lee went to the school board some years ago and offered $13.5 million for new schools. (The initiative didn't come from the schools; it came right out of the Mayor's office). The renewal of that city was keyed around the renewal of the schools in the expectation that they would have strength to bring back to the city the people who had defected to the suburbs. I have listened this morning to this wonderfully instructive panel. As the last speaker I suggest that a summary has been written for all six of us by John Kenneth Galbraith in his "Affluent Society," when he argues for potency in the building (and rebuilding) of our towns and cities. He says, speaking of the typical public building: "They (these buildings) serve their purposes but no one ever points to them with pride or indeed with any other recognizable emotion. The same box-like, glass and stainless steel austerity characterizes our hospitals, public garages, police stations, and quite a lot of our public housing. Only in our airports and occasionally in our schools do we show signs of letting ourselves go—of doing something that flatters the public eye and nourishes the community pride. "We act efficient," he goes on to say, "when we maximize the product of a given expenditure or when we adopt the expenditure which maximizes the product. Beauty and elegance and the pleasure that they provide must be counted as part of the product. We are being inefficient if by false economy we deny the community pleasure and pride in its achievement . . . Those who are unwilling to pay for beauty and some elegance and those who profit from community squalor will say that these standards are too precious. But those who say we cannot concern ourselves with aesthetic goals are wrong and I believe dead wrong. These are the natural next concern as people master their economic problems." NEW classic tapered aluminum post 149-S. Sculptured pattern shown. Available with a plain surface or inlaid natural wood. 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New Castle Town Council Meeting Tuesday, June 7, 2016, 6:00 p.m. Call to Order Mayor A Riddle called the meeting to order at 6:00 p.m. Pledge of Allegiance Roll Call Present Councilor Metzger Councilor Hazelton Mayor A Riddle Councilor Leland Councilor G Riddle Councilor Owens (at 7:55 p.m. after being sworn in) Absent Councilor Breslin Also present at the meeting were Town Administrator Tom Baker, Town Clerk Melody Harrison, Town Planner Tim Cain and members of the public. Meeting Notice Town Clerk Melody Harrison verified that her office gave notice of the meeting in accordance with Resolution TC-2016-1. Conflicts of Interest Councilor G Riddle stated that he would be presenting the First Baptist Church item therefore had a conflict. The council agreed. Agenda Changes Administrator Baker asked to have the finance committee removed from the agenda because the finance documents were in the consent agenda. The council agreed. Clerk Harrison asked for the May 17 meeting minutes to be removed from the consent agenda because they were not complete. The council agreed. Citizen Comments on Items not on the Agenda There were no citizen comments. Consultant Reports Consultant Attorney – not present Consultant Engineer – not present Consider Letter of Interest from Susan Ruggles for Appointment to Seat on Planning & Zoning Commission Ms. Ruggles told the council that she felt inspired to serve her community, and that she loved New Castle. She had forty years of experience with the administration of different projects. Ms. Ruggles had lived in New Castle for two years, was the vice president of the Lion’s Club, and was involved with the Liberty Park Project and the Downtown Group. She said she moved to Colorado from Manhattan, New York, to be near her daughter and granddaughter. Councilor Leland asked if she had attended any planning & zoning meetings. Ms. Ruggles said that she had attended one, and found it interesting and an important position as well as an opportunity to help the town. She said she felt she could provide good input. Councilor Leland agreed that it was an important position, and that the council depended on P&Z. Mayor A Riddle said that P&Z had gone several years without much on the agendas because of the economic downturn, but said it seemed to be picking back up. He was glad Ms. Ruggles was interested. MOTION: Councilor Metzger made a motion to appoint Susan Ruggles to the Planning & Zoning Commission. Councilor Hazelton seconded the motion and it passed unanimously. Mayor A Riddle thanked each of the applicants for their interest in serving on the town council, and said that he was impressed with the experience they each brought. He said being on the town council was very important. He noted that it was a significant time commitment to be on the council. More than just two meetings per month, there were also committees and commissions. He said the council encouraged participation in the community at events so they could get to know the citizens they would be representing. Mayor A Riddle said that each applicant would have five minutes to tell the council about himself. The council would then have an opportunity to ask questions of the applicant. After each applicant has had a chance to speak, the council would take a vote in which each councilor would vote for two separate candidates. The two candidates with the most votes will go to a second vote where the council will vote once. The candidate with the majority of votes will win. He clarified that a majority meant three votes. Consider Letter of Interest from Jerry Touslee for Appointment to Seat on Town Council Mr. Touslee thanked the council for the opportunity to interview. He said he had submitted his letter of interest for two reasons: the first was because he wanted to be a help to New Castle. He said over the previous two years that he had tried to immerse himself in the community and volunteer where he could while learning about the community. He said it was important to understand the community. The second reason he applied was that he felt he had a lot to offer New Castle, with his many years of marketing experience. He felt he approached everything from a marketing perspective, and he saw that New Castle had huge potential and a story. to tell. He felt there was work to be done to get New Castle where they wanted to go and he felt he could lend his marketing expertise to that effort. Councilor G Riddle asked what Mr. Touslee felt the ‘work to be done’ was, and what he saw as the low-hanging fruit; the very attainable stuff that he would like to see the town pursue. Mr. Touslee said that a visual identity was the first thing. The flow and overall appearance of the town as well as the historical perspective. He said there were people that knew there was a four-way stop in New Castle, and some of the retail, so there was an awareness of a location, but not of the town itself. He felt there was work to be done creating a consistency in the flow of the town but not necessarily a lot of work because there was already many good assets in town. Councilor Hazelton asked how long Mr. Touslee had lived in town. Mr. Touslee said he and his wife had moved from Ft. Collins in December 2013. Mayor A Riddle asked if Mr. Touslee had any problems with the time commitment, and Mr. Touslee said it was a matter of planning. He said that although he had a full-time job, he worked from home. He said he traveled some, but he could construct his schedule around the council meetings. He said he did not anticipate any problems. Mayor A Riddle asked what the mission of the Downtown Group was. Mr. Touslee said it had started before his time, but he understood it was for the beautification of the downtown. He believed it had started cleaning up the downtown, and bringing some colors and flowers to the downtown area, but it had grown to include how more people could be drawn into the downtown area. The Group had become involved in events and were working on the Museum on the Streets project. Mayor A Riddle asked how the Downtown Group’s relationship was with the Chamber of Commerce. Mr. Touslee said he did not feel the relationship was terribly strong, but that it was growing. Consider Letter of Interest from Randy Fricke for Appointment to Seat on Town Council Mr. Fricke greeted the council and thanked them for the opportunity to speak with them. He said he had lived in New Castle for approximately eight years and found it to be a great community with great people. He said he saw potential for New Castle to many great things. Mr. Fricke said had a variety of experience on a variety of boards and commissions, marketing, industrial development, renewable energy and a few others. He said his focus for New Castle was jobs. He thought companies such as banks or insurance companies could be brought in to explore the potentials. He felt he had a strength to go after those companies and was willing to step up and lead the effort. Mr. Fricke said his concern was to get the people of New Castle back to work and to build a commercial and light industrial base for New Castle. Councilor Leland asked if he had experience in building an industrial base. He also asked how Mr. Fricke proposed to attract industry to New Castle. Mr. Fricke said that his experience was in renewable energy, and that New Castle had potential for that. He thought the town could move towards a greener, renewable economy. He felt renewable energy was the future and it warranted consideration. Mr. Fricke thought that the people of New Castle would be a good selling point to potential partners. He said there were hundreds of people who left town to go to work, and he thought keeping people in town for work was important. Councilor G Riddle asked what Mr. Fricke saw as the first barrier to bringing business or companies into New Castle. Mr. Fricke felt a planned approach was important as well as marketing. Councilor Metzger asked where Mr. Fricke thought the light industrial might be located, and Mr. Fricke felt that the Kuersten property was a good location as well as other commercial that should be explored. Councilor Metzger asked if he had specific companies in mind. Mr. Fricke said he could not name any because it could create too much excitement, but the ones he knew were in the renewable energy field. Councilor Metzger asked what Mr. Fricke would be willing to do to assist the town if he was not selected for the council seat. Mr. Fricke said he could certainly develop a plan and a list of companies to approach. Mayor A Riddle asked if Mr. Fricke had any concerns regarding the time commitment to council and committee meetings, or engaging with the citizens. Mr. Fricke said his goal was to give one hundred percent to the council position. He said he had no time constraints. Consider Letter of Interest from Brad Gates for Appointment to Seat on Town Council Mr. Gates greeted the council. He said he felt that there were many things facing New Castle. One was attainable housing for young people and families as well as seniors. He also felt it was important to have commercial buildings, because if there was nowhere for business to go, attracting them did not matter. Mr. Gates thought the council should take unconventional approaches to what the town could do. Mr. Gates said that recreation was number one in the marketing study. The trails piece was something that took him a while to understand, but it was a valuable asset. The people that come for trails will buy meals and possibly rooms. Pickle ball was something that had been discussed at the CVR HOA, and although it was hard to gauge the demand, it appeared that New Castle was on a precipice and the town either was going to get involved or was going to be passed by. Mr. Gates reiterated that New Castle needed attainable housing. One of the things Mr. Gates felt that he had learned by being on the HOA was that it took time. Someone had to put in the time, because the payoff was amazing. Mr. Gates said that he was excited at the opportunity to join the council, and that he was excited about the two new council members. He said he saw shift in the council and he felt he would fit in with that change. Mayor A Riddle asked if there would be any issues with being on both the Castle Valley HOA and the town council, and if Mr. Gates would be able to handle both jobs. Mr. Gates said it would not be a problem, but he thought there was a perceived conflict if he took the council seat and maintained the position on the HOA. He felt it would probably be best to resign the HOA position. Mayor A Riddle said that the potential conflict could be discussed with the town attorney. Councilor Hazelton said he agreed that the issue would have to be addressed. Mr. Gates said he felt like he had reached the majority of his goals in regard to the HOA, and had only one more item to resolve with them which was pickle ball. He felt he could approach it from either side, but he would not leave the HOA in a bad position. Councilor Leland asked what he had accomplished with the HOA. Mr. Gates said a lot of the accomplishment was finances. Once they understood where the accounts stood, they were able to identify projects within the subdivision such as landscaping. They were also able to begin enforcing the covenants, which had been designed to have the HOA maintain control of the streets. The covenants and town code did not always work together, and Mr. Gates felt he had built good relationships with the town staff and CVR residents to manage the issues. He said he had learned a lot being on the HOA and from Administrator Baker on how to work with people. Councilor G Riddle said that should something come up, and the CVR residents turned to the HOA, Mr. Gates sitting on both board could present a real issue. Mr. Gates said he would not allow a conflict such as that to happen. Consider Letter of Interest from Scott M. Owens for Appointment to Seat on Town Council Mr. Owens thanks the council for considering his letter of interest, and Mr. Gates for his great ideas. Mr. Owens said he felt inclined to apply for the council seat because he really loved New Castle. He said he grew up in Michigan, and moved to New Castle in 2007 right before the recession hit. He said at that time he experienced a job loss and almost lost his home. The community and people came together and that was a wonderful thing, and he was glad to be in New Castle. Mr. Owens said he really wanted to get involved with the town. He had two young daughters he will raise in New Castle and he wants to be a part of that future. Mr. Owens told the council that he highly valued safety and education and family values. As New Castle grew and evolved, he wanted to maintain the historical characteristics and cultural identity of the town. There was a lot of talk about what the town’s vision and direction was, and felt that the first step was to evaluate the town’s current assets. He believed that the Lakota Clubhouse was a huge asset that will bring more tourism. He believed the trails progress, and the promotion of health and wellness and recreation as the New Castle culture was an asset and would bring people to town. New Castle being founded in 1888, the historical value of that and the beautiful historical buildings in town were a tremendous asset to be proud of and promote. Mr. Owens felt New Castle was a true blue Colorado town, the very feel people wanted when they visited. Mr. Owens said he did not have a set agenda. He said he read in the newspaper in January that Garfield County was the fastest growing county in Colorado and was expected to reach 108,000 residents by 2040. That would be an 85 percent increase in population. He asked how New Castle was preparing for that, what were the thoughts and vision of the council and people. He felt those were challenges to consider. He wanted the town to evolve responsibly, without losing the culture or identity of New Castle, while remaining sustainable. Councilor G Riddle asked Mr. Owens what he felt was the low-hanging fruit regarding the sustainability issue was, what the town should pursue first. Mr. Owens felt it lay with recreation. Getting the clubhouse built, expanding the trails system. He also felt that the number one marketing tool was word of mouth. People experienced what New Castle had to offer, and told others, and wanted to return. He also said that education was key, and felt that the schools in New Castle were tremendous and worth promoting. Councilor Hazelton noted the Mr. Owens had lived in both Castle Valley and Lakota, and he asked what his knowledge was with those residents’ experience with the downtown. He said it seemed that many people exited I-70, went directly to Lakota or Castle Valley, and did not understand the downtown. Mr. Owens said he had not developed a concrete opinion, but many people in Lakota and Castle Valley that he knew frequented downtown, but he agreed that there could be more. Mr. Owens felt that with the construction in Glenwood, more people would be staying home rather than going elsewhere for dinner, and he felt it was important to advertise the great businesses in town. Councilor Metzger asked how the residents in Lakota felt about the clubhouse project having stopped. Mr. Owens said that it had stopped, but there was a new contractor on the job and it was moving again. Councilor Leland asked if Mr. Owens felt that any of his employment experience would be valuable as a councilor. Mr. Owens said he was employed as the Director of Human Resources for Mountain Family Health, and the skills for that position were most translatable to a council seat. He said that active listening, listening to feedback from all the employees and then taking that to the decision makers who would determine an outcome based on policy and laws. He felt that the same applied to the residents and council. Councilor Leland asked what clinics Mr. Owens had under his authority, and Mr. Owens said he had them all from Rifle, Edwards, Glenwood, Basalt and one in Avon very soon. He traveled to them all, but he would have no time constraints, particularly because he had hired some who would do most the travel. Mayor A Riddle asked how many employees Mountain Family had and Mr. Owens said there were 147. Mayor A Riddle asked about the time commitment for committees and commissions and events. Mr. Owens said that he had his wife had studied it and felt that it was something he could do. The council thanked Mr. Owens. Consider Letter of Interest from Susan Barstow for Appointment to Seat on Town Council – Withdrawn June 6, 2016 Consider Letter of Interest from Denise Scheberle for Appointment to Seat on Town Council – Withdrawn June 7, 2016 Mayor A Riddle explained the voting process: The first ballot vote required each councilor to vote for two different individuals. The resulting two winners would then go to a second vote where each councilor voted for one individual. The person with the majority of votes would be considered for appointment to the vacant council seat. Clerk Harrison passed out ballots to each councilor that had the councilors’ name on it as well as all four candidates. The council voted their ballots and returned them to Clerk Harrison. Clerk Harrison read the results: Jerry Touslee – one vote. Randy Fricke – one vote. Brad Gates – four votes. Scott Owens – four votes. Clerk Harrison passed out ballots to each councilor that had the councilor’s name on it. The council voted their ballots and returned them to Clerk Harrison. Mayor A Riddle told the candidates that regardless of the outcome of the vote, all of them were impressive. Clerk Harrison read the results: Brad Gates – one vote. Scott Owens – four votes. Consider Motion to Appoint Citizen to Vacant Council Seat MOTION: Councilor Leland made a motion to appoint Scott Owens to the vacant council seat, serving the remainder of the term until April 2018. Mayor A Riddle seconded the motion and it passed unanimously. Oath of Office – Town Councilor Clerk Harrison swore in the newly elected member of the town council: Scott Owens. Because the representatives from First Baptist Church had not arrived, the council agreed to move the Marketing item ahead. Marketing Plan – Next Steps Administrator Baker began the discussion by telling the council that he expected the marketing discussion would span several meetings, and said that it would come back to the council on July 5, 2016. Administrator Baker briefed the council on the history of the marketing plan. He recalled former Mayor Bob Gordon’s idea of “Expose New Castle” which was a way to share all the outdoor recreation opportunities available in New Castle. The first piece was a new website that included tourism and government. The website was complete in early 2015 with a great deal of help from Councilor Leland. After that, a small committee was formed, and the committee interviewed marketing firms. Linda Hill, of Hill Aevium, and Jeanette Darnauer of the Darnauer Group were selected for the team. In an effort to increase interest in New Castle and to develop an economic base, the council had done a one-year exploration of the Kuersten property and a Wellness Campus. Without an investment partner, the town would not be able to take on the financial burden of the project. Administrator Baker said that trails had not been contemplated in the marketing plan, because at the time the marketing study was done, the value and need for soft trails was not really understood, otherwise marketing goals and strategies could have been added to the marketing pan. Administrator Baker said that he wanted to talk with the council about the next step, what should be done for the next eighteen months. It will help with the 2017 budget preparation, and will help with 2016 expenditures. Indicating documents that were on display, Administrator Baker said the council had copies in their packet, and that he wanted to talk through a couple goals at a time. He said that he was looking for a discussion that would help him understand how the council saw the listed goals. Administrator Baker said that at the July 5 meeting he would bring them a beginning outline for the next eighteen months based on the conversation. Goal 1 was to continue the vision plan for Main Street New Castle. The first strategy was to identify a master plan that would pay tribute to the history of the area and address parking, pocket parks, cottage business mix and signage. Administrator Baker said he felt Main Street was the town’s focal point. He noted that the streetscape project would be complete within a few weeks, and that had been a long-term goal of the council. Another item related to Main Street may be bike lanes or parking issues. The second strategy was to clean up the downtown, embrace, and enhance those businesses that may not have an optimum storefront. The cleaning up had a particular emphasis on the view from the railroad and interstate as well as the entrances to town. Councilor G Riddle said he felt that Main Street was in good shape with streetscape, and clean-ups and new paint and flowers. He felt it was time to get the history out on the street to tell New Castle’s Story. Councilor Leland said he liked the master plan idea. He felt that most of the downtown efforts, excluding streetscape, had been randomly done, with no prioritized, master plan. Councilor Leland felt that the Downtown Group would be the natural leaders. Councilor Hazelton said that he felt the council should be sensitive to the downtown business owners. He said that certain names seemed to come up often, and they were people who were long-time residents and business owners. Administrator Baker said he understood that there should be sensitivity to the people who got the town where it was. If the town was going to tell its story, the long-time business owners and residents needed to be part of the story. The third strategy was to identify additional infrastructure opportunities. Administrator Baker said that Goal 2 was to improve directional signage throughout New Castle. Administrator Baker said that recently, public works had installed trail signs, and each sign included maps that related the trail to the larger trail system in town. With the Museum on the Streets signs, it would add interest and quality to the town. The marketing team said that way-finding signs would be a good idea, and Administrator Baker said it was more complicated than he realized, but way-finding signs were something that could be done in the sort-term as well. Councilor Owens felt that lighting on the C Avenue Trail would be good. Administrator Baker said another issue brought up was that from the Hwy. 6 and Castle Valley Boulevard intersection, the view west appeared as though it was going back to a rural area rather than the downtown because there was no development visible. Lighting from the intersection to the west would improve vehicular traffic into downtown. Mayor A Riddle thought it may be a good idea to find out what the lighting would be for the park and ride, and follow that scheme. Mayor A Riddle suspended the discussion. Councilor G Riddle recused himself and sat in the audience with the applicant for First Baptist Church. Recess the Town Council meeting, convene as the Board of Zoning Adjustment Town Council Meeting Tuesday, June 7, 2016 MOTION: Councilor Leland made a motion to recess the town council meeting and to convene the Board of Zoning Adjustment. Mayor A Riddle seconded the motion and it passed unanimously. Consider Resolution BZ-2016-1, a Resolution of the Board of Zoning Adjustment of the Town of New Castle Approving a Rear Yard Setback Variance Request from the First Baptist Church Town Planner Tim Cain described the two variances that were part of the conditional use permit application. The applicant was requesting a variance to encroach 4.77 feet in to the rear setback on the northeastern part of the lot. The property adjacent was open space owned by the Town of New Castle. The intent of the building setback was not to infringe upon or violate the fire code separation between buildings; therefore, fire code became a non-issue because there are no associated structures on Town Open Space. The second variance request was to allow a 6-foot separation between the old church and the new Sanctuary/Greeting Hall. R-1 zoning requires a 10-foot separation between permanent structures. The 6-foot separation will become a non-issue when the old church was demolished. Staff recommended approval of the variance application. MOTION: Councilor Leland made a motion to approve Resolution BZ-2016-1. Councilor Metzger seconded the motion and it passed unanimously. Adjourn Board of Zoning Adjustment, reconvene as Town Council MOTION: Councilor Leland made a motion to adjourn the Board of Zoning Adjustment and reconvene the town council meeting. Mayor A Riddle seconded the motion and it passed unanimously. Consider Resolution TC-2016-8, a Resolution of the New Castle Town Council Approving a Conditional Use Permit for the First Baptist Church Planner Cain described the conditional use permit application. He noted that the application was complete. The applicant proposed a phased development schedule for the construction of a new church. The timing of development will be determined by available discretionary funds. The first phase would involve the demolition of the existing garage at 190 N. 7th St. and construction of a new Sanctuary and Greeting Hall. The eventual buildout will be completed through successive phases, would remove the existing house (parsonage) and the church building while expanding the new one being built in Phase 1 as funds are available. A formal development schedule had not been determined. Construction of the project will take 6 to 9 months to complete. The Planning & Zoning Commission (P&Z) had unanimously recommended approval of the CUP. Planner Cain said that the church would also process a lot line vacation, which was an administrative action that did not require a public hearing or council approval. The lot line vacation will allow the expansion of the church on one lot, not two. The parking area northwest of the parsonage would continue to provide overflow. parking during church services and activities or events. There would be handicap, compact and regular parking spaces. Councilor Hazelton said he was a bit concerned about the volume of parking because 7th Street could be very busy. Councilor Leland said that he was concerned about the drainage under the parking lot. Engineer Graham Riddle said that an additional drywell would be installed. He thought it may an appropriate conversation to have with Public Works Director John Wenzel because the drainage issue included a town drain. Planner Cain said that the architectural requirements of the R-1 zone district were generally met, although until he saw the building permit, he was uncertain about the roofline. The conditions on the conditional use permit were standard. MOTION: Mayor A Riddle made a motion to approve Consider Resolution TC-2016-8, a Resolution of the New Castle Town Council Approving a Conditional Use Permit for the First Baptist Church. Councilor Hazelton seconded the motion and it passed unanimously. Councilor G Riddle returned to the dais. Marketing Plan – Next Steps Administrator Baker resumed the discussion at Goal #2, strategy 2, evaluate the local arts community, does it exist and can an art plan be developed over the long-term for purchase of sculptures, display areas, art on buildings, etc. Susan Ruggles described the plans for Liberty Park that included interactive, educational opportunities for kids as well as local art. Administrator Baker felt that that the public art piece would develop over time, but that Liberty Park was the effort towards strategy 2. Goal #3 was to build awareness of the Town of New Castle’s many amenities including the area’s outdoor recreation opportunities and events with the result of increasing website sessions by 25% in 2016. Administrator Baker said that the strategies related to goal #3 were one of the primary tasks the marketing group was asked to do. Administrator Baker handed out information from the marketing group on how to drive more visitors to the New Castle web page. An item to consider were the lack of local photographs on the town website. Perhaps photographs of the trails or the very active downtown could be used. Councilor Leland said that he knew there were many residents taking photos in town because they were posted to the town’s Facebook page, and were very popular. He thought it would be a good idea to find out the specifications needed for photos for the website, and to solicit the local pro and semi-pro photographers for pictures. Administrator Baker said that strategy 3 was to create an events committee. He told the council that the chamber had an events committee and were gaining some traction. He said they would have to be careful to ensure that the events were sustainable. Strategy 4 trail mapping. Administrator Baker said that the trails signs had been created by public works, and he thought they could create maps with the town’s GIS system. He said they had a good start on trails maps. Administrator Baker said that the remaining strategies on Goal 3 were about retaining the town’s oral history, and while it may not seem like a priority, the longer it was delayed, the less oral history would be available. Councilor Leland said that it would be a good idea to review the key words in the website search engine optimization to increase the town’s internet presence. Councilor Metzger said that should have already been done. Mr. Gates said he spoke to a resident who worked for a local marketing firm, and she indicated that the town’s webpage needed optimization as well, that it seemed to be lacking. The council agreed that the website needed updating very soon. The council also agreed that nurturing the relationship with the Chamber of Commerce was important. Administrator Baker said that the chamber was currently based on a community model, which included events. Once that was running well, they will add an economic committee where there could be discussions regarding business support. Goal #4 was about the town’s brand. Strategy 1 was a survey to determine the strength of the brand. Strategy 2 was a creative brief and strategy 3 was to expand outdoor recreation opportunities. The council agreed that they liked the town brand as it was, and were not certain what change may be needed. Administrator Baker and Councilor Metzger said that the word ‘authentic’ was used often in other mountain towns. The council agreed that the brand could be looked at in a few years. Goal #5 was to define the role of the town as it related to marketing the area, especially B2B environment and collaboration and resident engagement. Administrator Baker said the town had the responsibilities that would normally be chamber responsibilities. He felt it would change over time as the chamber evolved. One area of concern was whether the town events were bringing in the younger generation. Goal #6 was to continue to engage the community, especially New Castle Trails (NCT) and the Bureau of Land management (BLM), in creating an extensive network of soft trails for outdoor recreation – biking, hiking, running, walking in and around New Castle. Market New Castle as a place for active living (New Castle’s Live Well Brand) where one can bike, walk, or run out their front door and access 50 miles of trails. Attract new businesses to Main Street and the Mall that cater to an active living community. Administrator Baker said he had recently visited Fruita on Memorial weekend, and the downtown was very busy with visitors and cyclists. He felt that New Castle had a much better trail system than Fruita, but Fruita had Mesa County who had invested a lot of money, making trail connections between Grand Junction and Fruita. New Castle was already working with the BLM on formalizing the trails, which could triple the opportunities in town. There was the idea of creating an outdoor recreation guide that may be a longer-term project. The comprehensive plan would be updated, and that will include an updated trails master plan. Way-finding signs had already been discussed. The town was working with CDOT to create bike lanes on Main Street. New Castle Trails was working with Warrior Golf and CVR Investors on trail easements for BLM access. This would also create connectivity with the Jolley Trail, and it would get people up and out into the BLM Land without having to go up the Colorow Trail. The town website could reflect more about trails and local eateries and events. Councilor G Riddle felt there were many other outdoor amenities besides trails that should be kept in mind. The council and Administrator Baker discussed the various recreational opportunities in New Castle. Administrator Baker said he would like to take the feedback from the council, then create another memorandum for discussion with the council at which point they could decide how to prioritize the items. He said he would try to include resource costs to each item as well. Consent Agenda Minutes of the May 3, 2016 council meeting Minutes of the May 17, 2016 council meeting Removed by Clerk Harrison May Bills of $420,098.03 Elk Creek Mining Company Tavern Liquor License Renewal RFTA Letter of Support MOTION: Councilor Leland made a motion to approve the consent agenda. Councilor G Riddle seconded the motion and it passed unanimously. Staff Reports Town Administrator – Administrator Baker asked the council to consider dates for the retreat. He said he would send an e-mail to everyone the following day for their consideration. He passed out the outline of the town’s strategic plan that he presented to the GHFMLD board to help them understand how the grants the town had applied for were in line with the strategic plan. Administrator Baker said it was getting close to time to update the comprehensive plan. He said the streets maintenance projects would begin on Thursday. He said that the Xcel energy franchise agreement to use public lands was coming up for renewal. Part of the agreement was a 3% franchise surcharge on every bill, and that 3% came back to the town. The charter allows only five years for franchise agreements, but Xcel was asking for twenty years. They will come to council on July 5, 2016 to ask the council to voluntarily place the franchise agreement on the November ballot. Town Clerk – Clerk Harrison said that Administrative Assistant Debbie Nichols wanted to come to a council meeting to take everyone’s picture. Councilor Metzger thought everyone should wear his or her best for the pictures. Administrator Baker said that Police Chief Tony Pagni would be conducting an emergency evacuation drill at the June 21 meeting, so July may be better. Clerk Harrison said she would let the council know what meeting. Clerk Harrison said that Attorney McConaughy would conduct a council orientation class soon. Clerk Harrison said there had been a lot of conversation regarding council chambers, and she asked if the council wanted the mailboxes moved upstairs, and if they still wanted the mayor’s picture to be hung in chambers. The council agreed with both. The Community Market liquor license will come to the council on June 21. She told Councilor Owens that she would get a town e-mail address set up, and provide him with an iPad and reference materials. She said he could come in at his convenience. Town Planner – not present Public Works Director – not present Commission Reports Planning & Zoning Commission – nothing to report Historic Preservation Commission – nothing to report Climate Action Advisory Committee – nothing to report Senior Program – nothing to report RFTA – nothing to report AGNC – nothing to report GCE – Councilor Leland said the GCE annual retreat would be the following week. Council Comments Councilor Metzger told the council that the Downtown Group’s annual cleanup day would be June 13 from 1 to 3 p.m. Councilor Metzger said that she had received a complaint about the pickle ball courts going in behind Riverside Middle School, and the fact that players would be charged a fee to play. Administrator Baker said that the town charged adults for their programs and tried to subsidize children for free. He said that if the council wished, rec programs could be free. He said he would look into the issue with Director McDonald. Mayor A Riddile asked when the Sports Park would be completed. Administrator Baker said that construction would not begin until August, 2016. Councilor Metzger asked where Councilor Breslin was. Administrator Baker said Councilor Breslin was not feeling well. Clerk Harrison said that the Home Rule Charter required that the council excuse any absence, so she asked if they would send her an e-mail if they intended to be absent from a council meeting. Councilor Leland said that some years ago the council observed ‘excused’ absences, and once a councilor let Clerk Harrison know of their absence, the council could make a motion to excuse them. Administrator Baker said that the charter said that four missed meetings in a row or a 25% absence rate in one year could affect the seat. It may be a good practice to excuse absences so there would be no question, because there are good reasons to be absent. The council agreed to e-mail Clerk Harrison if they would be absent. Councilor Owens thanked the council for their support and the opportunity to be on the council. Councilor Hazelton said he would be absent from the July 5, 2016 council meeting and would send an e-mail to Clerk Harrison. Councilor Hazelton said he had attended the Colorado Water Conference and it was very interesting. He had the annual report if anyone wanted to see it, and would answer questions if he could. Councilor Hazelton asked to whom he should forward complaints. Administrator Baker said he would take the complaints. Mayor A Riddile encouraged everyone to attend the various events in town, because it was an opportunity to connect with constituents. Mayor A Riddile asked that the council be mindful of requests to staff because staff was incredibly busy with projects and events. Mayor A Riddile said that the Pyro Memorial was moving forward, and that they had received significant contributions. The memorial would be dedicated in September. Mayor A Riddile said he had been unsettled regarding the donation to LoVa Trails at the May 17 council meeting. Two council members voted no on the donation, and he felt that it would have been beneficial to everyone had those two members stated their objections during the discussion. Mayor A Riddile said that he had asked the council for comments, and he wanted everyone to make comments if they felt strongly about something. Mayor A Riddle said the Community Market will begin on July 7, and Administrative Assistant Debbie Nichols ran a lemonade stand at the market. In the past, the Mayor and several council members had volunteered their time working the stand. He passed out a schedule and asked that each council member consider volunteering if they could make the time. Clerk Harrison added that the lemonade stand proceeds helped fund the SNAP program to provide fresh produce for people on assistance. Councilor Leland said that several years ago he had been asked to write some protocols for items that were published on channel 10. He had expanded on those protocols and they would be on the consent agenda at the next meeting. Councilor G Riddle said that he appreciated staff and their help. Councilor G Riddle said that it would be a busy summer in Glenwood Springs because of the bridge project. Councilor Metzger told the council that she and Administrator Baker had been working with the senior coalition and Hilltop regarding a piece of property owned by Steve Craven. A meeting was being set up with a number of people to look at the property. Administrator Baker said that the meeting was to get social and human services in the same room as Hilltop for a discussion about senior care. MOTION: Councilor Leland made a motion to adjourn. Mayor A Riddle seconded the motion and it passed unanimously. The meeting adjourned at 9:40 p.m. Respectfully submitted, [Signature] Mayor Art Riddle Town Clerk Melody Harrison, CMC [Seal]
CARDOBAIRDIA INFLATA N.SP. FROM THE MIDDLE JURASSIC OF POLAND AND ITS TAXONOMIC POSITION WITHIN OSTRACODA Abstract.—The taxonomic position of the genus Cardobairdia van den Bold, 1960 and its importance to the systematics of Ostracoda are analyzed. The assignment of Cardobairdia to the order Podocopida Müller, 1894 (within the superfamily Healdiacea Harlton, 1933) is confirmed. Cardobairdia inflata n.sp. from the Middle Jurassic of Central Poland is described. INTRODUCTION The taxonomic position of the genus Cardobairdia van den Bold, 1960 and its importance to the systematics of Ostracoda are analyzed in the present paper. As a result of their studies on the species Cardobairdia inflata n.sp., the present writers have been able to confirm the assignment of the genus Cardobairdia to the order Podocopida Müller, 1894, suborder Metacopina Sylvester-Bradley, 1960 and superfamily Healdiacea Harlton, 1933. With a certain reservation, it has been assigned to the family Saipanellidae McKenzie, 1967. Cardobairdia inflata n.sp., described in the present paper, comes from sandy silts of the environs of Częstochowa, Central Poland. Valves of this species have been found in borings, made by the Geological Institute, at Jaworzniak, Choroń and Iwanowice Wielkie. They occur in the following ammonite zones: Bathonian \[ \begin{align} \text{Upper} & - \text{Parcecotraustes heterocostatus} \\ \text{Middle} & - \text{Morrisiceras morrisi} \\ \text{Lower} & - \text{Perisphinctes tenuiplicatus} \end{align} \] Kuiavian \[ \begin{align} \text{Upper} & - \text{Parkinsonia parkinsoni} \\ \text{Middle} & - \text{Parkinsonia compressa} \end{align} \] Ostracods, coming from the borings mentioned above and assigned to Platycopa and Podocopa (32 species representing 20 genera), have been described by Błaszyk (1967) who accurately determined the situation, lithology and stratigraphy of these borings. During the preparation of the present paper, very helpful and valuable were the remarks of Professor R. Kozłowski (Palaeozoological Institute of the Polish Academy of Sciences, Warsaw) and Docent A. Urbanek (University of Warsaw), as well as comparative materials kindly sent in by Dr. P. S. Lubimova (VNIGRI, Leningrad, USSR), and Dr. H. J. Oertli (SNPA, Pau, France). A warm gratitude and thanks are expressed to all these persons. J. Błaszyk is the author of photographs. The material described is housed at the Palaeozoological Institute of the Polish Academy of Sciences for which an abbreviation Z. Pal. is used. MATERIAL About 1000 specimens of the species Cardobairdia inflata n.sp., in this number both complete carapaces and single valves, representing both adult and juvenile individuals, were available to the present authors. A considerable number of valves are either deformed or filled with pyrite, but all characters of the external and internal morphology are clearly visible in many individuals. Both transparent, glossy, amber-coloured and opaque, mat, almost white valves occur in the material examined. Such a differentiation seems to be related to the manner of fossilization under different conditions. HISTORY OF STUDIES ON THE GENUS CARDOBAIRDIA VAN DEN BOLD, 1960 The genus Cardobairdia has been erected by van den Bold (1960) on the basis of the species C. ovata van den Bold, 1960 from the Middle Eocene of Trinidad$^1$. In the diagnosis of the genus Cardobairdia, this author emphasizes an oval shape of its carapace and larger dimensions of the left valve which — along the entire margin — overlaps the right valve, „strongly infolded margin and a hinge consisting of slightly curved elongate sockets at both ends of the dorsal margin of the left valve, separated by a shallow groove, which is obscured by incurved dorsal margin” (l.c., p. 155). According to van den Bold, the valves of Cardobairdia ovata have „muscle scar area circular, consisting of about 15 scars, typical Bairdia-like... The appearance of the marginal area is rather Cytherella-like” (l.c., p. 155). $^1$ This species also occurs in the Middle Eocene deposits of Yugoslavia (Kollmann, 1962). Van den Bold erected the genus Cardobairdia as independent of the genus Krausella Ulrich, 1894, but he emphasized that the difference between two species he assigned to the genus "Krausella", i.e. „K." minuta Triebel, 1936 from Cretaceous of the Netherlands and "K." asymmetrica van den Bold from Oligomiocene of Cuba and the genotype of the genus Cardobairdia concerns only a different shape of the posterior part of valve. According to van den Bold, the valves representing the above mentioned species of Krausella and the form described as Krausella? sp. Oertli, 1958 from the Lower Cretaceous of France, have a posterior spine in contradistinction to a rounded posterior end of the valves of Cardobairdia ovata. Van den Bold (1960) believes that the species of the genus Krausella, described from Mesozoic and Tertiary, are related to Cardobairdia. The genera Krausella and Cardobairdia have been assigned by this author to the family Bairdiidae Sars, 1888. The genus Krausella has been erected by Ulrich (1894) on the basis of the species K. inaequalis Ulrich, 1894 from Ordovician of Illinois, U.S.A., and assigned by him to the Paleozoic family Beecherellidae Ulrich, 1894. It results from Berdan's (1961) diagnosis of the genus Krausella that this genus has "LV suboval in outline, overlapping RV ventrally, RV being produced posteriorly in short, blunt spine. Hinge line may coincide with dorsal margin, may be entrenched below dorsal margin of both valves, or LV may overreach RV along hinge line" (l.c. p. Q372). In addition to a few species of the genus Krausella described from Paleozoic, a few species of this genus have also been described from the Mesozoic and Tertiary deposits. Their assignments were almost entirely based on the external morphology of the carapace. Thus, for instance, in 1936, Triebel erected the species "?Krausella" minuta$^2$ from Albian of Germany. Afterwards, this species was found in the Upper Cretaceous of the Netherlands and for the first time described from these deposits by van Veen (1936). Van Veen assigned Triebel's species, to the genus Krausella and included it in the family Cytheridae Baird, 1850. In 1958, Oertli described Krausella? sp. from the Lower Cretaceous of France and, in 1959, Krausella? argoviensis$^3$ from the Upper Jurassic of Switzerland. In the latter species, he observed a primitive hinge more strongly developed in the posterior part of the hinge margin. These species, together with Krausella sp. Oertli, described in 1961 from Miocene of Italy, were assigned by Oertli to the family Cypridiidae. A newly erected species Krausella? liassica Drexler, 1959 and the species Krausella --- $^2$ Bonnema (1940) described Krausella ovata Triebel, 1936 from the Upper Cretaceous of the Netherlands, and van den Bold (1946), in addition to K. asymmetrica van den Bold from Oligomiocene of Cuba, described K. minuta from Paleocene of Honduras. Both these authors assigned the genus Krausella to the family Cypridae (recte Cypridiidae) Baird, 1894. $^3$ Krausella argoviensis is mentioned among other species of Ostracoda from Oxfordian of Poland (Bielecka & Styk, 1966). sp. inc. Fischer, 1962, both from Liassic of Germany, were assigned by these authors to the same family. Apostolescu (1959) re-established the previous systematic assignment of the genus Krausella, including Krausella? lanceolata Apostolescu from Liassic of the Paris Basin in the family Beecherellidae. Taking into account van den Bold’s (1960) suggestion, Herrig (1966), describing Cardobairdia minuta (Triebel, 1936) and Cardobairdia sp. from the Upper Cretaceous of the Island of Rügen, Germany, transferred a Cretaceous form, so far assigned to Krausella, to the genus Cardobairdia. He found that, in the ontogenetic development of Cardobairdia ovata, the shape of the carapace and in particular the process in the posterior part of the right valve, characteristic of the genus Krausella, develops gradually and, moreover, that it is a variable character in adult forms; it has no diagnostic importance concerning the generic rank. According to Herrig (1966), Cardobairdia represents the family Bairdiidae. McKenzie (1967) included the genus Cardobairdia, together with the Recent genus Saipanella McKenzie, 1967, to a newly erected family Saipanellidae. On the basis of the shape of carapace and type of muscle scars, observed in studied species which represent the genera Cardobairdia and Saipanella, McKenzie assigned the Saipanellidae to the superfamily Healdiacea Harlton, 1933 and — on the basis of the development of the posterior part of valve, i.e. the presence or absence of mid-posterior spine in the right valve, in Cardobairdia — he compared this genus with the representatives of the families Krausellidae Berdan, 1961 and Cavellinidae Egorov, 1950. According to McKenzie (1967), the most important difference between Saipanellidae, which he derives from Cretaceous$^4$ and other Healdiacea, to which he ascribes the Ordovician-Jurassic time range, consists in the structure of the hinge margin, i.e. a tripartite merodont hinge which occurs in Saipanellidae and a simple, terminally not differentiated hinge observed in other families of Healdiacea. In 1957, Mandelstam erected the genus Rubracea assigned to the family Cytheridae with R. artis Lubimova (in Mandelstam et al., 1957) from the Middle Jurassic of the Saratov Region on the Volga River being its genotype. Judging by the description and illustrations of the genotype of Rubracea and in particular by the appearance of the R. artis Lubimova topotypes, received by the authors, Rubracea strongly resembles Cardobairdia. In both these genera, the shape of carapace and structure of the hinge margin are similar. Unfortunately, the Soviet authors do not describe the muscle scars of Rubracea, any reliable identification of --- $^4$ The presence of an indubitable representative of the genus Cardobairdia, i.e. C. inflata in the Middle Jurassic of Poland, gets down the lower boundary of the time range of Saipanellidae. Rubracea and Cardobairdia being thus impossible. In comparing both genera, an additional doubt is aroused by the fact that the Recent genera Strandesia Stuhlmann, 1888 and Cypricercus Sars, 1895, undoubtedly belonging to the Cypridiidae, contain forms which, in their external morphology, are similar to the genus Krausella and, consequently, to Cardobairdia and Rubracea, which has already been earlier pointed out by Triebel (1941) and van Morkhoven (1963). The genus Rubracea was assigned by van den Bold (1961) to the superfamily Cytheracea (Podocopina) but of an uncertain family. SYSTEMATIC POSITION OF THE GENUS CARDOBAIRDIA VAN DEN BOLD, 1960 As results from the review of the history of the genus Cardobairdia, it was variously placed within the systematics of Ostracoda in which it was assigned not only to different families, but also to different orders. On the basis of the structure of valves in Miocene species representing Cardobairdia, McKenzie (1967) assigned this genus to the new family Saipanellidae, superfamily Headiacea Harlton, 1933 (emend. Mandelstam, 1960), suborder Metacopina and order Podocopida. The present writers believe that Cardobairdia is correctly assigned to the Headiacea since C. inflata n.sp. from Jurassic of Poland has muscle scars which quite unequivocally determine its assignment to this superfamily. A certain doubt is, however, aroused by the fact that the genus Cardobairdia has been included in the family Saipanellidae which, almost exclusively on the basis of the structure of the hinge margin in its representatives, was separated from other Headiacea. The structure of the hinge margin does not seem to be a character sufficiently important to the taxons of Ostracoda of the family rank. However, it seems to be sufficient to separate two genera, e.g. Krausella and Cardobairdia. A considerable similarity of the rest of morphological characters in the representatives of Saipanellidae and Krausellidae suggests that Saipanellidae have unnecessarily been distinguished as separate families. The separation of these families as two different taxons is better justified by the presence of duplicature in Saipanellidae and lack of a calcified inner lamella in Krausellidae (Berdan, 1961). A final solution of this problem requires, however, additional studies. This is precisely the reason why the genus Cardobairdia has only tentatively been assigned by the present writers to Saipanellidae. In recently suggested systematics of Ostracoda, Headiacea take varying positions. Thus, they have been assigned by Zanina, Kashevarova and Polenova (1960) to the suborder Podocopa, whereas Scott (1961), the same as Adamczak (1967) and Gründel (1967), placed them within the suborder Metacopina, erected by Sylvester-Bradley (1961). Hartmann (1964) assigned Healdiacea to Platycopina which, together with Podocopina, he included, however, in Podocopida. On the other hand, according to Sohn (1965), Healdiacea represent an "unknown suborder" (l.c., p. B71) of the order Podocopida. The divergent opinions on the systematic position of Healdiacea result mostly from a varying viewpoint of different authors concerning a mutual relationship of Podocopa and Platycopa. Podocopida are divided by Mandelstam (1960) and Hartmann (1964) into the two suborders, i.e. Podocopa and Platycopa, the last-named being considered by Gründel (1967) to be independent orders. According to Scott (1961), in addition to the suborders Podocopina and Platycopina, Podocopida also include the suborder Metacopina. Adamczak (1967) acknowledges Metacopina (Metacopa) but he introduces a new diagnosis of this suborder. As compared with an original diagnosis of Metacopina, presented by Sylvester-Bradley (1961) and according to which Metacopina are characterized by "inner lamella narrow, poorly developed or unknown" (p. Q358), Adamczak's new diagnosis precludes the presence of inner lamella in the representatives of this suborder. Fig. 1.—Diagram representing inferred relationship of podocopid suborders. According to McKenzie (1967) who studied soft parts of the species representing the family Saipanellidae and compared them with those of the species representing other groups of ostracods, Metacopina have been quite correctly individualized "as a separate and primitive suborder in Podocopida" (l.c., p. 111). On the basis of the analysis of the morphology of valves in Cardobairdia inflata n.sp., the authors of the present paper assign the genus Cardobairdia to the suborder Metacopina; the presence of a distinctly calcified inner lamella in the valves of the species from Jurassic of Poland justifies the acceptance of the original diagnosis of this suborder, given by Sylvester-Bradley (1961). In addition, the present writers believe that Metacopina and most likely its superfamily Healdiacea were a starting group for the suborder Platyocopina which has earlier been suggested by Scott and Sylvester-Bradley (Scott, 1961, p. Q82, Fig. 32) and later confirmed by Gramm's (1967) recent studies (Text-fig. 1). In Triassic deposits, Gramm found forms transitory between the families Cavellinidae Egorov, 1950 and Cytherellidae Sars, 1866 which confirmed the relationship occurring between these taxons. If, as suggested by Adamczak (1967), Metacopina originated from the Ordovician Bairdiocyprididae Shaver (Shaver, 1961) which, in his opinion, represented Podocopa but according to Shaver belonged to Metacopa, which had not a calcified inner lamella, this would imply that the calcified inner lamella appeared convergently in Podocopina and Metacopina and that it was a secondary element in the phylogeny of these groups of Ostracoda. The formation of duplicature in Metacopina seems to be a fairly distinct phenomenon in the evolution series of Healdiacea including Krausellidae (cf. diagnosis of Krausellidae by Berden, 1961) and ?Saipanellidae. DESCRIPTION Subclass Ostracoda Latreille, 1806 Order Podocopida G. W. Müller, 1894 Suborder Metacopina Sylvester-Bradley, 1961 Superfamily Healdiacea Harlton, 1933 Family ?Saipanellidae McKenzie, 1967 Genus Cardobairdia van den Bold, 1960 Cardobairdia inflata n.sp. (Text-figs. 2, 3; Pl. I; Pl. II, Figs. 2—7) Holotypus: Pl. I, Fig. 5 (Z. Pal. No. O.V/1). Stratum typicum: Bathonian. Locus typicus: Jaworznik, Poland. Derivatio nominis: inflata — Lat. inflatus = inflated. Diagnosis. — Carapace suboval in lateral outline, smooth. Left and right valve posteriorly sharply ended; posterior spine of the right valve more distinct and only slightly longer than that of the left valve. Material. — About 1000 specimens representing complete carapaces and single valves of young and mature forms. Most of them well-preserved. Dimensions (in mm): \| Z. Pal. No. \| Length \| Height \| \|-------------\|--------\|--------\| \| Right valve \| O.V/2 \| 0.46 \| 0.27 \| \| Left valve \| O.V/3 \| 0.45 \| 0.27 \| Description. — Carapace small, solid, smooth, elongate, semiovate in lateral outline, swollen. The left, larger valve overlaps along the entire margin the right, smaller valve; the right valve has a more mildly rounded dorsal and a less rounded ventral margin. The left valve is, in its posterior part, obliquely truncated which results in its posterodorsal ![Fig. 2. — Schematic figures of muscle scars presented in photographed specimens on Pl. II; $a$ muscle scars of right valve (O.V/15), $b$ muscle scars of left valve (O.V/14).](image) margin being somewhat angulate. In the right valve, the line of dorsal margin passes almost directly into that of posterior margin. Posteriorly, both valves are sharply terminating, their ends diverging from each other. The posterior end of the left valve is less sharp and somewhat shorter than that of the right valve. Anterior margin of both valves is rounded, in the dorsal part mildly truncate. Carapace surface smooth. Muscle scars, situated in a circular muscle field, consist of about 20, irregularly arranged scars (Text-fig. 2; Pl. II, Figs. 4—5). Marginal pore canals invisible. Duplicature (Text-fig. 3; Pl. II, Figs. 6—7) very narrow; the line of concrescence coincides with that of inner margin. Hinge merodont; terminal elements of the right valve finely crenulate, median element smooth. Ontogeny and dimorphism. — Five instars, probably only the last ones, can be recognized among the complete carapaces of Cardobairdia inflata. They are distinguished mostly on the basis of the length of carapace and, therefore, it is not certain if they actually represented different ontogenetic stages. Changes in size and shape of carapaces can be observed in the ontogenetic development. Valves of the earlier ontogenetic stages are more triangularly ovate and more strongly inflated as compared with those in the premature and mature individuals. The posterior spine appears in the premature instar, being more distinct in ![Diagram] Fig. 3.—Schematic figure of transversal section through the anterior border of a complete carapace presented in photographed specimen on Pl. II, Fig. 6 (O.V/17). the right valve. In the right valve, representing a premature instar, there is a poorly developed merodont hinge and an indistinct duplicature. Dimensions (in mm) of the instars dealt with: \| Instar \| Length \| Height \| \|--------\|--------\|--------\| \| 1 \| 0.17 \| 0.12 \| \| 2 \| 0.25 \| 0.15 \| \| 3 \| 0.29 \| 0.17 \| \| 4 (premature) \| 0.40 \| 0.23 \| \| 5 (mature, female) \| 0.49 \| 0.25 \| \| 5 (mature, male) \| 0.56 \| 0.26 \| Variability.—A distinct variability, observed in the shape and size of carapaces assigned to Cardobairdia inflata n. sp., is related with the presence of a few larger and posteriorly more spiny specimens (Pl. I, Fig. 8) from the highest part of the Jaworznik boring. These specimens are more strongly inflated and their posterior spines are more drawn aside as compared with those in the holotype and paratypes. It may well be that the last-named specimens represent another species. Remarks.—The valves assigned to Cardobairdia inflata n. sp. from the Polish Jurassic are to the greatest extent similar to the valves (topotypes) of Rubracea artis Lubimova, in Mandelstam et al., 1957, described from the Middle Jurassic of the Saratov Region. As compared with the valves of R. artis Lubimova, the valves of the species from the Polish Jurassic have slightly differently developed posterior parts, i.e. in Cardobairdia inflata n.sp. both valves are sharply terminating, whereas in R. artis Lubimova the left valve is rounded and distinctly shorter than the right one. In addition, the posterior parts of valves in R. artis Lubimova are less strongly deflected than in C. inflata n.sp. In dorsal view, the difference between the species referred to above is expressed in the convexity of valves and in the line of the contact margin. In lateral view, the valves of Cardobairdia inflata n.sp. are very similar to those of Krausella? argoviensis Oertli, 1957, a species described from Jurassic of Switzerland. As compared with topotypes of K.? argoviensis from the Swiss Jurassic, the valves from Jurassic of Poland are, however, considerably less flattened in the ventral part. Occurrence. — In Poland: the Middle and Upper Kuiavian, as well as the Lower, Middle and Upper Bathonian of Jaworznik, the Lower and Middle Bathonian of Iwanowice Wielkie and the Lower Bathonian of Chorön. Palaeozoological Institute of the Polish Academy of Sciences Warszawa, Al. Zwirki i Wigury 93 October, 1967 REFERENCES ADAMCZAK, F. 1967. Morphology of two Silurian metacope ostracodes from Gotland. — Geol. Förén. Stockholm Förh., 88 (1968), 462—475, Stockholm. APOSTOLESCU, V. 1959. Ostracodes du Lias du Bassin de Paris. — Rev. Inst. Franç. Pétrole, 14, 6, 795—826, Paris. BERDAN, J. 1961. ?Family Krausellidae Berdan, n. fam. In: R. C. Moore (ed.), Treatise on Invertebrate Paleontology, Part Q (Arthropoda), Q371—Q373, Lawrence, Kansas. BIELECKA, W. & STYK, O. 1966. Mikrofauna malmu południowej części syneklizy perybaltyckiej. — Kwart. Geol., 10, 2, 350—365, Warszawa. BŁASZYK, J. 1967. Middle Jurassic ostracods of the Częstochowa Region, Poland (Małgoraczki środkowo-jurajskie regionu częstochowskiego). — Acta Palaeont. Pol., 12, 1, 4—75, Warszawa. BOLD, W. A. van den. 1946. Contribution to the study of Ostracoda with special reference to the Tertiary and Cretaceous microfauna of the Caribbean region. J. H. de Bussy, Publ. Thesis Utrecht, 1—167, Amsterdam. — 1960. Eocene and Oligocene Ostracoda of Trinidad. — Micropaleontology, 6, 2, 145—196, New York. — 1961. Family uncertain. In: R. C. Moore (ed.), Treatise on Invertebrate Paleontology, Part Q (Arthropoda), p. Q354, Lawrence, Kansas. BONEMA, J. H. 1949. Ostracoden aus der Kreide des Untergrundes der nordöstlichen Niederlande. — Natuurhist. Maandbl., 29, 115—118, Maastricht. DREXLER, E. 1959. Foraminiferen und Ostracoden aus dem Lias alfa von Siebeldingen (Pfalz). — Geol. Jb., 75, 475—554, Hannover. FISCHER, W. 1962. Ostracoden der Gattungen Monoceratina Roth 1928, Cytheropteron G. O. Sars 1865 und andere im Lias Zeta Schwabens.—N. Jb. Geol. Paläont., 114, 3, 333—345, Stuttgart. GRAMM, M. N. 1967. Rudimentarnye muskulnye pjatna u triasovyh Cytherelloidea (Ostracoda).—Dokl. Akad. Nauk SSSR, 173, 4, 931-934, Moskva. GRÜNDEL, J. 1967. Zur Grossgliederung der Ordnung Podocopida G. W. Müller, 1894 (Ostracoda).—N. Jb. Geol. Paläont., Mh., 6, 321-332, Stuttgart. HARTMANN, G. 1964. Neontological and paleontological classification of Ostracoda.—Pubbl. Staz. Zool. Napoli, 33 (Suppl.), 550-587, Napoli. HERRIG, E. 1966. Ostracoden aus der Weissen Schreibkreide (Unter-Maastricht) der Insel Rügen.—Paläont. Abh., A, 2, 4, 693-1024, Berlin. KOLLMANN, K. 1962. Beobachtungen im Flysch von Istrien (Jugoslavien). 5. Ostracoden aus dem mitteleozän "Flysch" des Beckens von Pazin.—Verh. Geol. Bund, 2, 187-227, Wien. MANDELŠTAM, M. I., ŠNEJDER, G. F., KUZNECOVA, Z. V. & KAC, F. I. 1957. Novye rody ostrakod v semejstvach Cypridae i Cytheridae.—Ežeg. Vsesoj. Paleont. Obšč., 16, 166-185, Moskva. McKENZIE, K. G. 1967. Saipanellidae: a new family of podocopid Ostracoda.—Crustaceana, 13, 1, 103-113, Leiden. MORKHOVEN, F. P. C. M. van. 1963. Post-Palaeozoic Ostracoda. Their morphology, taxonomy and economic use. 2, 1-478, New York. OERTLI, H. J. 1958. Les Ostracodes de l'Aptien-Albien d'Apt.—Rev. Inst. Franç. Pétrole, 13, 11, 1499-1537, Paris. — 1959. Malm-Ostracoden aus dem schweizerischen Juragebirge.—Mém. Soc. Helv. Sci. Nat., 83, 1, 1-44, Zurich. — 1961. Ostracodes du Langhien-type.—Riv. Ital. Paleont., 47, 1, 17-44, Milano. SCOTT, H. W. 1961. Classification of Ostracoda. In: R. C. Moore (ed.), Treatise on Invertebrate Paleontology, Part Q (Arthropoda), Q72-Q92, Lawrence, Kansas. SOHN, J. G. 1965. Classification of the superfamily Healdiacea and the genus Pseudophanasymmetria Sohn & Berdan, 1952 (Ostracoda).—U. S. Geol. Surv., Prof. Paper, 525-B, 69-72, Washington. SYLVESTER-BRADLEY, P. C. 1961. Suborder Metacopina Sylvester-Bradley, n. sub-order. In: R. C. Moore (ed.), Treatise on Invertebrate Paleontology, Part Q (Arthropoda), Q358-Q359, Lawrence, Kansas. TRIEBEL, E. 1941. Zur Morphologie und Ökologie der fossilen Ostracoden.—Senckenbergiana, 23, 160-227, Frankfurt a.M. VEEN, J. E. van. 1936. Nachtrag zu der bis jetzt erschienen Revision der Ostracoden der Maastrichter Tuffkreide und des Kunrader Korallenkalkes von Sud-Limburg.—Natuurhist. Maandbl., 25, 11/12, 170-188, Maastricht. ZANINA, I. E., KAŠEVAROVA, N. P. & POLENOVA, E. N. 1960. Nadsemejstwo Healdiacea Harlton, 1933. In: J. A. Orlov (red.), Osnovy Paleontologii, Arthropoda, p. 337, Moskva. --- JANINA SZCZECHURA & JANUSZ BŁASZYK CARDOBAIRDIA INFLATA N. SP. ZE ŚRODKOWEJ JURY POLSKI I JEJ POZYCJA TAKSONOMICZNA WŚRÓD OSTRACODA Streszczenie Praca niniejsza zawiera historię badań rodzaju Cardobairdia van den Bold, 1960 i analizę jego pozycji systematycznej wśród Ostracoda. Podstawę do powyższych rozważań stanowi C. inflata n. sp., gatunek występujący w osadach jury śródkowej w Polsce, w wierceniach z okolic Częstochowy. Rozdaj Cardobairdia opisany był przez van den Bolda (1960) z eocenu Trinidadu. Herrig (1966) włączył do tego rodzaju kredowy gatunek Ostracoda z Niemiec, zaliczany wcześniej do rodzaju Krausella Ulrich, obniżając tym samym dolną czasową granicę występowania rodzaju Cardobairdia. Obydwaj autorzy zaliczyli Cardobairdia do rodziny Bairdiidae Sars. W roku 1967, McKenzie badając mioceński gatunek reprezentujący rodzaj Cardobairdia, wraz z nowoutworzonym, współcześnie żyjącym rodzajem Saipanella, włączył oba do rodziny Saipanellidae McKenzie. Autor ten ogranicza występowanie Saipanellidae do kredy, natomiast Krausellidae, według Berdana (1961), występują od ordowiku do dewonu. McKenzie (1967) porównał rodzaj Cardobairdia nie tylko z rodzajem Krausella, lecz także z rodzajem Cavellina Coryell, stwierdzając podobieństwo w ogólnym kształcie skorupek u ich przedstawicieli oraz różnice w budowie brzegu zawiasowego, tj. merodontowy zawias u Cardobairdia, natomiast adontowy u Krausella i Cavellina. Autorzy niniejszej pracy, w porównaniach Cardobairdia z innymi rodzajami, biorą też pod uwagę rodzaj Rubracea, utworzony przez Mandelstama (1957), znany z jury azjatyckiej części Z.S.R.R., który pod względem morfologii zewnętrznej skorupki i budowy brzegu zawiasowego przypomina bardzo rodzaj Cardobairdia. W obecnej pracy rodzaj Cardobairdia, zgodnie z sugestiami McKenzie'go (1967), zaliczony jest do rzędu Podocopida G. W. Müller, podrzędu Metacopina Sylvester-Bradley, nadrodziny Healdiacea i z zastrzeżeniem do rodziny Saipanellidae McKenzie. Określając przynależność Cardobairdia do Metacopina autorzy podtrzymują pierwotną, oryginalną diagnozę tego podrzędu, podaną przez Sylvester-Bradleya (1961), a nie Adamczaka (1987). ЯНИНА ЩЕХУРА & ЯНУШ БЛАШИК CARDOBAIRDIA INFLATA N. SP. ИЗ СРЕДНЕЙ ЮРЫ ПОЛЬШИ И ЕЕ ТАКСОНОМИЧЕСКАЯ ПОЗИЦИЯ СРЕДИ OSTRACODA Резюме В настоящей работе рассмотрено историю исследования рода Cardobairdia van den Bold, 1960 и проведено анализ его систематической позиции среди Ostracoda. Основанием для вышеуказанных рассуждений является C. inflata n. sp., вид выступающий в верхнеюрских отложениях Польши, в буровых скважинах из окрестностей Ченстоховы. Род Cardobairdia был описан ван ден Больдом (van den Bold, 1960) из эоцена Тринидада. Герриг (Herrig, 1966) включил в этот род меловой вид Ostracoda из Германии, причисляемый раньше к роду Krausella Ulrich, тем самым понижая нижнюю границу распространения рода Cardobairdia. Оба авторы причислили Cardobairdia к семейству Bairdiidae Sars. В 1867 году, Мак Кензе (McKenzie), изучая миоценовый вид являющийся представителем рода Cardobairdia, вместе с новоустановленным, современно живущим родом Saipanella, включил оба в семейство Saipanellidae McKenzie. Автор этот ограничивает распространение Saipanellidae только к меловым отложениям, а Krausellidae, по Бердану (Berdan, 1961), известны от ордовика по девон. Мак Кензе (McKenzie, 1967) сравнил род Cardobairdia не только с родом Krausella, но также с родом Cavellina Coryell, констатируя у их представителей сходство по общей форме створок и различия в строении замочного края, т.е. меродонтный замок у Cardobairdia, а адонтный у Krausella и Cavellina. Авторы настоящей работы, сравнивая Cardobairdia с иными родами, учитывают также род Rubracea, установленный Мандельштамом (Mandelstam, 1957), известный из юры азиатской части С. С. С. Р., который в отношении внешней морфологии створки и строения замочного края очень напоминает род Cardobairdia. В настоящей работе род Cardobairdia, согласно предложениям Мак Кензи (McKenzie, 1967), причислен к отряду Podocopida G. W. Müller, подотряду Metacopina Sylvester-Bradley, надсемейству Healdiacea и с предварительным условием к семейству Saipanellidae McKenzie. Определяя принадлежность Cardobairdia к Metacopina, авторами поддерживается первичный оригинальный диагноз этого подотряда, поданный Сильвестром-Брадлейем (Sylvester-Bradley, 1961), а не Адамчаком (Adamczak, 1967). PLATES Plate I Cardobairdia inflata n.sp. Fig. 1. Instar 1, complete carapace (Z. Pal. No. O.V./4); $a$ lateral exterior view of right valve, $b$ dorsal view. Fig. 2. Instar 2, complete carapace (O.V./5); $a$ lateral exterior view of right valve, $b$ dorsal view. Fig. 3. Instar 3, complete carapace (O.V./6); $a$ lateral exterior view of right valve, $b$ dorsal view. Fig. 4. Instar 4, complete carapace (O.V/7); $a$ lateral exterior view of right valve, $b$ dorsal view. Fig. 5. Instar 5 (adult, female), holotype, complete carapace (O.V/1); $a$ lateral exterior view of right valve, $b$ lateral exterior view of left valve, $c$ dorsal side, $d$ frontal end. Fig. 6. Instar 5 (adult, male), complete carapace (O.V/8); lateral exterior view of right valve. Fig. 7. Adult female, complete carapace, topotype (O.V/9); lateral exterior view of right valve. Fig. 8. Adult female, complete carapace, topotype (O.V/10); $a$ lateral exterior view of right valve, $b$ dorsal view. Figs. 1-7: Jaworznik, 27 m; Bathonian Fig. 8: Choroń, 19 m; Bathonian Magnifications of figures approx. $\times 70$ 1a, 2a, 3a, 4a, 6, 7, 8a, 5a, 5b, 5c, 5d 1b, 2b, 3b, 4b, 8b 1a, 1b, 1c, 1d, 2a, 2b, 3, 4, 5, 6, 7 Plate II Rubracea artis Lubimova in Mandelstam et al., 1957 (USSR, Saratov Region, Callovian) Fig. 1. Complete carapace (Z. Pal. No. O.V/11); $a$ lateral exterior view of right valve, $b$ lateral exterior view of left valve, $c$ dorsal view, $d$ frontal end; $\times 70$. Cardobairdia inflata n.sp. Fig. 2. Right valve (O.V/12); $a$ interior view, $\times 70$, $b$ dorsal view, $\times 150$. Fig. 3. Left valve (O.V/13); interior view, $\times 70$. Fig. 4. Muscle scars of left valve (O.V/14), $\times 300$. Fig. 5. Muscle scars of right valve (O.V/15), $\times 300$. Fig. 6. Transversal section through the anterior border of a complete carapace (O.V/16), $\times 1000$. Fig. 7. Transversal section through the anterior border of right valve (O.V/17), $\times 500$. Fig. 2: Choroń, 19 m; Bathonian. Figs. 1, 3-7: Jaworznik, 27 m; Bathonian.
L'appel à proposition est ouvert jusqu'au 1er octobre 2016 pour les projets doctoraux et jusqu'au 1er juin 2019 pour les projets postdoctoraux. Les porteurs de projet sont invités à contacter la coordination du labex pour toute question relative à l'appel à projets. Les demandes devront être adressées, avec l'ensemble des pièces justificatives sous forme d'archive, par voie électronique (rubrique Soumettre un projet): http://ics.sorbonne-universites.fr/acces-direct/appels-a-projets/labex-calsimlab.html Les fichiers archive seront nommés : ICS_Nom_du_porteur.[zip,gz,tgz,pdf] Un accusé de réception faisant foi du dépôt sera envoyé par retour électronique. Les demandes seront examinées par les membres du comité de pilotage du labex et des experts extérieurs. La sélection des dossiers interviendra lors de la prochaine réunion trimestrielle du comité de pilotage du labex. Nature du projet Contrat doctoral ☐ Contrat post-doctoral ☒ Titre du Projet Development of efficient 3D shape optimization techniques for the research of Maximum Probability Domains from accurate quantum chemistry wavefunctions Domaine de recherche (mots-clés): Porteurs du Projet \| Nom et Prénom des porteurs du Projet \| Unité, Laboratoire ou structure d'affiliation \| Email des porteurs \| Coordonnées téléphoniques \| \|--------------------------------------\|---------------------------------------------\|-------------------\|--------------------------\| \| \| \| \| \| N.B.: Les projets de thèse doivent impliquer deux co-directeurs de deux disciplines distinctes. Il est possible de déposer un projet interdisciplinaire ou à l’interface de deux disciplines avec un seul porteur. L’institut aidera le porteur du projet à identifier un co-responsable de la discipline concernée, pour finaliser le projet avant sa soumission devant le comité de pilotage du labex. Dans le cas où l’étudiant de master est identifié au moment de soumettre la demande, joindre son CV avec mention de leur inscription dans un master de Sorbonne Universités ou d’une autre tutelle. Résumé du Projet 2 pages maximum – interligne simple (2 000 caractères maximum) La description du projet détaillera le contexte, l’objectif scientifique, les collaborations interdisciplinaires ou aux interfaces et le profil de l’étudiant. Maximum Probability Domains (MPDs) are defined as regions of space where the probability of finding a given number of electrons is maximal. As the quantum theory is probabilistic in nature, this original proposition of Andreas Savin (Laboratoire de Chimie Théorique - LCT) appears as the most natural way to extract chemical information from accurate quantum calculations. Therefore, despite the fact that its development is still ongoing and the lack of large-scale numerical program to perform the needed calculations, the MPD method starts to arouse a strong interest among the chemical community.$^1$ MPDs overcome the limitations and shortcomings of widely used topological methods and can shed new light on the nature of chemical bonding.$^2$ The first implementations of the MPD method suffered from severe restrictions. They were limited to the analysis of single-determinant wave functions, while correlated wave functions are essential in many interesting chemical situations. These simple algorithms, which notably relied on fixed cubic grids, give rise to numerical inaccuracies which cloud the properties of MPDs, and limit the efficiency of the search for maximum probability domains. This is why a collaboration between Andreas Savin and Benoît Braïda (LCT), and Pascal Frey (Laboratoire Jacques-Louis Lyons - LJLL) including also Eric Cancès (CERMICS) has been initiated around this topic. The recent post-doctoral stay (1 year) of Jeremy Dalphin allowed very lately to make two fundamental theoretical advances:$^3$ - The derivation of an algorithm potentially allowing fast calculations of probabilities and shape-derivatives on multi-determinant wave functions, which is also suitable for parallelization; - The derivation of an expression for the computation of second order shape derivatives. Meanwhile, a joined development of a new-generation MPD program has started and now involves the Quantum Chemistry Group of Ghent university (thesis of Guillaume Acke), built around the advanced adaptative mesh techniques developed in the LJLL, and an adaptation of the level-set algorithm for the 3D MPDs search problem.$^4,\^5$ The prospective candidate may work on the following applied mathematical aspects in the continuation of this project, by order of priority: - Implementation of the probability and shape-derivative calculations for multi-determinant wave functions (QZ-algorithm, p14 of Annexe 1); - Implementation of the second-order shape derivative for the characterization of these domains (critical points characterization, definition of a volume-based chemical hardness); - Algorithm improvement: possibly the development of a Newton-type algorithm making use of the recently derived second-order shape derivative; - Numerical analysis for accuracy control of the optimization procedure. Candidates should have a solid background in numerical methods including shape optimization techniques and 3D numerical simulations techniques, together with good programming experience and skills in C language. (1) Recent publications on the field: (a) Mafra Lopez Jr., O.; Braïda, B.; Causa, M.; Savin, A. in Progress in Theoretical Chemistry and Physics, vol 22, ed Hogan, Springer UK, London (2011). (b) Causa, M.; Savin, A (2011) Z. Anorg. Allg. Chem. 637, 882 (c) Causa, M; Savin, A (2011) J. Phys. Chem. A. 115, 45, 13139 (d) Causa, M; D’Amore, M; Garzillo, C; Gentile, FS; Savin, A (2013) in Applications of Density Functional Theory to Biological and Bioinorganic Chemistry, Structure and Bonding Volume 150, p119-141 (e) Menendez, M.; Pendas, A. M. (2014) Theor. Chem. Acc. 133:1539 (f) Menendez, M.; Pendas, A. M.; Braïda, B.; Savin, A. (2015) Comput. Theor. Chem. 1053, 142 (g) Agostini, F.; Cicotti, G.; Savin, A. (2015) J. Chem. Phys. 142, 6 (h) Causa, M; D’Amore, M; Gentile, F; Menendez, M; Calatayud, M (2015) Comput. and Theor. Chem. 1053, 315. (2) For instance: for a new view of ionic bonding see Annexe 2, for a revisit of bonding in phosphonium oxydes and ylides: see Annexe 3. (3) See annexe 1, two articles from this work are in preparation. (4) The development of the program can be followed from this repository: https://github.com/guacke/MPD. (5) Supported by the CECAM initiative (http://www.cecam.org/ssd_initiative.html) Caractère interdisciplinaire du Projet et complémentarité des partenaires 1 page maximum – interligne simple (1 000 caractères maximum) Préciser le rôle de chaque encadrant ainsi que les compétences scientifiques apportées. Montrer la valeur ajoutée des complémentarités entre disciplines. Benoît Braïda (BB), MCF at the LCT is one of the renowned experts in Valence Bond theory.$^6$ His work more generally focuses on the development of interpretative methods and chemical concepts, and their application to fundamental problems in chemistry. BB is also the project coordinator of a developing network around the MPD project.$^7$-$^9$ BB will take care of all chemically-driven aspect related to the project, including full support in electronic structure theory to the candidate (that is minimal). Charles Dapogny (CD), researcher at CNRS, Pascal Frey (PF), Pr. at the LJLL and Yannick PRIVAT (YP), researcher at CNRS are experts of theoretical and numerical aspects of geometrical and topological shape optimization including the derivation of workable optimality conditions, the mesh deformation management methods. PF is also Head of the research center Institut des sciences du calcul et des données (ISCD). All three will take care of both mathematical and computational aspects of the project. (6) Recent publication on this topic: (a) Braïda B.* ; Hiberty P. C.* Nature Chemistry 2013, 5, 417 (b) Braïda B.* ; Hendrickx K. ; Domin D. ; Hiberty P. C. J. Chem. Theory Comput. 2013, 9, 2276 (c) Wu W. ; Zhang HY ; Braïda B. ; Shaik S. ; Hiberty P. C. Theor. Chem. Acc. 2014, 133, 1441 (d) Zhang HY ; Danovich D. ; Wu W. ; Braïda B ; Hiberty P. C. ; Shaik S. J. Chem. Theory Comput. 2014, 10, 2410 (e) Mo Y. ; Wang, C. ; Guan, L. ; Braïda, B ; Hiberty, P. C. ; Wu, W Chem. Eur. J. 2014, 20, 8444 (f) Braïda B.* ; Ribeyre T. ; Hiberty P. C.* Chem. Eur. J. 2014, 20, 9643 (g) Anderson P ; Petit, A ; Ho J ; Mitoraj M ; Coote M. L. ; Danovich D ; Shaik, S ; Braida, B* ; Ess, D H* J. Org. Chem. 2014, 21, 9998 (h) Hendrickx, K ; Braïda, B* ; Bultinck, P ; Hiberty, PC* Comp. Theor. Chem. 2015, 1053, 180 (i) Bruckner, C ; Walter, C ; Stolte, M ; Braida, B ; Meerholz, K ; Wurthner, F ; Engels, B J. Phys. Chem. C 2015, 119, 17602. (7) A collaboration on chemical applications involving MPD analysis has started with the Quantum Chemistry group in Brussels, see Annexe 4. (8) Together with Paris, Ghent and Brussels, also includes researchers from Oviedo (Spain) and Hamilton (Canada). (9) Two scientific network events has been organized last year, in Paris (https://wiki.lct.jussieu.fr/workshop/index.php/Discussion_meeting_on_Maximum_Probability_Domains), and Ghent (http://www.quantum.ugent.be/mediawiki/index.php?title=Maximum_Probability_Domains). Coordonnées du candidat \| Nom et Prénom \| Université d'origine, département du master \| Email du candidat \| Date de naissance \| \|---------------\|--------------------------------------------\|-------------------\|------------------\| Avis motivé sur le candidat 1 page maximum – interligne simple (1 000 caractères maximum) Préciser la formation
Lockdowns, logistics and the long term page 6 Role models, quotas and early encouragement page 30 Dear participants in the ARTEMIS Community, All forewords in all magazines in the world nowadays start with a reflection on the COVID-19 situation that has so suddenly changed the life of all the habitants of our Earth. Most of us are working from home, not sure when and how a sort of “normal” life will be come back. Many of our companies and institutes are trying to find out whether their product portfolio can help prevent infections in direct or indirect ways and help in diagnosis and cure. Also, in this magazine you find many words on the COVID situation and some thoughts about the post COVID era. At the same time, our community is preparing for the KDT-IU, the envisioned successor of the ECSEL IU that should start in 2021 and continue the kind of impact ECSEL has generated. In a short article by Josh Grindrod you find some words on the impact of ECSEL. Patrick Pype from NXP describes the impact of COVID-19 on his company and Paolo Azzoni from Eurotech develops his view on the Internet of Things in the post COVID era. Ronald Dekker (Philips) and Kasparis Ozols (EDI) share their views of the ECSEL impact on health and they comment on the manufacturing culture and collaboration in Europe. The next article describes a recent report published by ARTEMIS-IA: “From Internet of Things to System of Systems”. IoT and SoS can be considered as the backbone of digitalisation, providing scalable technologies capable of managing billions of connected devices and generating potentially more than USD 3 trillion worth of revenues in the next 3-5 years. This report can be downloaded from the ARTEMIS-IA website. Then Jerker Delsing (University of Luleå), Johannes Kristian (Bosch) and Mateusz Bonecki (DAC) discuss “ARROWHEAD TOOLS and the added value of ecosystems”. They represent the worlds of academia, large enterprises and SMEs. Finally, four influential women in our community discuss gender equality in Europe, a topic that is quite important for the European Commission, Sabine Herlitschka (Infineon), Veera Koskinen (Business Finland), Elisabeth Steinetz (VDI/VDE) and Doris Vierbauch (Austrian Research Promotion Agency) give their perspectives in the context of the High Tech industry in Europe and the fact that the interest of young women in studying technology is relatively low in Europe. I wish you an enjoyable read. Jan Lohstroh Secretary General ARTEMIS Industry Association \| Page 4 \| ECSEL \| \|--------\|-------\| \| Page 6 \| Lockdowns, logistics and the long term \| \| Page 10 \| Internet of Things in the Post COVID era \| \| Page 18 \| International networks and growing innovation \| \| Page 22 \| From Internet of Things to System of Systems \| \| Page 26 \| Arrowheadtools and the added value of ecosystems \| \| Page 30 \| Role models, quotas and early encouragement \| Necessity continues to be the mother of innovation. Never has this been more true than of late when our dependence on digital “high tech” was put to the test early this year. Enter a 120nm blob of grease with spikey protein stuck in it, surrounding a 30k-base strand of RNA whose only ambition in life is to make more spikey protein. INNOVATIONS ENABLED BY ECS This phenomenon spread suddenly and dramatically to infect around the world and slam the brakes on most of our daily business and halt much of human social and economic activity. The financial and societal consequences are huge – the “new normal” and ‘social distancing’ are already household concepts – but thanks to electronics, digitalisation and the Internet – unthinkable without Electronic Components and Systems (ECS) – a significant number of people, including emergency services, have been able to continue providing support to many others. In adapting quickly to the situation, key sectors, like emergency medical care, pharmaceutical research, transport and logistics, and manufacturing, all demonstrate the benefits of innovations in digitalisation enabled by ECS. Similarly, the world will now look to innovative technological solutions to see where they can help in healing also the socio-economic wounds left by the pandemic and build a better future. Innovation is not just about finding something “new”. It’s about an inextricable link between the Research at one end – looking for new things – and “the market” at the other, the sharp end where application overcomes the problems we confront. WITH A CAPITAL “I” The environmental and now pandemic crises have emphasised this key role for innovation (capital “I” from now on) in creating more wellbeing for more citizens with the same or preferably fewer inputs. In addition to the more concrete technological solutions coming out of the funded projects, a key success story of ECELS JU is the creation of the best conditions for this kind of Innovation. Through financing industrially relevant RD&I projects that are guided by European and National or regional socio-economic strategies and that embrace all the actors, including SMEs and academic institutes. In the public space, put “electronics” and “innovation” together and you get a Smartphone. But this is just a very small example of the importance of ECS: they have a long-established record as being a key enabler of innovations across virtually all sectors. Either directly, as electronics products in their own right, or less visibly as the products that control manufacturing plants, logistics systems, cars (increasingly electric ones) and other vehicles, medical devices, and so on. A defining characteristic of ECS applications is their extreme complexity, an aspect that is growing exponentially. The reliable operation we today take for granted is only possible due to huge volumes of past R&D, at all points along the “value chain” (these days better referred to as a “value network”), within which continued RD&I effort on ECS is an inescapable priority if society is to continue to benefit from digital technologies. PILOTS AND LIGHTHOUSES The socio-economic value of Innovation comes not from one specific breakthrough but from the combined effects of many interoperating ones, and the impact achieved is far greater than the “sum of the parts”. This observation, in the past, led to the definition of the ARTEMIS “Pilot line” approach, which clustered work across several projects to achieve the benefits of synergy. This has continued into ECELS JU in the form of “Lighthouse Initiatives”, whose charters also extend to embracing non-technical assets such as regulatory and standardisation issues. Not only do these industry-led “LIs” add a sturdy fulcrum for the leverage that can be achieved via ECELS JU-financed projects, they also collect and focus the results from projects in their specific field, funded by various instruments (not just ECELS JU), and help to steer the uptake of project results. This effectively gets them ready for industrial operations to implement and deploy, thereby more quickly reaping the socio-economic benefits of their businesses, while at the same time overcoming the pitfalls that innovative ideas can otherwise encounter along that route. To date there have been three Lighthouse Initiatives called into being, focusing on Health, Mobility and Manufacturing (“Health.E,” “Mobility.E,” and “Industry 4.E” respectively). PROMISE OF A BETTER FUTURE But back to the COVID-19 situation. At some point or another, the world will enter a post-COVID-19 phase and ECELS JU can boast many projects whose technological developments and innovations can become crucial in the global recovery from this pandemic and in protecting against future incidents. Like enabling “Organ-on-chip” technologies to potentially speed drug development and testing, remote patient monitoring that can potentially accelerate clinical trials. Or new electronics devices whose low electrical power consumption and intelligent energy control systems can keep our ecological footprint in check. What about cleaner and more flexible factories, clean and safe transport systems, faster and better computing devices that keep our privacy and security safe? These are all innovative results that can soon contribute to a better “post-COVID” digital society. Thankfully, it appears that the world is managing to pull through, albeit stuttering now and then as the pandemics spits back here and there. We are taking many lessons learned in the process. One of these is that ECS and digitalisation will also play an important role in implementing the now very apparent urgencies for the future. So much so that this has become the theme of the 4th annual ECELS JU Symposium, an online event being organised on 24 June. At this conference, leading industrialists and decision makers will discuss the importance of continued RD&I efforts in electronics and digitalisation, to assure socio-economic recovery in the post-pandemic era. To find out more, follow us on Twitter (@ECELS_JU #ECELSJUSymposium2020) and at www.ecels.eu. LOCKDOWNS, LO THE LONG TERM Within the first four months of the new decade, COVID-19 spread to 213 countries or territories across the globe, making it the fastest-spreading pandemic in history. While the overall trajectory remains uncertain – with much of the world having lived and worked under lockdown for weeks on end – there are also reasons to be hopeful. In this article, NXP and Philips share some of their technical and logistical innovations and what these could mean for the coronavirus and beyond. THE NEED TO ADAPT “At this point, we’re almost 30,000 people in 30 countries,” begins Patrick Pype, Director Strategic Partnerships at NXP Semiconductors. “More than 12,000 are working from home. People are working in our labs and production facilities, but we strictly follow the rules from different governments. No events, no meetings, everything done via Skype or Teams. In some cases, this is more efficient as we don’t have to travel. There are pros and cons, you might say.” Starting life as a Philips subsidiary in 1953, NXP was spun-off as an independent company in 2006 and is headquartered in the Netherlands. With such a deep history in the automotive and communication infrastructure markets, Patrick is optimistic that the company can weather the storm. “We expect an impact, but we have a good position to survive this period. NXP has a policy to care for our people and to ensure that R&D projects in Europe can continue. We believe that our strength in R&D will be key to our success over the mid and long term.” “Our R&D team has solutions that are being developed for various industries that show promise in the health industry” This largely reflects a trend across Europe: adaptation to the new situation while keeping the focus on innovations that matter in relation to both COVID-19 and the post-pandemic world. “Our R&D team has solutions that are being developed for various industries that show promise in the health industry,” says Patrick. “For example, we’re making air pressure sensors which were intended for automotive applications and which are now used as infrastructure for breathing installations in hospitals. Another example is a smart sensor patch which can measure the fever evolution of a patient every ten minutes. This was the result of a previous R&D project which is already commercially available on the market.” MANY BIRDS WITH ONE STONE For NXP, however, the biggest innovation may prove to be using xAI – explainable AI – in chest X-ray screening – the oldest and most common form of medical imaging for diseases of the lungs. xAI expands on the inference and probability capabilities of machine learning by adding a more reasoned human-like decision-making approach and the additional dimension of certainty. xAI combines all the benefits of AI with an inference mechanism that is closer to how a human would respond in a situation. “NXP is exploring how this could be used to deliver more confidence in the analysis of chest x-rays in the context of COVID 19,” said Patrick. “We’re still in an early stage and are seeking partners and we hope this R&D project could someday contribute to these and other diagnostic applications.” KEEPING THE SUPPLY LINES OPEN Beyond the R&D developments themselves, the ongoing pandemic has also created logistical nightmares: how can we ensure the production and supply of life-saving technologies when most countries are restricting movement? In Italy, where the coronavirus first took hold in Europe, Siare Engineering was asked by the government to significantly ramp up production and immediately assemble approximately 2000 respirators. “Siare typically produces around 160 machines per month, so they were being asked to increase their production drastically,” notes Patrick. “Several years ago, we introduced our pressure sensor MPX201DP to their system, so we received an urgent request to help the company find all of the materials. Thanks to [Canadian distributor] Future Electronics and the help of the Italian army, we were able to manage an immediate delivery of pressure sensors, which enabled Siare to go ahead with production.” THE PRODUCTION CHALLENGE Siare isn’t alone in this increased demand. Philips is one of the world’s leading providers of products, services and solutions to diagnose, treat and monitor COVID-19 patients, with a portfolio including invasive and non-invasive ventilators, patient monitoring and CT and ultrasound systems. Like its competitors, Philips tends not to produce its hospital ventilators in large quantities. This is part due to their complexity, with ventilation equipment containing more than one million lines of code and over 650 components. Nonetheless, they committed to doubling their production of respirators between March and May and will quadruple production by the third quarter of 2020. At a time of worldwide economic recession, they’ve hired dozens of new production employees to meet this demand. “The urgency and fluidity of the situation is affecting our company, our customers and our employees around the world,” explains Frans van Houten, CEO of Royal Philips. “As a company, we’re continuing to focus on our triple duty of care in order to ensure the health and safety of employees, meet customer needs and guarantee business continuity. I’m proud of our employees who are intensifying, collaborating and driving this tremendous operation, including rapidly scaling up the production of much-needed products during this crisis.” Of course, this increased workload counts for nothing if these ultrasound systems, ventilators, and patient monitors fail to reach patients, particularly in high-risk areas such as dense population centres. With the loss of approximately 90 percent of all flights between Europe and Asia, however, there has been a major shortage of cargo capacity. Philips has therefore joined forces with KLM and the Dutch government to create a special airlift between the Netherlands and China, with requests for extra capacity coming in from many other parties. By bringing the Boeing 747-400 Combi back into operation twice a week to Beijing and three times a week to Shanghai, approximately 250 tonnes of extra cargo capacity have been created per week. “We’re grateful to those who cannot stay home, both at Philips and beyond,” adds Van Houten “From caregivers to postmen, catering workers and cleaners, we see you and we thank you. We hope that you take pride in the work you do to make a difference to the health and lives of those around you.” FACING THE FUTURE In closing, Patrick has some words of advice for other R&D organisations on dealing with the current uncertainty: “You just need to continue in a different way. Content-wise, I would not make any changes to programmes unless you have solutions which can help with COVID-19. Of course, it’s important that you do what you can to support hospitals, so we’ve also been making donations and doing fundraising. In France, for example, we’ve donated more than 5000 masks to local hospitals. In the Netherlands, we’ve given facemasks to hospitals and laptops to schools and care centres. “For NXP, it’s very important – and I think this is the key message – that we do not take actions to completely reorganise things. This is the advantage of our sector; we can all work in a remote way because we already have the programmes. We need to run them as planned because there will be a period after COVID-19 when our solutions will still be needed.” COVID-19 has completely changed our life, the way we work, how we interact with people, the global economy, but we have to look forward: what will we do after? Will there be an “after”? Or will we have to live together with COVID-19? But we have also to ask ourselves what we have not done before... In the environment where we live, a tiny planet in the universe, we share billions of tons of biomass very different from human life, including millions of virus species, some of which we don’t even know of their existence. Viruses have a role in our delicate environment, and we cannot imagine completely eradicating them. As humans, we are programmed to try to anticipate and plan the future, but an analysis of the past in a similar crisis is fundamental to avoid the repetition of previous errors. Probably, the COVID outbreak is strictly linked to the underestimation of risks that characterise our society, in almost every sector. In 1986, just after the Chernobyl disaster, Ulrich Beck published the book “Risk Society: Towards a New Modernity” (“Risikogesellschaft”), in which he highlights that the primary characterising element of modern society is its increasing tendency to create catastrophes, with dramatic impact on humans and their activities. He considers the ‘risk society’ as the last step in the evolution of society, a step where the greater the hazard, the more the reward… Unfortunately, sooner or later, a similar approach presents the bill, a bill that all the humanity has to pay. The Corona virus, apparently, is not a human generated disaster like Chernobyl, at least not directly: the scientific community is converging on the idea that the conjunction of ecosystem rupture, overpopulation, pollution, globalisation and frequent zoonosis indirectly contributed significantly to the Corona virus outbreak, transforming a natural phenomenon in a global disaster. TECHNOLOGY IS PARAMOUNT Technology has evidently a responsibility in this: consider the global transportation system and its role in the rapidity at which the virus has been spread, all over the globe. The air transport sector exposed us to a high risk and is also one of the markets that is now paying the saltiest price. Again, the risk is the point: the benefits society is accustomed to are strongly bound to an irrational and irresponsible underestimation of risks. Using a simile, if a car allows you to reach 200 km/h, it doesn’t mean it is safe or clever to reach this speed: it depends on the brake system, on the power steering, etc… and on someone that periodically checks them. The scientific community advised many times on the necessity of a deeper knowledge of pathogenic organisms, but research funding was reduced in the face of the perspective of limited profits. A short-sighted decision that is now costing us ten, hundred or maybe a thousand times over. The certainty of the possibility of new pandemics pushed the World Health Organization to define specific pandemics plans…that almost no one took seriously. And it is clear today that you cannot improvise. The lockdown and isolation indeed represent a temporarily improvised and inevitable measure that is impacting on global economy as much as the virus itself. Lockdown and isolation have to quickly make way for a structural recovery and to a safety and resilience plan for the future: we have to avoid the previous errors. Technology plays a fundamental role in this plan. Technology is not good or bad, it depends only in the way it is used. Technology is fundamental to the prompt detection of future pandemics, tracking and keeping them under control, ensuring the resilience of the healthcare system, transportation, agriculture, production and even the economy. The lockdown is also having the positive effect of increasing the sensitivity of the collectiveness towards all digital technologies: people have been practically forced to embrace digital technologies from home to communicate, work, maintain social relationships, monitor health, do shopping, make payments, etc. In the ECS value chain, IoT and SoS represent technological solutions that could significantly contribute to achieving these objectives and ensuring a quick and safe recovery. Except for the initial phase of the crisis, where we assisted in a momentary reduction in demand for IoT products, in the medium-to-long terms the impact of COVID-19 on the IoT value chain will be extremely positive. Some business areas are suffering and will suffer from ongoing losses where IoT could not contribute to recovery in the short term (e.g., the global tourism industry is expected to lose around USD 80 bn in 2020), but many other areas could benefit from IoT technologies to re-start (already during the quarantine) and even experience a significant boost of pre-COVID revenues (e.g. healthcare domain, logistics, manufacturing, etc.). The huge market dimensions and the positive expected trends illustrated in the Artemis IA whitepaper “From IoT to SoS” will result in being conservative. Analysts also believe that a larger than expected market growth is not the only consequence: the pandemic will increase the digital divide, due to the opposite and contrasting behaviours. of those that will fully embrace the digital transformation and those that will remain reluctant to do it. Embracing the digital transformation and its new business models will allow a quick recovery and will ensure a leading position for the future. A CHANGE OF PERSPECTIVE Embracing the digital transformation doesn’t mean only to adopt the state-of-the-art technologies, such as IoT, embedded artificial intelligence, hyper-connectivity, edge computing, etc., but it is much more a strategic decision, a change in the business approach, a change of perspective involving many other aspects indirectly linked to technology: - Operational and organisational processes, linked to new business models, must be “reshaped” to take advantage from the data stream collected from remote sources, flowing, stored and processed in the IT infrastructure organisation. The internal re-organisation is typically the most difficult step in the digital transformation, impacting even on the company c-levels. - Many new agile business models have been introduced in the IoT domain, subscription based, asset sharing models, data monetisation models, pay per use, service offering, razor blade, etc. Financial aspects are also involved because the payment mechanisms change with these business models. - The digitalisation process transforms the role and positioning of the company in the value chain, changing also the relations, partnerships and alliances with the other stakeholders. - The digital transformation requires new internal skills and professional expertise that can be acquired in hiring new personnel or training the existing human resources (e.g. embedded engineers, computer scientists, data analysts, system administrators, etc.). - Globally, a cultural change, a shift towards flexibility and to a more service-oriented and IT-based production, operations, management, sales, etc. is required in the organisation. A large part of the population has been forced to adopt smart working, which is already an enabling technology per se, to ensure the continuity of work activities, the primary factor in supporting the economy. Without smart working, the freefall of the global economy would had been disastrous. But smart working requires transparency, in almost any aspect of daily activities, for the employer that needs to know employee whereabouts, conduct and health conditions, for the supply chain to track and verify the origins, status and quality of goods, for companies to ensure the trusted remote execution of decisional and operational processes, manufacturing activities, etc. IoT devices and the IoT infrastructure also allow companies and people that are not or cannot be digitally connected to be easily reached. IoT adaptors or retrofit solutions combined with the latest communication technologies also bring the IoT functionalities and benefits to rural and inaccessible areas. COVID-19 requires primarily social distancing and, in the working environment, this means a first step towards reducing the human presence in everyday activities and substituting it with automation. Automation is commonly perceived as a potential obstacle to employment but, in global crisis like a pandemic, it becomes an ally to substitute humans in dangerous tasks (e.g. in hospital) and, more importantly, it ensures the continuity of processes that would stop without a human presence. In a pandemic, automation is a key factor in keeping the economy engine going. From hospital, to administration, manufacturing, logistics, etc. the availability of robots (both intelligent agents and real robot) could ensure the resilience of the society and significantly accelerate the recovery. Significant investments are expected to characterise the automation domain, in any vertical market area: production line automation, use of drones for delivery, surveillance and monitoring, connected robot for cleaning and disinfecting, etc. Remote execution could significantly take advantage from IoT-based augmented reality that, in conjunction with automation, allows the possibility to remotely execute complex tasks in many working areas, including production, maintenance, logistics, etc. IoT-based augmented reality could contribute to sustaining all the manual activities that require an individual. NEED FOR AUTOMATION The remote execution of working activities is just the tip of the iceberg that hides the area where IoT could experience more significant market acceleration: automation. AGILE SUPPLY CHAINS But ensuring the continuity of processes is not enough, because processes can only run with a working supply chain, providing the required goods, whether virtual goods (information) and/or physical goods. The supply chain has been seriously affected by the pandemic due to transportation restrictions, increased lead times, reduced manufacturing capacity, unavailability of goods, staff reduction, etc$^2$. According to a recent survey, more than 75% of the organisations in the selected sample experienced ruptures in the supply chain and more than the 80% “believe that their organization will experience some impact because of COVID-19 disruptions”$^3$. 39% of the respondents reported a severe impact in April and 22% experienced an average revenue reduction of 16% already in February. The disruption of supply chains is clear evidence that a new strategy must be identified and IoT could inspire new solutions for supply chain diversification, real-time supply chain monitoring and business model adaptation. IoT-based manufacturing plants, inventories and goods tracking cut the geographical distances, increase the number of potential suppliers and diversify the sources, contribute to costs reduction and globally improve the resilience and the “agility” of the supply chain. Moreover, IoT allows the virtualisation of assets that is fundamental for business based on multi-channel operations to unify them under a single commercial platform independent of the specific channel. This improves business flexibility and agility, specifically during crises. Virtualisation even allows the creation of an end-to-end digital twin of the supply chain, enabling the virtual exploration of different suppliers, the assessment of risks and the identification of the best trade-offs to avoid supply chain disruption. IoT also allows the adoption of business models that contribute to supply chain flexibility and resilience, for example adopting the procurement of large categories of goods as a service, a solution that relieves the balance sheet of these costs, transforming them into operating costs. TRACK AND TRACE On the consumer side, apparently the interest for IoT “traditional” applications has faded during the lockdown, while the market of connected monitoring devices for mitigating COVID-19 effects and profiling people at risk has exponentially increased and is expected to grow at this pace. This part of the IoT market is literally exploding, with any kind smart device: pendants or bracelets to ensure social distancing, smart thermometers to produce daily maps of people having fever$^4$, smart watches to provide constant monitoring of people’s vital parameters$^5$, smart air conditioners, smart access controls, smart water and beverage dispensers, smart locks, … even unimaginable IoT-native buttons$^6$, which are battery operated and connect directly to the LTE network to send instant alarm in hospitals or sensitive places. But the large clamour and interest raised by tracking applications is demonstrating that IoT-inspired solutions have the right time-to-operations, flexibility, geographical coverage, pervasiveness, efficiency, etc. to become reliable ‘first responders’ in crisis and global disasters. In record time, covering 131 countries, Google has been able to release periodic reports that “use aggregated, anonymised data to chart movement trends over time by geography, across different high-level categories of places such as retail and recreation, groceries and pharmacies, parks, transit stations, workplaces, and residential”$^7$. Also in this context, smart objects such as smartphones, smart watches or wristbands are helping to monitor the health of infected people and ensure they are correctly following the quarantine process: a study$^8$ of the data collected by wearable devices (e.g. resting heart rate and sleep duration) demonstrated that is possible to monitor and promptly discover influenza trends. SMARTER HEALTHCARE More generally, IoT has proven to be fundamental for the entire healthcare sector, specifically in all the countries that are experiencing a crisis in their healthcare system, with rising costs, long waiting lists and inadequate infrastructures. In these countries the adoption of connected healthcare is slower than expected but the current pandemic will certainly push the sector to adopt IoT-based solutions. IoT has already found its positioning in the healthcare market with a wide range of applications, telemedicine, remote imaging, patient monitoring, drug administration and delivery, medical personnel monitoring and assistance, connected ambulance, etc. The healthcare sector is expected to record significant investments in the short term, along the entire value chain, specifically for technologies that will contribute to monitoring and managing future COVID-19 outbreaks and pandemics on a large scale: - Telemedicine services help doctors during the pre-screening and diagnosis phases, reducing the number of phone calls to hospitals and allowing to start the intervention procedures only when strictly needed. Smart personal assistants (both devices and mobile app) are currently being updated to support COVID-19 specific questions, initiating the triage at home, reducing the workload and allowing doctors to focus on patients’ treatment rather than on phone calls. - Self-driving robots and automatic disinfection systems use high-intensity UV rays and special disinfectants to clean, disinfect and sanitise hospitals. Drones and autonomous vehicles are deployed to monitor and disinfect highly contaminated hot spots, or to deliver medical samples and quarantine material. At home, in hospitals, in public spaces IoT devices provided with a touchless interface can contribute to reducing the diffusion of the virus that typically can be found on doorknobs, handles, light switches, mail, packages, etc. IoT devices equipped with GPS, RFID and QR code are deployed to create virtual perimeters to define safe (or dirty) areas and control people’s movements and their observance of quarantine restrictions. - Remote monitoring is fundamental for the creation of safe locations outside hospitals (e.g. care homes, hotels, unused buildings, etc.) where patients can safely recover, releasing the pressure on essential health services and intensive care units. - Remote monitoring is possible thanks to IoT connected devices specifically conceived for the healthcare sector, such as smart thermometers, blood pressure meters, smart inhalers, glucose meters, automatic drug dispensers, etc. - Monitoring the environmental parameters and the air pollution is also fundamental, because the relationship between environmental pollution (e.g. PM 2.5) and the impact of COVID has been demonstrated. - Eventually, the large amount of data generated by IoT devices is extremely important in monitoring and tracking community-level data to understand the global evolution of the pandemic. Monitoring and tracking the health of passengers will be fundamental for the transportation sector that has been hard hit by the pandemic, specifically air transportation that has been reduced by 70-80% and is expecting a long period of uncertainty. THE TRANSPORTATION CONUNDRUM In the transportation sector, another vertical market that has been particularly hit by COVID-19 is automotive, an area that offers huge opportunities for IoT: with annual investments of around EUR 57.4 bn in research and design, the automotive sector is already Europe’s largest contributor to innovation, but it is that similar investments cannot be sustained in the next 2-3 years, also considering the delicate situation of this market before the pandemic. The significant reduction of investments will certainly impact on the evolution of the automotive market, oriented towards a scenario based on fewer vehicles, extremely efficient in terms of autonomy, functionalities, emissions, sustainability and costs. According to a recent study, the annual sales of connected cars is experiencing and will experience a significant decrease (EUR 30-35 m in 2020 and 40 m in 2021), to gradually realign to pre-COVID estimations only from 2025. The automotive industry has been forced to an almost complete shutdown of production (around 60,000 vehicles per day), therefore any technological solution, including IoT, that could contribute to restoring the supply chain and resuming the production is fundamental for this sector. Unfortunately, sales in the automotive market are also influenced by other direct factors such as the budgets of consumers, of businesses and governments that will be significantly reduced, with a direct impact on sales and R&D investments. The consumer’s reduced budget will translate into demand for less expensive cars, provided with minimal features and fewer services such as IoT, while the reduction of R&D budgets will impact on the space available for IoT projects with respect to other projects in areas like emissions reduction and electrification. IoT projects for connected cars will certainly be delayed or even abandoned, while IoT projects supporting electrification will probably see acceleration in a second stage. Consider that in recent years the costs required for the introduction of new concepts and vehicles in the automotive market have been significantly increased. In similar conditions, the collaboration between the stakeholders of the value chain is fundamental to sharing the costs and increasing the interoperability of the developed technologies and solutions. The diffusion of connected cars based on IoT technologies will also depend on the available connectivity infrastructure, a sector that requires the presence of public investments. The 5G network will play a key role from this perspective, ensuring the network coverage required by IoT solutions provided in connected cars. STAYING CONNECTED Hyper-connectivity is indeed a crucial factor for recovery and resilience in future crises. During the lockdown, the global communication networks have been subject to an unprecedented real test that no one would have ever imagined. The results of this test, which almost everyone has experienced directly during lockdown and smart working, are extremely positive and encouraging: many issues have occurred, but the overall communication networks held up. Luckily, unlike common Internet applications (e.g. stream TV, teleconferences, music, etc.), IoT has been conceived to ensure optimal use of the connectivity bandwidth, requiring a small data throughput although multiplied by millions of data sources. The global amount of data transmitted by IoT applications has not significantly increased during the pandemic and will not affect the global connectivity network, due to the efficiency of the existing IoT solutions: during lockdown, millions of existing IoT devices have been remained connected and continued to operate normally. However, the evolution of the IoT market in certain applications could encounter practical obstacles related to connectivity. For example, the healthcare sector could experience deployment issues of IoT solutions due to gaps in Internet’s geographical coverage and the limited command of technology in certain categories of final users. This is particularly true for elderly people that represent the category most exposed to the COVID-19 effects and that typically do not have a good “relationship” with technology; to solve these issues, the IoT solutions must provide a sort of ‘plug and play’ deployment and installation methods, and include also the connectivity service. Once the device is installed and connected, it is simpler to interact with the user and help him/her to correctly operate it, improving the user engagement, the quality of the service provided and of the information collected. PRIVACY AND SECURITY But more connected devices also mean more risks for security and privacy, with a potential significant reduction of the overall trust in IoT solutions. This is particularly true for the healthcare sector that significantly benefits from IoT solutions but, at the same time, is also more exposed to security and privacy risks due to the sensitivity of transmitted information. A recent study from Checkpoint Software Technologies highlights a global increase of cyberattacks during the pandemic. According to the study, the leading threats identified during the last months “was phishing (55%) followed by malicious websites purporting to offer information or advice about the pandemic (32%)”, but also an “Increases in malware (28%) and ransomware attacks (19%) have also been noticed.” Similar results have been reported by Symantec. Regarding privacy, the GDPR represents a limitation in the crisis that needs prompt reactions and technological solutions that, due to the urgency, require a reduction of privacy: the success of a tracking application that significantly contributed to containing the virus in some countries (e.g. China and Korea), could be difficult to replicate in Europe, due to the privacy limitations introduced by the GDPR. If the price of saving hundreds of thousands of lives is a reduction of privacy, it is morally correct to pay the price. More generally, the increase of cyberattacks, the new vulnerabilities and the growth of information exposed to privacy issues will consequently increase the demand for end-to-end trust solutions, for new strict security standards and for new regulations. END TO END The concept of “end-to-end” brings us to consider the market of IoT platforms, which are fundamental to increasing the resilience of supply chains, asset management, production and the processes of organisations. IoT platforms have the primary role of orchestrating the entire IoT infrastructure, therefore they represent the primary “tool” to ensure the continuity of every kind of operation. Indeed, the prominent functionality of IoT platforms is remote monitoring and control, which is fundamental to reducing human interactions and thereby ensuring the continuity of operations. IoT platforms also allow the deployment and maintenance of IoT devices to be simplified and optimised: for example, provisioning services accelerate the deployment while fully automated software updates completely eliminate the necessity of a maintenance operator. A recent study indicated that IoT platform revenues reached USD 55 bn in 2019 and are expected to reach USD 66 bn already in 2020, with annual growth of 20%. This part of the IoT value chain will follow the trend of the global IoT market, whereby the IoT platform is an integrated and fundamental component of IoT solutions. It will be difficult to maintain this trend in the long term, therefore platforms providers will need also to adjust their strategies in order to capitalise and consolidate this growth. For example, it will be fundamental to improve and broaden the functionalities and features offered by IoT platforms to support the integration/inclusion of legacy systems; considering the potential role of IoT solutions in the recovery phase and in future resilience, it is fundamental to maximise the number of vertical domains and related value chain that could benefit from IoT technologies. The support for legacy systems goes in this direction and opens up to IoT technologies an immense market, enabling recovery and resilience at reasonable and sustainable costs. The healthcare sector, with telemedicine, connected healthcare devices and vast non-digitalised assets that could be enabled by legacy functionalities is estimated to be a driver for the future growth of IoT platforms in the short term. Manufacturing and supply chain management will follow, influencing the growth also in the long term. MARKET EVOLUTION The market analysis illustrated in the whitepaper “From Internet of Things to System of Systems” provides estimations that are generally confirmed by recent studies and that could evolve as an underestimation due to the global pandemic crisis that will offer new and unforeseen opportunities for all the stakeholders involved in the IoT value chain. The studies remain conservative, in order to “absorb” the fluctuation of the current critical moment, with a number of connected devices estimated to reach 24-25 billion by 2030 (the previous estimations indicated 2025-2026) with a CAGR of the 11% and a predominant presence of cellular connections. The estimation of the global revenues is confirmed at USD 1.5 tr by 2030 (USD 1.1 tr by 2025), with a geographical share evenly distributed: 23% Europe, 24% North America, 26% China and 27% in the rest of the world. Figure 4 provides an estimation of IoT revenues in a set of vertical domains complementary to the ones considered in the whitepaper, globally none of the considered verticals is expected to witness a decrease their growth in the medium/long term, while in the short term it depends on the vertical in which IoT is adopted. To take an example, with respect to the pre-pandemic estimations, the automotive sector with connected vehicles is already experiencing a significant drop in its growth trend (from 30% to 15%) that will be confirmed in the short term. A similar trend is expected for the entire transportation market, with extreme drops for air transport, for which it is very difficult to provide future predictions. Another sector that has been strongly hit is building automation, with a drop of 15% already in 2020, due to the global lockdown of business premises (both existing and in construction) and a similar trend in the reduction in revenues is expected for portable information terminals, payment systems, smart parking, smart meters (the smart grid sector is already experiencing a revenue reduction of 17%) and in general for all the IoT-based solutions that have been affected by the supply chain disruption, by a low level of production and by deployment issues due to the lockdown. All these sectors are expected to slowly realign to the previous estimations starting from 2021. In the short term, a significant boost in the growth trend is expected for consumer products (specifically for health), for the healthcare sector, for manufacturing and for the supply chain automation, that is, for all the primary sectors of our society and economy that require a fast recovery, continuity and a significant transformation to improve the resilience in future crises. The pandemic has also highlighted the fundamental role of agriculture during a crisis and, supported by IoT technologies, smart and automated agriculture is expected to definitely take off in the next 2-3 years. READINESS FOR RECOVERY In this panorama, organisations are relying on the digital transformation to speed up recovery and ensure long-term growth, although the digitalisation road maps will probably be completely re-shaped to face the new challenges generated by the pandemic and to comply with potentially reduced budgets. Starting a new digital transformation project is not an easy task, because of the uncertainty of the potential return and due to the lack of familiarity with IoT technologies among many organisations. According to Gartner$^1$, already in 2019, 82% of interviewed CEOs have planned digitalisation initiatives to improve their business and certainly this percentage will increase due to the pressure generated by the pandemic. To confirm the value of this approach, if we consider the recession during 2008-2009, the organisations that better resisted the crisis and that were able to quickly recover continued to invest 5-7% of their IT budgets in digital transformation projects during the recession: trying to anticipate the future creates a competitive advantage that can be promptly exploited as soon as the conditions allow it, but it also lays the foundation to support and consolidate long-term growth. Currently, most organisations are still in the “triage” phase, trying to assess the situation, define budgets cuts, reduce the head count, lower operational costs, sell assets and set up contingency and recovery plans: when significant revenue drops are expected, organisations enter a sort of “conservative mode”. Despite the tendency to stay conservative, in the “triage” phase it is fundamental to continue to invest in the digital transformation and avoid stopping the related projects, in order to be ready for the recovery phase. It seems unreasonable, but the lockdown and the shutdown of many operations and processes allow the organisation to find time to identify new paths to innovation and business growth. Eventually, the recovery phase will require a readiness to fulfil the restarted customer demand that, although growth can be expected to happen slowly, will benefit greatly from IoT solutions. The impact of the pandemic is and will be so serious that a return to complete normality is not expected very soon, extending the lack of budget and resources for IoT projects to the rest of 2020, but in the long term investing in the digital transformation will be fundamental to improve resilience and reduce the effects of future crises. The direct lesson we can learn from COVID-19 pandemic is that solving immediate problems is not enough if the adopted solution doesn’t prevent their presence again in the future. IoT will play an important role in containing and treating COVID-19, but it is also the right solution to monitor, prevent and control future pandemics. --- 1 From Internet of Things to System of Systems – Market analysis, achievements, positioning and future vision of the ECS community on IoT and SoS, An Artemis-IA whitepaper, Paolo Azzoni, April 2020 2 Coronavirus Alters Supply Chain Dynamics Impacting People, Products and Costs, Gartner Research, 2020/02/24. 3 COVID-19 Survey: Impacts on Global Supply Chains, Institute for Supply Management, 2020/03/11. 4 https://www.healthcareitnews.com/news/digital-thermometer-data-may-provide-insight-covid-19-surges 5 https://www.cnbc.com/2020/03/18/hong-kong-uses-electronic-wristbands-to-enforce-coronavirus-quarantine.html 6 https://www.visionstate.com/post/visionstate-ships-first-iot-buttons-for-rapid-response-to-cleaning-alerts 7 Helping public health officials combat COVID-19, Google, 2020/04/03 8 Harnessing wearable device data to improve state-level real-time surveillance of influenza-like illness in the USA: a population-based study, Jennifer M Radin, Nathan E Wineinger, Eric J Topol, Steven R Steinhubl, The Lancet Digital Health, 2020/01/16 9 How Hospitals Are Using AI to Battle Covid-19, Kelley A Witthold, Colleen Carroll, Marca Iansiti, Haipeng Mark Zhang and Adam B Landman, Harvard Business Review, April 03, 2020 10 Exposure to air pollution and COVID-19 mortality in the United States: A nationwide cross-sectional study, Xiao Wu, Rachel C Nethery, M Benjamin Sobotich, Danielle Braun, Francesca Dominici, Harvard TH Chan School of Public Health, April 2020. 11 Forecasting IoT in a world turned upside down by Covid-19, Transforma Insights, 2020/04/07. 12 A Perfect Storm: the Security Challenges of Coronavirus Threats and Mass Remote Working, Checkpoint Software Technologies, 2020/04/07 13 https://symantec-enterprise-blogs.security.com/blogs/threat-intelligence/covid-19-outbreak-prompts-opportunistic-wave-malicious-email-campaigns 14 The Internet of Things: Consumer, Industrial & Public Services 2020-2024, Juniper Research, 2020/05/05 15 From Internet of Things to System of Systems – Market analysis, achievements, positioning and future vision of the ECS community on IoT and SoS, An Artemis-IA whitepaper, Paolo Azzoni, April 2020 16 The IoT in 2030: Which applications account for the biggest chunk of the $1.5 trillion opportunity?, Transforma Insights, 2020/05/21 17 Preserving Your Digital Growth Investments During Economic Uncertainty, Gartner Information Technology Research, 2020/04/08 The digital transformation is a process that involves the use of information technology to change the way an organization operates, from its internal processes to its external interactions with customers and suppliers. It encompasses a wide range of technologies, including cloud computing, artificial intelligence, machine learning, big data analytics, and more. Digital transformation can be driven by various factors, such as the need to improve efficiency, reduce costs, enhance customer experience, or stay competitive in a rapidly changing market. It requires a strategic approach that involves identifying the right technologies, developing a clear vision, and building a culture of innovation within the organization. To successfully implement digital transformation, organizations must invest in training their employees, fostering a culture of collaboration and experimentation, and ensuring that they have the necessary resources and support. They should also be prepared to adapt and evolve as new technologies emerge and the business environment changes. In conclusion, digital transformation is a critical aspect of modern business operations. By embracing this process, organizations can unlock new opportunities for growth, innovation, and success in the digital age. Over the course of ten calls, ECSEL Joint Undertaking has driven 64 projects with over 2100 participations and 3.4 billion euros in RDI costs. From digital healthcare to automotive data sharing, these have generated innovations that touch upon almost all aspects of daily life in Europe. But what exactly does ECSEL’s impact look like and what does it mean in terms of manufacturing culture and collaboration? Two participants from opposite corners of Europe share their views. READYING THE TECHNOLOGY Founded in 1960 within the framework of the Latvian Academy of Sciences, the Institute of Electronics and Computer Science (EDI) is now a state research institute conducting fundamental and applied research into areas such as extremely precise event timing, remote sensing and space data processing, robotics and machine perception, signal processing and embedded intelligence, smart sensors and IoT. It’s also a long-time participant in ECSEL’s larger basis, having been part of the ARTEMIS programme that was merged into ECSEL in 2014. “To cut a long story short, Latvia found success with ARTEMIS so we decided to commit to ECSEL too,” explains Dr. Kaspars Ozols, Deputy Director of Development at EDI. “We already had quite a lot of partners from the ARTEMIS programme at that point and we went to a few brokerage and face-to-face meetings to find more and to start writing project proposals. At the moment, we have eight ongoing ECSEL projects, although it’s a bit early to comment on the results because we’ve completed only one. But two more are finishing this year: I-MECH and AutoDrive.” For its various projects, EDI’s focus has been on developing its proof-of-concept prototype systems, which are around TRL 4-5 and can be further developed into market-ready products after the project. In the I-MECH project, this means low-latency, real-time wireless sensors with a wireless charging functionality; in the AutoDrive project, it corresponds to a fail-aware, fail-safe, fail-operational vehicle-to-X communication device for cars to enable wireless communication between cars and infrastructure such as traffic lights. “ECSEL’s Research and Innovation Action platform is great for this because you receive all the requirements and specifications from leading industrial companies in Europe, as well as ideas for the architecture,” says Kaspars. “You can really shape the content into something which is needed in industry, which we did in both projects. In Latvia, we have a specific programme that allows you to do the feasibility study, market analysis and commercialisation plan, supported by European structural funds. When the experts see that there is definitely market potential, they give additional funding to bring technology to TRLs 6, 7 and 8. This makes it much more interesting for big companies and SMEs to buy and adapt it. ECSEL is perfect for us as a starting point for validating proof-of-concepts in order to enter this next phase.” A CULTURE OF INNOVATION For EDI, the long-term goal is to foster the development of a knowledge-based economy in Latvia. From this perspective, the eight projects still in progress are already showing highly promising results: between 2011 and 2018, Latvia’s innovation performance on 27 criteria rose by 17.7% of the EU average. According to the European Innovation Scoreboard, this makes Latvia the third fastest growing innovator on the continent. “In 2015, my feeling was that most of Latvia’s needs were satisfied by buying things. If something was not on the market, we just had to wait until somebody else developed it,” Kaspars notes. “I knew that this needed to change, and Latvia in general thought the same. ECSEL was and still is a great instrument for creating new technology and generating this innovation. Since joining this environment, the culture of Latvia has changed somehow. Programmes have been developed and we have demonstrators and prototypes which can be commercialised. This is what has and will facilitate Latvia’s rise on the scoreboard.” Critically, ECSEL’s impact has the potential for a snowball effect in Latvia: a self-perpetuating cycle of funding and innovation. “Latvia isn’t the worst country in Europe for expenditures on R&D, but the share of GDP going into the sciences is very low,” Kaspars says. “Countries like Sweden or Germany are spending about 3% on science, but it’s around 0.6% for Latvia right now. ECSEL is therefore crucial for the scientific community as we can receive additional funding or contract research projects and strategically develop ourselves, attract new employees and build up knowledge capacities. Thanks to ECSEL and our nine projects, we were able to recruit many more researchers and extend our scientific knowledge in new research areas. I hope that our national authorities will see this and act on it too!” THE NEXT LINK IN THE CHAIN Almost a thousand kilometres away, the Netherlands holds the dual title of Europe’s fourth biggest innovator and its seventh fastest growing. Thanks to this established presence in international R&D, Dr. Ronald Dekker of Philips and Delft University of Technology is well-positioned to discuss longer-term impacts. “I was invited by somebody else at Philips to join the ENIAC/ECSEL project INCITE in 2013. I was not into European projects at that point – actually, I thought it was a lot of rubbish! But then I had a very good experience and really saw how it works when you bring a large group of people together.” Most crucially for Ronald, there’s more to ECSEL than funding: it’s also about doing things collectively that otherwise wouldn’t be possible. “One way or the other, I got involved in writing a proposal for ECSEL – a call for pilot lines, the InForMed project,” he continues. “This was really the umbrella to which we connected all subsequent projects. It got a lot of attention, including a demonstration in the European Parliament, and evolved into the POSITION project. Around that time, we also developed the vision of an open technology platform, which we are now advocating for in the Health.E Lighthouse, and the Moore4Medical project for this took off on 1 June 2020.” In a nutshell, INCITE is about concepts for smart catheters, InForMed is for the infrastructure to manufacture them and POSITION is about bringing technology platforms to a higherTRL; a chain of projects that build on one another for maximum impact. As a result, Philips has become one of the leading manufacturers of smart catheters for coronary applications worldwide. “When we started INCITE, Philips was not doing smart catheters,” Ronald notes. “But we had the vision that catheters would become important to us. Three years later, I arrived at work one morning and, lo and behold, [Philips CEO] Frans van Houten announced that we had acquired Volcano, then a leading manufacturer of smart catheters. In a research organisation, they don’t tell you every business move in advance. Yet through these three projects, we were able to step into this new market seamlessly. That’s the thing I’m most proud of.” BEYOND THE PROJECTS With its vast consortia – typically between 50 and 70 partners per project – it’s no surprise that another big impact of ECSEL is the creation of durable networks and ecosystems. “ECSEL is like a culture dish,” says Ronald. “You see all kinds of microorganisms, by which I mean collaborations that transcend the project itself. There’s something more than just the technology, it’s an environment in which collaborations and ecosystems can grow. Time and time again, I’ve seen new working relations that were not anticipated but which are very fruitful. From InForMed, for example, we have two start-ups. One is a fast-growing company called Salvia$^1$, which is making an implant to treat chronic migraine. The other is BI/OND, which works on organ-on-a-chip devices. Many years after InForMed, they still use its network extensively. You create an ecosystem and part of it survives or even grows. This is very satisfying to see.” Close cooperation over borders is one of ECSEL’s most important ingredients as well as one of its biggest impacts. This is what allows its technological results to be disseminated to all corners of the continent and increases Europe’s competitiveness on a global scale. “For me,” concludes Ronald, “ECSEL is like oil in a machine – without it, the machine doesn’t run. One example is how you can connect to technology suppliers and potential users. Take our technology platform for smart catheters. We hope that other catheter manufacturers are going to use it, but if we just say ‘hey, we have a nice technology platform for you’, they’ll close the door on us. If we can say, ‘I have a technology platform that we can develop together and I can also bring in some funding,’ the door stays open.” --- $^1$ I-MECH - Intelligent Motion Control Platform for Smart Mechatronic Systems (GA. 737453) https://www.i-mech.eu/ $^2$ AutoDrive - Advancing fail-aware, fail-safe, and fail-operational electronic components, systems, and architectures for highly and fully automated driving to make future mobility safer, more efficient, affordable, and end-user acceptable (GA. 737469) https://autodrive-project.eu/ $^3$ https://www.salvianeuro.com $^4$ https://www.gobiond.com FROM INTERNET OF THINGS TO SYSTEM OF SYSTEMS DRIVING THE EVOLUTION OF FUTURE MARKETS by CHRIS HORGAN To cite the Executive Summary of this whitepaper written by Paolo Azzoni, Research Programme Manager at EUROTECH Group and chairman of the Working Group ‘From IoT to SoS’, “Digital transformation is shaping our world in unprecedented ways, at a rate of change never seen before, potentially improving our daily life and our society, disrupting the traditional businesses and representing a must to secure companies’ competitive edge. Digitalisation creates a link between the physical and the digital worlds and the dynamic interaction between these two worlds constitutes one of the strongest driving forces that will shape the evolution of future markets, potentially in every vertical domain.” EXPLICIT AND REAL IMPACT This recently published whitepaper is the culmination of two years of a labour of love in which Paolo sought to concretise the major advances and real impact that ARTEMIS-IA and ECSEL projects have generated over the past decade or so. It is full of content, and the very tangible examples of initiatives and projects not only represent the huge impact of the ARTEMIS-IA and ECSEL communities over the past decade but also provide a platform for the ECS community to make explicit this very actual and real impact. In this article, it is not the intention to paraphrase the contents of the whitepaper, which can be downloaded from the ARTEMIS-IA website, but to garnish the report, as it were, with insights that inform the purpose, processes and procedure that led to the finished product. Its raison d’être. Paolo recalls the origins of the whitepaper. “I started discussing this topic with Jan Lohstroh and Laila Gide, who was then President of the ARTEMIS-IA, a few years ago when the whole IoT world in Europe appeared to be shrouded in some kind of fog – there seemed to be no concrete profiling of what was being achieved by ARTEMIS and ECSEL. So I felt it was time to let the community, European business, the political masters know what real achievements were being made by real people in real projects. To make the intangible tangible. Products with impact on the market and on society, something that has become increasingly evident over the past few years.” RELEVANCE IN A REDRAWN LANDSCAPE To this end three actions were started up. Paolo: “We created a specific IoT working group, we completely reshaped and redefined the ARTEMIS focus areas, and we produced the whitepaper.” In the process of producing the whitepaper, the research was very inclusive and comprehensive, incorporating many sources of information, and including a review of all the documentation available along with interviews with a number of the project leaders. “We intended to position the ARTEMIS community in the international panorama,” Paolo continues, “with respect to the other European initiatives and programmes focused on IoT. The more the landscape became redrawn, the more essential it was that our The whitepaper “From Internet of Things to System of Systems”, which can be downloaded from the ARTEMIS-IA website: https://artemis-ia.eu/publication/download/artemis-iotsos-whitepaper.pdf IoT and SoS can be considered as the backbone of digitalisation, providing scalable technologies capable of managing billions of connected devices and generating potentially more than USD3 trillion worth of revenues in the next 3-5 years. The shift of computing to the edge, hyper-connectivity, artificial intelligence, security awareness and sustainability are the short-term linked trends influencing the IoT evolution. ARTEMIS/ECSEL projects have investigated IoT at both hardware, software and system levels, in order to build solid foundations on the edge of IoT (e.g. for sensing, actuation, processing and connectivity), defining the IoT/SoS stack and providing integration solutions to create and manage the entire IoT/SoS infrastructure. One of the roles of ARTEMIS/ECSEL projects has been exactly to allow partners to reach a better understanding of IoT from many perspectives, technical, engineering, operational, vertical applications and consequently also from the business perspective. IoT generates a radical change in the structure of the current and future economic system, transforming the linear value chain in a nonlinear value network. Any business combination in the network could potentially generates new revenue streams. A single company is not capable to offer an all-inclusive IoT/SoS solution, sustainably covering the entire lifecycle of IoT and SoS, while an ecosystem of companies with complementary competences and businesses is a more appropriate solution. The ECSEL community must evolve towards a wider ecosystem of stakeholders really conscious of the interdisciplinarity and heterogeneity of IoT/SoS, committed to sharing and joining their forces and expertise to fully cover the future IoT and SoS value networks. focus was kept on the demands of European industry and society. In this whitepaper we have selected 58 projects (of 107) in ten years in which so much good work has been done.” The whitepaper is the first publication in ten years to draw the entire picture, to give a voice to the achievements. “It’s a backtrack assessment that is full of excellent results. It seemed like a good moment in time to get the message out there, loud and clear,” Paolo says. “To demonstrate that our message of impactful work is backed up by real achievements that are getting through to the market and are having an actual and growing impact in business and society.” The analysis clearly highlighted that the ECSEL community has all the ingredients (technology, business models, managerial schemes, operational rules) to create IoT/SoS solutions to go into a global market. This study is an opportunity to underline ECSEL members’ contribution to IoT in the light of other European initiatives in the same domain. “However,” adds Jean-Luc di Paola-Galloné, ARTEMIS-IA President, “there are still significant obstacles to remove and challenges to face like safety, trust, availability of open platforms, interoperability and engineering support. The market study (particularly the trends), the assessment of the achievements and of the investments of previous projects allow us to clarify where we must invest in research and innovation, where we need to remove the barriers and provide solutions that speed-up the IoT uptake.” COVID-19 pandemic is exercising a push in this direction. In many cases, it is making this switch mandatory. IoT has the potential to automate and control many processes that have so far been human-centric.” OPPORTUNITIES ABOUND Given the dramatic and unavoidable changes in the economy and society of post-COVID-19 era (see the article on page 10 by Paolo in this issue), IoT/SoS will have an accelerated importance that will require valid research, implementation and control. “Opportunities abound,” Paolo states. “The whitepaper offers education, information and signposts to plot the future. Also the policymakers and decision-makers, like the European Commission and Member States, who are tasked with assessing the impact of the research that they fund. It gives them a reference tool to do this on the basis of real, tangible results. The bottom line is that if you look at the estimated investments – 700 million euros – this is modest when compared to the excellent and often brilliant results achieved by the ARTEMIS and ECSEL communities.” “In short,” concludes Jean-Luc, “this study should bring a substantial pillar within the battle for European digital sovereignty. It brings an essential brick to consider the future of the key digital technologies not only to support semi-conductors’ innovations as stand-alone, but to have an ECS approach on a true eco-system based on the importance of the strategic market value in the future.” ARROWHEAD TOOLS AND THE ADDED VALUE OF ECOSYSTEMS NETWORKS AND COLLABORATION IN EUROPE by JERKER DELSING, JOHANNES KRISTAN AND MATEUSZ BONECKI What do Arrowhead Tools, ARTEMIS Industry Association and ECSEL Joint Undertaking all have in common? As ecosystems for innovation, these bring together key players from all sectors of the value chain and provide the environments in which Europe’s next technological breakthroughs can occur. Using Arrowhead Tools as a framework, three participants from the worlds of academia, large enterprises and SMEs share their thoughts on the added value of such set-ups. A FOUNDATION OF TRUST With a budget of 90 million euros and 80 participants, Arrowhead Tools is Europe’s largest project for industrial automation and digitisation solutions. ARTEMIS vice-president and project coordinator Jerker Delsing takes a moment to outline how this enormous ecosystem came to be. “The Arrowhead project started in 2013 and went until 2017, during which the Arrowhead Framework was launched as an open-source project for creating interoperability. Arrowhead Tools builds on the results of Productive4.0, with a one-year overlap, and has been extremely productive.” Interoperability is a vital foundation for modern industrial ecosystems: if every organisation focuses on its own heterogeneous or legacy systems, collaboration and continuity will always be harder to maintain. “Right now, we’re creating long-term governance for technology like this,” explains Jerker. “The Arrowhead Framework turned open source in 2016 and things moved to Github about a year and a half ago, providing a certain professionalism in terms of code and documentation. This means that more solid trust can be built. We’re now in a position where the open-source element is becoming part of Eclipse, which has a very clear strategy on how a successful open-source project can build on active ecosystems.” The professionalisation of an ecosystem also means the creation of long-term governance, a vital ingredient in ensuring impact beyond the end of an initial project. Take Linux, for example, which gathered interest in the late nineties. “If you look at Linux today, who is supporting them?” Jerker asks. “It’s all the big players. All other Unix versions are dead but Linux is one of the two major operating systems worldwide. This is what happens when you create a stable and agreed-upon way of further developing and maintaining a piece of software.” Long-term success as an ecosystem also means striking the perfect balance between fundamental and applied research. In Arrowhead Tools, for instance, 30 participants come from academia. As a professor at Luleå University of Technology (LTU) in Sweden, Jerker naturally recognises the importance of work at lower TRLs. “From an academic viewpoint, the motivation for us to work with industry is very clear: industry houses the problems which we can generalise and come up with solutions for. Where there’s an openness in the sharing of results, there’s an atmosphere which is super creative. This creates motivation for faculty like me and my students here at LTU as we feel like we really contribute to the competitiveness of Europe.” Another benefit for universities is the circular nature of networks and the tendency for results to be fed back into academia as the basis for new course content. This has been the case for ECSEL project outcomes and LTU’s Computer Science curricula, while the book IoT Automation: Arrowhead Framework was published in 2017 and is now used as a base material for automation courses at several universities. In Jerker’s view, this is the positive outcome of being an attractive partner. “Universities always seek to exchange information with others, but many academics are focused on just publishing their papers and hoping somebody cites them. That’s one way of getting recognition, but another is getting industry to want to cooperate with you. Big companies don’t care where we are; they care if we have the competencies and if students are coming out of here with a modern way of thinking. This builds up the reputation of the university and is why we’re asked to lead these very large initiatives. Again, it’s all about creating trust.” THE FUTURE IS OPEN SOURCE “Academia develops promising ideas,” agrees Johannes Kristan. “On the other hand, you have the real world, where those ideas have to be applied. Projects like Arrowhead Tools are really good for bringing these two worlds together. We can pass on our constraints, such as how to actually operate a system on a shop floor. You have to put a lot more into a technology stack than just the features that are publishable in academia. All sides need to work on better solutions.” Johannes is a Senior Expert at Bosch.IO, one of the two Robert Bosch GmbH subsidiaries within Arrowhead Tools. There, he works on underlying open-source technologies to enable the creation of services and solutions for other Bosch branches and external partners in different domains as part of the commercial Bosch IoT Suite. “Our idea,” Johannes explains, “is to use the experience and domain knowledge of Arrowhead partners to improve the Eclipse IoT stack for industrial automation use-cases. As part of that, we’re the task leader involved in combining the Eclipse IoT stack with the Arrowhead Framework.” Regarding the experience so far, he’s quick to point out that ecosystems are what you make of them – you need to put something in to get something out. “Jerker is doing a good job in ‘herding’ all of these many participants towards building a platform, but you also need to actively address issues yourself! You need to be aware that it’s not always easy to know who’s involved, so use everything a project gives you. Speak to as many people as you can and try to build up your network inside the community.” The advantage, of course, is that these internal networks provide a good impression of the problems and objectives of manufacturers, such as which technology they’re looking for. One example is the desire for data to remain on-site instead of travelling to an external cloud and being stored and processed on infrastructure which is not under the full control of the manufacturer. This is provided by the Arrowhead Framework. Johannes: “We also believe that building open-source software is the way to go, and we as a company need a clear and strict framework to do that. Part of this is an open-source license and processes to ensure that projects comply with this license. The Eclipse Foundation is providing this legal framework.” In other words, open source is an enabler for building up ecosystems, but it needs a strong legal framework if it is to be used securely by companies. Openness helps to generate trust among manufacturers as they can examine the code and even audit it, which is not as easy or perhaps even impossible for closed-source software. Open-source software also offers possibilities for long-term support as this can be done within this community rather than being bound to a specific supplier. Bosch.IO is also keenly aware of the value that smaller enterprises bring to the table, having enjoyed fruitful discussions with Polish SME DAC on broader topics in the automation domain. “The exchange of ideas is one thing and the other is finding out what can be integrated into a common platform, which means making those SMEs aware that there is a platform such as the Eclipse IoT Stack. For many of them, this is an opportunity to get into the right communities. This is good for us as bigger and more vibrant communities produce better ideas and funnel their efforts into a commonly-accepted platform,” says Johannes. “We are internationally-oriented. For the future, we therefore hope that European collaboration can build up common technologies and not only rely on offerings from other markets. Again, it’s nice to have an ecosystem like Arrowhead so we don’t end up developing ten small solutions that only address a fraction of the market when we could join forces to create large, reliable platforms that can compete globally. It’s important for us to stress that open source is the way to collaborate on an international level. It really makes it easy for companies to generate solid, competitive offerings from inside Europe.” VALUE MOVES DOWNSTREAM What, then, do SMEs make of these extensive collaborations across borders? Mateusz Bonecki, Chief Innovation Officer at DAC, first takes a step back. “Before we enter into a discussion of the Arrowhead ecosystem, we must grasp its scale. Let’s look at three members of our consortium: Infineon, STMicroelectronics and Philips. In 2018, these three groups corresponded to 10–13% of the total EU turnover in the manufacturing of computer, electronic and optical products. Projects like Arrowhead Tools or Productive4.0 are truly ecosystemic because their eventual impact on industry is defined in terms of macroeconomics.” Although this figure suggests domination by larger players, SMEs hold a crucial and perhaps underrated role. In 2018, for instance, the added value share of SMEs in the European non-financial sector was estimated at 20-40% for computer and electronics manufacturing and as much as 40-60% for computer programming. “SMEs’ contributions to the high-tech industry are significant. However, they generate more value in the software sector than in electronics production,” explains Mateusz. Software applications are concentrated mostly in the later stages of the electronic systems value chain, which the 2019 ARTEMIS/Advancy report Embedded Intelligence: Trends and Challenges suggests will be the fastest-growing segment this decade. “We see large enterprises like BMW acquiring start-ups that provide software applications for navigation, carpooling and so on. They’re getting ready to embrace opportunities emerging at the software-hardware frontier.” This is also an opportunity for SMEs, Mateusz: “Their role will be to provide applications that generate additional revenue streams on top of original equipment sales, such as connected cars, CT scanners or even shop floor equipment.” By simplifying SME access to manufacturing equipment capabilities, Arrowhead paves the way for the development of such extra functionalities. “Think of a small company specialised in AI. Through dedicated services, developers can now retrieve data, train machine learning algorithms and ultimately optimise the performance of manufacturing equipment. In this way, the Arrowhead ecosystem could transform into a market of smart services for industry.” For DAC, which focuses on solutions for the digital industry, involvement in Arrowhead’s ecosystem began with data applications for embedded intelligent systems which the company had developed in Productive4.0 – a project which saw the Fourth Industrial Revolution in terms of the integration of digital production, supply networks and project lifecycle management. Arrowhead Tools seemed like a great opportunity for DAC to enable the cooperation of industrial frameworks and legacy systems along the value chain. Notably, one in every three partners in Arrowhead is a small or medium-sized company working on IT solutions for sectors as diverse as mining, food processing, energy and – of course – manufacturing. In some cases, SMEs deliver solutions to more traditional industries. In Mateusz’s view, this is the perfect illustration of their dual role in Industry 4.0 as a whole: both high-tech solution suppliers and adopters undergoing the process of industrial digitisation. “Take, for example, the idea of setting up a new corporate R&D unit to develop digital twin technology. Such a change takes time and entails some overhead. But somewhere, there might be a group of engineers or start-uppers who are working on applicable technology and are capable of delivering an early prototype in a relatively short time and at a lower cost. They can either be acquired by a large enterprise or market the product themselves, which I find extremely beneficial.” This support runs both ways. While companies like Bosch or Siemens drive digitisation and can invest in R&D or new software stacks when faced with legacy issues, many smaller enterprises – especially in mid-tech production sectors – struggle to adapt to Industry 4.0 technology. “To support manufacturing SMEs in the integration of their IT and OT with innovative technologies like IIoT, smart sensors or AI, interoperability and flexibility are needed. This is the promise of Arrowhead,” Mateusz concludes. “The Arrowhead ecosystem is dynamic. Just as dynamic is the IT market, so Arrowhead interacts, learns and explores new opportunities. Last month, for example, the Productive Intelligence consortium (led by Infineon) applied for funding in an ECSEL call to strengthen the European economy through AI applications for the manufacturing industry. We welcomed many new partners because new objectives always require new competencies. But we also reached for proven solutions. This time, Arrowhead was called upon to help in the development of edge AI. Every time we meet, we gain new perspectives.” ROLE MODELS, QUOTAS AND EARLY ENCOURAGEMENT by SABINE HERLITSCHKA, VEERA KOSKINEN, ELISABETH STEIMETZ AND DORIS VIERBAUCH Where does Europe stand on gender equality in science and technology today? What can still be done to improve this situation? And what does equality even mean? For this issue of the ARTEMIS Magazine, four representatives from Infineon Technologies Austria, VDI/VDE Innovation + Technik GmbH, the Austrian Research Promotion Agency (FFG) and Business Finland came together for a dialogue on these issues and more. THE MEANING OF GENDER EQUALITY According to the United Nations’ Sustainable Development Goals, “gender equality is not only a fundamental human right, but a necessary foundation for a peaceful, prosperous and sustainable world.” The practicalities, however, are subject to a great deal of discussion. “To me, gender equality is about everybody having the same possibilities to access education, equal pay, etc.,” begins Doris Vierbauch, FFG Senior Expert and Chair of the Public Authority Board of ECSEL. “Of course, it’s also about the protection of women against violence and discrimination. Today, the country and social class in which you grow up, still determines the chances you have in life and whether you will probably suffer from inequalities. There has been a lot of progress in the last decades in Europe, but we still haven’t reached gender equality. Experience shows that it is not enough to have nice papers and brochures about gender equality. Theory and reality, unfortunately, are often far apart. Initiatives such as the ‘Equal Pay Day’ are therefore very important to raise the awareness.” As the CEO of Infineon Technologies Austria and chair of the ECSEL Governing Board, Sabine Herlitschka first takes the opportunity to thank ARTEMIS for reporting on this issue. “However, I think having four women talk about gender equality is not the right approach. Gender equality is not a women’s support programme or an issue only women have to discuss. To me, gender equality means that as a society and as companies, we understand that diversity is a huge source of opportunities and competitiveness. We will have achieved something when occasions/events on gender equality gather much stronger men’s interest because they are eager to search for more gender diversity.” “I think that gender equality will have been reached when there’s no discussion of it anymore – when we just have equal rights, opportunities and salaries and the role of women is no longer having to step back when you have children,” adds Elisabeth Steimetz, director of EPoSS and a member of VDI/VDE. “We have laws and rules in place in Europe, but we have not reached gender equality yet.” “It’s not only the absence of discrimination but also positive encouragement,” says Veera Koskinen of Business Finland. “To provide equal opportunities in education and careers, we need to work on the rigid social structure in which girls are pushed towards certain interests and professions and boys towards others. They need to be encouraged equally. If you extend it further, it’s about traits that are typically viewed as feminine. Men should be able to share these traits and express these emotions.” 100 YEARS OF MAJOR CHANGES Sabine kicks off the main discussion with a positive reminder: “2020 is the 100-year anniversary of women being able to vote and study in Austria. Today, we have significantly lower hurdles in terms of formal framework conditions. I think it’s important to remind us that a lot has improved over the last century, formally speaking. We should not always focus exclusively on the limitations. It’s about the best opportunities we’ve ever had nowadays. “Of course, the informal settings are also important. We do still have a very traditional societal model and difficulties with childcare institutions, among other things. Nevertheless, I think that our role as individuals (as well as a community) is to encourage women, not to get passive and wait for all the conditions to change. It’s about taking your life into your hands and making your opportunities real.” “Until 1975, women in Austria had to ask their husbands if they are allowed to take on a job. Like Sabine said, we are still a very traditional society,” Doris notes. “But in my experience, the situation has improved a lot over the last 20 years and gender equality gets more attention than in the past. There was a time in my life when I felt I had to work harder than men in order to reach my goals, such as a certain position, a salary level or whatever. It was not always easy for a young female academic in a male-dominated area. Some people were even surprised that I had the same expectations and demands as men. What experience also proves is that one of the most important things with regard to gender equality is to constantly work on that topic. If we stop, we might lose what we’ve reached so far. It’s like doing push-ups. It’s hard work, it’s a pain, but you get good results in the end.” Having previously worked in industry for 13 years, Elisabeth Steimetz provides a comparable example from her own career. “When I was travelling a lot in Japan and Korea 20 years ago, I faced huge difficulties. I was once at a conference dinner as an invited speaker and one of the professors said to me: ‘What are you doing here? Don’t you have a husband taking care of you?’ This is something you might experience working in science and industry, where people are not expecting too many women, but a lot has changed in Asia and Europe since then.” “I remember my first job very well,” agrees Sabine. “It was the mid-eighties and the head of HR of that company told me very frankly – without any concern whatsoever – that of course you earn less than your male colleagues. In today’s discussion, this might sound bizarre. Such explicit behaviour is not possible anymore; nowadays, we have laws prohibiting this. Organisations in Europe are challenged to demonstrate the fair treatment of women.” For Veera, the youngest participant in the dialogue, the effects of these societal changes are already visible. “I can’t say that I’ve had these challenges or that I’ve ever been treated as a representative for women in my career. I’m very lucky in that sense. When we had EFECs last year, I was the organiser here in Finland. I knew that the environment would be quite male-dominated and I was a bit nervous as I’m used to more 50-50 environments. But I actually noticed how welcoming the community is. Not once in those three days was I treated differently because of my gender. The community is open to women, we just need more women to welcome in.” THE TRICKY QUESTION OF QUOTAS In the question of how to practically involve more women in communities like ARTEMIS, three themes emerge: effective role models, concrete targets and the use of quotas. Regarding the former, Elisabeth points to the tiny minority of female students in technical domains in Europe. “This has nothing to do with the interests of women in science and technology but rather with the way children are still brought up today. We can’t change that through laws but only by setting examples. It’s important that you have female leaders showing that it’s possible to be successful and still have a family, for example.” “I think you’re completely right,” says Doris, “and there is also the challenge of informal networks in which men simply have more experience because they’ve been doing it for a long time. As they often have better networks, men are able to use information gained in advance. In 2002, the percentage of women working in R&D in Austria’s corporate electronic sector was at 12.9 %; it increased to 17.2 % in 2017. This is actually a sector in which the female share is far below average, which demonstrates that women have a great deal of catching up do. It might also explain why we do not have the networks that men have – not yet, at least.” Elisabeth agrees. “It may have something to do with man-to-man relationships. Even if qualified women apply for an executive position, a man will still often be selected if there are no quotas in place. They would of course not tell you that there was a male candidate in their network who they had to promote; they will find another very good reason for their selection. I’ve experienced that myself.” “Building on what you just said, Elisabeth, a difference compared to a few years ago is that such selection processes are being challenged for a higher transparency level,” Sabine adds. “We do have a legal framework that allows for closer looks at why a man has been hired over a woman. In many cases, women have to be preferred in the case of equal qualifications. The people who do these selection processes now have to justify their decisions. Equal pay for equal work is still an issue but companies and politicians alike are also being called upon to create and further develop transparency here. We at Infineon Austria are committed to gender equality in our pay and have a uniform salary scheme for men and women, which is ensured by regular monitoring.” For Veera, quotas are one obvious solution to both the comparative lack of women in the field and the difficulty in progressing past biased interviews. “Pretty much everybody knows that Finland has the youngest female prime minister and a female-led coalition. We’ve had quotas since the eighties so there’s a long tradition of equality, but it’s a complex issue. In the engineering and technology field, we have to use a 40-60 quota in public bodies and seminars. Of course, none of us want to be invited somewhere or appreciated because of our gender instead of our achievements. But for us to actually have true equality, we first have to make the inequality visible and actively seek out female professionals to give speeches. Maybe it sometimes feels like we’re there to fill the room, but if we reach gender equality, we won’t need quotas – the most competent candidate will be hired every time.” Despite having a female CEO, Infineon Technologies Austria currently has a 18.4% female workforce and a 7.1% share of women in management positions. “Companies are used to work based on Performance Indicators, so we have set a target to achieve 20% women in leadership positions. It’s understood as target, not a quota, which is an important difference. Using this target allows for measurement. At the same time, I do not shy away from quotas, although they do not seem ‘elegant’ – they simply work. As long as there are not better instruments to achieve a higher share of women in supervisory boards, for example, they are the right approach. Quotas create attention and open doors, but then every person – man or woman – has to perform, with or without quotas,” Sabine explains. “Considering the fact, that only 8% of students finishing electrical engineering degrees are female, you can guess how difficult it is to get more women involved. At Infineon, we use every opportunity to demonstrate how exciting and promising this career path is with numerous initiatives, including our bilingual day-care centre with a focus on technology, science and internationality, ‘Girls’ Day’ for elementary school and ‘Women’s Day’ for female students.” THE NEXT STEPS FORWARD Throughout the dialogue, it was clear that both individual and structural changes are needed if gender equality is to be fully embraced within Europe. The participants therefore rounded up discussions with a look at what they can do on a personal level. “I’m currently the chair of the ECS-SRA team and there are more than 50 people in the core team and the chapter leader team for the next major update. I was the only woman,” Elisabeth notes. “I managed to get one young...” lady supporting us but it really is a challenge to get more women involved. It’s an open call, so I will keep on advertising. We have to encourage women to network better in order to play a bigger role. When it comes to organising events, we should also think about having more women as invited speakers and on panels.” “I work for a company that is obliged to increase equal opportunities for women and men in their business careers,” continues Doris. “We have a gender anchor group which is responsible for all topics related to gender and gender mainstreaming within the company, including (for example) providing advice on the implementation of gender-specific criteria for the evaluation process of our calls: if a group of people is affected by research or is at the centre of research, this has to be taken into consideration by an R&D consortium during the design of the project. “The composition of a project team is also evaluated with regard to the gender balance. For example, are there women in a consortium? Do these women have important roles in a project? There is a reward if the participation of women exceeds the ‘sector average’ but also punishment if the efforts are sub-standard. We also have various funding programmes dedicated to increasing gender equality, like the FEMtech Programme, Laura Bassi and w-fforte. These support female students or companies that are interested in the employment of women in technical professions, for instance. Other examples are the support of female researchers or women that want to be active in digitisation via with trainings and networking events.” Sabine: “Typically, I refuse to join events or discussions where only women are talking about gender equality. The basic idea is that the more diversity I bring to my organisation, the greater the potential is for the best ideas and approaches. Quite a number of studies prove this. So far, at least in many European countries, we have not yet taken full advantage of the enormous potential of women in the labour market.” “I’m trying to be more visible to girls and young women who are thinking about their careers and to throw out this challenge to my female colleagues,” says Veera in closing. “Right now is the perfect time for a change as we’re in the middle of the Fourth Industrial Revolution. If Europe wants to stay at the forefront, we need to have more than half of the population available. With every revolution, there are new ways of arranging things. Maybe some of the professions that are female-led will come to the front of research and development. Who knows what will happen?” 1 https://www.un.org/sustainabledevelopment/gender-equality/ Online version is available at www.artemis-ia.eu Publisher: ARTEMIS Industry Association High Tech Campus 69-3 5656 AG Eindhoven, The Netherlands Design and Creative lay-out: Studio Kraft – Veldhoven, the Netherlands Text & copy: CPLS – Goirle, the Netherlands Printed by: Drukkerij Snep - Eindhoven, the Netherlands Photography: With thanks to ARTEMIS involved persons for any assistance and material provided in the production of this issue. With thanks to the interviewees, project participants, ARTEMIS Industry Association office, the ARTEMIS-IA Presidium and other ARTEMIS-IA involved persons for any assistance and material provided in the production of this issue of the ARTEMIS Magazine. Submissions: The ARTEMIS-IA office is interested in receiving news or events linked to the aim of ARTEMIS-IA, related projects or in general: R&D in the field of Embedded and Cyber-Physical Systems area. Please submit your information to email@example.com © 2019 ARTEMIS Industry Association Permission to reproduce individual articles from ARTEMIS Magazine for non-commercial purposes is granted, provided that ARTEMIS Magazine is credited as the source. Opinions expressed in the ARTEMIS-IA Magazine do not necessarily reflect those of the organisation. ARTEMIS Industry Association strives for a leading position of Europe in Embedded Intelligence
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Please advise your waiter if you suffer from any food allergies. 42 Nellore Chicken Curry New £10.50 Cubes of chicken cooked in an onion and yoghurt masala, tempered with mustard seed and curry leaves a very popular South Indian dish. 43 Kadai Murgh £10.50 Chicken cooked in a garlic flavored tomato sauce mildly spiced with crushed red chilly and coriander, flavored with capsicum. 44 Murgh Mirch Masala £10.50 Juliennes of chicken cooked with onion, tomatoes and pimentos, served on a sizzler. 45 Murgh Makhani £10.50 Tender chicken partially broiled over charcoal and finished in tomato gravy with butter and fresh cream. 46 Chicken Sashlik Masala New £10.95 A very tasty, medium and preparation of chicken in a combination of onions, red and green peppers and tomatoes. A Bengal Dynasty innovation of 2011 47 Murgh Haryali £10.50 Chicken cooked in a green masala with a predominant flavor of mint and coriander. 48 Garlic Murgh £10.50 Pieces of boneless chicken cooked with fresh chopped garlic, flavored with fresh ground spices. Very tasty. 49 Murgh Saagwala £10.50 A delicate combination of chicken and spinach puree, finished with a hint of lime and cream. 50 Badami Murgh £11.50 A mild preparation of chicken in a cashew nut/ almond gravy. 51 Murgh Tikka Mossala £9.95 Diced chicken cooked in a rich creamy sauce. 52 Murgh Bondhuk £11.95 A mouth-watering dish cooked with medium spicy thick sauce, with garlic, ginger nutmeg and fresh coriander. 53 Murgh Jhalrezi £9.95 Chicken cooked with fresh green chilli, capsicum, spring onions and tomatoes, in a fairly hot sauce. 54 Garlic Chilli Chicken Massala New £10.95 Spicy Chicken dish with Mint Garlic, Green and Red Chilli, and fresh Coriander. 55 Murgh Rogan Josh £9.95 Cooked with fresh tomatoes and aromatic spices to enhance the flavor. 56 Murgh Khorma £9.95 Pieces of chicken cooked with coconut flour and fresh cream a very mild curry. 57 Sylheti Murgh Tarkari £10.95 This very unique dish with chicken is cooked with fresh pineapple, orange, and aromatic ground spices to give a distinctive mild spicy flavor. 58 Murgh with Crushed Pepper £10.95 Chicken spiced with crushed black pepper in a yogurt, tomato and onion sauce. Lamb Dishes 59 Lamb Kali Mirch Sukha New £11.95 Cubes of Lamb prepared semi dried with crushed peppercorn, curry leaves and dash of lemon juice. Another mouthwatering and tongue tingling innovation from Bengal Dynasty 2010 60 Lamb Khurchan £11.95 Juliennes of lamb Tikka stirfried with peppers, onions, coriander and spices napped in a tomato sauce and moderately spiced. 61 Gosht Kadai £11.95 Delicately marinated lamb pieces with select Indian spices and flavored with capsicum. Please advise your waiter if you suffer from any food allergies. Service charge is not included. Till prices are inclusive of VAT. Please advise your waiter if you suffer from any food allergies. 62 Gosht Badam Pasanda £11.95 Boneless pieces of lamb marinated in mild spices and cooked in rich almond gravy. 63 Railway Lamb Curry New £11.95 Lamb cooked in an onion and coconut cream gravy with potatoes. A British Raj Speciality. 64 Gosht Roganjosh £11.50 Rich mutton curry flavored with freshly ground garam masada. 65 "Dak Bungalow" Lamb Masala £11.50 Bone'd lamb cubes, cooked in a green tinted gravy of fresh coriander, green chillies, coconut and a melange of spices. 66 Salkora Gosht £11.95 Very tender pieces of Lamb, cooked with highly flavored spices and Salkora fruit (grown only in tropical areas of our homeland, Sylhet) giving a sharp tangy taste. Highly recommended. 67 Gosht Roshnai £11.95 Chunks of Lamb marinated in Yoghurt and Garam masada, then cooked with Onion, Garlic, Ginger and Bay Leaves. It is Bengali Dynasty's innovation. 68 Methi Gosht Masala £11.95 Tender pieces of Lamb cooked with Fenugreek leaves and mixed ground spices and herbs. 69 Goan Lamb Curry New £11.95 This is a fairly hot preparation of lamb, using a traditional Goan recipe of mixture of ground spices with malt vinegar and coconut milk. A very popular Goan dish. Vegetarian Dishes Also available as Side Dishes 70 Kadai Subzi £7.95 Vegetables cooked in a garlic flavored tomato sauce mildly spiced with crushed red chilly and coriander, flavored with capsicum. 71 Gobhi Gulzar £7.95 Cauliflower florets cooked with small cubes of tomato, capsicum, coriander and fresh spices. 72 Zeera Aloo £7.95 Cubed potatoes tempered with cumin seeds enhanced with chopped ginger and broiled spices. 73 Khumb Hara Pyaz £7.95 A tangy mushroom and spring onion preparation enhanced with a tomato and onion masada, flavored with powdered fenugreek and garem masada. 74 Subz Makhhanwala £7.95 Seasonal vegetables cooked in tomato gravy enriched with butter and fresh cream. 75 Bhindi Amchuri £7.95 A tangy ladyfinger preparation combined with mango powder and spices. 76 Vegetable Pepper Fry £7.95 Fresh vegetables, cottage cheese, pimentos, stirfried with crushed black peppers and napped in a sweet and sour sauce. 77 Gobhi Aloo Masaledar £7.95 A unique combination of cauliflower’s and potatoes prepared semi-dry, flavored with broiled cumin powder and garam masada. 78 Kofta Nazakat £7.95 Vegetable and cottage cheese dumplings served in cashew nut and onion gravy, smothered with cream and butter. 79 Methi Chaman £7.95 A delicious combination of cottage cheese and fenugreek. 80 Paneer Khurchan £7.95 Cottage cheese batons combined with pimentos, onions and tomatoes and tempered with Royal cumin seeds. 81 Mah Ki Dal £7.95 Black lentil and kidney beans boiled overnight and prepared with tomatoes, garlic, butter and cream. Please advise your waiter if you suffer from any food allergies. ### Vegetable & Pulse Side Dishes \| Item \| Price \| \|-----------------------\|--------\| \| 82 Bombay Potato \| £3.95 \| \| 83 Saak Aloo \| £4.50 \| \| Spinach and Potato. \| \| \| 84 Saak Ponir \| £4.50 \| \| Spinach and home made Cottage Cheese. \| \| \| 85 Motor Ponir \| £4.50 \| \| Home made Cottage Cheese and spiced Green Peas. \| \| \| 86 Ponir Tikka Mossala\| £4.50 \| \| Home made Cottage Cheese cooked in Mossala sauce. \| \| \| 87 Tarka Daal \| £3.95 \| \| Mixed Lentils cooked with fried Garlic. \| \| ### Rice & Breads \| Item \| Price \| \|-----------------------------\|--------\| \| 88 Miloni Biryani \| £13.95 \| \| Prawn, Chicken, Lamb, Vegetables \| \| \| 89 King Prawn Biryani \| £14.95 \| \| 90 Prawn Biryani \| £12.95 \| \| 91 Murgh Biryani (Chicken) \| £12.95 \| \| 92 Gosht Biryani (Lamb) \| £13.95 \| \| 93 Vegetable Biryani \| £10.95 \| \| 94 Mushroom Pulao \| £3.50 \| \| 95 Jeera Pulao \| £3.50 \| \| 96 Peas Pulao \| £3.50 \| \| 97 Special Rice \| £3.50 \| \| With Egg, Peas & Nuts \| \| \| 98 Vegetable Pulao \| £3.50 \| \| 99 Coriander Pulao \| £3.50 \| \| 100 Keema Rice \| £3.50 \| \| Basmati Rice fried with Minced Lamb \| \| \| 101 Basmati Palao Rice \| £3.00 \| \| 102 Plain Boiled Rice \| £2.50 \| \| 103 Basmati Palao Rice \| £3.50 \| \| Fried with mince lamb. \| \| \| 104 Peshwari Nan \| £3.50 \| \| Stuffed with Fruit & Nuts. \| \| \| 105 Kulcha Nan \| £2.95 \| \| Stuffed with Minced Onion. \| \| \| 106 Garlic Nan \| £2.95 \| \| Stuffed with Fresh Garlic. \| \| \| 107 Garlic, Keema & Kulcha Nan \| £2.95 \| \| Stuffed with Fresh Garlic. \| \| \| 108 Keema Nan \| £2.95 \| \| Stuffed with Minced Lamb. \| \| \| 109 Cheese Nan \| £2.50 \| \| 110 Plain Nan \| £2.50 \| \| 111 Chapati \| £0.90 \| \| 112 Paratha \| £2.50 \| ### Chutney & Pickles Perfect to enhance any of your starter and appetiser \| Item \| Price \| \|-----------------------------\|--------\| \| 113 Plain Yoghurt \| £2.50 \| \| Home made \| \| \| 114 Mint Yoghurt Raitha \| £2.95 \| \| 115 Onion Chutney \| £0.90 \| \| 116 Mango Chutney \| £0.90 \| \| 117 Mix Pickles \| £0.90 \| \| 118 Green Chilli Pickle \| £0.90 \| \| 119 Chutney Tray \| £3.50 \| \| 6 Items \| \| Please advise your waiter if you suffer from any food allergies. Enjoy a drink while you wait in our extensively stocked restaurant bar. Fine wines available to take away, please ask for our list. Why not try our fabulous Sunday Buffet? Our ‘eat as much as you like’ Buffet is open between 12 noon and 8pm Only £8.50 per adult / £4.95 for children under 12 with a superb selection of our freshly cooked dishes to suit every taste A-la-carte menu also available throughout the day. Dining in: - Up to 90 guests, comfortable seating with air conditioning - Available for private hire, suitable for any celebration - Corporate hospitality & business conferences catered for - Disable access “Best Restaurant in Wales” by the British Curry Awards 2007 & 2010. “Best in Wales” by the Cobra Good Curry Guide 1995-97, 1998, 2001-2002 & 2004-2006. A record four times “One of the Top 30 Restaurants in UK” Real Curry Restaurant Guide 1993-2005. A record twelve years in a row. It is our aim to provide you with the finest authentic Indian and Bangladeshi cuisine to be enjoyed in the Restaurant or in the comfort of your own home. There is a wide range of dishes from which you can choose. We have also included a selection of dishes catering for special diets including vegetarians. Why not treat yourself to an evening out in the fabulous new, tastefully-designed Bengal Dynasty Restaurant. We hope to offer our customers a delightful evening, enjoying our famous Indian, Bangladeshi cuisine, served by talented staff who are here to make your evening one to remember.
It’s understandable that we’re desperate for a quick fix to one of the greatest collective health fears we have: Losing your memory, and your financial assets, because of having your mind go from a high-functioning piece of biological wizardry to a lump of gray matter that struggles to remember what day it is. When I say “wizardry,” I’m not exaggerating. A healthy brain is an amazing thing. It can effectively learn, remember, manage emotions, analyze, make good decisions, create, and innovate. A healthy brain can also let you do the electric slide, laugh (at people doing the electric slide), navigate, and hit a perfect golf shot (well, sometimes). A functioning brain is essential for being the best version of you. So can we prevent, or at least slow, the aging of our brains? More and more research points us to a compelling conclusion and powerful message: that we—not our genes—can have control over our cognitive health today and the destiny of our brains. The action steps you take to protect your brain will optimize your brain health today and tomorrow so you can always be the best version of yourself. “We have strong evidence that simple lifestyle interventions can dramatically improve brain health and lower the risk of disease today, tomorrow, and in years to come.” —Marc Milstein, PhD What We’ll Cover - Your age vs. your brain’s age - The importance of brain health - How to age-proof your brain Your Age vs. Your Brain’s Age Our brain’s age often isn’t the same as our chronological age. For example, a person could be 60 years old and have a brain age of 50 or perhaps 70. You have significant control over your brain’s age. While not as comprehensive as a brain scan or evaluation by a neurologist, a few basic questions can help you get a sense of your brain’s age. 1. How Well Can I Manage My Day? It’s not uncommon to misplace our keys or forget an appointment occasionally, but any signs of increasing forgetfulness should be addressed. A condition called Mild Cognitive Impairment (MCI) impacts approximately 12 to 18% of those over age 65. MCI isn’t dementia but a sign of memory issues and decreasing cognitive function. It can be a precursor and raise the risk of developing dementia.$^1$ 2. How Well Can I Remember Important Information? The notion that significant memory loss is a normal part of the aging process is a myth. Recall can also be a use-it-or-lose-it skill. Since most of the things we want to recall are stored in our phones, we need to be more intentional about remembering information without relying on them. Practicing recall further strengthens our memories.$^2$ 3. How Well Can I Move and Maintain Balance? Our brain controls our balance, which is another use-it-or-lose-it skill. As we get older, we tend to participate in fewer activities that keep our balance strong.$^3$ Loss of balance increases the risk of falls, which can lead to head injuries. Head injuries, in turn, increase dementia risk. 4. How Fast Can I Walk? Studies have shown that walking speed is correlated with memory function. You don’t need to power walk everywhere you go but consider short bursts of brisk walking, even for a couple of minutes a day. A study found that just nine minutes per day of intense walking can improve memory.$^4$ 5. How old do I feel? There’s a powerful connection between your perspective and healthy aging. Studies show that people who have a positive attitude toward aging can reduce their chances of developing dementia by 50%.$^5$ You might be wondering how to answer these questions? For example, “Walking fast or balancing relative to what?” Rather than trying to compare your ability to a universal standard or other people, answer the questions according to trends over time. For example, are you able to walk as fast and long as you were a few years ago, or have you noticed a significant slowdown? Mild cognitive decline can be a natural part of aging and isn’t a reason to panic. But if your answers indicate you may be experiencing more than that, consider having an evaluation by healthcare professional. The Importance of Brain Health One of the things that make a brain age prematurely is the buildup of “brain trash” and toxins. Brain trash is a by-product of the work your brain cells do. Your brain cells are like a hustling, bustling Manhattan. Just like a city gets dirty, your brain does too—filled with residual waste from chemical reactions, environmental toxins, old, damaged cells, and that are no longer needed. Your three-pound brain makes five pounds of trash a year. Normally, it’s recycled or flushed out, but if not, the trash can build up, causing diminished focus, loss of productivity, and a drastic reduction in overall energy. Brain Trash - A byproduct of the work your cells do - A 3lb. brain makes 5lb. of trash per year - The more built-up trash, the “older” the brain When Brain Trash Builds: Plaques and Tangles Many different types of trash can build up in the brain. Plaques and tangles are the two most common forms of brain trash found in Alzheimer’s disease. Plaques and tangles can stop communication between nerve cells which can be a part of what causes memory loss. How Brain Health Can Affect Lifestyle A youthful, healthy brain is more focused, capable of learning and retaining information, and resilient. But the average human brain shrinks by approximately 5 percent per decade after the age of 40. A shrinking brain can have a devastating impact on brain function. Healthy Brain Motivators List a few things you look forward to doing as you age. Many people plan to travel, volunteer, work, socialize, and spend time on hobbies. 1. ____________________________________________ 2. ____________________________________________ 3. ____________________________________________ Consider how an unhealthy brain could prevent this. This list can be a motivator to keep your brain healthy. The Financial Cost of an Unhealthy Brain According to the Alzheimer’s Association, people 65 and older survive an average of four to eight years after a diagnosis, yet some live up to 20 years with the disease.$^6$ Since Alzheimer’s is a progressive disease, the type, level, and costs of care needed will intensify over time. In most cases, memory-care facilities aren’t covered by Medicare, and placing a family member in a specialized facility can be extremely expensive. Medicaid may pay for nursing home care for patients who a) require that level of care and b) meet the program’s financial eligibility requirements. Requirements may vary by state and may change based on the patient’s marital status. The total lifetime cost of care for someone with dementia is estimated to be $392,874 in 2021 dollars.$^7$ These costs could include home modifications, lost income, legal fees, and hospice. The Progression of Care Costs Annual National Average Cost - Home Health Aid: $61,776 - Assisted Living Facility: $54,000 - Nursing Home: $108,405 Source: Cost of Care Survey, Genworth, 2022 ACTION STEPS Financial preparation for future cognitive decline concerns 1. Talk to your financial professional They can help plan for the financial costs of cognitive impairment. They may know an elder-care attorney who can create documents such as a durable power of attorney, healthcare power of attorney, and trusts. 2. Talk with a Life-Care Manager They help evaluate the needs, costs, and quality of medical care, home modifications, in-home care, and various care facilities. They can also identify potential financial resources including Medicare, Medicaid, veterans’ benefits, long-term care insurance, and community-based programs. Sleep: Your Greatest Ally in the Fight to Preserve Your Brain Sleep is perhaps the greatest ally in the fight to preserve your brain—and quality, deep, restorative sleep is crucial to your brain health. Sleep Cycles When we sleep, we go through three stages of sleep that make up a 90-minute cycle. Each cycle creates various levels of brain electricity: 1. Light sleep: Electrical activity is similar to the amount when you’re awake 2. Deep sleep: Very low electrical activity relative to light and REM sleep 3. REM sleep: (Rapid eye movement) sleep: A higher level of electrical activity than when you’re awake 7-9 hours/night Most people need between seven and nine hours of sleep for optimal brain health, but the number of hours is specific to you. There’s a rare group of people who can function at high physical and mental levels on significantly less sleep. They’re called “short sleepers” and likely account for less than 1 percent of the population. Some people who think they’re short sleepers are actually sleep deprived—which makes them vulnerable to all the issues that come with lack of sleep. If you’re sleeping more than nine hours a night, you should be evaluated by a physician. Excess sleep can be a sign of conditions such as heart disease, diabetes, and depression, and can raise the risk of memory issues, back and neck pain, and obesity. Here are some strategies to improve sleep and keep your brain young and your immune system strong. 1. Sleep in True Darkness Is your bedroom completely dark or just kind of dark? Bedrooms are often filled with cell phones, nightlights, televisions, and computers. The little bits of light they emit can keep your brain from reaching the deepest, brain-boosting levels of sleep. Unplug these devices before bed or put them in another room. You could also hang blackout shades and curtains. 2. Chill Out for Better Sleep Most people find it easier to fall asleep in a cool room, and it has to do with your sleep cycle. The first phase of the sleep cycle, light sleep, lasts about 20-30 minutes. During this time your brain lowers your core body temperature to transition from light sleep to deep sleep. Slightly reducing the temperature of your bedroom can help you reach deeper, brain-boosting sleep. 3. Get Out Early Prepare for a good night’s sleep by getting natural light first thing in the morning. Spending 10-15 minutes outside walking your dog, checking the mail, or taking a stroll around the block will set your brain clock. You Are What You Eat (And So Is Your Brain) Your gut is a lot like a second brain. It contains 500-million brain cells that communicate with your brain. This communication is called your gut-brain axis. What happens in the gut can impact mood, memory, and how we age. What we eat can calm or increase inflammation, help us lose or make us gain weight, and even improve our brain function. Research points to a Mediterranean-type diet as being optimal for brain health. This diet is filled with fruits and vegetables, bursting with beans, nuts, and whole grains, and features fish, seafood, and healthy fats such as olive oil. The Mediterranean diet lowers the risk of Alzheimer’s disease even in those with a genetic risk factor for the disease. DIET: ACTION STEPS 1. What to eat A Mediterranean diet is relatively easy to follow. Diets that are too strict generally aren’t sustainable for the long term. Instead of limiting the foods you love, you can add heart- and brain healthy foods by making key substitutions and additions. Just make sure you include these five items (or most of them) in your shopping cart. If you’re already consuming most of them, you’re headed in the right direction: - Beans - Red kidney beans and pinto beans - Extra Virgin Olive Oil - Nuts - Walnuts, pine nuts, pistachios, and almonds - Fruits and Vegetables - Leafy greens like kale, spinach, and brussels sprouts. Colorful produce like eggplant, bell peppers, tomatoes, blueberries, strawberries, and blackberries - Fish - Cold water fish: Salmon, herring, mackerel, cod, trout, tuna 2. What not to eat Results of a study published in the journal Neurology suggest that combining processed meat such as sausage or cured meat with a starchy carbohydrate such as a potato or sugary snack increases the risk of dementia.$^{10}$ You might be saying, “You’re taking away everything that I love to eat!” Don’t despair! In that same study, when people ate heart- and brain healthy foods at the same time as highly processed/sugary foods, it helped lower their risk for dementia.$^{10}$ The Stress Surprise We hear it all the time: Stress is bad. But some stress is good for you because it focuses the brain and can even slow down brain aging. How do we find the right amount of stress to keep our brains and immune systems running like finely tuned Ferraris? A study found that stress and unhappiness can be caused by our minds wandering. When our minds wander, they often go to unhappy, stressful, and anxious thoughts about the past or future. An antidote to this is being present, which is associated with greater happiness and less stress. One way to be present is to practice mindfulness. A Harvard study asked people who’d never practiced mindfulness to do so for 30 minutes a day for eight weeks. Pictures of participants’ brains were taken before they started, during the eight weeks, and after.$^{11}$ Throughout the study, the participants’ brains changed. The hippocampus grew—that’s the part of your brain that allows you to learn new things. The prefrontal cortex got stronger and longer—that’s the part that calms your stress response. And the amygdala shrank—that’s the part that manages our fight-or-flight stress response. We can’t control much of what surrounds us, but we can gradually become experts at managing stress. STRESS: ACTION STEPS 1. Breathing Exercise There are many mindfulness exercises, and they often involve breathing. Here’s one that’s simple and effective. 1. Say to yourself or out loud, “breathe in calmness” and inhale through your nose 2. Say “breathe out anxiety” and exhale through your mouth 3. Try to focus on the breath going in your nose and out of your mouth 4. If you’re having trouble focusing, place your hand on your stomach and pay attention to your breathing for five seconds. Feel the rise and fall of your abdomen with each breath. If 30 seconds feels like a long time, that’s okay; it may take practice. If you can do 30 seconds, try to add another 30 seconds tomorrow. Think of it like lifting weights and increasing your reps. 2. Change Your Perspective Stress can be quite useful—and you can train yourself to view stress in that light. Even a bit of stress from sitting in traffic or standing in line at the grocery store can be beneficial.\textsuperscript{12} These bursts of acute stress can be healthy for the brain. So next time you’re in the “10 items or less” lane at the grocery store, and the person in front of you has 30 items, thank them, and shift your perspective on stress as something that can be beneficial. 3. Rose, Thorn, Bud Take a moment and think of the best thing that happened in the last 24 hours. That’s your rose. Next, think of the most challenging part of the previous 24 hours. That’s your thorn. Now think of something specific you are looking forward to in the next 24 hours. That’s your bud. This technique was shown in a 2019 study to be an effective means to manage stress and boost happiness.\textsuperscript{13} Get Moving Exercise is like a miracle drug for the brain. If a drug generated the same brain benefits that exercise does, there would be lines stretching miles long to obtain it. Lowers Risk of Dementia A study at Cardiff University in the UK found that simply walking 30 minutes a day lowered the risk of dementia by about 65 percent.$^{14}$ Those 30 minutes didn’t even have to be done consecutively. Similarly, another study asked 50-year-old women to use an exercise bike, then placed them in four categories based on endurance. The categories ranged from “high physical fitness” to “could not finish the fitness test.” Forty years later the researchers found: - 5 percent of the women in the high physical fitness category developed dementia - 25 percent of the women in the moderate and low fitness categories developed dementia - 45 percent of the women who couldn’t finish the fitness test developed dementia Women who were classified as highly physically fit at 50 years old were 90 percent less likely to develop dementia than the group that couldn’t finish the test. Improves Memory A study published in the Journal of Alzheimer’s Disease investigated two groups of adults age 60 and older. For a year, the group did aerobic exercises while the other group just stretched. Afterward, the aerobic exercise group showed a whopping 47 percent average increase in memory scores while the stretching group saw no memory improvement. Small Changes Can Make a Big Difference How much exercise is required to protect your brain? Do you need to drop everything and train for a triathlon? Fortunately, no. It turns out even small changes can have a big impact. The next time you’re given a choice between stairs and an elevator or escalator, consider this: A study found that people ages 19-79 who consistently took the stairs had a younger-looking brain.$^{15}$ “The secret to a healthy brain is just a couple (or few thousand) steps away each day.” —Marc Milstein, PhD You might be saying, “I get it! Exercise is good for my brain. But how do I make exercise a habit instead of that exercise bike or treadmill becoming a very expensive coat rack?” Making Exercise a Habit: CARS (Cue, Action, Reward, Support) 1. Cue: Setup Visual Reminders Exercise becomes a habit when we make it a default behavior. We can set up a cue that drives us to take action to stick to an exercise program. Placing your walking shoes where you can’t miss them will remind you to take your daily walk. A smartwatch that reminds you of your steps can be another visual cue. 2. Start Small When it comes to exercise, it’s best to start small and build. For example: - Walk in place during TV commercials or before the next episode of a program you’re streaming - Stand and/or walk during phone calls - Park farther away from the grocery store - Do 10 jumping jacks every hour (you can set your smartphone to remind you to do this) 3. Reward: Do Something You Enjoy Exercise must be fun and rewarding, or you likely won’t make it a habit. Pairing exercise with something you enjoy can be very helpful, such as exploring a new hiking trail or learning a new sport. Variety is the spice of life—especially when it comes to fitness. The body can acclimate to the same activity, and results will diminish. The same is true of the brain. Keep your workouts fun and fresh. 4. Support: Find a Workout Buddy Active participation in a team sport has clear brain health benefits.$^{16}$ Not just playing but socializing boosts the brain. If team sports aren’t your thing, find a workout buddy to keep you company—and accountable. You’re going to have challenges when you’re establishing your exercise habit but stick with it. If you can’t fit in a 40-minute walk, three short (think 10-15 minute) walks a day can reap significant brain benefits. Cross-Train Your Brain Hopefully, by reading this workbook, you’ve learned some new information. That very action was protecting your brain: learning new information plays a significant part in disposing of brain trash via a “power wash” that uses one of your body’s most effective brain cleansers: norepinephrine. Norepinephrine Takes Out the Trash Norepinephrine is a hormone and neurotransmitter that regulates heart rate, attention, memory, and cognition.$^{17}$ Maintaining a healthy brain and strong memory is not all about Sudoku, crossword puzzles, and brain games. Those can be fun, and they have brain benefits, but they aren’t the only things we can do for brain exercise. When you learn something new, your brain squirts norepinephrine from a brain structure called the locus coeruleus.$^{18}$ The norepinephrine breaks up the waste and trash in your brain so it can be excreted when you sleep. This keeps your brain young, healthy, and able to make new connections. Myelination Speeds Up Processing Learning helps produce new myelin, a coating around your brain cells that makes the electrical signals travel faster. Myelin is like the insulation you see around an electrical wire. The thicker the myelin coating gets, the more easily you can learn new things. Embrace the Challenge of Learning Learning a new language or a musical instrument is good for your brain. A study found that being bilingual or a musician at any age made the brain more efficient in day-to-day memory tasks.$^{19}$ But to get a real good spray of norepinephrine, embrace the challenge, and sometimes frustration of learning something new. “Study after study has found that learning new things significantly lessens the risk of memory loss and slows down brain aging.” —Marc Milstein, PhD 1. Mix It Up Approach learning something new the way you would fitness training. For instance, you wouldn’t go to the gym and only exercise your forearms. You want to work out different muscles on different days and work on your aerobic fitness as well as building muscle. The same goes for the brain. Learning a language or a musical instrument versus a sport exercises different parts of the brain. You can cross-train your brain by mixing mental and physical learning activities. 2. Try the Pomodoro Method This time-management technique was developed in the late 1980s. To try it, begin by eliminating all distractions: silence your cell phone and put it out of sight along with any other distractions. Set a timer (not on your cell phone) for 20 minutes and focus on just one important task. If your mind wanders, bring it back to your task. Commit to 20 minutes of distraction-free work. Take a five-minute break and do it again. If you’re having trouble reaching 20 minutes without distraction, try just 10 minutes. Increase the time until you hit 20 minutes of pure focus. You can go past 20 minutes but that’s the minimum. There’s no magic formula for the number of reps you do, as it’s based on how much work you need to get done. Don’t forget that five-minute break, though. Your brain needs a little distraction to reengage focus; it can be as simple as standing up and walking around the room or a quick stretch. 3. Put Away Your Phone Our phones are amazing, wonderful, and powerful, but they can be a distraction. The information on them can be important and meaningful or it can be a waste of time. Just seeing your phone can be enough to make your brain wonder what you’re missing—did you just get a text message, a post, or an email? This kind of distraction can have a significant impact on your brain performance. If you want to get in the deepest levels of learning focus, place your phone (or computer or tablet) out of sight, so it is out of mind. Friendships Can Help Protect Your Brain Can going to a dinner party preserve your memory? People over fifty-five who regularly participated in, or hosted, dinner parties or other social events had a lower risk of losing their memories.\textsuperscript{20} It wasn’t because of what they ate or where they went; it was the effect of the repeated social connection with other people. How important is social interaction to our mental and physical health? We’re used to hearing about the dangers of smoking and obesity, but loneliness has the same impact on mortality as smoking fifteen cigarettes a day, making it worse for us than obesity.\textsuperscript{21} Additionally, loneliness is associated with poorer decision-making, attention, cognitive ability, and brain shrinking and aging.\textsuperscript{22} It’s normal to feel lonely from time to time, but there’s a greater risk of loneliness as we age, as family and friends pass and children move away. That persistent loneliness makes us feel socially isolated. FRIENDSHIP: ACTION STEPS 1. Spend Time With Family and Friends (Especially Friends) A study investigated whether people find more joy in being with their friends or family. (In this study, family was defined as people who share a home.) They found people were happier when they spent time with their friends instead of family.\textsuperscript{23} One reason people didn’t feel the same happiness and joy with family members that they did with their friends involved how they spent time together. Activities with family members were more likely to involve chores: doing laundry, washing dishes, taking out the trash, doing housework, and paying bills. We tend to reserve fun activities for our friends. We need to try to ensure that family time isn’t just about chores and to-do lists. 2. Get a Hearing Check People with mild untreated hearing loss are twice as likely to develop dementia than those without hearing loss. Those with severe loss are five times as likely to develop dementia.\textsuperscript{24} There are a few reasons for this connection between hearing and memory loss. First, hearing loss can lead to social isolation and a lack of engagement and learning. There’s also a theory that hearing loss causes changes in brain activity that can promote abnormal proteins that are the hallmark of brain trash.\textsuperscript{25} Using a hearing aid doesn’t just improve hearing, it protects the brain, too. If you know someone who needs a hearing aid but is resisting getting one, you can tell them they aren’t just improving their hearing; they’re also protecting their brain. “It’s a relief that having fun and hanging with friends protects your brain.” —Marc Milstein, PhD To Summarize First, your brain age may not be the same age as your chronological age. Second, your brain health can impact your finances and lifestyle. Third, it’s possible to age-proof your brain with brain-healthy habits. The Bottom Line Many people use the word “senile” to describe what happens when someone has reached a certain age and their mind (especially their memory) doesn’t function like it used to. You may say, “Oh, that’s part of aging. There is nothing anyone can do.” But there’s a lot you can do. If you take care of your brain properly, it should keep up with your body as you age. A sharp mind into old age isn’t just a bit of luck—it’s within reach for most of us. Next Steps - Within a week, choose an area to focus on: sleep, diet, stress, exercise, or learning - During the next month, begin implementing the tips suggested in that area - Talk to your financial professional about any financial issues related to future cognitive decline concerns “A sharp mind into older age isn’t just a bit of luck—it’s within reach for most of us” —Marc Milstein, PhD Marc Milstein, PhD Dr. Marc Milstein is a leading scientific researcher on neuroscience, health, and happiness. His insights provide science-based solutions to keep the brain healthy, lower the risk of dementia, boost productivity and maximize longevity. He earned both his Ph.D. in Biological Chemistry and his Bachelor of Science in Molecular, Cellular, and Developmental Biology from UCLA. 1 Marisa K. Heckner et al., “The Aging Brain and Executive Functions Revisited: Implications from Meta-analytic and Functional-Connectivity Evidence,” Journal of Cognitive Neuroscience 33, no. 9 (2021): 1716–1752, https://doi.org/10.1162/jocn_a_01616 2 Philip C. Ko et al., “Understanding age-related reductions in visual working memory capacity: Examining the stages of change detection,” Attention, Perception, & Psychophysics 76 (2014): 2015–2030, https://doi.org/10.3758/s13414-013-0585-z. 3 Rachael D. Seidler et al., “Motor control and aging: links to age-related brain structural, functional, and biochemical effects,” Neuroscience & Biobehavioral Reviews 34, no. 5 (2010): 721–733, https://doi.org/10.1016/j.neubiorev.2009.10.005. 4 Line Jee Hartmann Rasmussen et al., “Association of Neurocognitive and Physical Function With Gait Speed in Midlife,” JAMA Network Open 2, no. 10 (2019): e1913123, https://doi.org/10.1001/jamanetworkopen.2019.13123; Stephanie Studenski, “Gait Speed Reveals Clues to Lifelong Health,” JAMA Network Open 2, no. 10 (2019) e1913112, https://doi.org/10.1001/jamanetworkopen.2019.13112. 5 Seyul Kwak et al., “Feeling How Old I Am: Subjective Age Is Associated With Estimated Brain Age,” Frontiers in Aging Neuroscience 10 (2018), https://doi.org/10.3389/fnagi.2018.00168. 6 From Early to Late-Stage: How to Financially Prepare for Alzheimer’s, AARP, 11/16/22 7 From Early to Late-Stage: How to Financially Prepare for Alzheimer’s, AARP, 11/16/22 8 Renata Pellegrino et al., “A Novel BLHHE41 Variant is Associated with Short Sleep and Resistance to Sleep Deprivation in Humans,” Sleep 37, no. 8 (2014): 1327–1336, https://doi.org/10.5665/sleep.3924. 9 Kazuo Okamoto-Mizuno and Koh Mizuno, “Effects of thermal environment on sleep and circadian rhythm,” Journal of Physiological Anthropology 31, no. 14, (May 31, 2012), https://doi.org/10.1186/1880-6805-31-14. 10 Samieri et al., “Using network science tools to identify novel diet patterns in prodromal dementia.” 11 Rodger A. Liddle, “Parkinson’s Disease from the Gut,” Brain Research 1693, pt. B (2018): 201–206, https://doi.org/10.1016/j.brainres.2018.01.010. 12 B. O. Osuntokun et al., “Lack of an association between apolipoprotein E epsilon 4 and Alzheimer’s disease in elderly Nigerians,” Annals of Neurology 38 (1995): 463–465, https://doi.org/10.1002/ana.410380319; R.N. Kalairaj et al., “Evaluation of Risk Factors for Alzheimer’s Disease in Elderly East Africans,” Brain Research Bulletin 44, no. 5 (1997): 573–577, https://doi.org/10.1016/S0361-9230(97)00310-9; Hugh C. Hendrie et al., “Incidence of Dementia and Alzheimer Disease in 2 Communities: Yoruba Residing in Ibadan, Nigeria, and African Americans Residing in Indianapolis, Indiana,” JAMA 285, no. 6 (2001): 739–747, https://doi.org/10.1001/jama.285.6.739. 13 Eva Schelbaum et al., “Association of Reproductive History With Brain MRI Biomarkers of Dementia Risk in Midlife,” Neurology 97, no. 23 (2021), https://doi.org/10.1212/WNL.000000000012941. 14 Peter Elwood et al., “Healthy Lifestyles Reduce the Incidence of Chronic Diseases and Dementia: Evidence from the Caerphilly Cohort Study,” PLOS One (2013), https://doi.org/10.1371/journal.pone.0081877. 15 Jason Steffen et al., “Differences between chronological and brain age are related to education and self-reported physical activity,” Neurobiology of Aging 40 (2016): 138–144, https://doi.org/10.1016/j.neurobiolaging.2016.01.014. 16 Hans-Peter Hutter, “The Sports Club as a Health Driver” (presentation, European Forum Alpbach, August 22, 2017). 17 John O’Donnell et al., “Norepinephrine: a neuromodulator that boosts the function of multiple cell types to optimize CNS performance,” Neurochemical Research 37, no. 11 (2012): 2496-2512, https://doi.org/10.1007/s11064-012-0818-x. 18 Mara Mather and Carolyn W. Harley, “The Locus Coerules: Essential for Maintaining Cognitive Function and the Aging Brain,” Trends in Cognitive Sciences 20, no. 3 (2016): 214–226, https://doi.org/10.1016/j.tics.2016.01.001. 19 Claude Alain et al., “Different neural activities support auditory working memory in musicians and bilinguals,” Annals of the New York Academy of Sciences 1423, no. 1 (2018), 435-446, https://doi.org/10.1111/nyas.13717. 20 G. Peggy McFall, Kirstie L. McDermott, and Roger A. Dixon, “Modifiable Risk Factors Discriminate Memory Trajectories in Non-Demented Aging: Precision Factors and Targets for Promoting Healthier Brain Aging and Preventing Dementia?” Journal of Alzheimer’s Disease 70, no. S1 (2019): 1, https://doi.org/10.3233/JAD-180571. 21 Cigna, “Cigna 2018 U.S. Loneliness Index,” 2018, https://www.cigna.com/assets/docs/newsroom/loneliness-survey-2018-updated-fact-sheet.pdf. 22 Joel Salinas et al., “Association of Loneliness With 10-Year Dementia Risk and Early Markers of Vulnerability for Neurocognitive Decline,” Neurology 98, no. 13 (2022), https://doi.org/10.1212/WNL.000000000002000039. 23 Nathan W. Hudson, Richard E. Lucas, and M. Brent Donnellan, “Are we happier with others? An investigation of the links between spending time with others and subjective well-being,” Journal of Personality and Social Psychology 119, no. 3 (2020): 672, https://doi.org/10.1037/pspp00002290. 24 F. R. Lin et al., “Hearing Loss and Incident Dementia,” Archives of Neurology 68, no. 2 (2011): 214. 25 Timothy D. Griffiths et al., “How Can Hearing Loss Cause Dementia?” Neuron 108, no. 3 (2020): 401–412, https://10.1016/j.neuron.2020.08.003. The views and opinions expressed herein are those of the author, who is not affiliated with Hartford Funds. If you are concerned about your brain health or cognitive function, it’s a good idea to speak with your doctor or a healthcare professional, who can evaluate your cognitive function and provide recommendations for management and treatment, if necessary. Hartford Funds Distributors, LLC, Member FINRA. The Investment Management Education Alliance (IMEA) STAR Awards program recognizes excellence among investment management firms in the areas of communications, education, innovation and collaboration. IMEA is not an affiliate or subsidiary of Hartford Funds.
MARYLAND HISTORICAL MAGAZINE Vol. 59, No. 4 DECEMBER, 1964 CONTENTS When the Old Mercy Hospital Was New Alexandra Lee Levin 323 Editorial Policies of the Maryland Gazette, 1765-1783 David C. Skaggs 341 Maryland Methodists and the Civil War Richard R. Duncan 350 The Writ of Audita Querela in Eighteenth-Century Maryland C. Ashley Ellefson 369 Sidelights The Free School in Prince George's County, 1723-1774 Louise Joyner Hienton 380 Reviews of Recent Books: Ed. by C. A. Porter Hopkins 392 Kahler, The Meaning of History, by Walter W. Wilkinson Griffith, The Virginia House of Burgesses 1750-1774, by Nicholas Varga Hall, Leder and Kammen eds., The Glorious Revolution in America: Documents on the Colonial Crisis of 1689; Smith, ed., Documentary Problems in Early American History, by Thomas O'Brien Hanley Merk, Manifest Destiny and Mission in American History, by Frank Otto Gatell Durkin, William Matthews: Priest and Citizen, by Dorothy M. Brown Winterthur Portfolio: One, by John H. Scarff Ludlam, Early American Hurricanes, 1492-1870, by C.A.P.H. Robinson, ed., Tableland Trails, Vol. 2, No. 4, by Caleb Winslow DuBose, The Career of Blondelle Malone in Art and Society, 1879-1951: Enigma, by Joan Maloney Holley, Charles Evans, American Bibliographer, by Edward G. Howard Boehm, ed. America: History and Life. A Guide to Periodical Literature by E.G.H. Notes and Queries 406 Contributors 409 COVER: Courtesy Enoch Pratt Free Library Annual Subscription to the Magazine, $4.00. Each issue $1.00. The Magazine assumes no responsibility for statements or opinions expressed in its pages. Richard Walsh, Editor Published quarterly by the Maryland Historical Society, 201 W. Monument Street, Baltimore 1, Md. Second-class postage paid at Baltimore, Md. PUBLICATIONS Studies in Maryland History His Lordship's Patronage: Offices of Profit in Colonial Maryland. By Donnell M. Owings. 1958 $6.00 Baltimore as Seen by Visitors, 1783-1860. By Raphael Semmes. Illustrated. 1958 $4.00 William Buckland, 1733-1774. By Rosamond R. Beirne and John H. Scarff. 1958 $7.50 Texts and References for School Use The War of 1812 On The Chesapeake Bay. Illustrated paperback. By Gilbert Bryon. 1964 $2.00 My Maryland. By Kaessmann, Manakee and Wheeler. History of Maryland, Revised edition. 1955 $3.15 The Star-Spangled Banner. Illustrated booklet. Description of the writing of our National Anthem by Francis Scott Key $.50 Indians of Early Maryland. By Harold R. Manakee. 1959 $1.80 Maryland in the Civil War. By Harold R. Manakee. 1961 $4.50 Early Explorations of the Chesapeake Bay. By Gilbert Bryon. 1960 $1.00 Wheeler Leaflets on Maryland History. (25 titles) each $.10 Miscellaneous Quakers in the Founding of Anne Arundel County, Maryland. By J. Reaney Kelly. Illustrated. 1963 $6.00 The Maryland Press, 1777-1790. By Joseph T. Wheeler. 1938 $4.00 Calendar of Otho Holland Williams Papers. By Elizabeth Merritt (mimeographed, paper covers). 1940 $2.75 History of Queen Anne's County. By Frederic Emory. 1950 $7.50 Descendants of Richard and Elizabeth (Ewen) Talbot of West River. Ida M. Shirk, comp. 1927 $15.00 Semmes and Kindred Families. By Harry Wright Newman. 1956 $10.00 The Hollyday and Related Families of the Eastern Shore of Maryland. By James Bordley, Jr., M.D. 1962 $10.00 The Regimental Colors of the 175th Infantry (Fifth Maryland). By H. R. Manakee and Col. Roger S. Whiteford. 1959 $2.00 World War II Maryland in World War II: Vol. I, Military Participation, 1950; Vol II, Industry and Agriculture, 1951; Vol. III, Home Front Volunteer Services, 1958; Vol. IV, Gold Star Honor Roll, 1956. H. R. Manakee, comp. each $3.25 History of the 110th Field Artillery, with Sketches of Related Units. By Col. John P. Cooper, Jr. Illustrated. 1953 $5.00 MARYLAND HISTORICAL SOCIETY 201 W. Monument Street Baltimore 1, Maryland Postage and tax, if applicable, extra. WHEN Mercy Hospital admitted the first patient through its new doors on January 2, 1890, a long and involved chapter in Baltimore's history reached a felicitous conclusion. Family papers, preserved for many years by the famous Friedenwald dynasty of Baltimore physicians, trace the intricacies which lay behind the building of the institution then known as the City Hospital. In the autumn of 1884 young Harry Friedenwald, a Johns Hopkins A.B., later a prominent Professor of Ophthalmology at the University of Maryland Medical School, entered upon the study of Medicine at the old College of Physicians and Surgeons. The College, at which his father, Dr. Aaron Friedenwald, held 1 The Friedenwald Papers are in the possession of Mrs. Julia Friedenwald Potts of Baltimore, Md. the Chair of Diseases of the Eye and Ear, then shared with the Sisters of Mercy the old City Hospital, located at the northwest corner of Calvert and Saratoga Streets. This building, formerly the Washington University Hospital, had been acquired by the faculty of the College of Physicians and Surgeons in 1879, following financial difficulties suffered by Washington University.$^2$ It occupied the southern-most part of the ground on which the new hospital was eventually built, and was bounded on the north by the City Spring, a tiny park where large elms shaded a public drinking fountain. Viewed from the Calvert Street side, it was a three-story building; the Saratoga Street side showed but two and a half stories. The main entrance was halfway up the hill and opened into the second story. Entered from Calvert Street, the ground floor housed the Dispensary. On the second floor was a white male ward and a white female ward; the third floor was given over to a colored male ward, and a room for two resident physicians which Dr. Harry Friedenwald shared, after his graduation, with Dr. William S. Gardner, the other interne. In addition to this space devoted to the Hospital were two amphitheaters, a couple of small laboratories, and an office for the Dean of the College of Physicians and Surgeons, Dr. Thomas Opie. In 1878 the Maryland Woman's Hospital was established in a building immediately adjoining the City Hospital, and under the control of the College of Physicians and Surgeons. The wards communicated by a covered way with the lecture halls so that cases in their beds could be brought before the classes. During the school term more than 350 students spent the hours daily between 9 A.M. and 2 P.M. in this building. It was in the wards, which held about forty beds, that the Sisters of Mercy cared for the sick and the injured, without nurses or orderlies. A patient who had convalesced sufficiently often acted as an orderly, for not a single nurse had been graduated in Baltimore, although in May of 1880, the College organized a school for nurses and began to send out from the Maternité certified young women who had six months of special training. The large ward on the second floor, for white men, both medical and surgical cases, was always filled. During Dr. Harry $^2$ Baltimore Sun, Mar. 28, 1899. Friedenwald’s residency, and for many years afterward, the Sister in charge of the wards was Sister Veronica. She was on duty from early morning until late in the evening; if a patient had to be admitted during the night, Sister Veronica’s bell was rung and she was again on duty in a few minutes. Many of the patients were of an unrefined sort, and were at times rather difficult, but Sister Veronica cared for them all in a kind and sympathetic manner.$^3$ The Maternité Hospital in 1889 conducted by the College. From George W. Howard, The Monumental City (Baltimore, 1889), p. 432. The students of the College of Physicians and Surgeons had unusual opportunities for the practical application of their $^3$ From “Reminiscing,” an address written by Dr. Harry Friedenwald for Alumnae Day at the Mercy Hospital School of Nursing, May 4, 1949. Due to Dr. Harry Friedenwald’s illness, his brother, Dr. Edgar Friedenwald, delivered it for him. medical studies, for the Hospital was located in the heart of the business district, and obtained most of the accident and casualty cases which amounted annually to nearly 20,000 "out" patients. H. L. Mencken, in Newspaper Days, mentioned that the young doctors at the City Hospital always had some newsworthy stories for him because they handled such a heavy load of street and factory accidents, plus a fair trade in attempted suicides. The College, in 1889, from Howard, Monumental City, p. 431. Dr. Aaron Friedenwald held his Professorship at the College for twenty-nine sessions, and took a leading part in its administration. For more than ten years he served as Treasurer of the Maternité, the Lying-in hospital established by the faculty on West Lombard Street for charity obstetrical cases; he was Treasurer of the College from 1884 until his death in 1902. As chairman of the executive committee he was very active in advancing the interests of the College, and in improving its methods and management.$^4$ He felt strongly that if the College wanted to be able to compete with the University of Maryland Medical School and with the Johns Hopkins Hospital, which was soon to open, the City Hospital must expand. For this more land was needed, and the acquiring of the City Spring lot, then municipally owned, appeared to be the best solution. The class of respectable citizens which once drank the waters of the City Spring while seeking shade under the beautiful elms had long since moved away. Vagrants and tramps had taken over, and the Spring water, having become impure, was condemned. Dr. Aaron Friedenwald’s sentiments were not shared by all of his colleagues on the faculty, and his efforts to get the City Council to do something constructive with the City Spring lot had come to naught. On August 12, 1885, Dr. Friedenwald wrote to his son Harry who was vacationing in Boston, “We had a directors’ meeting of the College last night, when the City Spring lot again became the theme of our deliberations. There was nothing sufficiently definite formulated. I feel the lot would be too high for us at almost any price, but I think if the right spirit can be awakened in the faculty, the matter can be consummated without much trouble.” To her husband’s letter, Mrs. Aaron Friedenwald added a few lines, “Papa is anxious to buy the lot at any price and then see how to raise the money; he is sure of success if only the faculty were willing to give up this coming season’s income. You know that most of them are entirely too anxious for the money and that they care very little for the future of the College. Papa will write out an accurate statement of expenses and see what can be done.” Harry replied, “So the Spring lot question has come up again! I wish it better success than it had last time—it will be the making of the College. If you can get the proper energy into your sleepy colleagues you may carry it through.” Following his graduation as M.D. from the College of Physicians and Surgeons in 1886, and his year as Resident Physician at the City Hospital, Dr. Harry Friedenwald sailed for three years of advanced medical study in Europe. Letters $^4$ Harry Friedenwald, Life, Letters and Addresses of Aaron Friedenwald, M.D. (Baltimore, 1906), p. 110. from his father kept him advised of City Hospital matters. A verbal agreement had been formed between the faculty of the College and the Sisters of Mercy, headed by Sister Superior M. Benedicta, in which the Sisters said they could raise the necessary funds for the hospital if the faculty could get the lot. The faculty intended to remain in the background, and the lot ostensibly would go to the Sisters. The City Council agreed to give the lot to the Sisters, and Dr. Aaron Friedenwald took up the thread of the story’s spinning web at this point. On April 26, 1887, Dr. Friedenwald wrote to Harry in Berlin, “I read in this morning’s paper that at a meeting of Protestant Ministers, fault was found with the action of the City Council in giving the City Spring lot to the Catholic Sisters. A delegation was appointed to wait upon the Mayor and protest this, and urge him not to sign the bill.” A week later he again wrote, “The City Council adjourned last night. The Mayor has not published what he is going to do with the City Spring Lot Bill. The case will hold over till September when the Council will meet again; by that time he will have learned as to his chances for a renomination. If he vetoes it then, the Council may pass it over his head, but this is problematical. In the meantime I shall be content, and let the grey hairs that will develop be attributable to other causes.” On that same day, May 3, 1887, Dr. Thomas S. Latimer, formerly a surgeon in the Confederate Army, and a colleague at the College of Dr. Aaron Friedenwald, inserted an open letter in the Baltimore American addressed to the Hon. James Hodges, Mayor of Baltimore: As one of the Faculty of the College of Physicians and Surgeons, I am in the habit of visiting the City Hospital (under the domestic control of the Sisters of Mercy) almost daily, and can certify that the Sisters make no distinction between Catholics and Protestants; all are welcomed, received and tenderly cared for, and are cheerfully given the right to exercise and have exercised in their behalf any and all ceremonies and rites pertaining to their religion; and if any one desired the service of a Protestant minister, he would be sent for --- 5 James McHenry Howard, Recollections and Opinions of James McHenry Howard (Balt., 1922). Thomas Sergeant Latimer enlisted as a private in Ned Dorsey’s Co., 1st Maryland Infantry, later was a surgeon. immediately. At all hours of the day and night injured and sick persons are received from the police and city officials, and they can testify to the truth of the above statement. On the contrary, it could with great propriety be called the Good Samaritan’s Hospital, as the Sisters are actuated only by motives of mercy, kindness and charity towards suffering humanity, without distinction of creed. The proposed new hospital, intended to be erected on the lot asked for by the Sisters of Mercy—a body incorporated for works of mercy—will be a great advantage to the people of Baltimore. The deed itself is not an absolute deed, since it is given only on the condition that the work of the Hospital be continued for the sole benefit of the city; and if discontinued, reverts to the city. Respectfully requesting that due consideration be given to this plain statement of facts, I have the honor to be Your obedient servant Thomas S. Latimer 1213 Eutaw Place On May 18th Dr. Aaron Friedenwald wrote to Harry: The Mayor still remains silent on the subject of the Spring lot. A number of Protestant ministers have presented a protest which they widely circulated and got attached to it almost 2000 names. What effect this will have I do not know. Sister M. Benedicta has published a long letter in all the daily papers addressed to the Mayor. Cardinal Gibbons is expected back in the city on June 5th. If things have not come to a climax by that time he is expected to aid the course with a little of his infallibility. The Mayor has lately turned his eyes upwards and his hopes have lit upon the Governorship. He realizes that he cannot fly there without wings. If in his extreme vanity he thinks he can reach Annapolis without first going to Rome, he will solemnly announce that other than holy water shall continue to flow from the Spring lot. He may rush into the arms of the Cardinal when he returns and implore him for his paternally political benediction, or he may recommend that the lot shall be devoted exclusively to the use of open air exercises for the Salvation Army. In the meantime Mayor ‘Jaimie’ is consulting the political probabilities: one day is fair, the other predicts storms. He has not as yet finished his equation and therefore relies upon evasion to steer temporarily between affirmation and negation. Harry commented from Berlin, “How much a few men can manage to do—stir up to the lowest depths the City Council, worry the Mayor, and finally get up a little 19th Century Reformation War!" Young Dr. Harry Friedenwald, imbued as he was with the new medical practices he was learning in Berlin under the famous doctors, Schweigger, Bergmann and Virchow, expressed his ideas on the subject of the hoped-for new City Hospital. "If you get the Spring lot," he wrote to his father, "and if you succeed in building a new Hospital, new not only in bricks and mortar but in hygienic arrangements and in modern appointments, you will have something which will do you and Baltimore good. But there are a few things that should be changed. The long-practiced custom of performing autopsies in the same room and at the same place where capital operations are made is not only not right, but is an offence which I cannot look upon otherwise than as the grossest violation of all modern teachings, all modern surgery, and an offence which if not punished by law is surely one by which a conscience would be deeply stung. Baltimore is, it is true, quite a backwards sort of town in regard to all innovations . . . You need an operating room where aseptic operations can be performed, aber leider, alas! You need a surgeon, too, who can perform a modern operation."6 Matters fell into abeyance over the summer, but on September 15, 1887, Dr. Aaron Friedenwald informed Harry: I read in this morning's paper that the City Council met last night and that the Sisters of Mercy petitioned the Council to lease the City Spring Lot for the erection of an emergency hospital at a ground rent of $900. Yesterday being my Clinic day, I met Drs. Opie, Latimer, Gundry, Coskery, and Bevan in the Faculty Room. They all seemed to be considerably excited as to the fate of the Spring Lot Bill which was passed by the Council at its last session. Mayor Hodges has neither signed nor vetoed it; in case he continues business for over four or five days of the time that the Council is in session, it becomes law. If the Council adjourns in a shorter time, the Bill is 'pocketed' and amounts to more than a veto, for the Council will then not have the chance of passing it over his head, if it were so inclined. It was pretty well known that the Mayor would veto it, and there were grave doubts as to the Council carry- 6 Alexandra Lee Levin, Vision: A Biography of Harry Friedenwald, (Philadelphia, 1964), p. 60. ing out the promise of its individual members that the required 2/3s majority requisite to make the Bill a law without the Mayor's approval would be forthcoming. It was agreed that the Sisters, in the event that the outlook became very bad for us, should offer to lease the place at a rent of $900. The matter became very pressing in view of the fact that the Public School authorities announced their intention of securing the place for a public school, so that the bill of the Sisters would at least forestall any other action. The thing is becoming more and more complicated, and I must confess that I have lost much of my interest . . ." On October 16th, Dr. Friedenwald wrote: Last night we had a meeting of the Board of Directors of the College to consider the status praeseus of the Spring lot. At the last short meeting of the City Council the proposition to lease the Spring lot to the Sisters at $900 per annum was not accepted, but it was resolved to offer the lot for lease to the highest bidder. This resolution was passed and received the signature of Mayor Hodges; but in order for the resolution to be carried out, the law requires that this should be advertised for three weeks. The Mayor has neglected to do this thus far, and he hardly has time to do it now. There is no doubt but that he intends to defeat the resolution in this way. The old sinner will not be in office long now, and there is a bare possibility that his successor, whoever he be, may be induced to carry out the intention of the resolution. Inasmuch as this is a resolution of the Council, and as he has signed it, an opinion comes to us, I do not know whence, that the old gentleman can by a mandamus of the court, be forced to carry out the provisions of the resolution. Whether we shall avail ourselves of this legal method has been left to a committee to make further inquiries and report. There has also been appointed a committee to see whether the five houses in Courtland Street cannot be bought for a site, the amount required for such a purpose to be raised on a ground rent. The faculty, or to speak more accurately, some of the members, viz. Opie, Latimer and Bevan are full of projects. For myself, the many failures heretofore have somewhat discouraged me, and I have sat down quietly to await eventualities. A week later the elder Dr. Friedenwald wrote: In the meantime, Father [Edward] McColgan, the advisor of the Sisters, has had a talk with Drs. Opie and Latimer and urged upon them the expediency of buying the five houses on Courtland Street 7 Courtland Street is now St. Paul Street. and erecting a hospital on the site occupied by them. I was very much amused by Dr. Opie, who called upon me last Thursday evening, for he had had a rather definite talk with the Father of the Sisters, as to their helping us and to what extent they could raise funds to build, and was told by the Father that the Sisters could do very little. Dr. Opie was rather violent in the language which he used to express his indignation at the deception which the good Sister Benedicta has practiced. I warned him long ago of becoming entangled with the Sisters in business undertakings, and always insisted that our relations should be strictly governed by business principles, and that all agreements should be in the form of legal contracts. My suggestions at the time did not meet with much favor, and it was therefore with some satisfaction that I contemplated the discomforture [sic] of Dr. Opie. He looked very much like an obstetrician who for a long time had been thinking he was dealing with a face presentation, and finally when there could be no more mistaking things, realized he had a breech before him. On November 1st the tale continued further: Last night there was a faculty meeting at which there was a lot of informal talk about the City Spring lot. The Sisters, after urging us on to get the lot with the assurance that they would get the hospital, have at last announced that they have become involved at Mt. Washington by an addition which they have made to their buildings there, and on that account they cannot obligate themselves to anything. The lot will, we are told, now that the election is over, be put up at auction for lease and given to the highest bidder, provided the Mayor, Comptroller, and City Register will approve of the bid. The trinity mentioned has the right, by the provisions of the ordinance, to reject any and all bids it deems inadequate. We were in the same fix before when the Council passed an ordinance that this body should sell us the lot at a price which it deemed reasonable. To defeat the object of the ordinance, a value was placed upon the lot far exceeding its actual value, and being beyond our reach. I have no doubt something similar is intended to be done now. I am sick of the whole affair, and wonder at Opie and Latimer continuing to dream with their eyes open. "The auction will take place on December 21st," Dr. Friedenwald wrote on November 30th. The matter was brought before us at a faculty meeting last night. Latimer and Opie were in favor of securing the Spring lot at all hazards. Dr. Latimer offered a motion to bid as high a rental as $1200 annually. I made an amendment that if our other expenses could be reduced to that amount, we should do it, otherwise not. Dr. Latimer pressed his motion and it was lost. A committee was then appointed for the purpose of recommending a plan for the reduction of our expenses. My plan is to give up the Assembly Rooms for which we are paying $750 annually, and to give up the Woman's Hospital, and after altering it a little, utilize it for a dissecting room and physiological and chemical laboratories. Furthermore I advised the abolition of Keirle's$^8$ and Councilman's$^9$ lectures on Pathology which cost us $200 annually. This has found favor. I also made a definite statement that I would oppose any further contribution from the faculty towards building a hospital, and insisted that the Sisters should be made to understand this fully. If they will not build, then we can hold as much of the lot as we need for the Maternité, if we should ever sell our Lombard Street property. I was very much amused when Dr. A. B. Arnold threw in a sort of bomb when it was stated that we must have a hospital or run the risk of losing the Sisters. Dr. Arnold said he did not think the Sisters worked altogether for sweet charity's sake, and if it had not paid them well, they would not be there now. He thought that they valued a five dollar bill as highly as he did himself. Dr. Coskery was stunned and tried to reply, but he bethought himself and sat down quietly. On December 21st, Dr. Aaron Friedenwald reported to his son Harry: Today the City Spring lot was leased at auction at $1000 annual ground rent. Mr. Lanahan made the bid for the Sisters, as was arranged between us. We would have taken it at $1200. Some lawyer read a protest on the occasion, claiming, I am told, that the City had no right to sell the lot, but in the opinion of noted lawyers we have nothing to fear from this source. I saw Sister Benedicta today and she looked triumphant. I received a beautiful letter from Sister Benedicta, [Dr. Aaron Friedenwald wrote to Harry on December 25, 1887] acknowledging the receipt of a check for $100 voted by the Faculty. She is very complimentary to me, is in ecstasy about the hospital she is going $^8$ Dr. Nathaniel Garland Keirle, Professor of Medical Jurisprudence and Pathology, College of Physicians and Surgeons; later Director of the Pasteur Institute, Baltimore. $^9$ Dr. William Thomas Councilman, Associate Professor of Pathology, Johns Hopkins, 1888-92. to build, which she says is going to be one of the finest in the Union, and expresses the hope that I shall live long to practice within its walls, and you after me, so that the name of Dr. Friedenwald will be perpetuated in that building. I believe that she is in dead earnest, and I believe that she will get the means required in the case. It will be a great triumph for the College. The alliance thus formed between us will be of incalculable value. Medical colleges cannot succeed without hospitals, and unless we would receive aid from the city or state, we could not maintain them. Political influence is the magic wand to succeed in this, and the Sisters manage to hold it, and also know how to use it. I think we have made a good bargain. Dr. Opie is jubilant, Dr. Latimer is all smiles, and for myself, I must say that I am more hopeful about the future of the College than for some time past. We have secured the Spring Lot just in the nick of time. The Manual Training School$^{10}$ is sadly in need of additional room; it is a popular institution, and I fear if we had not taken time by the forelock that it would have slipped away from us forever. The alliance with the Sisters on the new basis is excellent as it will permanently secure for us clinical advantages. The Sisters need us just as much as we need them, and that also is fortunate. We are now secured against any possible injury that the opening of the Johns Hopkins Hospital would have done us in case we would have remained as we were.$^{11}$ "We are going to make a raid on the State Treasury if we can," Harry's father wrote on January 31, 1888, "for an appropriation in aid of the projected hospital. Mr. Lanahan has sent for Dr. Opie and suggested this plan, and promised his cooperation. He, Lanahan, is a stronghold in the Democratic Party and he will be a strong ally to have. We learn that the University of Maryland is going to make application for a big appropriation too, and would not wonder if the two little colleges will do the same thing. I am afraid that this will be too much of an avalanche on the Legislature, and the result may be that no one will get anything." Harry's mother, Mrs. Bertha Friedenwald, wrote her comment on March 10th: Dr. Opie told Papa that last week he—Dr. Opie—went to Annap- $^{10}$ Later Baltimore Polytechnic Institute. $^{11}$ Levin, op. cit., p. 88. olis to see about an appropriation for the City Hospital. Someone had told Dr. Opie to get Joe Friedenwald$^{12}$ and a Mr. Blake to use their influence, as they were considered to have a large share of it. As strange things happen, your Uncle Joe and Mr. Blake were at Annapolis on some other business, and Dr. Opie met them accidentally. Dr. Opie told Uncle Joe what was wanted, and later told Papa what a thundering speech Uncle Joe made. Dr. Michael from the University of Maryland was down there to defeat them. Further reports by Dr. Aaron Friedenwald to Harry were all optimistic: March 14, 1888: The Committee on Ways and Means has reported favorably on an appropriation of $5000 for 2 years, aggregating $10,000 towards the building of the new Hospital. This is a grand triumph, especially as one member of the Committee was violently opposed to all appropriations of this kind, and further because Dr. Michael went before the Committee and made objections. We have many friends in the Legislature and we are in great hopes that we shall succeed. March 21, 1888: The building of the hospital is, under all circumstances, an assured thing. Sister Benedicta has been in New York and Philadelphia inspecting hospitals, and her plans are somewhat matured. She tells me that her notion is to leave a space of 10 feet between our two buildings, and then to occupy the full front of 166 feet for our new hospital; the iron railing will remain, and the building to be set back about 6 feet. The object of pushing the building quite up to the other building next to the Spring lot is to force the present owner to sell his property to us for a Maternité building: after we cut off his light, the house will be injured. It is designed by the Sisters to take charge of the Maternité if we can place it contiguous to their hospital; this will simplify things very materially in a practical way, for us; besides it will command cases that could not be brought there by our influence alone. April 6, 1888: The Legislature has appropriated $6000 towards the building fund, and the Sisters are ready to proceed. Michael of the University of Maryland has been a great obstacle to us. When the Committee on Ways and Means had cut down our petition to $5,000, he prevailed on them to allow him $2,500 of this sum for his Lying-in Asylum. The Committee of the Senate yielded to a degree by $^{12}$ Joseph Friedenwald, who was connected with the Bay View Brewery as part owner, was the eldest brother of Dr. Aaron Friedenwald. He was also a behind-the-scenes power in local Democratic party politics. cutting down our amount to $3,000 and awarding him $2,500 for two years. Our share of $3,000 was finally awarded us, but our friends, appreciating the animus of Michael, struck out what was intended for him, and left him entirely out in the cold. Served him right!13 April 18, 1888: Sister Benedicta has three architects at work to compete for the job. When they hand in their plans, they will be submitted to the faculty, for it is understood that in the building of the Hospital, the requirements of the College are to be taken into consideration. I think it is the intention of the Sister Superior to build a fine building. She is too much of a business woman not to realize that the Johns Hopkins will be such a fine establishment that the Sisters will be forced to make some sort of show if they are to continue to get the City appropriation and to secure private patients from the Catholic fold. May 5, 1888: Plans for the new Hospital have been completed; the architect is Mr. Baldwin. It will be 5 stories high, the front story of rough brown stone, the rest of pressed bricks with brown stone trimming. An open court will afford light and air to every apartment in the building. It will be a great boon for the College of Physicians and Surgeons which its rival, the University of Maryland, will not like a bit. The Sisters have undertaken to raise all the money; we are relieved of all responsibility except paying $500 annually which is one-half of the ground rent. June 20, 1888: I called at the Isaac Friedenwald printing establishment14 and procured a cut of the City Hospital that is to be, and which will be a conspicuous part of the new Catalogue of the College. I shall send you a cut and hope you will like its appearance. Harry’s comment when he received the cut of the new hospital was that the little old building beside it looked like a little tail joined to a big head. July 18, 1888: The foundation walls are slowly creeping up. It has not been an easy job. Water courses up whenever the ground is touched, and constant pumping is required to enable the masons to proceed. On one occasion they had to procure the services of an engine from the Fire Department. 13 Levin, op. cit., p. 89. 14 Isaac Friedenwald, founder of the Friedenwald Press, was an older brother of Dr. Aaron Friedenwald. For an interesting sidelight on the Friedenwald Press, which later became the Lord Baltimore Press, see H. L. Mencken’s Happy Days (p. 210). September 30, 1888: This has been an eventful day. The ceremonies of laying the cornerstone of the Hospital took place at 3:30 P.M. The Catholic hierarchy in full force and in full uniform was present and conducted the exercises. All the Catholic Knights, Irish and German, Polish and Bohemian, with green, red, and white plumes and shining helmets marched valiantly in line, with floating banners and stirring music. Calvert Street presented one compressed mass of human beings. The roof of the Hospital was crowded with those who were anxious to see the wonder, and who could not be accommodated with room below. The little Sisters in their saintly garb and innocent faces stood at the windows and overflowed things generally. The Cardinal [James Gibbons] in his vestments of white silk, richly embroidered, Monsignor McColgan in his purple robes, and then the priest of the third degree, and numerous brothers, who looked not half so fascinating as their sisters who were peeping from the windows above, gave the required dignity to the occasion. The Mayor, the Hon. Ferdinand C. Latrobe, was there also in full life size, except when he took off his hat. The Mayor made an address; it was good, and it was short, and was especially well received by those (and they were in the great majority) who did not know how much he had done in his official capacity to prevent the very thing for which he had so many praises today. Then the clergy did some chanting which sounded very well, and this was followed by a short but appropriate address by the Cardinal. Many baskets in the hands of amiable gentlemen were passed all around, on the stand and in the street amid the crowd. A good deal of money was apparently collected. The faculty was well prepared for this. By a resolution at a recent faculty meeting it was agreed that $150 should be contributed. It was further agreed that the Treasurer should draw the amount in $10 bills, and that each member of the faculty should be provided with one, so that others on the stand should be encouraged to give. We were all there except Dr. Gundry and Dr. Simon for whom I dropped the respective $10 bill, and for poor old Dr. Lynch, who is now sleeping quietly in Baltimore Cemetery, and who was represented by our friend Dr. Chambers who did the dropping for him. Yes, Dr. Lynch is no more. He died on Thursday afternoon and was laid to rest yesterday. Peace be to his ashes. January 9, 1889: The New Hospital is now under roof, and makes a change in the neighborhood that is much talked of. Sister M. Benedicta is very proud of her victory and our College is commencing to feel a little more respectable. January 29, 1889: The floors are being laid. March 20, 1889: The new City Hospital looks beautiful. The plasterers are now at work and it will be completed by the 1st of October. It will not be formally opened at that time, for the Sisters will have a grand Fair in it, and expect to realize a good deal of money by the scheme. March 27, 1889: Today I went through the New Hospital. It is a gem. I have no hesitation in saying that next to the Johns Hopkins it will be the finest hospital in the city. November 30, 1889: The great Fair is over and the Sisters realized about $20,000. To give you an idea of what was done: a Chair was put up to be voted for for the most popular physician. Dr. Opie, Hill the coroner, and young Dr. Chambers were the candidates for the honor. It was voted to Dr. Opie, he having received over 1400 votes; the Chair in this way realized over $900. December 25, 1889: On last Monday night the New City Hospital was inaugurated. His Eminence the Cardinal was the most prominent figure of the occasion. The ceremonies were divided into two parts. The first took place in the Chapel, which is located on the third floor and looks like a fairy place. The first address was made by the Cardinal who spoke well. He emphasized that hospitals were the outcome of Christianity, and stated that before the Christian Era hospitals did not exist, that the Greeks and Romans knew nothing about them, and that the word couldn’t be found anywhere until it was coined by the Christians who built them. He was followed by our new Mayor, Davidson, who spoke quite appropriately, and who seems both a sensible and a good man. Next Mr. Bonaparte took the stand.$^{15}$ He showed the necessity of hospitals, and among us it was better that they should be controlled by private benevolence than as an institution of the State. He is a clever man, and whenever he speaks says something worth listening to. The last speaker in the Chapel was Dr. Gundry, to represent the faculty. By some strange coincidence, he and the Cardinal both regarded it as important that the origin of hospitals should be touched upon. Gundry’s touch, however, gave quite a different sound. He traced the origin of hospitals a little further back than did the Cardinal, and he found them spoken of among the Greeks and Romans and $^{15}$ Charles J. Bonaparte, a great-nephew of Napoleon I, became Secretary of the Navy and then Attorney General in Theodore Roosevelt’s Cabinet. See Jane L. Phelps, “Charles J. Bonaparte and Negro Suffrage in Maryland,” Md. Hist. Mag. (Dec., 1959), 331-352. other ancient nations centuries before the coming of Christ.\textsuperscript{16} Gundry's contradiction must have startled the Cardinal, but no offence could have been taken for it was so written in his prepared speech, and he could not have been aware at the time that he did the writing what \textit{cardinal} error he would have to correct. After this part of the exercises, we were marched downstairs in one of the new public wards where tables were prepared with good things to eat and drink. Here Judge Bond,\textsuperscript{17} Mr. Lanahan, and Mr. John P. Poe\textsuperscript{18} held forth by appointment, after which the company was dismissed. There were about 300 persons present, who had been selected with great care: the Governor and his staff, Mayor Davidson, ex-Mayors Hodges and Latrobe, the City Council, I. Freeman Rasin,\textsuperscript{19} and everybody from whom political favors could be looked for in the future. The Sisters of Mercy were eulogized to their full satisfaction. Dr. Thomas Opie, Dean of the College of Physicians and Surgeons, had fallen ill, and Dr. Aaron Friedenwald was appointed Dean \textit{pro tem}. In this capacity, Dr. Friedenwald delivered the address for the College at the official opening of the new City Hospital on January 1, 1890. In this speech he traced the history of the College, its cooperation with the Sisters of Mercy, and the efforts made by the faculty to secure the City Spring lot. Dr. Friedenwald, with his sense of humor, could not resist poking some gentle fun for the benefit of those who knew the tortuous details of what had gone on before. "This magnificent Hospital now stands upon that long coveted lot," he explained, "and Charity, 'tis said, covereth a multitude of sins." \textsuperscript{16} See also "Notes on the History of Jewish Hospitals" by Dr. Harry Friedenwald, in the \textit{Hadassah Newsletter}, Dec. 1938: It is often assumed that the hospital is a Christian institution. It is interesting, however, to learn that when the first hospital was founded in Rome in the fourth century as a mark of penance by Fabiola, a rich Roman lady, St. Jerome (387-420 B.C.) praised her act as 'having transplanted a branch of Abraham's terebinth to the Ausonian Shores.' There is a legend that Abraham made a place of lodging for travellers under a terebinth which he planted in Beersheba . . . Sarton suggests that 'the earliest conception of hospitals was probably Jewish . . . Dr. Friedenwald's "Notes on the History of Jewish Hospitals" appears in his \textit{The Jews and Medicine} (Baltimore, 1944), II, 514. \textsuperscript{17} Judge Hugh Bond. \textsuperscript{18} John P. Poe was Attorney General of Maryland, 1892-96. \textsuperscript{19} I. Freeman Rasin was a local politician and associate of Arthur Pue Gorman, U.S. Senator from Maryland. See John R. Lambert, Jr., "The Autobiographical Writings of Senator Arthur Pue Gorman," \textit{Md. Hist. Mag.}, LVIII (June, Sept., 1963). 93-122; 233-248. The following day the first patient was admitted to the New City Hospital, later Mercy Hospital. Dr. Aaron Friedenwald practiced in the Hospital until his death in 1902. Three sons and a grandson were later intimately connected with the Hospital: Drs. Harry, Julius, Edgar, and Jonas Friedenwald.$^{20}$ In 1915 the College of Physicians and Surgeons merged with the University of Maryland Medical School, its old rival. $^{20}$ Harry Friedenwald (1864-1950); Julius Friedenwald (1867-1941); Edgar Friedenwald (1879- ); Jonas Friedenwald (1897-1955). EDITORIAL POLICIES OF THE MARYLAND GAZETTE 1765-1783 By David C. Skaggs Professor Edmund S. Morgan recently suggested that revolutionary period scholars "must dissect the local institutions which produced the American Revolution, the institutions from which are distilled the ideas that enabled men of that age to stand as the architects of modern liberty." On the Chesapeake tidewater one of the most significant institutions influencing the change of colonial ideals from dependence to independence, and at the same time leaving such concepts as freedom of religion, speech, and press engrained in the revolutionary mind, was the Annapolis journal operated by Jonas Green, his wife and his sons. Throughout the period from the passage of the Stamp Act to the signing of the Treaty of Paris, the Maryland Gazette's weekly issues both influenced and reflected local thought. Much has been written about colonial printing and printers, but the monographs about the Green family in particular or editorial policy in general neglect them as editors. Both Lawrence C. Wroth, in A History of Printing in Colonial Maryland, and Joseph T. Wheeler, in The Maryland Press, 1777-1790, were primarily concerned with biographical and typographical matters. Arthur M. Schlesinger, in Prelude to Independence: The Newspaper War on Britain 1764-1776, chiefly concentrated on newspapers above the Mason-Dixon Line; and one of the important missing papers was the Maryland Gazette, begun by a former apprentice of Franklin in 1745. Green, newly wed to Anne Catharine Hoff, came to the capital in 1738. The young man rapidly advanced in provincial society. He became civic leader, church officer, and poet, punchmaker, and punster to the popular Tuesday Club of local gentlemen. He also 1 Edmund S. Morgan, "The American Revolution: Some Revisions in Need of Revising," William and Mary Quarterly, 3rd Ser., XIV (January 1951), pp. 13-15. established one of the important printing firms of early America. Anne Catharine would succeed Jonas and their sons would follow as heads of the family press.$^2$ Editorials as such were unusual in eighteenth century journalism; only rarely did the Greens express themselves openly. Instead, they allowed Marylanders and other colonials free usage of their pages for contributions of poetry, prose, religious discussions, and, with greater frequency after the French and Indian War, political diatribes. In heated political controversies, the Green press attempted a program of impartiality, giving each side space fully to express their opinions on controversial issues, for such a policy was lucrative. Despite the contentiousness of partisans of Maryland’s “country” and “court” parties, the Greens managed to receive the Assembly’s favor as “Public Printer”—a government largess which made the Gazette financially better off than its rival Maryland newspapers. Outstanding among such controversies was the series between the “First Citizen” (Charles Carroll of Carrollton) and “Antilon” (Daniel Dulany, the Younger). For the first six months of 1773, the Gazette’s readers contemplated the charges and counter-charges of the two antagonists. The argument over Governor Robert Eden’s fee proclamation of 1770 was part of the prelude to the May elections. Enthusiasm was such that people crowded the small printing house each Thursday to buy the paper fresh off the press in order to read the latest discourse.$^3$ Thus was controversy profitable. The protagonists used pseudonyms, but these rarely hid from the public the true identity of the participants. Dulany, backing the governor, had the entire British legal tradition on his side, and used his arguments effectively. Carroll, obviously more influenced by the rationalism of his education in France than by his instruction at London’s Inns of Court, took a natural rights --- $^2$ All biographical information on the Green family, except where otherwise noted, comes from Lawrence C. Wroth, A History of Printing in Colonial Maryland, 1686-1776 (Baltimore, 1922), pp. 76-81, or Joseph T. Wheeler, The Maryland Press, 1777-1790 (Baltimore, 1938), pp. 66-70. The finest study of the environment in which the Green press operated is Charles A. Barker, The Background of the Revolution in Maryland (New Haven, 1940). $^3$ Ibid., pp. 344-48: Aubrey C. Land, The Dulanys of Maryland (Baltimore, 1955), pp. 289-90, 301-07. position. The acrid conflict worsened when elections brought defeat of "court" candidates. A poem, signed "Broomstick and Quoad," revived latent anti-Catholicism by denouncing Carroll's writings as papistic. But several newly elected delegates wrote the "First Citizen" a public letter commending his "nervous and masterly defense of the constitution, against the late illegal, arbitrary and oppressive proclamation." Another argument of vital importance concerned the established church. Above all, their conduct on this particular issue demonstrated how the Greens championed freedom of the press. Not only were they active churchmen, but also they received a salary for their duties as parish registrar. Jonas and his sons William and Frederick successively held the post from 1746 until the latter resigned in 1777. The stipend for these services allowed them to profit from the church's establishment. Nevertheless, they allowed Samuel Chase and William Paca to urge disestablishment in opposition to Jonathan Boucher, the controversial Anglican priest. This particular colloquy was distinguished because the participants signed their articles which appeared in nearly every issue of the Gazette in 1772 and 1773. They debated over the taxes levied to support the church and the proposed installation of an Anglican bishop in America. If sheer amount of space devoted to an issue is an indication of the intensity of a problem, the provincial church appears to have been more of an issue to Marylanders than the illegality of parliamentary taxation. Another issue of concern arose over whether coercion should be used to enforce the Articles of Association. The Sons of Liberty were forcing Marylanders to support the boycott against --- 4 Dulany's articles appeared in The Maryland Gazette, Jan. 7, Feb. 18, Apr. 8, June 3, 1773, and Carroll's on Feb. 4, Feb. 25, March 11, May 6, July 1, 1773; see also Barker, Background, pp. 351-54. 5 Md. Gazette, June 10, 1773. 6 Ibid., May 27, 1773. 7 "Vestry Proceedings, St. Ann's Parish, Annapolis, Md.," Md. Hist. Mag., VII (June, 1912), 181, VIII (Dec., 1915), 560, IX (Mar., 1914), 50, X (Mar., 1915), 41, X (June, 1915), 136, 142. 8 For examples see Md. Gazette, Dec. 31, 1772, Jan. 14, Feb. 4, Apr. 1, Apr. 29, May 6, 1773; for more on Boucher see, Philip Evanson, "Jonathan Boucher: The Mind of an American Loyalist," Md. Hist. Mag., LVII (June, 1963), 123-36, and Vernon L. Parrington, Main Currents in American Thought, I, The Colonial Mind (New York, 1954), pp. 218-23. British goods prescribed by the Articles in order to force repeal of the Intolerable Acts. Again both sides received space.\textsuperscript{9} By early 1775, the arguments grew so fierce that the Greens printed handbills for participants since newspaper lineage was limited.\textsuperscript{10} As elsewhere in British America, independence became the burning issue in Maryland during the first half of 1776. Columns were filled with arguments for and against Thomas Paine's \textit{Common Sense}. The Maryland Convention had voted against severing the ties with Britain, but patriots went from county to county holding meetings to oppose these restrictions upon the province's delegates to the Continental Congress. The \textit{Gazette} printed the resolutions of such meetings, and these were then used to force the Convention to free its delegates to sign the Declaration.\textsuperscript{11} In 1780-81 controversy again erupted over the confiscation of loyalist property. Things became so heated that Charles Carroll of Carrollton and Samuel Chase took off their cloaks of anonymity and each engaged in vindictive arguments over the character and motivations of the other.\textsuperscript{12} There were limits to the latitude that the Green family could allow their correspondents for they were libel for inflammatory statements appearing in their paper. This necessitated some sort of censorship. The consequences of not adopting such a policy were shown in the case of William Goddard, editor of the \textit{Maryland Journal} in Baltimore. A combination of irresponsible editorial decisions and demagogic local political leadership resulted in Goddard being twice driven from the city. Only the interposition of the Maryland Council of Safety, whose leaders had seen the \textit{Gazette} champion freedom of the press for over three decades, allowed Goddard to return safely to Baltimore.\textsuperscript{13} Thus as early as 1766, the Greens practiced editorial restraint in the acceptance of material. Jonas Green rejected as "too personal" an article by Chase attacking Mayor Walter \textsuperscript{9} \textit{Md. Gazette}, May 26, June 2, June 9, 1774. \textsuperscript{10} \textit{Ibid.}, Jan. 19, Feb. 2, Feb. 23, 1775. \textsuperscript{11} \textit{Ibid.}, every issue Mar. 7-July 18, 1776. \textsuperscript{12} \textit{Ibid.}, (Carroll) Aug. 23, Aug. 30; (Chase's reply) Sept. 27, Oct. 11, 1781; beginnings of the confiscation argument can be seen in letters by Carroll as "A Senator," Feb. 11, Feb. 18, Feb. 25, 1780, and replies by "A Plecian" of Prince Georges County, Feb. 18, and Baltimore's "Publiciola", Feb. 25, 1780. \textsuperscript{13} Ward L. Miner, \textit{William Goddard, Newspaperman} (Durham, N. C., 1962), pp. 150-62, 167-73. Dulany. In so doing, Green invited criticism of himself since he had previously allowed Dulany to reply to Chase’s original arguments. It is possible that his personal friendship with the Dulany family was the major reason behind his decision to refuse this tirade against the town’s mayor in this so-called “Paper War.” On the other hand, Chase was notorious for unbridled invective whether oral or written.$^{14}$ The year following her husband’s death in 1767, Anne Catharine Green, succeeding provincial printer and Gazette editor, refused to print arguments of the Reverend Bennet Allen, rector of St. Anne’s of Annapolis, who wished to rid his vestry of elements opposed to him. Allen refused to sign his essays or post bond to indemnify the printress in case of libel. Supporting her in this particular argument was her son-in-law, John Clapham, a minor proprietary official, who wrote three letters to the Gazette explaining Mrs. Green’s position.$^{15}$ During the disestablishment arguments of 1773 several unsigned articles appeared attacking the personal character of William Paca. Extremely upset, Paca told Anne Catharine Green, in a letter she published, “if you are hereafter an instrument in propagating, thro’ the channel of your press any personal reflections on me, and conceal the author, by which, as hitherto, I am deprived of an opportunity of treating the infamous scoundrel in the manner he may deserve, I shall hold you responsible.”$^{16}$ Mr. Paca had no more trouble in this regard. The impropriety of remarks written during the confiscatory discussion caused Frederick and Samuel Green to remind contributors of their responsibilities. On March 3, 1780, the brothers wrote: “Several pieces are received and will be published in the order they came to hand. Sceavola to the Senator contains several exceptional passages, and will be returned to the author. Vindex is likewise too personal, and cannot be pub- $^{14}$ The affair is well discussed in Neil Strawser, “Samuel Chase and the Annapolis Paper War,” Md. Hist. Mag., LVII (Sept. 1962), pp. 188-91, and Francis W. Beirne, “Sam Chase, ‘Disturber,’” ibid., LVII (June 1962), p. 86; Md. Gazette, Mar. 13, Mar. 20, Mar. 27, May 1, June 19, July 17, 1766. $^{15}$ Ibid., Sept. 22, Nov. 17, Dec. 8, 1768; Josephine Fisher, “Bennet Allen, Fighting Parson,” Md. Hist. Mag., XXXVIII (Dec. 1943), p. 315, XXXIX (Mar. 1944), p. 53. $^{16}$ Md. Gazette, Sept. 30, 1773. lished." There was still some confusion among their correspondents. One wrote a friend in Annapolis, "if Green says it is to have been usual to communicate the name of the author—tell him—but tell him to be secret." To clarify the entire situation the Greens declared: "No pieces will be inserted in this Gazette unless the authors send their real names to the printers." This settled the problem of censorship and libel suits once and for all. Brief expressions of the editor's attitude toward current political topics often appeared in short italicized items, under the Annapolis dateline, preceded by a triangular arrangement of three asterisks, i.e. * * . The family political preference at first slyly leaned to the patriot cause, judging from these cryptic statements. But the Stamp Act bore heavily on the colonial press and the Greens openly defended their interests. The wily Jonas Green attacked the Stamp Act by heading his paper of October 10, 1765, The Maryland Gazette, Expiring: In uncertain Hopes of a Resurrection to Life again. A week later he began publishing the first of three supplements to this issue, thereby avoiding printing a new issue which would be subject to the hated tax. On December 10, there appeared An Apparition of the late Maryland Gazette. By January 30, 1766, he changed the numbering to a new issue and entitled it The Maryland Gazette, Reviving. The paper resumed its old title on March 6. During the time he was dodging the tax, he printed the essay by Daniel Dulany entitled Considerations on the Propriety of Imposing Taxes in the British Colonies and expressed favoritism of some of the activities of the Sons of Liberty. The Annapolis printers supported the cause of the "country" party the more by printing letters from various Committees of Correspondence, selected excerpts from London papers showing Parliament antagonistic to the colonials, political essays like --- 17 Ibid., Mar. 3, 1780. 18 William Vans Murray to Henry Mayndier, Oct. 1, 1781, in Murray MSS, Md. Hist. Soc., Baltimore. 19 Md. Gazette, Nov. 22, 1781. 20 Wroth, Printing, pp. 83-84 [Daniel Dulany], Considerations on the Propriety of Imposing Taxes in the British Colonies, (Annapolis, 1765?); Land, Dulanys, pp. 259-68. 21 Md. Gazette, Mar. 6, 1766. John Dickinson's "Letters from a Pennsylvania Farmer," letters to the printer, and brief reports of popular party activities in Maryland. Repeal of the Townshend Acts curtailed the crusading zeal in most of the colonies until 1773, when Marylanders chose a new Lower House of the Assembly. The arguments of the "First Citizen" and "Antilon" were manifestations of this campaign. By mid-1774, the columns of the Gazette were so crowded with news from Williamsburg relative to the Boston crisis, from London about large amounts of British money, arms, and troops being sent to the Massachusetts port, and from Annapolis concerning citizens' meetings on united colonial action due to the Intolerable Acts, that Anne Catharine Green apologized: "The conclusion of the essay on the advantages of a classical education, is postponed for the want of room.—Advertisements omitted will be inserted next week." Mrs. Green tried to show that all elements in American society were cooperating in the patriot cause when she commented: Many reflections being thrown out by some prejudiced persons, insinuating that the Quakers are totally inactive in the present struggles for American liberty, it is with real pleasure that we can assure the public, that that truly respectable society have lately resolved in one of their meetings lately held in Philadelphia, neither to drink tea, nor suffer any to be used in their families. With the tide of events moving toward a more radical course, the printers of Maryland's leading newspaper more than ever expressed these changing viewpoints. Their by now radical attitude was shown in the report of the burning of the Peggy Stewart. In July 1775, the Baltimore-bound ship Totness, suspected of carrying contraband, ran aground near Annapolis. A "number of people met," in defiance of a ruling of the local committee of inspection, and, "highly resenting so daring an 22 Dickinson's letters were printed in 12 installments in each issue, Ibid., Dec. 17, 1767-Mar. 10, 1768. 23 Ibid., May 27, 1773. 24 Arthur M. Schlesinger, Prelude to Independence: The Newspaper War on Britain, 1764-1776 (New York, 1958), pp. 129-135. 25 Md. Gazette, June 2, 1774. 26 Ibid., Sept. 29, 1774. 27 Ibid., Oct. 20, 1774. infringement of the continental association, . . . went aboard, and set her on fire.” There was not a hint of condemnation of these radical proceedings in the Gazette.\textsuperscript{28} As the clouds of conflict over the Coercive Acts grew darker, the Greens turned their journal into an organ of the Anne Arundel committee of correspondence. They published notices of approaching citizens’ meetings, elections, and provincial conventions. Resolutions and proceedings of local, provincial, and continental assemblies filled their pages. War found the Greens publishing Thomas Paine’s “Crisis” series and various Maryland essayists using such names as “Solon,” “An American,” “Cato,” and “Plainurus”: all crying for continued resistance. “Cato” urged his fellow citizens to watch the enemy within, suggesting they “guard well, your suspicious neighbours, and secure your known internal foes—secure ’em! Hamper, pinion, and bind ’em, from rendering you the every mischief they most assuredly would do you, were they at will.”\textsuperscript{29} Throughout the war the Greens printed notices of military action in a manner designed to encourage the rebels. Despite the dangers of invasion and capture by Sir William Howe’s forces moving up the Chesapeake Bay in 1777, they defiantly published articles by Paine. Concurrently they editorialized against “enemy” privateers which “run along the shore, and into the unguarded rivers, and plunder the inhabitants. Negroes are their chief object, whom they intend to sell in the west Indies.” Similar raids in support of traitor Benedict Arnold’s Virginia campaign of 1781 were also condemned.\textsuperscript{30} As Washington moved his army south to encircle Cornwallis, the British commander’s action reports concerning the Battle of Guilford Courthouse were disparaged by the editors as “replete with false colourings, calculated to extole the fortitude and heroism of Britons, to diminish their losses, extenuate their cruelties and disgrace, and inspire the [British] administration with delusive hopes of conquest . . .”\textsuperscript{31} \textsuperscript{28} \textit{Ibid.}, July 20, 1775. \textsuperscript{29} “Cato” in \textit{Ibid.}, July 16, 1779; for examples of other writers see issues of Nov. 21, Nov. 28, 1776, Jan. 9, Feb. 13, 1777, Feb. 18, July 7, 1780; Paine’s “American Crisis” series began Jan. 2, 1777. \textsuperscript{30} \textit{Ibid.}, Aug. 21, Sept. 18, Sept. 25, 1777, Mar. 22, 1781. \textsuperscript{31} \textit{Supplement to Md. Gazette}, Aug. 23, 1781. Any "delusive hopes of conquest" were shattered just a few weeks later. The Gazette's publishers saved their highest accolades for the victor of Yorktown when he visited Annapolis, November 22-23, 1781. According to the Greens,\textsuperscript{32} On his appearance in the streets, people of every age eagerly pressed forward to feed their eyes with gazing on the man, to whom, under Providence, and the generous aid of our great and good ally, they owed their present security, and their hopes of future liberty and peace; the courteous affability, with which he returned their salutes, lighted up ineffable joy in every countenance, and diffused the most animated gratitude through every breast. You would have thought the very windows spoke, So many greedy looks of young and old Through casements darted their desiring eyes Upon his visage; and that all the walls, With painted imagery, had said at once, God save thee, WASHINGTON. With this effort completed, the printers returned to their usual practice of reporting local events with a sentence or two under the Annapolis dateline. Seldom, if ever, would they allow their own emotions as much room as they did on the day of Washington's visit. The relative economic, social, and political importance of Annapolis declined after the Revolution. Baltimore, with its fine harbor and easy access to the wheat fields of the west, became the major urban center of Maryland. But, in the period before her decline, the capital was filled with business, political, and social leaders. Reflecting the views and politics of such men was the \textit{Maryland Gazette}, the colony's only paper until 1773; and in turn it influenced those who read its pages. Thus the Greens' weekly helped construct American democracy. Surely this was one of those institutions which Professor Morgan had urged historians to dissect since it mirrored and partially shaped contemporary minds. \textsuperscript{32} \textit{Md. Gazette}, Nov. 29, 1781. MARYLAND METHODISTS AND THE CIVIL WAR By Richard R. Duncan The secession crisis which broke over the nation in 1860 compounded an already difficult dilemma for the Methodist Episcopal Church in Maryland. Slavery had long been a sporadic source of trouble in the Church, and controversy over the issue had already brought about a division in 1844 with the creation of a Southern organization. In the 1850's agitation on the question threatened disunity once more. With the attempt of anti-slavery forces to strengthen the Discipline in the 1856 General Conference, strong opposition began to assert itself in the remaining slave areas. For as early as the following year, the Baltimore Conference expressed its determination to prevent any change,$^1$ and by 1860 with a change being effected, the issue was an extremely sensitive one in the border areas. The secession crisis also had ramifications for Marylanders other than merely sharpening the controversy over slavery. As a border state with divided loyalties, Maryland found herself being pulled in various directions, and differences over her role in the crisis permeated religious institutions as well as political ones. With the outbreak of hostilities, the question of political loyalty became an issue of major significance and one of the most perplexing difficulties during the war period for Methodists and Marylanders alike. By the convening of the General Conference in Buffalo, considerable pressure had mounted among the Northern conferences for a change in the Discipline on the question of slavery. Discussion upon the issue was soon opened in the conclave with a request that the Committee on Law Questions decide: "Does the General Rule on Slavery prohibit the Hold- $^1$ Charles Baumer Swaney, Episcopal Methodism and Slavery* (Boston, 1926), p. 222. ing of men, women, and children in the same sense that it does the buying and selling them?" Petitions and memorials flooded the Committee on Slavery. Some 137 petitions, representing 3,999 persons, opposed any alteration in the ruling, while 811 memorials, representing 45,857, requested that it be changed. Among those petitioning against a change, ten memorials came from groups in the Baltimore, East Baltimore, and Philadelphia conferences. Finally on May 16th, the Committee on Slavery was ready to present a report to the Conference. The majority of the committee recommended the adoption of an amendment which would have changed the prohibition to read: "The buying, selling, or holding of men, women, or children, with an intention to enslave them." Since a vote on this part of the report failed to receive a necessary two-thirds majority to amend the rule, anti-slavery forces offered a substitute for the seventh chapter of the Discipline, and by a vote of 149 to fifty-six they were able to bring the substitute before the convention. The effort was successful, and the so-called New Chapter was adopted by a vote of 155 to fifty-eight. In answer to the question: "What shall be done for the extirpation of the evil of Slavery?" the General Conference now asserted: We declare that we as much as ever convinced of the great evil of slavery. We believe that the buying, selling, or holding of human beings, as chattels, is contrary to the laws of God and nature, inconsistent with the Golden Rule, and with that Rule in our Discipline, which required all who desire to remain among us to 'do no harm, and to avoid evil of every kind.' We therefore affectionately admonish all our preachers and people to keep themselves pure from this great evil, and to seek its extirpation by all lawful and Christian means. Strongly opposing the action, a minority prepared their own statement and recommended a series of resolutions for consid- --- 2 William L. Harris, ed., Journal of the General Conference of the Methodist Episcopal Church, held in Buffalo, N.Y., 1860 (New York, 1860), p. 117. 3 Ibid., 426. Maryland churches were divided among three conferences: the Philadelphia, which contained the Eastern Shore circuits, the Baltimore, and the East Baltimore. The Methodist Almanac of 1862 estimated that there were 56,220 Methodists in the state. Cited in William Warren Sweet, The Methodist Episcopal Church and the Civil War (Cincinnati, 1912), p. 46. 4 Ibid., 404-409; Sweet, Methodist Episcopal Church and Civil War, 39-40; and Swancy, Episcopal Methodism and Slavery, pp. 225-226. eration. They held to the view that slaveholding, if it was "necessary and merciful," was not a sin in itself, but only became so when it was done for "mercenary and selfish purposes." Continuing this line of reasoning, the minority maintained that the Church had continually and openly opposed slavery as a sin and had used its powers to keep members from any "criminal connection" with it. They too expressed hope that its evil would be removed from amongst them, but in the light of the highly emotional crisis, they counseled against any change which might disturb the Church's unity and would be adverse to both ministers and lay members in slave areas. The conclave, fearing the adverse reaction of Methodists in the border states, virtually nullified the New Chapter's effectiveness. Before the conclusion of the session a resolution stating that the new rule was "declaratory of our principles, and advisory in its application" was introduced but later withdrawn in favor of one merely stating "the chapter in itself so clearly declarative and advisory as not to require any such explanation." However, the application of the new rule was more effectively nullified by the interpretations made by the bishops of the Church. As a consequence, equivocal interpretations protected the slaveholder and was responsible for holding many who might otherwise have left the Church. Despite the attempt to conciliate the border churches, much --- 8 Ibid., pp. 410-417. Later in the interest of maintaining harmony, the minority requested and was permitted to read a statement into the minutes clarifying their position. They assured the Conference that they did not wish to create the impression of charging the majority with "unfairness or oppression" but merely considered that the documents, which had been presented to the committee, were not given full consideration. Therefore without sacrificing their principles, they were willing to waive the offensive particulars which appeared in their original objection. Ibid., pp. 192-193. 6 Ibid., pp. 260-261. 7 Later, the House of Bishops meeting in Cincinnati adopted a resolution which asserted: "That in our judgment there was no action of the late General Conference of the Methodist Episcopal Church which changed the terms of membership in said Church." Baltimore, American and Commercial Advertiser, January 2, 1861. (Hereafter cited as the American.) During the 1861 sessions of the Baltimore Conference, Bishop Scott was asked a series of questions concerning interpretations of the New Chapter. Asked if a local minister who held slaves would be denied ordination, if a slaveholder could be excluded from the Church, and if he could be arraigned as a sinner; the Bishop replied no. He was then asked if a slaveowner holding slaves for gain could be brought to trial. Bishop Scott replied: "I know no such process." On questions pointedly directed to the New Chapter, the Bishop became even more equivocal. In answering: "Is not every man a sinner against God, and the laws of nature, and the precepts of the Bible, who holds a slave in the sense of dismay and anger was expressed in Maryland against the action taken at Buffalo. Prior to the meetings of the annual conferences in March, 1861, there were strong protests voiced by local churches and lay meetings in all three conferences. Within one month after the General Conference's action, members of the "City Station" in Baltimore adopted a series of resolutions denouncing the passage of the New Chapter as being without proper authority and as being a source of embarrassment and agitation for those groups in slave territory. In expressing their opposition, they resolved to refuse to adhere to the Discipline of the prior General Conference. Later in December, members of a lay convention of the Baltimore Conference, in voicing their protest, further recommended that the border conferences withdraw from the jurisdiction of the General Conference. A strong protest movement also erupted in the Eastern Shore circuits. There, Methodists not only insisted on the repeal of the New Chapter but also demanded other reforms. They called for their separation from the Philadelphia jurisdiction, for either the creation of a new conference or their inclusion in the Baltimore one, and for the right to be supplied with ministers who agreed with them in sentiment. At a layman's meeting in Cambridge, the assembled members demanded that authority --- the New Chapter?" Scott indicated that "He is, in the sense of the Discipline, whatever that sense is." Finally he was asked: "Is it not, under the Discipline, the duty of every member of the Church to engage in active efforts for the abolition of slavery?" The forthcoming reply was: "Not more under the present than under the former Discipline." Later in the proceedings he was asked: "Has the Presiding Bishop authority to ordain any local or traveling preacher who says he cannot subscribe to all the doctrines of the Church?" Scott adroitly answered: "The Presiding Bishop must ordain all who are duly elected, and who take upon themselves the ordination vows of the ordination service." The Liberator, XXXI, No. 14, April 5, 1861, and also cited in Swaney, Episcopal Methodism and Slavery, 229-230. Again in 1862 members of the Baltimore Conference were concerned with their position in the Church. Bishop Janes in writing to his wife just prior to the opening of the meeting commented that: "Yesterday, from early morn to late at night, I was in the company of Church committees, or brethren making calls to state their own cases, or some of the elder members of the Conference coming to renew their acquaintance and to inquire after my welfare, etc. Of course they must be answered courteously. To do this and not commit myself or my plans so as to embarrass me hereafter required me to think twice before I spoke once. We shall have some very delicate and difficult and very responsible questions to settle. Party strife is very violent. There is a wall of fire all around me; go which way I will I must be burned." Henry B. Ridgaway, The Life of Edmund S. Janes (New York, 1882), p. 253. --- 8 Minutes of the Sessions of the Baltimore Annual Conference, Methodist Episcopal Church (South), 1862-1865 (Staunton, Virginia, 1899), pp. 3-5 and American, January 2, 1861. over slavery be given to local jurisdiction and that a fairer proportion of the Church's periodicals be placed under the control and editorship of men representing the border areas.$^9$ Reflecting much of the prevailing tension over the new rule, meetings on the Eastern Shore assumed an even more radical character in an attempt to exert pressure on the Church for the redress of their grievances. Members of the Asbury church in Somerset County not only declared the New Chapter an "unjustifiable and inexcusable violation of its solemn pledges and good faith to the border churches," but asserted that since protests and repudiations were useless, they were severing their ecclesiastical ties with the jurisdiction of the General Conference. This action, however, was somewhat tempered by their subsequent decision to reassemble after the meetings of the Philadelphia and Baltimore groups in order to reassess their position.$^{10}$ In another meeting held in Cambridge, a proposal was adopted which called upon the peninsula counties of Maryland, Virginia, and Delaware to separate from the Philadelphia jurisdiction and either form their own conference or join the Baltimore one. To implement such a move, a call was extended to all churches on the peninsula to meet in Baltimore on March 5th for a general consultation as to the course they should pursue. Provision was also made that, in the event the Cambridge proposals were refused, then all churches and circuits, which were in agreement, would apply to be included within the jurisdiction of the Baltimore Conference on condition that it in turn would renounce its allegiance to the General Conference.$^{11}$ This rising tide of emotionalism amidst the deepening sectional crisis had an adverse effect upon the annual conferences when they assembled in March. Baltimore succumbed to the pressure from radicals who wanted separation, while a less revolutionary approach was adopted by the other two groups. Both East Baltimore and Philadelphia delegates merely passed resolutions protesting the change in Discipline. $^9$ Baltimore, Sun, March 12, 1861. $^{10}$ Ibid., March 15, 1861. $^{11}$ American, January 16, 1861, and the Sun, January 16, 1861. When the Baltimore Conference convened in Staunton, Virginia, in March, a layman's convention also met in the same city to discuss the condition of the Church. Meeting at the same time, the laymen exerted strong pressure on the Conference to assume a more radical position. In discussing the question of slavery, the Business Committee adopted a report which was essentially the one proposed earlier by the Baltimore laymen's convention. They declared that since the General Conference "by its unconstitutional actions" had severed the ecclesiastical ties which bound them to its jurisdiction, they therefore refused to submit to its authority. They went on further to declare that "[we] hereby declare ourselves separate and independent of it, still claiming to be, notwithstanding, an integral part of the 'Methodist Episcopal Church.'" A smaller group of delegates opposed this form of action and advocated the more moderate approach of delaying a decision until a later time. And only then under certain circumstances would they recommend resorting to separation. Nevertheless, despite this opposition, the majority report was accepted by a vote of ninety-one to thirty-two.$^{12}$ In the meantime, the sessions of the Baltimore Conference opened under the direction of Bishop Scott. Almost immediately the Baltimore laymen's memorial and other similar reports were introduced, turning the delegates' attention to the Church's action on slavery. Moderates, who had hoped to keep the convention from following the lead of the earlier laymen's action, counseled delay. In the course of debate, they maintained that sufficient reasons had not been put forth to justify an act of separation and pointed to the fact that the New Chapter was not law. Others counseled delay for fear of committing the greater "sin of schism" and proposed that the Conference merely request the repeal of the new ruling and the transfer of the question of slavery to local jurisdiction. Then, if their demands were not met, they recommended the body should seek peaceable separation.$^{13}$ Those who were determined that some form of action should $^{12}$ Minutes of the Sessions of the Baltimore Annual Conference (South), pp. 3-5; Sun, March 16-19, 1861; and American, March 16-19, 1861. $^{13}$ Sun, March 15-19, 1861, and American, March 15-19, 1861. be taken argued that by being degraded to the "level of promiscuous sinners," they were being denied equality in the Church. Others maintained that there were no Biblical references to slavery as a sin and attacked the New Chapter on scriptural grounds, while some charged that the change made for a new test of membership.\textsuperscript{14} During the course of debate, the radical position was considerably strengthened when the Staunton laymen's resolutions were introduced and read to the delegates. A committee had originally been appointed to attempt to bring the Conference into harmony on the question, but finding itself unable to agree, it was subsequently discharged. Thereupon, a number of compromise plans were introduced in the conclave for consideration. With the exception of the resolutions presented by Rev. N. Wilson, they proposed to delay action on the question for the present. The Wilson proposals, however, called for immediate separation.\textsuperscript{15} Before making a final decision, another attempt was made to secure harmony by appointing a committee of six to formulate a plan. But this committee as well reported that it was unable to reach any common agreement. Although it did not accomplish its objective, the group did recommend that the majority, without the concurrence of the minority, adopt a course of action to meet the exigencies of the situation. It also suggested that in order to safeguard the minority, they should be allowed to enter their objection in the minutes and receive their appointments from the Bishop in the usual manner. The majority was also cautioned against imputing the motives of the minority. The report further called for a prohibition of all controversy over the issue in the Church paper, the \textit{Baltimore Christian Advocate}, during the ensuing year. The first proposal greatly concerned the Bishop, for he did not want to be either committed or bound by the plan. To relieve him of any embarrassment, the delegates unanimously passed a resolution stating that as the presiding officer he was not expected to endorse it. Finally on the 10th day, the paper \textsuperscript{14} \textit{Ibid.}, March 16-26, 1861. \textsuperscript{15} \textit{Ibid.}, March 20 and 23, 1861, and \textit{American}, March 20 and 23, 1861. presented by the Rev. N. Wilson was voted upon by the convention. On the initial vote eighty-three favored it, while forty-one declined to vote; three voted no; and three declined to vote at that time. Disapproving of the resolution which called for separation, Bishop Scott read a paper to the assembled delegates in which he declared that the Wilson proposal was "in violation of the order and discipline of the Church, and therefore, is null and void." Therefore, he refused to recognize the action and indicated his determination to proceed with the business of the Conference. Despite his opposition, the delegates not only severed their ties with the jurisdiction of the General Conference, but also set forth the conditions under which they would again unite with the Church. In the stipulations they called for the abrogation of the New Chapter; the transfer of jurisdiction over slavery to local conferences; and the consignment of a fairer proportion of the Church's periodicals to the supervision of the Baltimore Conference. Although the majority succeeded in severing their ecclesiastical ties with the larger body, the act was by no means a unanimous one. On the final vote eighty-seven favored the action, while only three openly opposed it with forty others declining to vote. In a dissenting opinion, a minority expressed their opposition to the New Chapter, but at the same time indicated that they refused to vote for separation because of its appeal to revolution as a redress without proper consultation with the other conferences. It was also feared that the action would serve to strengthen those members who favored political secession as well.$^{16}$ A less radical approach was pursued by the other two conferences which were also meeting at the same time. The East Baltimore group, convening in Chambersburg, Pennsylvania, under Bishop Simpson, was far more temperate in its response to the New Chapter. On the 4th day of the proceedings a memorial dealing with the new rule was introduced and referred to the Committee on Church and State. Two days later the committee presented its report in which it recommended the repeal $^{16}$ Ibid., March 26, 1861. of the New Chapter and asserted that "there can be no administration under said New Chapter in this Conference." In addition the Committee also proposed: That we respectfully ask the several Annual Conferences at their ensuing sessions, with a view to the harmony of the whole Church, to give their assent to the following: That the General Conference be and is hereby requested to repeal the Chapter on slavery, and instead thereof empower each Annual Conference, within whose bounds the relation of slavery exists, to make such regulations upon this subject, as in their judgment may best subserve the interests of the Redeemer's kingdom among them. Finally the committee requested the bishops to submit the proposals to the other conferences for their consideration and asked for the convening of a special session of the General Conference in 1862. With this accomplished, the conclave then adjourned without severing its ties as had the Baltimore Conference.$^{17}$ The Philadelphia Conference decided to appoint a committee of thirteen to consider the matter and to make recommendations. The committee unanimously recommended concurrence with the East Baltimore resolutions. To those members who resided in slave areas, the group expressed their concern and sympathy over the turmoil created by the change. But they counseled patience and forbearance, for they asserted that in their judgment the New Chapter made for no new test of membership.$^{18}$ In answer to petitions requesting a division of the Conference and the creation of a new one, the committee declared that these proposals were inexpedient in view of the national crisis and the "conflicting opinion of our churches in Delaware and Maryland on this subject." The Philadelphia delegates did, however, suggest that the various circuits consider the matter and bring their suggestions to the next annual meeting. A separate vote was taken on each of the resolutions embodied $^{17}$ The Fourth Annual Register of the East Baltimore Conference of Methodist Episcopal Church (Baltimore, 1861), pp. 26-28; Sun, March 21, 1861; and American, March 21, 1861. $^{18}$ Sun, March 30, 1861. The Philadelphia Conference was the only other group to concur with the East Baltimore Conference. Sweet, Methodist Episcopal Church and Civil War, p. 48. Conference Room of Light Street M. E. Church c. 1800, Lithograph by Hoen after T. C. Ruckle. Enoch Pratt Library. Conference Room (1865) of the Light Street M. E. Church located on the Second Floor of the Parsonage. Lithograph by Hoen after a drawing by T. C. Ruckle. Enoch Pratt Library. in the report, and each passed by large majorities. Then a ballot was taken on the whole and adopted by unanimous decision of the delegates.\textsuperscript{19} The period of calm, which had followed the secession of the lower South and had extended through March, was shattered in April with the firing upon Fort Sumter and the subsequent secession of the upper South. The outbreak of hostilities had far-reaching ramifications for Maryland. Being a border state, Marylanders found themselves divided both in their political and religious sentiments. In the case of the Baltimore Conference, religious loyalty was the most immediate and pressing issue in 1862, but, as with the other two groups, political loyalty soon became the most perplexing problem as the controversy over the change in Discipline assumed a secondary role. Early in March, the Baltimore Conference opened its annual session under the guidance of Bishop Janes in the Light Street Church of Baltimore. With half of its members behind military lines in Virginia and unable to attend,\textsuperscript{20} the remaining members proceeded to reverse the action taken the previous year at Staunton. Discussion on the matter began almost immediately with the presentation of a paper by the Rev. S. T. Blake. Blake, representing a group of seven who had, in part or whole, supported the Conference's former decision, requested permission to have a paper explaining their present position recorded without debate in the official minutes. He maintained that the statement contained nothing objectionable. Since the group had no way of knowing what the "majority" would do if they were present, Blake believed that this would relieve them from any unforeseen embarrassments. The request sparked a fiery debate in which it was pointed out that Blake had previously voted for separation. Therefore, some wanted to know what the statement contained before they allowed it to be entered in the minutes. Finally, the paper was read to the convention. In it the seven reaffirmed their approval of the 1861 decision, but in an effort to avoid the appearance of inconsistency, they cited the changed conditions and circum- \textsuperscript{19} Sun, April 1, 1861, and Liberator, XXXI, No. 15, April 12, 1861. \textsuperscript{20} By March, 1862 sixty-six ministers had withdrawn from the Conference and its membership had dropped from 43,581 to an estimated 18,679 members. Sweet, Methodist Episcopal Church and Civil War, pp. 49-50. stances which had arisen since that time in support of their present action. Also having been assured by the minority that they differed only in the method of seeking redress, they deemed "it expedient to waive the question" until a later time when the entire Conference could be present and the national crisis abated. But at the same time, they reiterated that they had not changed their minds on the merits of the issue, but in view of "prudential considerations" they agreed to receive their appointments as they had previously. The statement was subjected to considerable comment and disparaging remarks. Some asked if they repented their former action and acknowledged their error. It was also imputed that they merely came to the Conference by military necessity to receive their appointments. Finally, the paper was referred to a committee for consideration. Objecting to the entire proceedings, the Rev. N. J. B. Morgan proposed a resolution calling upon the Conference to express its unequivocal loyalty to both the Methodist Episcopal Church and the Federal government. He further denounced any attempt to sever this relationship.$^{21}$ The committee considering the Blake paper recommended that since it demonstrated sufficient evidence of the group's willingness to cooperate with the Conference and an acknowledgement of the Church's jurisdiction, there was no necessity in recording it in the minutes. The report was finally adopted but not without arousing strong opposition from those who attacked the group's loyalty. The committee also suggested the adoption of a resolution stating that those members who had voted for the Wilson proposition at Staunton had withdrawn from the jurisdiction of the Church. This being the case, it was further suggested that a notation of "withdrawn" be entered beside their names on the roll. If, however, any such person should cooperate with the Conference in its next session or would make known to the Bishop his acknowledgement of the Church's jurisdiction, then his previous act would be considered null and void. In order to clarify the Conference's position, Morgan proposed two amendments. The amendments, which were subsequently adopted as part of the report, pointedly indicated $^{21}$ Sun, March 6, 1861, and American, March 6, 1861. that this action in no way meant approval of the New Chapter but that as a body the delegates would continue to work for its repeal. It was also proposed that the body continue to consider itself morally bound to keep on meeting the claims of those retired ministers who had supported the act of separation, although it was pointed out that technically the act of voting for the Wilson resolutions obviated any such responsibility. Some members objected to the proposals on the grounds that it expelled members without a trial and without knowing whether they had changed their minds. They preferred to postpone any such decision until the Conference could meet as a whole. But despite this opposition, the main resolution was adopted thirty-four to twenty-two, while the two amendments passed fifty to two and forty-three to zero, respectively.$^{22}$ Those members of the Baltimore Conference who were unable to attend because they were behind military lines met at Harrisonburg, Virginia. The Harrisonburg group continued to adhere to the action taken at Staunton, while another group of five ministers, anticipating the actions of the Light Street meeting, refused to take part in their proceedings but assembled in a local merchant’s counting room. There, they assumed the position that since the Light Street conclave was being held under the jurisdiction of the General Conference, which still adhered to the New Chapter, this was a bar to their participation; they also saw no reason for either regretting or reversing their former stand. In turning to the question of their existence, they asserted: What shall be our relation to each other as preacher? We shall continue as heretofore, Brethren in the same church, conference, and cause, and will faithfully stand by each other for our mutual help, as need may require and ability serve. We will also cooperate in all ministerial work.$^{23}$ Meanwhile in the city, a group of laymen began to organize an independent Methodist Episcopal Church. With four congregations actually establishing themselves, the five ministers $^{22}$ Ibid., March 12, 1862, and Ibid., March 12, 1862. In the following year the Conference re-instated and welcomed back five ministers who had been entered on the minutes as “withdrawn.” American, March 7, 1863. $^{23}$ Minutes of the Sessions of the Baltimore Annual Conference (South), pp. 7-8. were accepted as pastors of the new churches. In their declaration of purpose and principles they declared their continued adherence to the Discipline of 1856 and further stated their opposition to the introduction of political questions in their congregations. Concluding their statement, they declared that: As members of the Methodist Episcopal Church, independent of the General Conference of 1860, we shall know no change of the doctrines, principles, or usages of Methodism. All we ask of the Ministry is to confine themselves exclusively to the one work of "spreading scriptural holiness over these lands," and to preach "Christ and Him Crucified."24 In the meantime, the East Baltimore Conference also met in Baltimore. While the Baltimore Conference concerned itself exclusively with church loyalty and passed no resolutions in support of the Federal government, the East Baltimore group centered its attention on political questions. No sooner had the delegates assembled in the church than a stormy debate was precipitated by the presentation of a paper by the Rev. A. A. Reese, who strongly endorsed the Federal government's position in the war. The paper's preamble took note of the outbreak of "fearful rebellion" and the necessity of the Federal government in taking up arms to suppress it. Therefore, Reese proposed that since Article XXII of the Discipline taught that patriotism was a Christian virtue, the Conference should state its abhorrence to "rebellion" as being treasonous in origin and "sanguinary" in 24 Ibid., p. 9. Having no churches, they were forced to utilize public halls until they could establish themselves more firmly. Despite their political disclaimer, they were largely suspected of disloyalty, and critics referred to them as "organized disloyalty." The Union paper, American and Commercial Advertiser, in commenting on the group wrote: "If there be any loyal citizens connected with the 'Central Methodist Episcopal Church' they are certainly in such associations as may well form the ground of reasonable doubt of their loyalty. . . . Our deliberate opinion is that there is not one truly loyal man, woman, or child in connection with this so called 'Methodist' Church and that it is composed entirely of the disloyal and discordant Secession element of this city." Ibid., 12-13, and American, March 2, 1863. In the case of one group which had hired a hall in the western part of Baltimore, a government detective appeared and ordered them to display a Union flag before allowing the service to be held. Not having a flag in their immediate possession, one was soon secured and placed in a prominent position while the congregation then proceeded with the service. On another occasion when excitement in Baltimore had become quite tense, the mayor sent a note to the 'Central' organization suggesting that in the interest of their own safety, they not hold services. Ibid., pp. 12-13, and Sun, March 19 and 29, 1862 and April 20, 1863. its progress. The resolutions further recommended the endorsement of the measures adopted by the Federal government, for Reese contended that it was the duty of a citizen to help sustain his government in time of crisis. In defense of the charge of mixing religion and politics, he asserted that "we are not justly liable to the charge of political teaching," for "in the inculcation of loyal principles and sentiments, we recognize the pulpit and press as legitimate instrumentalities."25 A stormy debate followed at the conclusion of the reading of the paper.26 In opposing such action, the Rev. John H. Dashiell27 declared that it was unnecessary for the Conference to go beyond affirming its obedience and submission to Article XXII of the Discipline. He, therefore, offered a substitute in which he recommended that all charges of unchristian principles and conduct against individual members should be reduced to writing; that the Church should confine itself to spreading the doctrines of Christianity; that it should refrain from political controversy; and that it should warn individuals against introducing political issues into their churches. After additional debate, the Dashiell resolutions were laid on the table and the previous question moved by a vote of ninety to forty-two. The original resolutions were then adopted by a ballot of 132 to fifteen. Those persons who were on trial for full admission were also called upon to record their vote. All in turn did so in the affirmative.28 25 The Fifth Annual Register of the East Baltimore Conference of the Methodist Episcopal Church (Baltimore, 1862), 6-7; Sun, March 6, 1862; and American, March 6, 1862. 26 During the last days of the meeting, the proceedings became so turbulent that Bishop Ames ordered the Conference's doors closed to the public, for the audience had taken to applauding and hissing speakers. Sun, March 13, 1862. 27 Dashiell was later charged with tearing down and destroying a Union flag and was ordered arrested by Major General Schenck. The charge arose out of Dashiell's actions on finding a flag displayed in his church and removing it. He strongly denied the accusation that he tore it down or destroyed it, but Dashiell did admit he should have consulted a reliable source before he took the responsibility for removing it. With this explanation and on an oath that he was a loyal man, he was paroled by the military authorities. American, March 2, 1863, and Edward McPherson, The Political History of the United States of America, during the Great Rebellion (New York, 1864), p. 182. In 1863, the East Baltimore Conference reviewed Dashiell's case, and at the conclusion of the session he was left without an appointment for the forthcoming year. American, March 11-12, 1863. 28 Fifth Annual Register of the East Baltimore Conference, pp. 6-7, and pp. 31-33, and Sun, March 6 and 10, 1862. Later during the session another attempt was Members of the Philadelphia Conference, symbolizing their political loyalty, hung a large American flag with the motto, "God and our Country," in front of the church in which they were meeting. Then the delegates opened the sessions with the singing of the "Star Spangled Banner." In the conclave a committee was appointed to investigate the loyalty of its members, and a series of resolutions introduced expressing devotion and loyalty to the Union and favoring the prosecution of the war.$^{29}$ Much of the heated controversy which had prevailed during the two previous years was lacking in the 1863 annual meetings. But by March much of the enthusiasm in support of the war also had considerably diminished in both the Philadelphia and Baltimore conferences. In both groups resolutions were passed merely calling upon the President of the United States "to appoint a day of national fasting and prayer, that the present civil war be brought to an end and the country be restored to unity, peace and prosperity" without endorsing either the administration or the prosecution of the war. Proposals in support of the government were presented in the Baltimore Conference but tabled by a vote of thirty-seven to eleven.$^{30}$ Members of the East Baltimore Conference, however, continued to express their loyalty. On the opening day of its sessions, a Union flag was displayed in front of the church, and on the second day a letter from Lincoln, thanking them for their previous year's resolutions of support, was received by the group. Finally before adjourning, they again overwhelmingly reaffirmed their "unflinching devotion to our country, in the hour of peril."$^{31}$ In the following year both the Baltimore and Philadelphia $^{29}$Sun, March 21 and 24, 1862. $^{30}$Minutes of the Seventy-Sixth Session of the Philadelphia Annual Conference of the Methodist Episcopal Church (Philadelphia, 1863), p. 48; Sun, March 11, 1863; and American, March 11, 1863. $^{31}$The Sixth Annual Register of the East Baltimore Conference of the Methodist Episcopal Church (Baltimore, 1863), 7-14, and American, March 5 and 11, 1863. groups recovered much of their enthusiasm and joined with the East Baltimore Conference in passing resolutions supporting the war and denouncing the "rebellion." The Philadelphia members characterized the war as "causeless in its origin" and "infamously wicked in its objects," while delegates in the Baltimore meeting stated they would "not receive into the Conference, or elect to ministerial orders, either from the local or itinerant ranks, any man of known disloyalty." The Philadelphia members also directed the presiding elders not to use any person who was either pro-slavery or disloyal as supplies.$^{32}$ All three groups also began to move into another direction, and in doing so, reversed their former positions on the slavery issue. The shift in Methodist thinking had begun to crystallize by 1864, and in viewing the changing mind of Marylanders on slavery and emancipation, members of the Baltimore Conference were moved to assert that "we believe the time is not distant when the Baltimore Conference will no longer be embarrassed in maintaining the well-known principles of the Methodist Episcopal Church on this subject." Despite strong opposition from some, the Conference endorsed this sentiment by forty-eight to ten.$^{33}$ Along with the Baltimore group, the East Baltimore Conference also reassessed its position in view of its 1861 protest against the New Chapter. In reviewing their past position, the delegates maintained that the resolutions had been merely passed to allay the turmoil at the time and not because the new rule was regarded as law. However, in taking note of the recent change in Maryland sentiment, they expressed the belief that the cause for such a protest was no longer present, and therefore, repealed their former action. In doing so, they now stated that: we recognize with profound gratitude the hand of God, working out by the appliance of the war against rebellion, deliverance to the oppressed, and furnishing us a complete and satisfactory answer $^{32}$ Minutes of the Seventy-Seventh Session of the Philadelphia Annual Conference of the Methodist Episcopal Church (Philadelphia, 1864), 15 and 44-45; The Seventh Annual Register of the East Baltimore Conference of the Methodist Episcopal Church (Altoona, 1864), 40; Register of the Baltimore Annual Conference, Methodist Episcopal Church, held in Wesley Chapel, Washington, D.C., March 2-8, 1864 (Baltimore, 1864), 29-30; and Sun, March 8-9, 1864. $^{33}$ Register of the Baltimore Annual Conference, 29-30; Sun, March 9, 1864; and American, March 9, 1864. to the long-standing question in our Discipline, "What shall be done for the extirpation of the evil of Slavery?"$^{34}$ Meanwhile, members of the Philadelphia Conference appointed a committee, composed of one member from each district, to prepare a report on its 1861 action. The report, which was adopted by a vote of 167 to zero, withdrew their concurrence with the East Baltimore resolutions. In reversing their former position, they blamed slavery for creating the war and as being "contrary to the golden law of God." Thus, they went on to declare that "true to our old anti-slavery principles, we do most heartily rejoice in the prospect of the speedy and entire abolition of slavery in this country." In a note of warning to all lay members and ministers, the delegates expressed the sentiment that a pro-slavery position as well as a disloyal one was an error and "that no such man ought to be a religious teacher in our church, and if there be any such, we do hereby request him to withdraw from among us."$^{35}$ Prior to the annual meetings in the following year, the General Conference assembled in Philadelphia on May 2, 1864. The rising tide of opposition to slavery was even more pronounced in the central body. Seven days after the beginning of the session, a series of resolutions, instructing the committee on slavery to change the rule, were passed. It was suggested that the convention, with a majority of the annual conferences concurring, eliminate the rule rather than merely amending it. It was also recommended that the committee should consider whether an interpretation could be made of the constitutional question: "What shall be done for the extirpation of the Evil of Slavery?" as to exclude and expel slaveholders from the Church. The forthcoming report, however, did not recommend the rule's elimination but proposed amending the proscription to read: "Slaveholding; buying or selling slaves." A minority opposed such an action for it was felt that it would be improper to change the rule so as to exclude slaveholders from the Church. Therefore, they proposed to substitute the wording: "The sell- $^{34}$ The Seventh Annual Register of the East Baltimore Conference, 40. $^{35}$ Minutes of the Seventy-Seventh Session of the Philadelphia Annual Conference, pp. 8, 11, and pp. 49-50. ing of human beings, or the buying or holding them, except for reasons purely humane," for the majority proposal.\textsuperscript{36} Despite this reluctance of some to condemn slavery completely, the General Conference did record its distaste for the institution and asserted that "loyalty to the government leads us to accept emancipation" wherever it was proclaimed. They also went on record favoring an amendment to the Constitution which would prohibit slavery or involuntary servitude in the United States.\textsuperscript{37} Much of the Conference's action stemmed from several factors. The awareness that it would be only a matter of a short time before slavery was abolished made the Church's position obsolete. An awakening conscience, coupled with the awareness that the action would be popular, further helped to move many in support of the action.\textsuperscript{38} In the following March, the Baltimore Conference, after affirming its loyalty to the Federal government,\textsuperscript{39} turned its attention to the recent action on slavery. Since the delegates had committed themselves in previous sessions to oppose any change, Rev. Thomas Myers suggested that the body re-examine its position. A committee of five was subsequently appointed to consider the matter. In reporting their deliberations, they unanimously recommended concurrence with the General Conference's proposal. But after a protracted debate, a majority refused to adopt it and defeated it by a vote of forty to twenty-nine. Seventeen members, in explaining their action, indicated that they took exception to such action in only one particular; "we approve of it prospectively, but not retrospectively," for they maintained that they did not wish to hold former slaveholders \textsuperscript{36} William L. Harris, ed., \textit{Journal of the General Conference of the Methodist Episcopal Church, held in Philadelphia, Pa., 1864} (New York, 1864), pp. 105-106 and 158. \textsuperscript{37} \textit{Ibid.}, pp. 264 and 381-383. \textsuperscript{38} \textit{Ibid.}, pp. 105-106, and Swaney, \textit{Episcopal Methodism and Slavery}, p. 334. \textsuperscript{39} After reiterating their previous decision not to receive anyone of known disloyalty into the Conference or elect such a person to ministerial orders, the Baltimore Conference adopted test questions which were to be asked of all applicants applying for membership. "Are you, in any degree, in sympathy with the rebellion? Are you earnestly in sympathy with the government of the United States, especially in its present struggle?" \textit{Register of the Baltimore Annual Conference, Methodist Episcopal held in Eutaw Street Church, Baltimore, Md., March 1-10, 1865} (Baltimore, 1865), pp. 20-23. in any disrespect. Despite the refusal to accept the report, in another series of resolutions the delegates expressed hope that the end of the war would also spell the end of slavery. In keeping with this sentiment, the delegates further congratulated the state of Maryland on her recent adoption of a new constitution which forbade slavery, and they also went on to endorse the passage of a constitutional amendment which would exclude the institution in the remaining states.\textsuperscript{40} Despite the upheaval of war and the adverse reaction towards the New Chapter, Methodist unity survived the crisis intact. While some, such as those who formed an independent organization and those in the southern counties who seceded from the Church, there were no widespread withdrawals from the jurisdiction of the General Conference. The crisis did, however, resolve the dilemma over slavery and removed it as a source of controversy within the Church. Along with the continued adherence to the General Conference, all three conferences also expressed and affirmed their loyalty to the Union cause but not without difficulties and some reluctance. Such affirmations were by majority action rather than the unanimous sentiment of the whole conference, for behind official statements lay much discontent with the war and sympathy for the South. And consequently with its difficulties and controversies, the Church in Maryland reflected much of the same dilemma which plagued the state during the war period. \textsuperscript{40} \textit{Ibid.}, pp. 16 and 22-23, and \textit{Sun}, March 2-9, 1865. THE WRIT OF AUDITA QUERELA IN EIGHTEENTH-CENTURY MARYLAND By C. Ashley Ellefson It is self-evident that fundamental to any legal system is a provision for relief from an unjust judgment. The person who was unsuccessful in a civil suit in a court of common law in Maryland in the middle of the eighteenth century had a readily available resort if his suit involved a sufficient amount of money or tobacco: he could enter an appeal or he could sue out of chancery a writ of error. By either action he moved to the next higher court—from the county court to the provincial court and from the provincial court to the high court of appeals, which was composed of the governor and his council. A suitor could appeal from the county to the provincial court if his case involved at least six pounds sterling or 1200 pounds of tobacco, and he could appeal from the provincial court to the high court of appeals if his case involved more than fifty pounds sterling or more than 10,000 pounds of tobacco.$^1$ Although after 1713 there was no statutory provision for the appeal from the governor and his council to the crown in council,$^2$ the appeal to England continued throughout the colonial period.$^3$ If a suitor preferred, he could appeal to chancery rather than to a superior court of common law. After 1712 there was no statutory provision for appeal from either the county court or the provincial court to the chancery court,$^4$ but this form of --- $^1$ 1713, c. 4, printed in Arch. Md. XXIX, 336-339. For a writ of error see Provincial Court Judgments, Liber E. I., No. 15, pp. 677-680. For an appeal see, H.R. Annapolis, Md. ibid., Liber E. I., No 9, pp. 79-86. $^2$ The last act to provide for appeal to England was 1712, c. 5 (Arch. Md., XXXVIII, 150-152), which expired in 1713 when it was replaced by 1713, c. 4, printed in Arch. Md., XXIX, 336-339. $^3$ Carroll T. Bond (editor), Proceedings of the Maryland Court of Appeals, 1695-1729 (Washington, 1933), vi-vii, 602-603, 618-620, 629. $^4$ The last act to provide for such appeal was 1704, c. 32 (Arch. Md., XXVI, 286-289), which expired in 1712, when the act of 1712, c. 5 (Arch. Md., XXXVIII, 150-152), replaced it. appeal, like the appeal to England, continued throughout the colonial period.$^5$ In an appeal or in an action on a writ of error, however, the appellate court considered only the record of the trial in relation to what had happened before the court of original jurisdiction gave judgment. Sometimes it was desirable that a judgment be vacated because of circumstances that arose after the court awarded that judgment, and to supply that necessity English courts provided the writ of audita quereela. If the defendant against whom either the provincial court or a county court awarded a judgment did not argue that the court should not have awarded the judgment in the first place but thought that there was some reason why the court should not execute the judgment, he could sue out of chancery a writ of audita quereela. By this writ the chancellor ordered either the court that awarded the original judgment or the next higher court of common law to hear the complaint of the defendant, who in the action on the audita quereela became the plaintiff.$^6$ The defendant in the action on the audita quereela was the plaintiff in the original action. The writ of audita quereela was available only to the defendant in the original action, since if the defendant in that action won his case nothing that happened later would make --- $^5$ For the mention of appeal from the county court to the chancery court, see Provincial Court Judgments, Liber E. I., No. 7, pp. 53-54, 57-58. For mention of appeal from the provincial court to the chancery court, see ibid., 66, 681-682, 697-699, 699-701. For a record of an appeal from the provincial court to the chancery court, see Chancery Record, Liber I. R., No. 5, pp. 101-124, Land Office, Annapolis. $^6$ Possibly in Maryland the audita quereela was never directed to the county court. I have not found a case in which the audita quereela was issued to the county court, and in at least eight cases the audita quereela was directed to the provincial court although the original action in each instance occurred in a county court. See Provincial Court Judgments, Liber V. D., No. 2, pp. 94-98; Liber V. D., No. 3, pp. 286-288; Liber P. L., No. 7, pp. 438-440, 440-442, 443-445, 445-447, 447-449, 449-451. The laws mentioned in note 7 however make it appear that the audita quereela could be directed to the county court, and on the pages cited in note 7 Blackstone seems to say that the audita quereela could be directed to any court of common law. For cases in which the audita quereela was directed to the provincial court and in which the original action also occurred in the provincial court, see Provincial Court Judgments, Liber W. T., No. 3, pp. 33-36, 43-44; Liber T. P., No. 2, pp. 568-571. The plaintiff in the action upon the audita quereela had to give security sufficient to guarantee his prosecution of that writ and to satisfy the original judgment against him if he was unsuccessful in his action on the audita quereela. The security was given before the chancery court, out of which the suitor sued the writ of audita quereela. See Provincial Court Judgments, Liber V. D., No. 3, pp. 286-288. it necessary to vacate the judgment. The action on the writ of audita querela was an action in equity, and therefore the provincial court and the county court in acting on it served an equity function.$^7$ The defendant against whom the court had awarded a judgment in the original action could sue out a writ of audita querela whenever he could allege that after the judgment was awarded something had happened to make the execution of that judgment either unnecessary or unjust. He could sue out the writ of audita querela for example if he had sued out a writ of injunction after the court awarded judgment against him and if in spite of that injunction the plaintiff in the original action had sued out a writ of execution—usually a writ of capias ad satisfaciendum—against him,$^8$ if the plaintiff in the original --- $^7$ For the writ of audita querela in England, see Sir William Blackstone, Commentaries on the Laws of England (10th edition. 4 vols.; London, 1787), III, 405-406; Sir William Holdsworth, A History of English Law (13 vols.; London, 1903-1952), I, 224, 462; II, 344, 593; V, 230; XIII, 458; John Reeves, History of the English Law, from the Time of the Romans to the End of the Reign of Elizabeth (5 vols.; Philadelphia, edition of 1880), III, 258. About the writ of audita querela Sir Edward Coke says: "To none of the writs of execution the defendant can plead; but if he hath any matter since the judgment to discharge him of execution, he may have an audita querela, and relieve himself that way, but plead he cannot. As if the plaintiff after release unto the defendant all executions, yet in one of these writs he shall plead it, but is driven to his audita querela, as hath been said." Sir Edward Coke, First Institutes (2nd American edition. 3 vols.; Philadelphia, 1836), III, 404-405. For laws of Maryland that refer to the writ of audita querela as a writ in equity, see 1723, c. 12, Arch. Md., XXXVI, 563; 1763, c. 23, Arch. Md., LVIII, 506. For laws that simply mention the writ of audita querela, see 1742, c. 4, Arch. Md., XLII, 390; 1747, c. 1, Arch. Md., XLIV, 627; 1753, c. 2, Arch. Md., L, 272; 1753, c. 22, Arch. Md., L, 338-339; 1763, c. 18, Arch. Md., LVIII, 468. $^8$ Provincial Court Judgments, Liber W. T., No. 3, pp. 43-44. The injunction was sued out of chancery. See Provincial Court Judgment Papers, Box C, 1708-1767, and Provincial Court Ejectment Papers, Box C, 1700-1775. The writ of execution that the plaintiff in the original action sued out did not have to be a writ of capias ad satisfaciendum, but in almost all of the actions that I have found on the writ of audita querela he had used that writ. The defendant could make use of the audita querela if the plaintiff in the original action sought execution through one of several writs other than the capias ad satisfaciendum. These alternative writs include the writ of attachment, the writ of distringas, the writ of elegit, and the writ of fieri facias, all of which Blackstone explains. The capias ad satisfaciendum was a writ by which the court directed the appropriate sheriff to take the defendant and to keep him in prison until he satisfied the judgment against him. For the text of a capias ad satisfaciendum, see note 26. For instances in which it is specified that the plaintiff in the original suit used the capias ad satisfaciendum as his writ of execution, see Provincial Court Judgments, Liber W. T., No. 3, pp. 33-36, 362-364; Liber T. P., No. 2, pp. 568-571; Liber V. D., No. 1, pp. 112-114; Liber V. D., No. 2, pp. 94-98; Liber V. action had sued out the writ of execution even though the defendant had satisfied the judgment against him, if the plaintiff sued out the writ of execution even though the defendant against whom the court had awarded the judgment had after that judgment was awarded entered into a supersedeas to guarantee the payment of the judgment against him, if the plaintiff in the original action had sued out the writ of execution even though he had signed a release after the court awarded him judgment, or if the plaintiff in the original action had sued out the writ of execution during that time of the year during which the courts were not allowed to award execution of judgment. On occasion a suitor used the writ of audita querela when an appeal or a writ of error would have been more appropriate. On 19 April 1700 for example John Brannock used the audita querela against Nicholas Sporne after Sporne recovered a judgment in the provincial court in a case in which the provincial court allegedly had no jurisdiction since the case involved costs in chancery. After hearing the action on the audita querela at their session for April and May of 1700 the provincial justices simply subtracted the costs in chancery from the amount of D., No. 3, pp. 324-329. For instances in which the capias ad satisfaciendum is not mentioned by name in the audita querela but in which the wording either of the audita querela or of the record of the action makes it clear that the capias ad satisfaciendum was used, see Provincial Court Judgments, Liber W. T., No. 3, pp. 43-44; Liber V. D., No. 3, pp. 286-288, 329-331; Liber W. G., No. 1, pp. 568-569; Liber P. L., No. 7, pp 438-440, 440-442, 443-445, 445-447, 447-449, 449-451; Liber E. I., No. 4, pp. 205-207. Provincial Court Judgments, Liber V. D., No. 1, pp. 112-114. Ibid., Liber V. D., No. 3, pp. 324-329. A supersedeas was simply a bond, with sureties, by which the defendant guaranteed payment of the judgment against him. Provincial Court Judgments, Liber V. D., No. 2, pp. 94-98. Ibid., Liber T. P., No. 2, pp. 568-571. By a law of 1728 the courts could not grant execution between 10 May and the following 10 February (1728, c. 24, Arch Md., XXXVI, 302-303); previous to that time the courts could not award execution between 10 May and 10 November yearly. See 1704, c. 49, Arch. Md., XXVI, 324-325; 1715, c. 33, Arch. Md., XXX, 235-236; 1721, c. 4, Arch. Md., 267-268. The reason that the courts could not award execution during these months is that often men did not have available during that period tobacco with which to pay their debts. No doubt there were other justifications for the use of the audita querela, but these are the ones that appear in the record. I have not mentioned a quite complicated case that involves the use of the audita querela following the use of the scire facias, because it would require a rather long explanation. I hope to use that case as the basis of a separate article. It appears in Provincial Court Judgments, Liber W. T., No. 4, pp. 14-20. the original judgment and confirmed the remainder of that original judgment.\textsuperscript{13} A year earlier, John Sheffield in May of 1699 won his action on an \textit{audita querela} that he sued out against Philip Lynes on the grounds that the jury that awarded the original judgment against him included no juror from Calvert County, the county in which Sheffield resided. Sheffield was released from the judgment against him and recovered costs on his \textit{audita querela} from Lynes, the plaintiff in the original action and the defendant in the action on the \textit{audita querela}.\textsuperscript{14} It would appear that in the circumstances of either of these cases the appeal or the writ of error would have been more appropriate than the writ of \textit{audita querela}.\textsuperscript{15} Sometimes however the justices did refuse to allow an \textit{audita querela} because some other proceeding would have been more appropriate. In April of 1718 for example the provincial jus- \textsuperscript{13} Provincial Court Judgments, Liber W. T., No. 3, pp. 362-364. \textsuperscript{14} \textit{Ibid.}, 33-36. \textsuperscript{15} In another case in which the appeal or the writ of error would seem to have been more appropriate than the \textit{audita querela} Richard Calvert sued out the \textit{audita querela} against William Taylard after Taylard allegedly obtained judgment secretly in the original suit against Calvert. The secrecy in the original suit is not explained. Calvert was successful in his use of the \textit{audita querela}. The case appears in Provincial Court Judgments, Liber T. L., No. 3, pp. 254-255. It appears that it was sometimes to the advantage of the defendant in the original action to use the writ of \textit{audita querela} rather than the appeal or the writ of error if he possibly could, since if he used either the appeal or the writ of error and wanted to stay the execution of the original judgment while his appeal or writ of error was pending he had to give security for double the amount of the original judgment. See 1704, c. 32, \textit{Arch. Md.}, XXVI, 286-289; 1712, c. 5, \textit{Arch. Md.}, XXXVIII, 150-152; 1713, c. 4, \textit{Arch. Md.}, XXIX, 336. If the defendant in the original action could seek his remedy through the use of the \textit{audita querela}, however, the execution of the original judgment was automatically stayed, and it appears that in suing out his \textit{audita querela} the defendant in the original action sometimes had to give security only equal to the original judgment and the costs in the case rather than for double the amount of the original judgment. See Provincial Court Judgments, Liber V. D., No. 3, pp. 286-288. I could be wrong here, though, since the wording in the record is unclear. And for a case in which the plaintiffs in the action on the \textit{audita querela} had to give security for slightly more than double the total amount of the damages and the costs awarded in the original actions, see Provincial Court Judgments, Liber V. D., No. 2, pp. 94-98. This action is an unusual one in that only one \textit{audita querela} was used as the basis for the review of two separate original actions. The unusual nature of the action however probably had nothing to do with the amount of security that the plaintiffs in the action on the \textit{audita querela} had to give. In most instances the record does not specify the amount of security that the plaintiff in the action on the \textit{audita querela} had to furnish. For writs of \textit{audita querela} that specifically mention the stay of execution, though not in these words, see Provincial Court Judgments, Liber W. T., No. 3, pp. 33-36, 43-44; Liber T. P., No. 2, pp. 568-571; Liber V. D., No. 1, pp. 112-114; Liber V. D., No. 2, pp. 94-98; Liber V. D., No. 3, pp. 324-329. tices did not allow the audita querela that John Brannock and Herman Peterson had sued out against Sir Thomas Johnson and Company on 25 February 1715/16, apparently because in the view of the justices the two men should have used a writ of error instead of the audita querela. The record does not state the reasons why the justices thought that the plaintiffs should have used the writ of error.$^{16}$ During the same session and apparently for the same reason the provincial justices did not allow the audita querela that Thomas Edmondson sued out against Daniel Sherwood on 16 April 1717. In this case however the record includes more useful information than in the previous one. Instead of answering to Edmondson's audita querela Sherwood entered a demurrer, by which he did not deny what Edmondson alleged in his audita querela but by which he did deny that by law he was required to answer it. The circumstances of the case were that at the provincial court for September of 1716 Sherwood had recovered against Edmondson 34,000 pounds of tobacco in an action that he had brought against Edmondson on the basis of a penal bond. The amount of the debt mentioned in the bond was 17,000 pounds of tobacco, while the penal sum mentioned in the bond—the amount that Edmondson promised to pay Sherwood if he did not pay the 17,000 pounds of tobacco on time—was 34,000 pounds of tobacco. In his audita querela Edmondson argued that he had always been ready to pay the 17,000 pounds of tobacco and that therefore Sherwood should not have recovered the penal sum from him. Whenever a party to a case entered a demurrer he had to enter his reasons in justification of it. One of the causes of demurrer that Sherwood entered was that Edmondson's audita querela was "grounded merely on a matter of fact which was pleadable before Judgmt." Since the justices allowed the demurrer, apparently they agreed with Sherwood. And since Edmondson was basing his proceedings on a matter of fact that was pleadable before judgment, an appeal or a writ of error, not a writ of audita querela, was his proper remedy.$^{17}$ $^{16}$ Provincial Court Judgments, Liber V. D., No. 3, pp. 286-288. $^{17}$ Ibid., 329-331. For a similar instance see ibid., Liber W. G., No. 1, pp. 568-569. In the case of John Brannock and Herman Peterson v. Sir Thomas Johnson and Co., the defendant also entered a demurrer, but the causes of By the middle of the eighteenth century even in England the writ of audita querela, which according to Sir William Holdsworth originated early in the reign of Edward III, had fallen pretty much into disuse. In the Maryland of the middle of the eighteenth century its use was similarly extremely unusual. There is in fact no record of its use in the provincial court after the 1730s. Earlier, however, the use of the writ of audita querela was fairly common. In the records of the provincial court from May of 1699 through May of 1724 there are records of eighteen writs of audita querela, although apparently some of these writs were used incorrectly. After 1724, however, the action on the writ of audita querela appears in the records of the provincial court only once more during the remainder of the colonial period. That action appears in the record of the provincial court for May of 1738. In the last case in which anyone used the writ of audita querela in the provincial court during the colonial period of Maryland, Richard Colegate made successful use of that writ. Colegate's trouble began on 8 September 1733, when he delivered to William Fell for the use of Edward Fell bills of exchange for fifty-one pounds sterling. The bills were drawn on Joseph Adams, a merchant in London. At the same time that Colegate delivered the bills he also signed and sealed a penal bond by which he guaranteed the payment of those bills. The penal sum of the bond—the amount that Colegate promised to pay Fell if Adams did not honor the bills of exchange on thirty days' sight of them—was £102 sterling. Providing a penal --- demurrer are not so clear for our purposes as they are in the case of Thomas Edmondson v. Daniel Sherwood. Holdsworth, History of English Law, II, 344. Edward III ruled from 1327 to 1377. Blackstone, Commentaries, III, 406. Once again, the writ of audita querela might have been used in the county courts, but I have been through a great many of the records of the county courts of Maryland during the eighteenth century and I have not come across one. There are still a very great many county records to go through, however. Provincial Court Judgments, Liber W. T., No. 3, pp. 33-36, 43-44, 362-364; Liber W. T., No. 4, pp. 14-20; Liber T. L., No. 3, pp. 254-255; Liber T. P., No. 2, pp. 568-571; Liber V. D., No. 1, pp. 112-114; Liber V. D., No. 2, pp. 94-98; Liber V. D., No. 3, pp. 286-288, 324-329, 326-331; Liber W. G., No. 1, pp. 568-569; Liber P. L., No. 7, pp. 438-440, 440-442, 443-445, 445-447, 447-449, 449-451. Provincial Court Judgments, Liber E. I., No. 4, pp. 205-207. sum that was double the amount of the debt was the customary practice in the use of the penal bond.\textsuperscript{23} Adams did not pay the bills, and at the provincial court for May of 1734 Edward Fell, on the basis of Colegate's penal bond guaranteeing their payment, brought against Colegate an action of debt in which he sued him for fifty pounds sterling. After Daniel Dulany, who was representing Colegate, admitted the debt the provincial justices, in accordance with the usual practice in the action of debt arising upon a penal bond,\textsuperscript{24} awarded Fell the amount of the penal sum, 102 pounds sterling, rather than the amount of the debt or the amount for which the plaintiff was suing. The justices also awarded Fell 999 pounds of tobacco for his costs and damages.\textsuperscript{25} In August of 1734 Colegate paid Edward Fell fifty-one pounds sterling and the interest on it, but nevertheless on 9 July 1735 William Fell, who was acting as Edward's factor or attorney in fact and who apparently did not know that Colegate had paid Edward the fifty-one pounds sterling and the interest, sued out of the provincial court against Colegate a writ of \textit{capias ad \textsuperscript{23} See for example Anne Arundel County Court Judgments, 1740-1742, pp. 382-384, 385-386, 388-89; Baltimore County Court Proceedings, Liber B. B., No. B, pp. 32-34, 45-46, 81-83; Charles County Court and Land Record, Liber H, No. 3, pp. 20-21, 22-23. According to Blackstone, the large penal sum originally was not so much designed as a punishment for the person who did not pay his debt as it was designed to furnish a way of getting around the laws against usury. Blackstone says: "Thus the penalty of a bond, originally contrived to evade the absurdity of those monkish constitutions which prohibited taking interest for money, was therefore very pardonably considered as the real debt in the courts of law, when the debtor neglected to perform his agreement for the return of the loan with interest: for the judges could not, as the law then stood, give judgment that the interest should be specifically paid." After the taking of interest became legal, various courts placed various constructions on penal bonds, and therefore in the eighteenth century parliament passed laws to provide that if the debtor had paid the creditor the principal and the interest due, or if in court he offered to pay the creditor the principal, the interest, and the costs that the creditor had expended on his suit to that point, the court should not allow the creditor the penal sum. See Blackstone, \textit{Commentaries}, III, 434-435; 4 Anne, c. 16, in Danby Pickering, \textit{The Statutes at Large} (109 vols.; Cambridge, 1762-1869), XI, 157-158; 7 George 2, c. 20, in Pickering, \textit{Statutes at Large}, XVI, 474-476. Since in the eighteenth century there were still statutes limiting the interest one could receive, it is possible that the penal bond even at that time served to permit the lender to receive more than the legal interest on a loan. See 21 James 1, c. 17, in Pickering, \textit{Statutes at Large}, VII, 275-277; 12 Charles 2, c. 13, in Pickering, \textit{Statutes at Large}, VII, 440-441; 12 Anne, Statute 2, c. 16, in Pickering, \textit{Statutes at Large}, XIII, 118-119. \textsuperscript{24} See for example Anne Arundel County Court Judgments, 1740-1742, pp. 384-385, 385-386, 387-388, 388-389; Prince George's County Court Proceedings, Liber K. K., pp. 167, 169; Somerset County Judicial Record, 1752-1754, pp. 39a-40. \textsuperscript{25} Provincial Court Judgments, Liber E. I., No. 1, pp. 105-106. satisfaciendum. By this writ the provincial justices directed Nicholas Maccubbin, the sheriff of Baltimore County, to take Colegate himself in execution of the judgment against him. At the same time that he sued out the writ William also released all of the judgment against Colegate except forty-two pounds twelve shillings and eight pence sterling and the 999 pounds of tobacco for the costs of the suit, and he endorsed an appropriate memorandum to that effect on the back of the capias ad satisfaciendum. Maccubbin executed the writ, and when the provincial court met in October of 1735 he reported that he had taken Colegate in execution of the earlier judgment against him.$^{26}$ On 17 July 1735, however, Colegate, languishing in jail in Annapolis,$^{27}$ acting through his attorney, Daniel Dulany, and alleging that on 27 August 1734 he paid Edward Fell fifty-one pounds sterling and the interest on it—the fifty-one pounds sterling being more than sufficient to satisfy that part of the judgment that William Fell had not released—, sued out of chancery a writ of audita querela. By that writ Samuel Ogle, who was the chancellor as well as the governor of the province at the time,$^{28}$ directed the provincial justices to inquire into Colegate’s claim and to do him justice. Both Edward Fell and Colegate appeared at the provincial $^{26}$ Ibid., Liber E. I., No. 2, pp. 140-141. This capias ad satisfaciendum reads: “Charles Absolute Lord and Propry of the Provinces of Maryland and Avalon Lord Baron of Balt. &c To the Sheriff of Balt County Greeting We Command you that you take Richard Colegate late of the Said County Planter otherwise Called Richard Colegate Gent if he shall be found in your bailywick And him safe keep so that you have his body before the Justices of our Provincial Court to be held at Annapolis the third Tuesday of October next to Satisfy unto Edward Fell as well the full and Just Sum of One hundred and two Pounds Sterling a Certain Debt by the said Edward against him the said Richard recovered before the Justices of our said Court on the twenty first day of May last whereof he is Convict [as] the Sum of One thousand and forty seven Pounds of Tobacco Costs of Suit hereof fail not at your Peril and have you then and there this writ Witness Levin Gale Esq’. Chief Justice of our said Court the ninth day of July in the twenty first year of our Dominion &c Annoq: Dom 1735. (Rd Francis) Wm Ghiselin Clk” The costs mentioned in the capias ad satisfaciendum are more than the costs of the original suit because they include the additional costs of suing out and of executing the capias ad satisfaciendum. $^{27}$ Colegate may or may not have been actually in jail. According to the wording of the writ he was, but the wording might have been only a formality. On the other hand, the purpose of suing out the capias ad satisfaciendum was to have the sheriff take the defendant himself in execution. The probability is that Colegate was in jail. $^{28}$ Donnell M. Owings, His Lordship’s Patronage: Offices of Profit in Colonial Maryland (Annapolis, 1953), 121, 124. court for October of 1735 through their attorneys, but at that court and again at the provincial court for May of 1736 Fell imparled. In October of 1736 however Colegate entered his declaration. In it he stated simply that on 7 August 1734$^{29}$ he paid Edward Fell the fifty-one pounds sterling, the amount that he owed Fell on the unpaid bills of exchange, as well as the interest on that debt. Therefore Colegate requested that the justices discharge him from the execution of the judgment against him. Richard Francis, Fell’s attorney, then entered Fell’s plea, in which he stated only that Colegate had not paid the fifty-one pounds sterling and the interest on it “in the Manner & form” that Colegate claimed. When Benjamin Young and John Hicks, two of the provincial justices,$^{30}$ took the assizes for Anne Arundel County in April of 1738 a jury finally heard Colegate’s case against Fell and found that he had paid Fell the fifty-one pounds sterling and the interest on it in the manner and form that Colegate claimed. Therefore when the assize justices returned the record of the trial to the provincial court in May of 1738 the provincial justices discharged Colegate from the execution of the earlier judgment against him and awarded him an unstated amount of tobacco against Fell for his costs in the action upon the audita querela.$^{31}$ --- $^{29}$ The discrepancy in the dates here is apparently the result of an error of the clerk of the provincial court, William Ghiselin. $^{30}$ Provincial Court Judgments, Liber E. I., No. 4, p. 203. $^{31}$ Ibid., 205-207. This writ of audita querela reads: “Charles Absolute Lord & Prop:$^{7}$ of the Provinces of Maryland & Avalon Lord Baron of Baltimore &c To our Justices of our Provincial Court Greeting of the Great Complaint of Rich$^{4}$, Colegate of Baltimore County Gent We have Received That Whereas at A Provincial Court held at Annapolis the third Tuesday of May Edward Fell by Consideration of the Same Court Recovered Against the said Richard One hundred & two Pounds Sterling a Certain Debt being the Penalty of a Writing Obligatory Conditioned for the Payment of fifty one Pounds Sterling & Nine hundred & Ninety Nine Pounds of Tobacco Costs of Suit Whereof he is Convict as Appears of Record & that Altho the Said Richard after the recovery af$^{4}$, to wit the twenty Seventh Day of August in the Year of our Lord Seventeen hundred & thirty four at Ann$^{11}$: County Satisfied unto the Said Edward the Said fifty one Pounds Sterling and all the Interest thereof Nevertheless the said Edward Fell Contriving & Maliciously Intending him the Said Rich$^{4}$. Colegate Unjustly to Vex Execution of the Judgment af$^{4}$. Against him the Said Richard P’secuteth & him the Said Richard in Ann:$^{11}$ County af$^{4}$. hath Arrested & in Prison keepeth most Unjustly to the Damage & Greif [sic] of the Same Richard Colegate Wherefore the Said Rich$^{4}$. Colegate hath Humbly Supplicated us a Proper Remedy for him in this Part to Provide & because we will not that the Said Richard in this Part be Any way Injured And are willing that what is Just Here was an instance in which it was desirable that a judgment be vacated because of something that happened after the court awarded the judgment. Neither an appeal to the next higher common law court—which in this case was the governor and his council, the high court of appeals—nor an appeal in equity—which in the 1730s would have been to the governor alone sitting as chancellor—\textsuperscript{32} was possible, since on an appeal the appellate court considered only the record of the trial in relation to what had happened before the court of original jurisdiction awarded its judgment. The same was true of the action on the writ of error. Therefore justice demanded the development of some other method of taking into account facts that arose after the original court awarded its judgment. The writ of \textit{audita quere\textit{la}} served that necessity until the courts through the practice of granting summary relief on motion made it no longer necessary.\textsuperscript{33} \begin{quote} be Done We Command you that you hear the Complaint of the Said Richard Colegate & that you Call before you the Parties aff. & hearing their Reasons to the Said Richard Colegate full & Speedy Justice you Cause to be Done as of Right & According to the Laws & Customs of England & this Province [ought to be done] Witness Samuel Ogle Esqre. Our Lieutenant of Our Said Province at Annapolis this Seventeenth Day of July in the twenty first Year of our Dominion &c Annoq Domini 1735. (D Dulany) J Ross Reg Cou—" The writ is written out in Provincial Court Judgments, Liber E. I., No. 4, p. 205. John Ross was the clerk of the council. See Owings, \textit{His Lordship's Patronage}, 136. Since both Colegate and the Fells were from Baltimore County (See Wills, Liber 23, pp. 150-154; Liber 24, pp. 544-547; Baltimore County Original Wills, Box 6, Folder 61.), the only reason that the assizes for Anne Arundel County could try the case was that the issue arose there rather than in Baltimore County. See 1732, c. 1, \textit{Md. Arch.}, XXXVII, 523-530. \textsuperscript{32} See Chancery Record, Liber I. R., No. 2, Liber I. R., No. 3, and Liber I. R., No. 4, \textit{passim}. in each. \textsuperscript{33} Speaking in the middle of the eighteenth century, Blackstone says: "But the indulgence now shewn by the courts in granting a summary relief upon motion, in cases of such evident oppression, has almost rendered useless the writ of \textit{audita quere\textit{la}}, and driven it quite out of practice." Blackstone, \textit{Commentaries}, III, 406. SIDELIGHTS THE FREE SCHOOL IN PRINCE GEORGE'S COUNTY, 1723-1774 By Louise Joyner Hienton During the early years of provincial Maryland, public schools were nonexistent; education of youth was a private matter, left to parents to accomplish according to their means and inclinations. Families sent their children to England for schooling, children of Roman Catholic families often going to France; or they employed private schoolmasters or parents taught their children themselves.$^1$ But the matter of schools weighed upon the minds of the members of the General Assembly. Sixty-two years after the first settlement was made in the province, and in the same year in which Prince George's county came into being, 1696, under the governorship of the royal governor Francis Nicholson, an act was passed by the General Assembly establishing King William's school at "Ann Arundell Town upon Seaverne River." This act, while it established one school only, looked forward to establishing a second school on the Eastern Shore, and thereafter a free school in each county; this to be done as soon as funds would permit.$^2$ But it was not until 1723, after the restoration of the Lord Proprietary's rights, and under the governorship of his kinsman, Charles Calvert, that an act was passed which ordered the establishment of a free school in each county.$^3$ There had been an earlier unsuccessful attempt to start a school in Prince George's county. In 1719 a group of prominent men of the county, namely, Thomas Addison, Esq., the Rev. Jacob Henderson, James Stoddert, Robert Tyler, Thomas Clagett, Doctor Patrick Hepburn, James Haddock and Joseph Belt, as trustees, had purchased lot number 60 in Upper Marlboro, with a house, for the purpose of establishing a public school for youth.$^4$ This venture came to nought, perhaps because of the establishment of the free school in the interim, as ten years after its purchase we find these men, or their successors, leasing the property to Dr. James Boswell, --- $^1$ Bernard C. Steiner, History of Education in Maryland (U.S. Bur. of Educ. Circular of Information No. 2, 1894), pp. 13-18. $^2$ Arch. Md., XIX, 420-6. $^3$ Ibid., XXXIV, 740-6. $^4$ Prince George's County Land Records, Liber E, folios 733-8, H.R. who was to repair the house which had fallen into ruin and decay.\textsuperscript{5} We also have a record of certain private schoolmasters in Prince George's county during the colonial years: Rupert Butler,\textsuperscript{6} Edward Mobberly,\textsuperscript{7} Alexander Mecants,\textsuperscript{8} John Wall,\textsuperscript{9} Benjamin Druit,\textsuperscript{10} John Hodges,\textsuperscript{11} James Henry Shorthose,\textsuperscript{12} Joseph Peach,\textsuperscript{13} John Welling,\textsuperscript{14} Thomas Thomson,\textsuperscript{15} John Hues,\textsuperscript{16} Thomas Addington,\textsuperscript{17} John Ouchterlony,\textsuperscript{18} William Ellis, John Willen, David Price,\textsuperscript{19} James Beck, Peter Robinson, Richard Blew, Thomas Harrison, and James Gibson, as well as several servants who were listed but not named.\textsuperscript{20} There were also several schoolmistresses: Hannah Taylor,\textsuperscript{21} Mary Ann March,\textsuperscript{22} and Mary Flowers.\textsuperscript{23} Of these, we know more about Peter Robinson than the others, as his name appears in the county records frequently. He had been a schoolmaster in England. Desirous of coming to America, and having recommended to George Noble, Esq., he had paid his own passage over and entered into an agreement with Noble to live with him and teach his children, having the benefit of any other scholars he could get. Noble was one of the most respected and influential men in the county; for a number of years he had served as a justice of the county court, advancing to the office of Chief Justice. He was also one of the visitors of the free school. In his family there were five children, three sons and two daughters; they lived on the south side of Piscataway Creek at its junction with the Potomac River, their estate being a part of the Piscataway or Calvert Manor. The arrangement between Robinson and Noble worked very well for several years until Mr. Noble died, whereupon the executors of his estate tried to hold Robinson as an indented servant, but the county court declared him free.\textsuperscript{24} \textsuperscript{5} \textit{Ibid.}, Lib. M, fol. 427-8. \textsuperscript{6} Prince George's County Court Records, Lib. B, fol. 353a, H.R. \textsuperscript{7} \textit{Ibid.}, Lib. H, fol. 33. \textsuperscript{8} \textit{Ibid.}, fol. 142. \textsuperscript{9} \textit{Ibid.}, fol. 183. \textsuperscript{10} \textit{Ibid.}, fol. 803. \textsuperscript{11} \textit{Ibid.}, fol. 903. \textsuperscript{12} \textit{Ibid.}, Lib. K, fol. 84. \textsuperscript{13} PGCo. Land Rec., Lib. M, fol. 98. \textsuperscript{14} PGCo. Court Rec., Lib. R, fol. 544. \textsuperscript{15} Black Books, II, 123, H.R. \textsuperscript{16} PGCo. Court Rec., Lib. V, fol. 96. \textsuperscript{17} \textit{Ibid.}, fol. 640; Lib. W, fol. 14, 18-9. \textsuperscript{18} \textit{Ibid.}, Lib. GG, fol. 55. \textsuperscript{19} \textit{Ibid.}, Lib. OO, fol. 539. \textsuperscript{20} Black Books, X, 39. \textsuperscript{21} PGCo. Land Rec., Lib. Q, fol. 707. \textsuperscript{22} PGCo. Court Rec., Lib. OO, fol. 539, 574. \textsuperscript{23} \textit{Ibid.}, fol. 578. \textsuperscript{24} \textit{Ibid.}, Lib. W, fol. 44-5, 63. Robinson settled in the community, married Anne Athey, and began rearing a family.\textsuperscript{25} In an early issue of the Maryland Gazette, dated March 25, 1746, the following advertisement appears:\textsuperscript{26} Reading; Writing, in all Hands; Arithmetic, in whole Numbers and Fractions, Vulgar and Decimal; also Artificial Arithmetic, both Logarithmetical and Logistical, with Instrumental, either by Inspection, Rhabdologia or Proportional Scales; Geometry, both superficial and solid; with Mensurations of all kinds, either in Longometria, Planometria, or Stereometry; as Surveying Fortification, Gunnery, Gauging, &c. Trigonometry, both Plain and Spherical; with Navigation either in Plain, Mercator, or Circular Sailing; also Dialling, all sorts, &c. all ways, either Arithmetically, Geometrically, Projective, Reflective, Concave, or Convex: Cosmography, Coelestial or Astronomical, and Terrestrial or Geographical: Astronomy, Practical, and Theorical: Grammar: Merchants Accounts, or the Art of Book-keeping; after the Italian Manner: Algebra: Euclid's Elements: &c. Likewise the Description and Use of Sea-Charts, Maps, Quadrants, Fore-Staffs, Nocturnal, Protractor, Scales, Coggershall's Rule, Sector, Gauging-Rod, Universal Ring-Dial, Globes, and other Mathematical Instruments: Taught at Upper Marlborough Town, in Prince George's County, by Peter Robinson N.B. Near which Place Youth may be Boarded. A few years later he leased the tract "God's Gift," near Piscataway\textsuperscript{27} and had his mark of cattle, hogs, and sheep recorded: a crop and under bit in each ear, also a hole in the right ear and that hole slit out.\textsuperscript{28} However, misfortune overtook Peter Robinson and he was sued by Christopher Lowndes & Company for indebtedness.\textsuperscript{29} He was thrown into jail and stayed there for two years, even though he pleaded that he had three children unable to support themselves, and a wife who, riding to assist him in his confinement, had broken her arm and might never have the use of it again, and that he was willing to surrender everything for his liberty.\textsuperscript{30} Our knowledge of Peter Robinson ends on a brighter note. After his release from the county prison, he and his wife took in a little neighbor girl as an indentured servant, she to serve them until she \textsuperscript{25} King George's (Piscataway, St. John's) Parish, Prince George's County, Register, 1689-1801, p. 268, Hall of Records, Annapolis, Md. \textsuperscript{26} Also cited in Steiner, \textit{op. cit.}, p. 33. \textsuperscript{27} PGCo. Land Rec., Lib. PP, fol. 107. \textsuperscript{28} \textit{Ibid.}, Lib. NN, fol. 246. \textsuperscript{29} PGCo. Court Rec., Lib. OO, fol. 73, 149. \textsuperscript{30} \textit{Ibid.}, fol. 251. reached the age of 16 years, and they to provide her with "Washing Lodging Apparel & Victuals during the Said Term and also to learn her for to Read."31 The Act of 1723, which ordered the establishment of the county schools, was entitled "An Act for the Encouragement of Learning, and erecting Schools in the several Counties within this Province." It provided that one school should be erected near the center of each county, at a place convenient for boarding children; it named seven men in each county who were to qualify themselves as visitors by taking and signing the oath of abjuration and the test and by taking the oath of a visitor. These men were to meet four times a year to inspect and direct the affairs of the school. To perpetuate the succession of the number of seven visitors to each school, it provided that if one of the visitors should die or move out of the county, then the remaining visitors were required to elect one of the principal and better sort of the inhabitants of the county in his place. If a man appointed as a visitor refused, or delayed taking on the office, he was to forfeit 500 pounds of tobacco for the use of the school. The visitors were directed to purchase 100 acres or more of land, not more than half of which was to be cleared for the use of the master of the school, the other half to be preserved in woodland. No use was to be made of the woodland except for firewood, repairs and fencing, and no tobacco was to be grown on the land. In case there were not sufficient buildings already on the land when purchased, the visitors were empowered to have such buildings erected. They were to employ a schoolmaster, who was to be a member of the Church of England, a man of pious and exemplary life and conversation, who was capable of teaching grammar, good writing, and mathematics, at a salary of twenty pounds per annum, besides the use of the plantation. The money for the school and its operation was to come out of that already raised for the use of the county schools, which was in the hands of the two public treasurers, the Treasurers of the Western and Eastern Shores, which was to be divided equally among the counties. This was to be supplemented by certain fines, forfeitures and bequests within the county. The visitors were also to employ a register at a reasonable salary, who was to keep an account of their proceedings and of the money or tobacco spent.32 Five years later an act was passed to correct some defects in this act. If any visitors wilfully refused or neglected to be present at the meetings, then others could be chosen to replace them. Also, the --- 31 PGCo. Land Rec., Lib. PP, fol. 293. 32 Arch. Md., XXXIV, 740-6. master of a school was required to teach as many poor children gratis as the visitors should require of him.\textsuperscript{33} Funds for the use of the schools were collected from various duties or imposts. A tax was imposed on the exportation of skins and furs, at the rate of twelve pence per skin for elk, nine pence for bear, four pence for beaver and deer, three pence for otter, two pence for young bear and cub skins, one penny half penny for wildcats, foxes, minks, wethers, and calves, four pence per dozen for muskrats, and three farthings for raccoons, to be paid by inhabitants of the province, for the use of the schools. The duty was double for non-residents. These imposts were to be collected by the naval officers and turned over to the public treasurers once a year. Non-residents exporting out of the province were to pay, for the use of the schools, an impost of twelve pence per hundred weight for dried beef and bacon, and twelve pence per barrel for pork and undried beef. These two items, pork and undried beef, could not be shipped except in barrels or casks, each containing two hundred weight. Any offender would forfeit his commodities; and a fine of 5000 pounds of tobacco would be imposed upon the master of a ship who knowingly took on such cargo contrary to the law. In each case half was to go for the use of the schools and half to the informer. A person was considered to be a non-resident if he had not owned and lived, with his family if he had one, for at least a year, either on a plantation of at least 50 acres or in a house in a town or port, the house to be not less than 40 by 20 feet with two brick chimneys.\textsuperscript{34} Over and above a tax already in existence, an additional sum of twenty shillings current money per poll was imposed on Irish servants, except children under the age of 14 years, and on Negroes who were imported into the province. These imposts were also collected by the naval officers for the use of the schools.\textsuperscript{35} After a time, the duty on furs and skins was repealed and, in lieu thereof, a duty was imposed on pork, pitch and tar, when imported by non-residents with the intent to sell; the impost being one shilling per barrel on pork or pitch, and six pence per barrel on tar for the support of the schools. An offender would lose his commodity, or the full value thereof, half to go to the schools and half to the informer.\textsuperscript{36} Unfortunately, the only minute book of the free schools which seems to have survived is not from Prince George’s, but from Queen Anne’s county; however, it gives us some insight into the operation of all the free schools. The visitors employed a register at six \textsuperscript{33} \textit{Ibid.}, XXXVI, 281-2. \textsuperscript{34} \textit{Ibid.}, XXVI, 275-8. \textsuperscript{35} \textit{Ibid.}, XXXIII, 109-11. \textsuperscript{36} \textit{Ibid.}, XXXIV, 730-1. pounds per annum to take care of the secretarial work. They bought 100 acres of land, had a schoolhouse, dwelling house, kitchen and barn erected on it, and had the pasture fenced in. They employed a schoolmaster who was to teach ten scholars selected by them for twenty pounds current money of Maryland per annum, and in addition such other children of the county as should be brought to him at the rate of 25 shillings or 300 pounds of tobacco per year to be paid by the parents or guardians. They selected the ten scholars "of the foundation," who were to receive their schooling gratis. There is no hint as to the basis for selection of these children, but it would seem that they were not necessarily the children of poor parents, as one lad selected as a replacement was the son of the high sheriff of the county, a man who was also one of the visitors. The parents or guardians of the ten children selected agreed with the visitors that if the children were removed from the school before they reached a sufficient competency of learning, to be determined by the visitors, then they were to pay the visitors at the rate of 25 shillings per annum for the time the children had been in school. At least one girl was admitted to the school to be taught gratis. The visitors sent to England for globes; charts; astronomical, navigating and surveying instruments; for books on astronomy, arithmetic, geometry, trigonometry, geography, navigation, surveying, archeology, and Roman antiquities; also for Greek and Latin classics, both in poetry and prose; and the latest edition of the Cambridge dictionary. From April 1st until September 30th classes were to be from 7:00 to 11:00 in the morning and from 1:00 to 5:00 in the afternoon; from September 30th until April 1st they were to be from 8:00 to 11:00 in the morning and from 1:00 to 4:00 in the afternoon. The exceptions were half a day on Saturdays from May 1st to November 1st, all Saturdays the rest of the year, and all Sundays in the year. There were three vacations, at Christmas from one week before until the day after Twelfth-day, at Easter from Holy Thursday through one week, and similarly at Whitsun-tide. There were a number of problems which faced the visitors. Frequently their attendance was too small to hold meetings. The public treasurers did not always have sufficient funds for the purpose to pay their orders. There was one instance in which an order for the schoolmaster's yearly salary was presented first to the Treasurer of the Eastern Shore, who lacked the funds to pay it; an order was then presented to the Treasurer of the Western Shore, who also lacked sufficient funds; after another round of orders on each treasurer, which were also turned down, and after a lapse of almost two years, the schoolmaster finally received that year's salary by having the payment split between the two treasurers. Of the succession of schoolmasters employed, some were good, some were not; some could be gotten rid of easily, some could not. In one case the visitors had to remove the schoolmaster's personal belongings from the schoolhouse and nail the door shut, as the schoolmaster refused to surrender the key.\textsuperscript{37} Without such a minute book for Prince George's county, there are many things that we do not know about its free school. But a search of the records that do exist reveals some interesting facts. The seven men appointed by the Act of 1723 as visitors for the school in Prince George's county were the Hon. Charles Calvert, Esq. Governor, the Reverend Jacob Henderson, Robert Tyler, Colonel Joseph Belt, Thomas Gantt, George Noble, and Colonel John Bradford.\textsuperscript{38} They were among the most respected men in the county. Gov. Calvert's exact relationship to Lord Baltimore is uncertain, but he was acknowledged as a member of the family and accorded all the honor and respect due such a person. He had been sent out as governor of the province in 1720. On November 21, 1722, he was married to Rebecca Gerrard, daughter of the deceased John Gerrard of Prince George's county and his wife Elizabeth, by the Rev. Jacob Henderson, rector of St. Barnabas church in Queen Anne parish.\textsuperscript{39} The Gerrards had been living at their estate near Queen Anne; and Gov. Calvert and his wife, after their marriage, doubtless continued to maintain a home there. We assume this to be the case since it was required by the Act of 1723 that a visitor of the school be a resident of the county. The Rev. Jacob Henderson was not only the rector of Queen Anne parish but was also the Bishop of London's commissary to the Western Shore of Maryland, and as such was the ranking clergyman of the Western Shore. The other five men had been at one time or another justices of the county court or delegates from Prince George's county to the Lower House of the General Assembly or both, so that, in accordance with the Act, they were among the "principal and better sort of the inhabitants of the county." On March 15, 1725, the visitors bought from Thomas Ricketts 215 acres of land, being parts of two adjoining tracts, 180 acres of Reyly's Discovery and 35 acres of Major's Choice.\textsuperscript{40} The first named \textsuperscript{37} Minutes of the First Free School in Queen Anne's Co., Md., from December 27, 1723 to May 12, 1791, \textit{passim}, Maryland Historical Society, Baltimore, Md. Also cited in \textit{Md. Hist. Mag.}, L (June, 1955), p. 156 n. \textsuperscript{38} Arch. Md., XXXIV, 740-6. \textsuperscript{39} Queen Anne Parish Record, Prince George's County, Md., 1705-1773, p. 2-Marriages, H.R. \textsuperscript{40} PGCo. Land Rec., Lib. M, fol. 1-2. tract was known also as Ryley's (Riley's) Discovery\textsuperscript{41} or First Part of Ryly's Discovery;\textsuperscript{42} the second named tract had been laid out for Ninian Beall in 1687 by the name of The Major's Lott\textsuperscript{43} and Thomas Ricketts had received title to it by that name,\textsuperscript{44} but in deeding it to the visitors he seems to have made a slight alteration in its name. This land lies on the north side of a branch about a half mile north of St. Barnabas church in Queen Anne parish. Just why the visitors purchased a tract of 215 acres instead of 100 acres, as required by law, is a matter of conjecture. Ricketts was living in Anne Arundel county; he had already disposed of some of his land in Prince George's county,\textsuperscript{45} so perhaps was anxious to sell the remainder and offered it to the visitors at a good price. Several years later Thomas Ricketts brought suit against the visitors claiming that they had promised to pay one hundred twenty pounds sterling for the land, but had paid only one hundred sixteen pounds eight shillings of that amount and still owed him three pounds twelve shillings. The matter was referred by the court to three arbitrators who declared in favor of Ricketts and awarded him the three pounds twelve shillings sterling money plus 356 pounds of tobacco for costs of the suit.\textsuperscript{46} The visitors sued by Thomas Ricketts in 1729 were Rev. Jacob Henderson, Robert Tyler, Joseph Belt, Ralph Crabb, Thomas Gantt, George Noble and Edward Sprigg. Gov. Calvert was no longer a visitor, an indication that he and his wife had given up their home in Prince George's county; and Col. John Bradford was deceased. Ralph Crabb and Edward Sprigg, the two new visitors, were among the men who served the county as justices of the county court and as delegates to the General Assembly, Edward Sprigg being Speaker of the Lower House for several years. From time to time the \textit{Maryland Gazette} carried advertisements for a schoolmaster for Prince George's county school. These appeared on April 21, 1747; August 20, 1752; September 4, 1766; and January 5, 1769; and in each case were reprinted in several subsequent issues. The first three of these notices were inserted by James Beck, register, and the fourth by Samuel Tyler, register. The first master of the free school that we know anything about was a man who called himself at the time Congreve, but was later ordained by the Bishop of London under the name of James \textsuperscript{41} \textit{Ibid.}, Lib. C, fol. 77; Lib. E, fol. 522. \textsuperscript{42} \textit{Ibid.}, Lib. I, fol. 473. \textsuperscript{43} Land Records, Lib. 22, fol. 330. Land Office, Annapolis, Md. \textsuperscript{44} PGCo. Land Rec., Lib. E, fol. 526. \textsuperscript{45} \textit{Ibid.}, fol. 522. \textsuperscript{46} PGCo. Court Rec., Lib. P, fol. 288-91. Colgrave or Colgreve. We learn of this man from a letter which the Rev. Henry Addison wrote to the Bishop of London after hearing of the ordination, as he was not pleased. According to Mr. Addison the man was a native of Ireland, but had lived a good many years in America where he lived a vagrant life, strolling from place to place through most of the colonies. He had been in the army at the Siege of Louisburg; but the war being over, had come to Maryland and was appointed master of the free school of Prince George's county. He had married a wife who left him in a week's time, fearful that her life was in danger from his violences. He was an abandoned drunkard and when drunk an outrageous madman. He remained about five or six months, then, having become deeply in debt, ran away.$^{47}$ Since the Siege of Louisburg took place in 1745, perhaps this man answered the advertisement in 1747. In 1754 the justices of the counties were asked by the Council to send in a list of the schoolmasters in their county.$^{48}$ The list from Prince George's county still exists and gives the name of the Rev. William Brogden as master of the county school.$^{49}$ Since an advertisement had appeared in the Maryland Gazette in 1752 and then not again until 1766, we think it safe to assume that William Brogden was master of the free school from 1752 to 1766. The Rev. William Brogden was born about the year 1710.$^{50}$ His first induction was as rector to Dorchester parish in Dorchester county, Feb. 28, 1735,$^{51}$ where he served until Oct. 22, 1737.$^{52}$ He next served All Hallows parish in Anne Arundel county, July 18, 1739.$^{53}$ During the gap between October, 1737, and July, 1739, we find that Mr. Brogden was Mr. Henderson's curate in Queen Anne parish in Prince George's county while Mr. Henderson returned to England for a visit;$^{54}$ he, Mr. Henderson, having been given eighteen month's leave for that purpose by Gov. Samuel Ogle, provided he furnish a curate for his parish during his absence.$^{55}$ In 1738, during the time he was serving as curate in Queen Anne parish, the Rev. William Brogden was married to one of his parishioners, Mrs. Sarah Haddock, the widow of James Haddock.$^{56}$ She was the daughter of Richard Marsham,$^{57}$ had been $^{47}$ William Stevens Perry, D.D., L.L.D., Papers Relating to the History of the Church in Maryland A.D. 1694-1775, (Privately printed, 1878), pp. 332-4. $^{48}$ Arch. Md., XXXI, 37. $^{49}$ Black Books, X, 39. Also cited in Steiner, op. cit., p. 34. $^{50}$ Maryland Gazette, Nov. 8, 1770. $^{51}$ Commission Book No. 82, 1733-1773, p. 41, H.R. $^{52}$ Ibid., p. 50. $^{53}$ Ibid., p. 76. $^{54}$ Queen Anne Parish Record, Prince George's County, Md., 1705-1733, p. 58. $^{55}$ Ibid., pp. 56-7. $^{56}$ PGCo. Court Rec., Lib. X, fol. 248-9. $^{57}$ Wills, Lib. 13, fol. 514-20, Hall of Records, Annapolis, Md. married previously, first to Basil Waring,\textsuperscript{58} then to William Barton,\textsuperscript{59} and was living near St. Barnabas church on the estate which James Haddock had willed to her during her lifetime.\textsuperscript{60} All Hallows parish into which Mr. Brogden was inducted in 1739 was just across the Patuxent River in Anne Arundel county. His wife Sarah probably died soon after, as we find that, on Dec. 24, 1741, the Rev. William Brogden was married to Elizabeth Chapman, daughter of William and Rebecca Chapman of All Hallows parish, and several children were born to them.\textsuperscript{61} He continued as rector of this parish until 1751. Following the death of the Rev. Jacob Henderson, who had been rector of Queen Anne parish from 1717 until his death in 1751, the Rev. William Brogden returned to Queen Anne parish in Prince George's county as its rector, receiving his appointment from Gov. Samuel Ogle on Sept. 11, 1751.\textsuperscript{62} Two items about him appear in the \textit{Maryland Gazette}. The issue for Feb. 7, 1760, carries the following: On Monday last a very melancholy Disaster happened in the Family of the Rev. Mr. Brogden. His Daughter, a Child of about 11 or 12 Years of Age, diverting herself with a large hollow Gum, which was used for drawing off Lye, and going backwards before it, as it rolled down a Descent, there happened to be a Clay-Pit in the Way, into which she fell, and the Gum falling upon her from the Height of about 3 Feet, killed her upon the Spot, so that she did not utter a Word. She was a very promising Child, and her unfortunate Death must consequently be a severe Affliction to an indulgent and tender parent. And in the issue for Thursday, November 8, 1770, this appears: In Thursday last departed this Life, in the 60th Year of his Age, the Reverend Mr. William Brogden, Rector of Queen-Anne's Parish, in Prince-George's County. He was a Man universally known and respected for his Probity, extensive Knowledge, and for his strict and exemplary Life in his Vocation.—His latter Days were much imbittered by a Complication of Disorders, under which he laboured for several Years, and to which, at last he fell a Victim.—He left Four Sons and One Daughter. We know that the Rev. William Brogden was master of the free school in 1754; we think that he took on this job in 1752 and continued in that capacity until 1766, when perhaps he resigned because \textsuperscript{58} \textit{Ibid.}, Lib. 6, fol. 66-7. \textsuperscript{59} \textit{Ibid.}, Lib. 3, fol. 643-6. \textsuperscript{60} \textit{Ibid.}, Lib. 20, fol. 197-9. \textsuperscript{61} All Hallows Parish, AA County, Md., Register, 1685-1858, pp. 21, 41, 44, H.R. \textsuperscript{62} Queen Anne Parish Record, PG County, Md., 1705-1773, p. 89. of his ill health. We know also that he was well qualified to conduct a good school, as his training for clerical orders would have necessitated his acquiring a classical education, and so no doubt the visitors were pleased for him to continue as master as long as he would do so. As early as 1772 there was agitation to unite the free schools of Saint Mary's, Calvert, Charles, and Prince George's counties.$^{63}$ Petitions were offered for$^{64}$ and against$^{65}$ the proposal; the outcome was an act passed by the General Assembly in April, 1774, entitled "An Act to unite the Free Schools of Saint Marys, Charles and Prince Georges Counties."$^{66}$ This act ordered that, since the free schools of these three counties did not separately afford sufficient encouragement for proper masters, they be sold, the funds consolidated, and one school for the three counties be erected at Cool Springs in Saint Mary's county by the name of Charlotte Hall. The new school was to be governed by a president and 21 trustees, seven of whom were to be residents of each county. The seven named from Prince George's county were Benedict Calvert, the Rev. Henry Addison, Josias Beall, Robert Tyler, Joseph Sim, Thomas Contee and Dr. Richard Brooke. These men may have been the visitors of the free school at the time. The seven original visitors and the two replacements that we know about were long since deceased. These seven men were equally as prominent in the county. Benedict Calvert was acknowledged as the son of Charles fifth Lord Baltimore,$^{67}$ he had been married to the daughter of Gov. Charles Calvert, and was living at his estate "Mount Airy" in the central part of the county. The Rev. Henry Addison was the rector of King George's parish, on the Potomac side of the county. The other five men were also well known and respected, this Robert Tyler being of another generation than the earlier Robert Tyler. Except for the sale of the land, this brought to a close the business of the first free school of Prince George's county. An advertisement appeared in the Maryland Gazette for September 8, 1774, giving notice of the impending auction of the free school land on the following October 6th. But it was not until five years later, on October 28, 1779, that the land was sold to Singleton Wootton, making final $^{63}$ Maryland Gazette, Nov. 5, 1772. $^{64}$ Arch. Md., LXIV, 42. $^{65}$ Ibid., 116. $^{66}$ Ibid., 377-9. $^{67}$ John Bailey Calvert Nicklin, "The Calvert Family, Part III, The 'Mt. Airy' Line," Md. Hist. Mag., XVI (Sept., 1921), pp. 313-4. disposition of the affairs of the free school of Prince George's county.\textsuperscript{68} With the passing of this school there came to an end the first attempt at public education in the county. No doubt at its inception the free school filled a need, but it suffered from lack of sufficient funds, as did the other county schools, which also came to an end about the same time. It would take a new concept of thinking, under a new government, whereby the rich would be taxed to help pay for the schooling of the poor, before a good system of public education could be developed.\textsuperscript{69} \textsuperscript{68} PGCo. Land Rec., Lib. CC No. 2, fol. 697-8. \textsuperscript{69} Steiner, \textit{op. cit.}, pp. 42-3. The author of this thoughtful book clarifies that history can be considered as having meaning not merely in the sense of having an aim or end, but that it can also be considered to have meaning in the sense that there is a form, an order, coherence in it, which a comprehending mind can grasp. Dr. Kahler is convinced that history has meaning in the latter of these senses. It is a part of his basic position, also, that history is not merely what is written about the past, not merely the concept of the past as explained by the historian; nor, is it the past actuality of itself, rather, he considers that history is the interaction of both. As man becomes more aware of what he does, sees the order, coherence, the form of what has happened to him, he forms the historical concept of how it fits together. This concept then moves on to become itself history, as it has an influence upon the workings of the world of actuality, which is in turn grasped in the concept of a later historian, and so the process continues. The author understands the problem which selectivity presents in regard to writing a history of humanity, and he agrees with Karl Popper that it is false to equate political history, the rise and fall of empires, with the history of humanity. But, he will not agree with Popper that a history of mankind would have to be the history of all men, since no one man is more important than any other; he will not say with him that history has no meaning. Instead, Kahler insists that certain individuals are more influential, more crucial than others, that certain peoples are, at particular epochs, more in the center of happenings than other peoples; and that it is possible to find the order and meaning of history. The second section of the book gives some illustrations of how this interaction has taken place, from the Greeks to the present, and the author's ideas are suggestive and interesting. The book is well written, though it is incorrect to say (p. 188) that the view that history is not a science was first put forth by Heinrich Rickert, on the basis that science is concerned with the general and history with the particular; Aristotle said it many centuries before Rickert. As to the meaning of history at the present moment, Dr. Kahler sees the human world technically one, but in a state of wildest anarchy; and he sees Western civilization about to conquer the globe, yet showing signs of degeneration in its own domain. If a great conflagration comes, he believes that non-Western peoples have the best chance of survival, not only because of their numbers, but because "their basic human substance . . . is not so spent as ours" (p. 219). So, the meaning of history at the moment is for the West to join with the people of the future, regardless of ideologies to achieve the preservation of human life. Though this conclusion will not seem clear or convincing to some readers, they will find the book as a whole rewarding. WALTER W. WILKINSON Georgetown University The Virginia House of Burgesses 1750-1774. By Lucille Griffith. Northport, Alabama: Colonial Press, 1963. xi, 245. $7.50 The colonial period in American history has held an enduring interest for us. We are a people of such diverse origins that the myths and mythologies of no nation or continent would equally serve for all. As other peoples boasted their legendary past, Americans felt the need to cultivate the stories of their nation's origins. This has been done according to the prevailing fashions. We have been served by historical accounts that emphasized the struggle between the forces of progress and the "dead hand" of the past. When heroes came into fashion, American colonial history was written from that point-of-view. More recently, the influence of Sir Lewis Namier has been felt and to it historians of America's colonial period have responded with diligence and insight. Professor Griffith early acknowledges her debt to Sir Lewis and sets about a scholarly analysis of Virginia's House of Burgesses using the techniques that he had used earlier on a study of Britain's House of Commons. By reason of Virginia's role in our Revolution and her dominance in the early decades of our national existence, Virginia's politics have attracted historians. About a decade ago, Charles Sydnor tried to define "political leadership" in 18th Century Virginia; he also described the "political practices" which produced that host of sagacious leaders: Washington, Jefferson and Madison—to name but a few. At the same time, studies of other colonies have appeared to challenge the older view of a colonial aristocracy that was divided and then displaced by the American Revolution. A new, close study of colonial Virginia was, therefore, not only necessary but timely. For the quarter-century preceding the Revolution, Professor Griffith set out to describe the structure of Virginia's government, the controversies that affected the operations of that government, the system under which burgesses were elected and the manner of men who were chosen. She has done this with the diligence proper to a doctoral dissertation and with the refinement of style proper to a southern lady. Her study of the voting and tax records has prompted her to conclude that between 55 to 60 percent of the white males were freeholders and could vote. This should put to rest the legend of "disenfranchised masses." In fact, however, the number that did vote was considerably smaller and not unlike the ratios in more recent elections. She could find no party organization although Speaker John Robinson had collected a following which he could occasionally use for political purposes. While the clot of family and business relations did affect Virginia's politics, the name and connections of a Washington or a Carter were no guarantee of victory when it came to electing a burgess. In a reminiscent mood, Landon Carter confided to his diary that he had failed to win an election because ". . . I did not familiarize myself among the people." If Virginia's society had some claims to aristocracy, it was an aristocracy that had to face the judgment and preference of the many when seats in the legislature were to be filled. There is much in the book for the ordinary reader. The biographical sketches of the burgesses will flesh-out one's views of both these individuals and the texture of the Virginia society. There are a few well-organized statistics for the quantitatively-minded readers. Appended lists give the names of the victorious burgesses and those "who also ran" with the total vote each could attract. The scholar will find a convenient guide and summary that might indeed be used as a model for a similar study of Maryland, though it might be hoped at a somewhat more modest cost. Nicholas Varga Loyola College The Glorious Revolution in America. Documents on the Colonial Crisis of 1689. Edited by Michael G. Hall, Lawrence H. Leder, and Michael G. Kammen. Documentary Problems in Early American History. General Editor, James Morton Smith. Chapel Hill, N. C.: The University of North Carolina Press, 1964. Published for the Institute of Early American History and Culture at Williamsburg. xv, 216. $2.50. Colonial Williamsburg, Inc. has sought through its documentary series to bring "the most exciting and crucial episodes" in early American history with something of the original flavor to students and to her readers. The problem method is essential to the endeavor, which in this volume proposes for analysis the uprisings in New England, New York and Maryland upon the overthrow of James II in 1688. The editing establishes the sources of dissatisfaction, the pattern of conflict, and permanent results. A substantial number of the most relevant primary sources are arranged under logical and descriptive topics in each case. While the editing reveals some assumptions, the door is well open to argument, reflection and further investigation. The volume should be of special value to both graduate and undergraduate study. The documentary items are drawn for the most part from standard published collections. Unpublished material from the papers of William Blathwayt, the Surveyor and Auditor-General of the King's Revenue in America, provide further important knowledge. These selections should awaken interest in a search for other materials. The device of analysing a social crisis in three disparate colonies is promising in effecting a more unified view of colonial events. Economic distress, though uncertain in its dimension, stands out in all three cases and the policy of the mother country is closely related to it. Fundamental principles of charters and the institutions which they upheld were under attack, even if the attack was not always unified in purpose and party. The career of rebel John Coode in Maryland bears this out. He soon fell out of favor with William and Mary and their agents, and even with his revolutionary collaborators. What primarily triggered all of the rebellions was the overthrow of a monarch whose agents were at the moment experiencing resistance at the hands of colonists. The Americans could thus act decisively to annul the political and economic orders the agents were trying to apply without a monarch to back them up. The similarity of bids to retain colonial autonomy in Massachusetts and Maryland is not clearly noted. The proprietary colony, like the company colony, was not bound by the statute laws of England but the royal colony imposed by the rebellion ended this condition in Maryland. When the proprietary control resumed in the eighteenth century, this legal tradition of the earlier days was not recovered. It is hoped that Mr. Kammen will have the opportunity to do a complete study of the Maryland episode similar to what we have on the other two colonies. What is presented here is clear and discerning, as was his article on this topic in the Magazine. Such a study will open the way to another suggested by the title of this book. Thomas O'Brien Hanley Marquette University Manifest Destiny and Mission in American History: A Reinterpretation. By Frederick Merk. New York: Alfred A. Knopf, 1963. x, 266, xii. $5.95. That American expansionism in the era of the Mexican War proved enormously important, beyond the obvious importance of the territorial gains, no one can doubt. The politics of territorial status became the focal point of sectional conflict during the 1850's. Since then, historians have debated the overriding impetus behind this push. Frederick Merk, Professor Emeritus at Harvard University, attempts to fix this expansionism in relation to what he considers the true national characteristic of expansionism: Mission; that is, a Mission which was "idealistic, self-denying, hopeful of divine favor," at odds with the prehensile acquisitiveness of Manifest Destiny in 1846, and totally divorced from the Imperialism-Navalism of 1898. To bolster this argument, Professor Merk presents an account of the high politics of territorial acquisition which dominated the Mexican War years at Washington. In retelling the story of the Polk administration counsels, he makes a valuable contribution by providing much contemporary material from newspapers and other sources. "This book is a study in public opinion. . . . To a greater degree than normal, this study makes use of quotations from editorials," he adds almost apologetically. No apology is needed; perhaps this is Professor Merk's gentle rebuke to younger historians who are less than avid to undertake the dusty but rewarding tedium of newspaper research. Much of expansionism, both in oratory and in practice, was anything but uplifting, and these unsavory aspects are not slighted here. Yet the more generous concept of Mission maintains itself as the quintessence of the American outlook, despite the perversions of the greedy and the haughty. This sharp separation of the two, the compartmentalization of Mission and Manifest Destiny, is not warranted. Rather than a perversion, Manifest Destiny seems more the natural extension in action of the more defensible Ideological Imperialism, or Mission. The author makes much of the fact that the Manifest Destiny men could not foist their overweening ambition for territory south of the Rio Grande on the nation, and similarly that the Imperialism of '98 soon gave way, shame-facedly, to the Relinquishment of Empire—presumably as Mission reasserted itself. It can be argued, however, that in each case, immediate aims satisfied and secured, the less predatory view grew in importance. Neither case had anything to do with self-denial. Frank Otto Gatell University of Maryland William Matthews: Priest and Citizen. By Rev. Joseph T. Durkin, S.J. New York: Benziger Brothers, Inc., 1963. vii, 162. $4.95. Father William Matthews (1770–1854) was a pastor who advertised the produce from his vegetable garden from the pulpit on Sundays, who refused to pray for the end of a drought because "it's no use to pray for rain when the wind's northwest." He was a business-minded, devoted cleric so beloved by his Washington parishioners that they held the wheels of his coach when he attempted to leave for a post in Philadelphia. This well-endowed son of an old Charles County family, the first native American ordained by Bishop Carroll, pastor of the first Catholic church in the new capital, was an unusual priest. His biography is perforce many faceted. Briefly tracing the early background of the young seminarian and priest, Professor Durkin concentrates on Father Matthews' five major activities: the Washington public library, the public schools, Gonzaga College, St. Vincent's Orphan Asylum and St. Patrick's parish. On one level, the Washington priest is seen as a model for religious ecumenism, helping to make the capital well-known for its tolerance. On another level as an early day Robert Moses, Father Matthews is shown as a wise real estate investor, a man with dreams and practical plans to improve the cultural life of the citizenry. Finally, as "a minority within a minority," Father Matthews is presented as the effective shepherd. In all of these phases, the author has shown the parallel growth of the man and the new capital as mutually stimulating. In a period dominated by Jackson, Clay, Webster and Calhoun and clashing national issues, it is instructive to have this well-documented glimpse into early municipal leadership and lesser but significant signs of growth. DOROTHY M. BROWN College of Notre Dame of Maryland Winterthur Portfolio: One. Winterthur, Delaware; The Henry Francis du Pont Winterthur Museum, Inc., 1964. 255. $9.50. This handsome volume is the initial one in a contemplated series of annual studies in American arts and crafts to be published by the Winterthur Museum. The first article is devoted to "the arts in America" and it is followed by other contributions on American culture now illustrated in its museum. The first illustration is of the incredibly vast architectural conglomeration that now constitutes the museum and its gardens. This is followed by a history of the Winterthur estate and the first ten years of the Museum. Some articles are included on the arts and crafts of Maryland—for instance, one on the Schley goblet, an outstanding example of early American glass. It was first acquired by Jacob Schley, an innkeeper of Frederick. It was made by John Frederick Amelung in his New Bremen Glass manufactory near Frederick about 1790, and it is one of the few examples to survive from the 18th century. There is also an account of C. W. Peale's engravings of the year 1789—the year of national crisis. The long index of contents lists, for example, pewter communion tokens, English hardware, the Windsor chair, John Adams' role in the fine arts, a Gilbert Stuart portrait, the evolution of the Winterthur rooms, and a list of 39 members of the Winterthur staff. Winterthur is a newcomer in the world of museums. Its collections are famous wherever American arts are known and collected. Its purposes are not generally understood. The intent of this first number of the Portfolio is to present its past history, its program, and the contribution it hopes to make to American studies and useful knowledge. John H. Scarff Baltimore, Md. --- Early American Hurricanes, 1492–1870. By David M. Ludlum. Boston, American Meteorological Society, 1964. xii, 198. Paper, $5; cloth, $7. This volume, Number One in the projected series, The History of American Weather, covers the period from the voyages of Columbus to 1870, when the U. S. Signal Corps established its storm-warning system and began to build modern weather observing stations. In this impressive study Dr. Ludlum has wisely broken his story at the end of the War of 1812, when the first Federal attempts to institute a national weather observing service were made, since from 1815 on, the task of the meteorological historian was made easier by a growing volume of nationwide observational data. A further convenience to the reader is the geographical division employed: Hatteras North, Hatteras South, and the Gulf Coast. Aside from the technical data, and the fascinating stories of individual storms, students will find much value in Dr. Ludlum's bibliography and chronological index of early American hurricanes to 1870. A brief look at the index by states shows twenty-two hurricanes for Virginia, nine for Maryland, and thirteen for Pennsylvania. Marylanders remembering some of our more recent storms will be interested in those major ones cited for the state, viz., 1703, 1752, 1769, 1785, 1804, 1841, 1846, 1850, and 1869, but they will also wonder what the thirteen that hit Virginia and the four that hit Pennsylvania did to miss us. C. A. P. H. Baltimore, Md. Tableland Trails: A Periodical Devoted to the History, Folklore and Cultural Interests of the Tri-State Area (Pennsylvania, Maryland and West Virginia). Vol. 2, No. 4. Oakland, Md.; Felix G. Robinson, Fall, 1963. iv, 174. $5. The postman recently brought for my perusal this publication devoted to the grass roots history of our two westernmost counties plus two adjoining counties in Pennsylvania and three in West Virginia. It is a favorite pastime of mine to pick up the previous volumes and learn the intimate details of this historic area. In fact, I find it an interesting complement to the magazine of the Maryland Historical Society, in the pages of which all too seldom appear articles about Allegany and Garrett counties. As one reads the Tableland Trials, one learns many little-known facts about the early explorers and settlers of our Appalachian region of Maryland. There is a parade of unique personages, such as the surveyors, Savage and Winslow, employed by Lord Fairfax to establish the fountainhead of the Potomac River. The marker placed ten years later in 1746 by Peter Jefferson, no longer marks the spot, but a later stone monument is there today near Thomas, West Virginia, for all who wish to see. Then there is John Friend, the first settler in the glades of the Youghiogheny River of Allegany County, now Garrett, and his neighbor Meshack Browning, the hunter, whose exploits could fill a book, and in fact, do just this through the interest of Edward Stabler, member of an old Baltimore family, who hunted with Browning and put his story down on paper. The Indian Nemacolin, for whom a famous trail was named, appears now and again and also Aliquippa, the tragic princess of the Delawares, treated so harshly by our own George Washington. Then there is James McHenry, the brilliant lawyer and statesman of Baltimore, who moved to the glades of Garrett and purchased thousands of acres of land. Mention of McHenry reminds me of McHenry Howard and his cousin, Dr. James McHenry Howard. These worthies spent many summers in Garrett about one hundred years ago, and the diary of their fishing excursions to the Cheat and the Blackwater, supplied to the Editor by Miss Julia Howard of Baltimore, makes fascinating reading. These are just a sampling of past numbers to whet the appetite of our readers for more of the same brand. However, the volume now under discussion is the success story of a worthy cleric, the Reverend Joshua G. Breuninger, born in an Amish community near Gartner, in Garrett County, whose ambition vaulted beyond the four R's set as a limit of the educational equipment of these plain people and carried him on to college and theological academy. Interesting tho' this story is to the many friends of this Parson Adams character whose charming simplicity could have been borrowed from the pages of Fielding's novel Joseph Andrews, this reviewer cannot rate this present number on the high level of the previous issues of this noteworthy publication. Caleb Winslow Baltimore, Md. The Career of Blondelle Malone in Art and Society, 1879–1951: Enigma. By Louise Jones DuBose. (Columbia, S. C.: University of South Carolina Press, 1963. Pp. xii, 164, illustrated, $4). In copious superlatives from the pages of her letters, diaries, and scrapbooks, which comprise roughly 80% of this slender volume, Blondelle Malone exemplifies many of the worst traits of the post-Reconstruction South’s emerging noveau riche. As a would-be “religieuse” captivated by the paraphernalia of spiritism and fearful of democratizing influences in her church, as a feminist attempting to shake the shackles of Southern social custom and mingle freely with the near-great of European society, and most of all as a self-styled “great talent” seeking recognition in the late Impressionistic school of art, Miss Malone reveals the general restlessness of her milieu, as well as the superficiality of her own character. Happily for the reader, this study in theatrics is occasionally redeemed by remembrances of personalities—such as Walter Sickert, Claude Monet and Auguste Rodin—and such “local color” institutions as debuts and women’s clubs. Louise Jones Dubose, Director of the University of South Carolina Press, has skillfully and charitably woven these bits and scraps of reminiscences into the biography commissioned in Miss Malone’s manuscript and financial gift to the University. Scrupulously avoiding the temptation to pass judgment, Mrs. Dubose has confined herself to connective links and background details and skillfully employs her obvious background knowledge, discernment and literary skill on the subject. Joan Maloney State College, Salem, Mass. Charles Evans, American Bibliographer. By Edward G. Holley. Urbana: University of Illinois Press, 1963. xii, 343. $7.50. Bibliographers are commonly considered necessary drudges whose work, though essential to more imaginative scholars, is remarkable only for the labor it costs. Mr. Wright Howes, among the best of bibliographers as he is of men, has called bibliography "almost the lowest possible form of literary endeavor." However just this denigration may be in the ordinary case, it does not apply to those few choice spirits whose work has such scope and profundity as to be in itself creative. Charles Evans was one of these; and Mr. Holley has both discerned and demonstrated the fact, using to the fullest advantage many unpublished letters and other MS materials. Evans, an orphan boy of 15 without education or influence, began work as an assistant at the Boston Athenaeum soon after the close of the Civil War. He died in 1935, having spent almost all his waking hours for nearly 70 years in libraries. As a librarian, his profession until 1902, he was a conspicuous failure. Despite his gifts of mind and character, his intransigence and inability to get along with his superiors cost him post after post, first at Indianapolis in 1878, last at the Chicago Historical Society in 1901. Baltimore came in between. Evans arrived here in 1885 as assistant librarian of the new Enoch Pratt Free Library and for a time devoted his immense energies wholeheartedly to the selection, purchase, and cataloging of books by the carload (32,000 in the first year). Soon, however, Evans was embroiled in bitter disputes with the librarian, Dr. Lewis Steiner. By the end of 1886 there was a "complete alienation of feeling" between the two, and Evans's resignation was requested. Perhaps not all the fault was his: a member of the Pratt staff remarked that the trustees should have known a redheaded Welshman and a Pennsylvania Dutchman could never work together. In his fifties, without money or employment, and with a wife and three children to support, Evans embarked upon his great American Bibliography, to which he devoted the rest of his life. He started with only an idea—the descriptive bibliography of all American imprints from the beginning in 1639 until 1820—and a few subscribers willing to gamble cash in advance on a hope that most scholars of the time thought impossible of achievement. The only original subscribers in Maryland were, to their honor, the Peabody Institute and this Society. Evans never attained his 1820 goal, reaching only into the imprints of 1799; but the twelve quarto volumes he produced—since completed through 1800 and indexed, and soon to be supplemented —are one of the greatest achievements of American scholarship. Evans single-handedly penetrated, mapped and mastered the unexplored wilderness of two centuries of American printing. Those who come after him are at liberty to cultivate because he pioneered. Edward G. Howard Baltimore, Md. America: History and Life. A Guide to Periodical Literature. Santa Barbara, California. American Bibliographical Center. Vol. 1, Number 1, July 1964. In historiography today, as in most other fields, a chief problem is retrieval and collation of the information that is published in such immense volume. This new periodical, to be issued three times yearly under the editorship of Eric H. Boehm, does much to alleviate this problem as respects the history and sociology of North America. It surveys and analyzes some 1500 publications, 95% of which are not abstracted elsewhere. A spot check of the abstracts in this first number suggests that they are both accurate and sufficiently detailed to provide much more information than can be expected from an ordinary index. E. G. H. BOOKS RECEIVED FOR REVIEW The Diary of Charles Francis Adams. Edited by Aida Dipace Donald and David Donald. Cambridge: The Belknap Press of Harvard University Press, 1964. Volume I: January 1820-June 1825; lxiv, 469. Volume II: July 1825-September 1829, index; xi, 514. $20 set. Lincoln's Gadfly, Adam Gurowski. By Leroy H. Fisher. Norman, Okla.: University of Oklahoma Press, 1964. xvii, 301, $6.95. Benjamin Franklin and Pennsylvania Politics. By William S. Hanna. Stanford, California: Stanford University Press. 1964. x, 239. $6.50. America: History and Life. A Guide to Periodical Literature. Volume I, Number 1. Santa Barbara, California: American Bibliographical Center, 1964. ix, 190. $5. Upton and The Army. By Stephen E. Ambrose. Baton Rouge: Louisiana State University Press, 1964. ix, 190. $5. Early American Scientific Instruments and Their Makers. By Silvio A. Bedini. Washington, D. C.: United States National Museum Bulletin 231, 1964. xii, 184. $1 (paper). Rebel Bishop: The Life and Era of Augustin Verot. By Michael V. Gannon. Foreword by John Tracey Ellis. Milwaukee: The Bruce Publishing Company, 1964. xvii, 267. $4.95. The Mighty Revolution: Negro Emancipation in Maryland, 1862-1864. By Charles L. Wagandt. Baltimore: The Johns Hopkins Press, 1964. xii, 299. $6.50. The Heart is Like Heaven: The Life of Lydia Maria Child. By Helene G. Baer. Philadelphia: University of Pennsylvania Press, 1964. 339. $6.50. Sword and Pen for George Washington. By Alice Curtis Desmond. New York: Dodd, Mead & Co., 1964. xxi, 291. $4. Loyalists and Redcoats: A Study in British Revolutionary Policy. By Paul H. Smith. Chapel Hill: The University of North Carolina Press, 1964. Published for the Institute of Early American History and Culture at Williamsburg. xii, 199. $5. Tumult on the Mountains: Lumbering in West Virginia, 1770-1920. By Roy B. Clarkson. Parsons, West Virginia: McClain Printing Company, 1964. 410, $12. Southern History in the Making: Pioneer Historians of the South. By Wendell Holmes Stephenson. Baton Rouge: Louisiana State University Press, 1964. viii, 294. $7.50. The Pursuit of Southern History: Presidential Addresses of the Southern Historical Association, 1935-1963. Edited by George Brown Tindall. Baton Rouge: Louisiana State University Press, 1964. xxi, 541, $8.50. Maryland in Law and History. By Judge Edward S. Delaplaine. New York: Vantage Press, 1964, 220. $4. Knowing Maryland. By William Trammell Snyder. Towson, Md., The Robert V. McCurdy Company. (Revised edition) 76. $1 (paper). The Ford Foundation has announced a grant of $2 million toward the support of the program of the National Historical Publications Commission to make sources of American history publicly available. Plans for the over-all program of the Commission call for additional support by other private sources and government. The Foundation grant is for assistance in completion of papers of the Adams family and of Franklin, Hamilton, Jefferson, and Madison; and for the training of scholarly editors to document the lives of other pivotal figures in American history. The grant is for a ten-year period, and the Foundation said it does not plan further assistance in the field of historical papers. The Ford Foundation New York, N. Y. 10022 477 Madison Avenue The University of Delaware, in cooperation with the Elutherian Mills-Hagley Foundation, will award two or more Hagley Museum Fellowships in April of 1965 for the academic years 1965-1967. Recipients of these grants take graduate work in history and related fields at the University of Delaware. In addition, they spend half of each week during the academic year at the Hagley Museum, Wilmington, Delaware, where they receive training in museum work, and at the Eleutherian Mills Historical Library where they conduct research. They complete their work, including a thesis, in two years, and graduate from the University of Delaware with a Master of Arts degree in American history. The program is of special interest to those who wish to study the development of American industry and technology. Each fellowship carries an annual stipend of $2,000, and is renewable upon satisfactory completion of the first year. Applications should be received by March 5, 1965. For further details, address Chairman, Department of History University of Delaware Newark, Delaware National Trust for Historic Preservation—A two-week seminar for historic museum associates will be held February 7 to February 20, 1965, at Woodlawn Plantation Mount Vernon, Virginia, which is located on part of the original Mount Vernon estate. The seminar, which is limited to 14 persons who are housed at the mansion during the program, is primarily designed to provide paid staff and volunteer workers of historic house museums and other organizations with an opportunity to discuss problems of museum function and administration. In addition to attending scheduled discussions at Woodlawn, participants will also visit the Library of Congress; White House; Smithsonian Institution laboratories and Decatur House, another property belonging to the National Trust all in Washington, D.C. In nearby Virginia, the group will make special tours of sites of historic interest. Among them, Old Town in Alexandria, the Custis-Lee Mansion, Gunston Hall and Mount Vernon will be visited as well as an all-day excursion to Annapolis. On the weekend, the group will travel to Winterthur, in Delaware and Ephrata Cloisters and the Landis Valley Museum, in Pennsylvania. The course which is being offered for the third year, will include lectures by members of the staffs of the National Trust, Smithsonian Institution, the National Park Service, the National Gallery of Art and other organizations in the Washington area. The orientation meeting will be followed by a discussion of "The Organization: Governing Bodies and Staff," led by Robert R. Garvey, Jr. Executive Director of the National Trust. A slide lecture on historic Alexandria will be given by Carroll Lindsay, Curator of the Smithsonian Institution's Museum Service. Malcolm Watkins, Curator of the Division of Cultural History, Museum of History and Technology, will discuss "Curatorship" and Robert Widder, exhibits specialist, will speak on "Installation." James Ketchum, Curator at the White House, will supervise a tour through the Executive Mansion for the participants. Miss Margaret Boutin, Associate Curator in charge of educational work at the National Gallery of Art will lecture on "Youth Programs." During their visit to Mount Vernon, the conferees will study "Registration Methods and Accessioning Policies" with Mrs. Helen M. Fede, Curator. Other subjects to be discussed on the program will include Preservation Law; Interpretation; Public Relations and Publicity; Research; Conservation, Preservation and Maintenance. A slide lecture on American architecture will be given by William J. Murtagh, director of the National Trust's Department of Education, who is also coordinator of the conference at Woodlawn. The tuition fee of $95. includes course registration, tour transportation, room and meals (except those on weekend tour), and entry to exhibition buildings. Further information may be obtained from Dr. Murtagh, 815-17th Street, N. W., Washington, D. C. 20006. The National Trust, a non-profit, non-governmental, educational organization, is primarily devoted to encouraging public participation in preservation of our country's landmarks. It is also empowered by its Congressional charter, granted in 1949, to receive, administer and preserve donations of sites, buildings, and objects significant in American history. Woodlawn Plantation, the site of the conference, is a National Trust property. Parker Genealogical Prizes—Entries for the annual Dudrea and Sumner Parker Contest must be received at the Maryland Historical Society on or before December 31. Designed to promote the preparation of family records and their deposit with the Society, these prizes are awarded to the papers that most clearly and thoroughly represent the genealogies of families that originated in Maryland or are closely allied with the State. All material submitted should be typed, logically arranged, and, if possible, indexed. All entries become the property of the Society and should be addressed to Mr. John D. Kilbourne, Librarian. Wherrett—I desire the names of parents of James H. Wherrett, born 1797 either in Baltimore or in St. Mary's County, Md. He married Mary Zachery (may have been second wife) in Baltimore April 25, 1833, and died there July 13, 1851. W. N. Wherrett RD1, Box 39-A Easton, Md. CONTRIBUTORS Alexandra Lee Levin of Baltimore is the author of The Szolds of Lombard Street and has written articles for American Heritage and the Maryland Historical Magazine. Her new book, published in 1964, is Vision: A Biography of Harry Friedenwald. David C. Skaggs is a candidate for the Ph.D. in history at Georgetown University. He is the author of several historical articles on midwestern history. His present interest in Maryland history is further evidenced by his research in eighteenth century Maryland politics. Richard R. Duncan is Assistant Professor in the Department of History and Political Science of the University of Richmond. His work on Maryland in the Civil War was begun at Ohio State University under Professor Henry H. Simms and the topic of his doctoral dissertation was "The Social and Economic Impact of the Civil War on Maryland," 1963. C. Ashley Ellefson teaches history at the State University of New York, Cortland. He is a student of American colonial history, more particularly of the Maryland court system. Louise Joyner Hienton is a student of local Maryland history, concentrating on Prince George's County. She is the author of "Presbyterian Beginnings in Prince George's County, Maryland," published in the Journal of the Presbyterian Historical Society, XXXIX (March 1961), p. 30, and has compiled a map of Prince George's County shoring tracts laid out in Charles and Calvert counties prior to 1696. TONGUE, BROOKS & COMPANY INSURANCE Since 1898 213 ST. PAUL PLACE BALTIMORE SMITH’S BOOK STORE Established 1876 Special attention to inquiries for books relating to Baltimore and Maryland. LIBRARIES OR SINGLE BOOKS PURCHASED CATALOGS ISSUED 805 N. HOWARD STREET MU 5-2823 BALTIMORE 1 TRADITIONAL FURNITURE From America’s outstanding sources . . . in wide open stock selection. Our workroom offers complete restoration service . . . cabinetwork, refinishing and reupholstering. FALLON & HELLEN 11 and 13 W. Mulberry St. Baltimore, Md. 21201 LExington 9-3345 Current and Back Issues OF THE MARYLAND HISTORICAL MAGAZINE are available at: UNIVERSITY MICROFILMS, INC. 313 N. First Street Ann Arbor, Mich. 48107 Recent Publication QUAKERS IN THE FOUNDING OF ANNE ARUNDEL COUNTY, MARYLAND The author argues convincingly that the founding and development of Anne Arundel County were, in fact, the story of the planting of Quakerism in the New World. by J. REANEY KELLY About 150 pp., illustrated. Ready September 15. $6.00 tax and postage paid. New Publication THE WAR OF 1812 ON THE CHESAPEAKE BAY BY Gilbert Byron A concise account of the campaign waged by the British along the Chesapeake for nearly two years. Primarily written for teachers and students, but an excellent general reference. Paper back; about 115 pp. plus 12 halftones and 2 maps. $2.00, tax and mailing extra. CLASSIFIED ADVERTISING PHOTOGRAPHY Since 1878 Copy and Restoration Work a Specialty. Black and White or Color. Phone: 889-5540 HUGHES Co. C. GAITHER SCOTT 115 E. 25th Street Baltimore, Md. 21218 PHOTOSTATS & PHOTOGRAPHS MICROFILMING Photo copying of Portraits, Old Photographs, Genealogical Charts, Records, Coats of Arms. Baltimore Photo & Blue Print Co. 211 E. Baltimore Street LE 9-6881 PLUMBING — HEATING — AIR CONDITIONING M. NELSON BARNES & SONS, INC. Established 1909 Phone: 252-4313 2011 Greenspring Drive, Timonium BOOKBINDING TU 9-7847 — TU 9-5095 Magazines, Books & Records JOSEPH Ruzicka, Inc. 3200 Elm Avenue (11) Restoration of Rare Volumes WANTED by collector for cash or trade all tokens, medals, badges and paper money pertaining to Maryland. Correspondence invited. BENJAMIN G. EGERTON, 407 Gittings Ave., Baltimore, Md. 21212, ID 3-7779 INDEX TO VOLUME LIX Names of authors and titles of pages and original documents printed in the Magazine are set in capitals. Titles of books reviewed or cited are set in italics. Abel Parker Upshur, Conservative Virginian, 1790-1844, by Claude H. Hall, reviewed, 307-308. Abel family, 313 Abell family, 84 Abrams, Mrs. Michael A., 122 Academia, 114 Academie des Sciences, Paris, 216 "An Act for the Encouragement of Learning," 383 "An Act to unite the Free Schools of St. Mary's, Charles, and Prince George's Counties," 390 Acton, Lord, 243, 250 Adair, Wat, 291 ff. Adams, Charles F., 13, 220, 404 Henry, 253 Herbert Baxter, 250 John, 13, 226, 398 John F., 56 John Quincy, 220 Joseph, 375 Parson, 401 Samuel F., 56 Adams family papers, 406 Addington, Thomas, 381 Addison, Rev. Henry, 388, 390 Thomas, 380 "Addition," Baltimore, 87, 92, 93 "Addition to Mount Pleasant," Baltimore, 87 "Addition to Vauxhall," Baltimore, 62, 65 ff., 69 Address Committee Report, 132 "Adjunction," Baltimore, 85, 86 Adler, Betty, 125, 128 Adventure in the Wilderness: The American Journals of Louis Antoine de Bougainville, 1756-1760, edited by Edward P. Hamilton, 236 Afer, Terentius, 216 Albany, N. Y., 233 Albermarle Street, Baltimore, 113 Albert, Augustus J., 53 Jacob, 53 family, 52 Albright College, 308 Adler, Mr., 74 Anne (Gorsuch), Mrs. Michael, 66 D., 67 Daniel, 67 M., 67 Michael, 64, 66, 67 family, 63 Alexander, E. P., 38, 40, 42 J. H., 22 James, 202 Alexandria, Va., 407 Aliquippa (Indian), 400 All Hallows Parish, Anne Arundel County, 213, 388, 389 Allegany County, 400-401 Allen, Rev. Bennett, 345 Ethan, 2, 14, 94, 99 Richard, 236 Ambrose, Stephen E., Upton and the Army, 404 Amelung, John Frederick, 398 "An American," pseud., 348 American Association for State and Local History, 115, 134, 239, 315 American Association of Museums, 115, 239 The American Colonial Mind and the Classical Tradition, by Richard M. Gummere, reviewed, 226 "American Crisis," by Thomas Paine, 348 "American Earthenware Before 1850," by Milo M. Naeve, 132 The American Exploration and Travel Series, 316 The American Frontier, 104 "American Glass of the 18th and 19th Centuries," by Paul N. Perrot, 132 American Heritage, 409 American Historical Association, 114, 250, 259, 260 American Historical Review, 250 American History and Life: A Guide to Periodical Literature, reviewed 403, 404 American Journal of Dental Science, 279 American Journal of Medical Science, 279 American Magazine, 201 American Meteorological Society, 399 American Philosophical Society, 202, 311-312 American Smelting and Refining Co., 32 American Society of Dental Surgeons, 270 American State Papers, 106 Ames, Bishop, 363 Amsterdam, The Netherlands, 182 ff., 190, 193 Ancestral Roots of Sixty Colonists, by F. L. Weis, 313 Anderson, George B., 284 George M., 273 James LaVerne, 239 Andree, R. John, 216 Andrews, Rev. Mr., 70 E. W., Jr., 297 Andrews, Matthew Page, Tercentenary History of Maryland, 75 Anecdotes, by Alexander Garden, 290 ff., 295 Ann (ship), 194, 195 Ann Arundell Town, 380 Annapolis, Anne Arundel County, 5, 6, 10, 11, 13, 94-99, 207, 226, 266, 267, 329, 334-335, 341-349, 407 "Annapolis, Will Its Future Match Its Past?" by Mrs. J. M. P. Wright, 132 Anne Arundel Committee of Correspondence, 348 "Antilon," pseud., 342, 347 Antwerp, F. R., 31 The Appalachian Frontier, 104 Appomattox, Va., 41, 46 Appoquinimink, 222 Archives of Maryland, 130, 131 Ariel Boat Club, 135 Army of Northern Virginia, 34-51 Arnold, Dr. A.B., 333 Benedict, 348 Aron, Raymond, 261 Art in America, 80 The Art of Dialling, 216 Arthur, Robert, 279, 284 Articles of Association, 343, 344 Arundel Boat Club, 135 As We Were: The Story of Old Elizabethtown, by Theodore Thayer, 317 Asbury, Francis, 12, 13, 64, 65 Asbury Church, Somerset County, 354 Ashbourne, 112 Ashby, Turner, 37, 103 Ashcraft, Allan C., 322 ASHCRAFT, ALLAN, Fort McHenry in the Civil War, 297-300 Ask, Gilbert, 224 Association of Historical Societies of Maryland, 134 Athenaeum, Maryland Historical Society, 120 Atkinson, J. C. 135 Atlas of Baltimore County, by [George S.] Bromley, 67, 83 Atlas of Baltimore City and Its Environs, by G. M. Hopkins, 67, 71, 84, 85 Atlas of Baltimore County, by G. M. Hopkins, 52, 55, 56, 89 Audia Querela, writ of, 369-379 Aulard, [Francois Victor Alphonse], 252 "Auld Lang Syne," song, 175 Ausubel, Herman, 259 The Autobiographical Ana of Robley Dunglison, M.D., edited by Samuel X. Radbill, M.D., reviewed, 311-312 Ax, Christian, 59, 60 Aydelotte, William, 244 Bacon, Rev. Thomas, 215 Baer, Helene G., The Heart is Like Heaven: The Life of Lydia Maria Child, 404 Baetjer, Howard, II, 132 Bailey, Henry, 73 Sarah [Rogers], Mrs. Henry, 73 Bainbridge, William, 220 Baker, Mrs., 74 J. Paul, 56, 85 Mrs. William, 137 Baldwin, Mr., 336 Summerfield, 60, 120 Ballard, Charles W., 270, 273, 274, 283 Baltimore 6, 43, 262-267, 282, 284, 285, 315, 349 Baltimore American (newspaper), 70, 72, 73, 74, 76, 81, 82, 92, 150, 279, 328 Baltimore and Ohio Railroad, 122, 144, 218 Baltimore Cemetery, 337 Baltimore Chamber of Commerce, 126 Baltimore Christian Advocate (newspaper), 356 Baltimore City Homemakers Club, 123 Baltimore City Place Names, Part 4: Stony Run, its Plantations, Farms, Country Seats and Mills, by William B. Marye, 52-93 Baltimore College of Dental Surgery, 268-285 The Baltimore College of Dental Surgery and the Birth of Professional Dentistry, 1840, by Carl P. Lewis, Jr., 268-285 Baltimore Commercial Advertiser, 76 Baltimore Company, 91 Baltimore Conference of Methodist Church, 350, 351, 353 ff., 361, 362, 364, 365, 367 Baltimore Copper Works, 28 Baltimore County, 15 Baltimore County Board of Education, 122 Baltimore County Historical Society, 123 Baltimore Daily Advertiser (newspaper), 81 Baltimore Historical Society, 118 Baltimore Museum of Art, 121 Baltimore News-Post (newspaper), 119 Baltimore Patriot (newspaper), 279 Baltimore Pilot (newspaper), 279 Baltimore Polytechnic Institute, 334 Baltimore Price Current and Weekly Journal of Commerce, 127 Baltimore Republican (newspaper), 264 ff. Baltimore Sunpapers, 100 Baltimore Telegraph (newspaper), 80 Bamberger, Col. Wm. W., 238 Bangs, Herbert, 29 Bank of Baltimore, 92 Bank of Maryland, 218, 262-267 Bank Street, Richmond, 42 Barbour, Philip L., The Three Worlds of Captain John Smith, 317 Barck, O. T., Jr., 311 Bare Hills, 25, 27 Bare Hills Copper Mining Company, 28 Bare Hills Mines, 15, 17 ff., 28, 30, 31 Barker, Charles A., 342, 343 Capt. William N., 45, 46 Barnes, Robert W., 112, 313 Barroll, Mrs. Morris Keene, 121 Barry, James, 78 Commodore John, 127 Bartholomew, [John], Gazetteer of the British Isles, 59, 74 Bartoli, F., 127 Barton, William, 389 Bartram, John, 202 Barye, [Antoine Louis], 319 Basler, Roy P., 147 Batavia, 183, 188, 190, 191, 193 ff. Battis, Emery, Saints and Sectaries, reviewed, 107 Baumgardner, L. A., 32 Baxley, H. Willis, 275, 277, 278, 280 Bay, Mr., 93 James, 88, 90 Bay of Biscay, 183 Bay View Brewery, 335 Bayle, [Peter], Dictionary, 215 Bayley, Henry, 73 Beall, John Y., 104 Josias, 390 Ninian, 387 Beals, Carleton, 265 Beard, Charles A., 259 Beasley, Mary Ellen, 239 Beasman mine, 18 Beasman property, 17, 28 Beatty, Mr., 74 Beauregard, Gen., Pierre, 36, 305 Beaven, Mrs. William, 124 Beck, James, 381, 387 Robert N., 257 Becker, Carl, 259 Bedford Place, Baltimore, 85 Beech Avenue, Baltimore, 62 Beirne, Francis F., 116, 345 Rosamond Randall, 116, 117, 134 Beirne, Rosamond Randall, The Reverend Thomas Chase: Pugnacious Parson, 1-14 Bell, John, 166, 179 Whitefield J., Jr., 199 Belt, Joseph, 380, 386, 387 Belvedere Avenue, Baltimore, 62, 64, 67, 69, 71, 73 Bendini, Silvio A., Early American Scientific Instruments and Their Makers, 404 Benedict, Almon H., 169 Benjamin Franklin and Pennsylvania Politics, by William S. Hanna, 404 Bennel family, 90 Bennett, James, 178 Bennington, Battle of, 310 Benson, Stephen, 62 Bergmann, Dr., 330 Berlin, University of, 247, 248, 255 Bernham, Ernst, Lehrbuch der historischen Methode und der Geschichtsphilosophie, 244 Berry, Harry, 123 J. W., 123 Berthel, John H., 207 Bethlehem, Pa., 234 Bethlehem Steel Company, 122, 132, 135 "Bethlehem Steel in the History of Maryland," by Stewart S. Cort, 132 Bevan, Dr., 330, 331 Biddle, [Nicholas], 265 Billias, George Allan, George Washington's Generals, 237 Birch, Thomas, 12 Black, Harry C., 134 Robert W., 138 Black Utopias: Negro Communal Experiments in America, by William H. Pease and Jane Pease, reviewed, 106-107 "Blackburn to Baltimore: A Marsden Family Genealogy," by Charles A. Earp, 112 Blackford, W. W., 37 Blackstone, Sir William, 370, 371, 375, 376, 379 Blackwater River, 400 Bladen, Gov. William, 6, 8 Blair, Montgomery, 155 Blake, Mr., 335 Rev. S. T., 359, 360 Blathwayt, William, 395 Blennerhassett, [Harman], 105 Blew, Richard, 381 Blithwood Avenue, Baltimore, 84 Bloch, Marc, The Historian's Craft, 260 Blue Ridge Summit, Pa., 19 Bockh, [Philipp A.J], 248 Bodde, Derk, 244 Bodine, A. Aubrey, The Face of Virginia, reviewed, 100 Boehm, Eric H., 403 Boerhaave, [Hermann], Chymistry, 215 Bogue, Allan G., From Prairie to Corn Belt: Farming on the Illinois and Iowa Prairies in the Nineteenth Century, 236 Bohner, Charles H., 294 Bokel, Martha C., 52, 120 "Bolivar as Seen By An American Sailor," by Harold D. Langley, 241 Bonaparte, Mr., 74 Charles J., 65, 338 Elizabeth (Patterson), Mrs. Jerome, 182, 183, 218 Jerome, 182, 183, 197, 218, 241 Napoleon, 182, 218, 248, 252, 338 Bonaparte-Dohme estate, Baltimore, 63 Bond, Carroll T., 369 Bond, Carroll T., Proceedings of the Maryland Court of Appeals, 130 Judge Hugh, 339 John, 63 Dr. Phineas, 203 Thomas E., Jr., 269, 275 ff. Bonner, Thomas Neville, 250 Booth, John Wilkes, 44 Books Received for Review, 236, 317, 404 Borah, William E., 302 Boston, Mass., 199-201, 221, 234, 314, 347 Boston Athenaeum, 402 Boston Commercial Gazette (newspaper), 219 Boston Evening Post (newspaper), 200, 201 Boston Museum of Fine Arts, 132 Boston Weekly News-Letter (newspaper), 200 Boston Weekly Post-Boy (newspaper), 200 Boswell, Dr. James, 380 Boucher, Rev. Jonathan, 226, 343 Bougainville, Louis Antoine de, 236 Bouldin, James, 83 Boulogne, France, 186 Bourdillon, Mrs., 6 ff. Rev. Benedict, 6, 7 Bourne, Edward Gaylord, 249 Mrs. Kenneth, 124, 136 Boutin, Margaret, "Youth Programs," 407 Bowen, Ann, 64 Benjamin, 64 Jemima, 64 Jemima (Evans), 64 Solomon, 64 Bowerman, Brig. Gen. Richard N., 238 Bowie, Walter, 47 Bowly, Daniel, 79, 80 Boyd, Belle, 36 Boyer, Abel, 215 Boyle, Thomas, 229 Boyle (ship), 229 Bradford, Augustus W., 146 ff., 155, 157, 160 Col. John, 386, 387 Bradstreet family, 231 Bragg, Braxton, 37, 38 Branch, John, 220 Brannock, John, 372, 374 Brashear, Dr. Walter, 311 Bray, Dr. Thomas, 3, 126 Breckinridge, John, 166 Brent, George, 102 Breslow, Marvin, 131 A Brethren Bibliography, 1713-1963, by Donald F. Durnbaugh and Lawrence W. Schultz, reviewed, 314 Brethren Life and Thought, 314 Breuninger, Rev. Joshua G., 400 Brewington, M. V., The Peabody Museum Collection of Navigating Instruments, reviewed, 233 Brian, Mrs., 53 James, 53, 55, 57 Bridenbaugh, Carl, 199, 201 Jessica, 199 Briscoe, John H., M.D., 278 Bristol, England, 182 Brittingham, William J., 153, 154 Broadbent, Cecilia, 55 Eugenia W., 55 Felippe F., 55 Jane Cecilia (Bryan), Mrs. William, 54 John Scotti, 55 Joseph F., 55 Mary Eugenia [Scotti], Mrs. Stephen, 55 Stephen, 55 Rev. Stephen, 54 Stephen, Jr., 55 William, 54, 55, 57 Broadside, "To the Loyal People of Maryland," 151 Brodhead, Michael John, 239 Brogden, Elizabeth (Chapman), Mrs. William, 389 Sarah Haddock, Mrs. William, 388 Rev. William, 213, 388, 389 Bromley, [George S.], Atlas of Baltimore County, 67, 69, 83 Bromwell, Henrietta E., Old Maryland Families, reviewed, 313 Bromwell family, 313 Brooke, Dr. Richard, 215, 390 Brooklyn Museum, 123 Brooks, Van Wyck, 282 "Broomstick and Quoad," pseud., 343 Brown, Ann, 214 Brown, B. Katherine, Brown, Robert E., and, Virginia, 1705-1786: Aristocracy or Democracy? 237 Dorothy M., 398 Enolliah, 120 Herbert, 31 John, 165, 305 Lawrence Parmly, 271, 272 Peter, 59 Brown, Robert E., and Brown, B. Katherine, Virginia, 1705-1786: Aristocracy or Democracy? 237 Solyma, 271 Stewart, 182 Browne, P. J., 75, 83 Browning, Meshack, 400 Bruchey, Stuart, 262 Brundidge, Thomas Vose, 54 Brundidge family, 53 Bryan, Charles, 54, 65 Harriet (Hopkins), 53 James, 54 Capt. John Randolph, 39, 40 William Jennings, 231 family, 57 "Bryan's Chance," Baltimore, 57, 58, 80 Bryn Mawr College, 116 Bryn Mawr School, 75, 76 Buchanan, Franklin, 229 Pres. James, 298 Buchanan (ship), 29 Buchman, Samuel, 83 Buffalo, General Conference, 350, 351, 353 Building Research Institute, 238 Bulin, Lucille, 120 Bull Run, Battle of, 36 ff. Bumppo, Natty, 288, 289 Burckhardt, Jacob, 258 Burgess, Lucille, The Virginia House of Burgesses, 1750-1774, reviewed, 393-394 Burgess, Robert H., This Was Chesapeake Bay, reviewed, 101 Burgis, Richard, 206 Burke, Edmund, 310 Burnes, George W., 156 Burr, Aaron, 105 Bury, John Bagnell, 243 ff., 255, 259 Business Committee, Methodist Church, 355 Butler, Capt., 191 Arthur, 288, 291, 293 Rupert, 381 family, 127 Butterfield, Herbert, Man on His Past, 246, 248 Buying the Wind, by Richard M. Dorson, 236 Byrd, William, 226 Byron, Gilbert, The War of 1812 in the Chesapeake Bay, 119, reviewed, 235 Cadwalader, Dr. Thomas, 204, 212 Calhoun, John, 398 John C., 105-106 Callahan, North, Royal Raiders: The Tories of the American Revolution, 236, reviewed, 310-311 Calvert, Benedict, 211, 214, 390 Charles, 377, 378, 380, 386, 387, 390 Charles, 5th Lord Baltimore, 390 George, 131 Rebecca (Gerrard), Mrs. Charles, 386 Richard, 373 Calvert County, 409 Calvert County Free School, 390 Calvert Manor, 381 Calvert Street, Baltimore, 85, 158, 324, 337 Cambridge, Dorchester County, 240, 353, 354 Cambridge and Seaford Railway, 59 Cambridge Dictionary, 385 Cambridge University, 2, 243, 245, 247 Cambridge Modern History, 250 Cammerhoff, Bishop, 5 Campbell, James Mason, 263, 264 Canan, Col. Howard V., 116 Canan, H. V. Confederate Military Intelligence, 34, 51 Canton River, 225 Cape Hatteras, N. C., 399 Cape of Good Hope, 188, 191 Capetown, South Africa, 183 Caponigri, A. Robert, 258 The Career of Blondelle Malone in Art and Society, 1879-1951: Enigma, by Louise Jones DuBose, reviewed, 401 Carmer, Carl, The Tavern Lamps Are Burning; Literary Journeys Through Six Regions and Four Centuries of New York State, 317 Carnegie Tech, 322 Caroline County Historical Society, 118 Carpenter, Edward, 205, 210 Carr, Dale C., 124 E. H., 261 Carroll, Charles, of Annapolis, 9 Charles, of Carrollton, 61, 85, 342 ff. Charles, Jr., 78 Daniel, 122, 137 Mrs. Daniel, 137 Elizabeth F., 122 Bishop John, 397 Carroll County, 15-33 Carroll County Historical Society, 188, 122, 134 Carroll Mansion, Baltimore, 113 Carroll mine, 17, 18, 26, 30 Carter, Allen, 59 Bob, 226 Landon, 394 Leroy, 59 family, 59 Caruso, John Anthony, The Southern Frontier, reviewed, 104 Caruthers, [William A.], The Knights of the Horse-Shoe, 305 Cashour, Charles, 32 Castlewood Road, Baltimore, 75 Cathedral of Mary Our Queen, Baltimore, 63, 69 Cathedral Street, Baltimore, 112, 319 Catholic University of America, 241 "Cato," pseud., 348 Caton-Carroll House, Baltimore, 113 Caton family, 127 Catron, Mrs. Thomas B., IV, 133 Cawood, Lt. Charles, 43 Cedar Avenue, Baltimore, 62 Cedar Lane, Baltimore, 67 Cedar Lawn, 52-54 Central Methodist Episcopal Church, 362 Centre College, 227 Ceylon, 183 Chambers, Dr., 337, 338 Chambers, Lenoir, Stonewall Jackson, 104 Chambersburg, Pa. 357 Chancellor, Vespasian, 37 Chancery Court, 369-379 "Changing Interpretations of United States History," 134 Chapman, Rebecca, Mrs. William, 389, William, 389 Chappelear, Nancy, "The Chappelear Family," 112 "The Chappelear Family," by Nancy Chappelear, 112 Chapultepec, Mexico, 121 Charles County, 10, 397, 409 Charles County Free School, 390 Charles Evans, American Bibliographer, by Edward G. Holley, reviewed, 402-403 Charles Street, Baltimore, 6, 58, 62, 69, 84 Charles Street Avenue, Baltimore, 55, 58, 60, 68, 69, 73, 81, 85 Charleston, S. C., 278, 282 Charleston Courier (newspaper), 279 Charleston Hall Apartments, Baltimore, 58 Charleston Mercury (newspaper), 172 Charlestown, Mass., 219, 265 Charlotte Hall School, 390 Chase, Ann, 13, 14 Ann (Birch), Mrs. Thomas, 11, 14 Betty, 14 George Russell Birch, 14 Henrietta Catherine (Davis), Mrs. Samuel, 1 Jeremiah, 10 Jeremiah Townley, 10, 223 Matilda (Walker), Mrs. Thomas, 2, 4 Richard, 2, 9, 10, 11, 14 Rev. Richard, 10 Samuel, 1, 2, 4, 6, 14, 116, 343 ff. Thomas, 2, 6, 8, 81 Rev. Thomas, 4, 5 Thomas, Jr., 4 Chasseur (ship), 229 Chastellux, Marquis de, Travels in North America in the Year 1780, 1781, and 1782, reviewed, 233-234 Chatelain, Verne E., 105 Chatham, Lord, 310 Cheat River, 400 Chemistry, by __________ Willson, 215 Cherry Hill, Baltimore, 66, 67 Chesapeake Bay, 100 ff., 144, 152, 235, 341, 348 Chesapeake Skipper, 101 Chesebrough, Lt. Col. William H., 160, 297 "Chestnut Hill," Baltimore County, 67 Chestertown, 157 Chestnut Avenue, Hampden, 89, 90 Chestnut Hill, Baltimore, 66 Cheves, Dr. Edward, 40 Chew, Samuel, M.D., 278 Chicago, Ill., 167 Chicago Historical Society, 402 Chicago Press (newspaper), 167 Chicago Tribune (newspaper), 167 Chickamauga, Battle of, 41 Chiffelle, Thomas P., 57 Child, Lydia Maria, 404 Childs, Benjamin, 64, 67 Elizabeth, 64, 66 Chinese Export Porcelain for the American Trade, 1785-1835, by Jean McClure Mudge, reviewed, 222-225 Chronicles of St. Mary's, 134 Church and Home (newspaper), 113 Chymical Lectures, by [John] Quincy, 215 Chymistry, by [Hermann Boerhaave] Boorhaave, 215 Cignand, B. J., 275 A Circular Letter to the Clergy of Mary-Land, 126 City Hall, Baltimore, 113 City Hospital, Baltimore, 324, 326 ff., 330, 335 ff. City Spring, Baltimore, 324, 327, 328, 330 ff. City Station, Baltimore Conference, Methodist Church, 353 Civic Center, Baltimore, 121 Clagett, Thomas, 380 Claggett, William, 201 Clapham, John, 345 Clark, Thomas D., Pills, Petticoats and Plows: The Southern Country Store, 236 "Clarke," Baltimore, 61 Clarke, George B., 61 family, 61 Clarkson, Roy B., Tumult on the Mountains: Lumbering in West Virginia 1770-1920, 404 "Classical America, 1815-1845," 123 Clay, Cassius M., 304 Henry, 236, 398 Clemson, Mrs. John C., 121, 122 Clemson Collection, Maryland Historical Society, 122 Cleveland, Grover, 231 "Clio, A Muse," by George M. Trevelyan, 245 Clowes, Joseph Washington, 279 Coale, James, 23 Richard M., and Co., 23 William, 23 Coats, I., 195, 196 Cobb, Howell, 227 Cochran, Hiram, 65 Thomas, 244 Cochrane, Mrs. John H., 133 Cock family, 126 Cocke, John H., 304 Cocker, Edward, 216 Cockey, Thomas D., 78, 82 Coercive Acts, 348 Cogswell, J. Latrobe, 135 Cohen, I. Bernard, 199, 212 Joshua T., M.D., 278 Coke, Sir Edward, 371 Cold Spring Lane, Baltimore, 57 ff., 76, 81, 84, 85, 87, 89 Colden, Cadwalader, 202, 204 Cole, Henry A., 238 Cole's Cavalry, 238 Colegate, Richard, 375 ff. Coleman, Chester, 126 family, 126 Colgrave, James, 387, 388 College of Notre Dame, 118 College of Physicians and Surgeons, 325 ff., 333, 336, 339, 340 Collier, Levin D., 155, 156 Collingwood, R. G., 253, 256, 258 Colonial and Revolutionary Lineages of America, 313 The Colonial Wars, 1689-1762, by Howard H. Peckham, 237 Colonial Williamsburg, Va., 115, 119, 239, 395 Columbus, Christopher, 399 Comet (ship), 229 "The Comet Harasses the British," by Frank F. White, Jr., 241 Command and General Staff College, 116 Committee for the Restoration of Mother Seton's House in Baltimore, 123, 132 Committee of Correspondence, 346 Committee on Church and State, Methodist Church, 357 Committee on Slavery, Methodist Church, 351 Committee on Law Questions, Methodist Church, 350 Common Sense, by Thomas Paine, 344 The Commonwealth, 101 A Compendious System of Natural Philosophy, by John Rowning, 215 Comte, Auguste, 253 Conestoga Wagon, 1750-1850: Freight Carrier For 100 Years of America's Westward Expansion, by George Shumway, Edward Durrell, Howard C. Frey, 318 The Confederate Constitutions, by Charles Robert Lee, Jr., reviewed, 227-228 CONFEDERATE MILITARY INTELLIGENCE, by H. B. Canan, 34-51 Confederate Signal and Secret Service Bureau, 38, 39, 42, 44, 45 Confederate War Department, 42 Conference of Historical Societies of Maryland, 134 Congreve, Mr., 387 Conine, William C., 56 Conkling, Roscoe, 303 Conrad, Thomas N., 43, 51 Considerations, by Daniel Dulany, 346 The Constable's Pocket Book, 216 U.S.S. Constellation (ship), 113 Constitution (ship), 217-221 Contee, Thomas, 390 Continental Congress, 344 Contributors, 116, 241, 322, 409 "Conveniency," Baltimore County, 80 Convent of the Visitation, 71 Convention of Maryland, 344 Conway Street, Baltimore, 113 Coode, John, 395 Cooke, Mr., 216 William, Jr., 182 Cool Springs, St. Mary's County, 390 Coonan, Edward V., 52 Cooper, Corporal, 292 James Fennimore, 293, 295 Cooper Union, N. Y., 178 Copper mining, 15-33 Corbit, William, 222-225 Cordell, Eugene F., 85, 271, 273, 274, 280 Corinth, Miss., 41 Cornell University, 250, 260, 322 Corning Museum of Glass, 132 Corwallis, Lord, 291, 348 Cort, Stewart S., 135 Cort, Stewart S., "Bethlehem Steel in the History of Maryland," 132 Coskery, Dr., 330, 333 Council of Safety, 344 Councilman, Dr. William Thomas, 333 Country School for Boys, 66 Court Records of Prince George's County, Maryland, 1696-1699, edited by Joseph H. Smith and Philip A. Crowl, 237 Courtland, State University of New York, 409 Courtland Street, Baltimore, 331 Courts, County, 369-379 Cox farm, Johnsville, 30 Cox mines, 20 Cox Mountain View mines, 17, 18 Crabb, Ralph, 387 Cradock, Rev. Mr., 7 The Crater, Battle of, 238 Craven, Avery, An Historian and the Civil War, 317 Cresap, James M., 80 Cresap, Mary (Young) Van Bibber, Mrs. James, 80 Creswell, John A. J., 144, 146, 155, 156, 160 Crisfield, Arthur, 154 John W., 144, 149, 152, 153, 155, 156 "Crisis," by Thomas Paine, 348 Croce, Benedetto, 257, 258 Crocker, Emmanuel, 58 ff. Harriet (McDonald), Mrs. Emmanuel, 58 Laetitia (Davis), Mrs. Samuel G. 59 Samuel Griffith, 58 estate, 81 family, 58-59 "The Crocker Place," 58-59 Crockett, Davy, 176 Crook, Charles, 87 Cross, Arthur L., 206 Crowl, Philip A., Smith, Joseph H., and, editors, Court Records of Prince George's County, Maryland, 1696-1699, 237 Crowther, George Rodney, III, Surname Index to Sixty Five Volumes of Colonial and Revolutionary Pedigrees, 236, reviewed, 313 Cummings, William, 215 Cunningham, Frank, Knight of the Confederacy: General Turner Ashby, 103 Cunningham, Noble, Jr., The Jeffersonian Republicans in Power, reviewed, 109-110 "Curatorship," by Malcolm Watkins, 407 Current Fund, Maryland Historical Society, 138 ff. Currier and Ives, 168, 169, 176 Curry, Mr., 289 Curry, James, 293 Curti, Merle, 244 Custis-Lee Mansion, 407 Dabney, Virginius, 100 Da Costa, John, 121 Daingerfield Fund, Maryland Historical Society, 139, 140 Dana, Charles A., 48 Danville, Va., 41 D'Arcy, M. C., S.J., 257 Darrah, Lydia, 293 Dartmouth College, 309 Dashiel, Rev. John H., 363 Dashiel's Creek, 2 Davidson, Jane (Hutchinson), Mrs. John, 240 John, 240 Mayor [Robert C.], of Baltimore, 338 Davis, Curtis Carroll, 104, 305 Rev. Henry Lyon, 94-99 Henry Winter, 94, 99, 144, 146, 147, 302 Jefferson, 34, 35, 38 Davis, Richard Beale, Intellectual Life in Jefferson's Virginia, 1790-1830, 237 Davis, Richard Beale, William Fitzhugh and His Chesapeake World, 1676-1701, reviewed, 102-103 Sam, 37 Samuel, 25 William B., 47 Dawson, William, 88 Rev. William, 213 Deal's Island, 155 Dean, Harold Lester, 213 Rev. Hugh, 10, 11 Deaton, Mrs. Elbert H., 133 Decatur house, 407 "Deer Park," Carroll County, 20, 21 DeLeon, Thomas C., 47 Delaplaine, Judge Edward S., Maryland in Law and History, 405 Delta Epsilon Sigma, 118 Denison, Major General Andrew W., 238 Dennett, Tyler, 150 Dennis, Dr. George R., 156 The Dental Art, 271, 279, 283 Dentistry, 268-285 Denton, George B., 284 Department of Education Coordinating Curriculum Committee, 119 Department of Maryland, 298 Dernoga, John, 135 Desaguliers, [Jean T.], Philosophy, 215 Descendants of the Signers of the Declaration of Independence, 119 Description and Use of both the Globe, the Armillary Sphere, and Orrery, 216 Designs in Architecture, by [James] Swan, 225 Desks Exhibit, 122 Desmond, Alice Curtis, Sword and Pen for George Washington, 404 "Despence," Somerset County, 2, 4 DeWitt, Doyle, 175 The Diary of Charles Francis Adams, edited by Aida DiPage Donald and David Donald, 404 Dickinson, John, "Letters from a Pennsylvania Farmer," 347 Dickinson College, 308 Dickson, James, 215 Dictionary, by Abel Boyer, 215 Dictionary, by [Peter] Bayle, 215 Dictionary of American Naval Fighting Ships, compiled by U.S. Navy Department, reviewed, 228-230 Didier family, 126 Dieffenbach, Otto, 23 Dielman Biographical File, 124, 125 Dilthey, Wilhelm, 255, 256 Discovery (ship), 100 Dix, Gen. John A., 298 Morgan, 298 Docherty, Michael, 291, 292 Documentary Problems in Early American History, edited by James Morton Smith, 395-396 Dodds, Gordon B., The Salmon King of Oregon, reviewed, 315-316 Dohme, Dr. A. R. L., 65 Dolohide Creek, 23 Dolly Hyde Copper Company, 23, 24 Dolohyde Mine, 24 Dolly-hyde Creek, 23 Dolly Hyde mine, 17 ff, 23, 24, 26, 32, 33 Donald, Aida DiPage, and Donald, David, editors, The Diary of Charles Francis Adams, 404 Donald, David, 134 Donald, David, Donald Aida DiPage, and, editors, The Diary of Charles Francis Adams, 404 Dorchester Parish, Dorchester Co., 388 Dorpalen, Andreas, 252 Dorsey, Ned, 328 R. B., 73 Rhoda, M., III Thomas B., 99 Dorson, Richard M., Buying the Wind, 236 Douglas, Henry K., 37 Stephen, 166, 179 ff. Dover, England, 182, 186 Downing, Howell, 56 Draper, Lyman C., 287, 288 Droyssen, Johann Gustav, 252, 256 Druit, Benjamin, 381 Drum mine, 22 Dubois, [Comte], 319 DuBose, Louise Jones, The Career of Blondelle Malone in Arts and Society, 1879-1951: Enigma, reviewed 401 Ducatel, J. T., 19, 22 ff. Dudley family, 231 Duer, Mr. 74 Dugan, Cumberland, 72 Dulany, Daniel, 214, 215, 376, 377, 379 Dulany, Daniel, Considerations, 346 Daniel, the Younger, 342, 343 Walter, 344-345 family, 345 Dulin, Dr. Alexander F., 61, 62 Caroline Susan (Keener), Mrs. Alexander F., 62 "The Dulin Place," Baltimore, 61-62 Dulin property, 89 Duncan, Richard R., Maryland Methodists and the Civil War, 350-368 Duncan, Richard R., The Social and Economic Impact of the Civil War on Maryland, 409 Dunglison, Robley, M.D., 311-312 Dunn, Mrs. Edward, 136 William, 170 Durkin, Joseph T., S.J., William Matthews: Priest and Citizen, 317, reviewed, 397-398 Durnbaugh, Donald F., and Schultz, Lawrence W., A Brethren Bibliography, 1713-1963, reviewed, 314 Durrell, Edward, Frey, Howard C., and Shumway, George, Conestoga Wagon, 1750-1850: Freight Carrier for 100 Years of America's Westward Expansion, 318 Dushane, Col. Nathan T., 238 estate, 63 Dyer, Leon, 266 Mary, 108 Eader, Thomas S., 124, 125 Eagle Metallic Copper Co., 32 Earle, Mrs. Swepson, 123, 136 Early American Hurricanes, 1492-1870, by David M. Ludlum, reviewed, 399 Early American Scientific Instruments and Their Makers, by Silvio A. Bendini, 404 Earp, Charles A., "Blackburn to Baltimore: Some Records of the Stewarts of Ashbourne and Hambrooke Point, Dorchester County," 112 "Earthenware Exhibit," 122 East Baltimore Conference, Methodist Church, 351, 354, 357, 358, 362 ff. East Warren Avenue, Baltimore, 113 Eaton, Clement, The Mind of the Old South, reviewed, 304-305 Evenerz Kinnerley: Franklin's Friend, by J. A. Leo Lemay, 317 Echols, Brig. Gen. John, 48 Ecole de Medicine in Paris, 311 Eden, Sir Robert, 226, 342 Edinburgh University, 199 Editorial Policies of the Maryland Gazette, 1765-1783, by David K. Skaggs, 341-349 Edmondson, Thomas, 374, 375 Edmunds, Thomas Hugh, 276 Education Committee Report, 133-134 Education of the Founding Fathers of the Republic, by Walter Lippman, 226 Edward's Run, 79 Eiler mine, 18 Eiler prospect, 17, 32 Eisenhower, Dwight D., 302 Elba furnace, 25, 26 Election by Sword and Ballot: The Emancipationist Victory of 1863, by Charles L. Wagandt, 143-164 "The Election of 1862," A. J. Volck, 240 Eleutherian Mills-Hagley Foundation, 406 Elgin, England, 59 Elizabeth Bayley Seton, 1774-1821, by Annabelle M. Melville, 132 Elizabethtown, Ky., 38 Elizabethtown, N. J., 317 Elizabethtown College, 308 Elkton, Cecil County, 152 Ellefson, C. Ashley, 409 Ellefson, C. Ashley, The Writ of Audita Querela in Eighteenth-Century Maryland, 369-379 Eller, Adm. E. M., 230 Elicott, Andrew, 92, 93 Benjamin, 92, 93 Evan T., 22, 93 John, of Elias, 92, 93 Thomas, 88, 262 Ellis, John Tracey, 404 William, 381 Ellison, Rhoda C., 287 Elm Avenue, Baltimore, 62, 89, 90 Emancipation Proclamation, opp. 144 Embla Park, Baltimore, 67, 69 Emory, Thomas M., 74 William H., 238 The End of an Era, by John S. Wise, 305 Endicott family, 231 Endowment Fund, Maryland Historical Society, 139 England, Joseph, 68 English Historical Review, 250 Enoch Pratt Free Library, 128, 402 Ensor, John, 77, 78 Joseph, 77, 85, 86 Ensor's Mill, 77 Ensor's Run, 76, 88, 90 ff. Enterprise (schooner), 135 Ephrata, Pa., 314, 407 Erin (ship), 182-198 An Essay Concerning Human Understanding, 216 An Essay on the West India Dry-Gripes, 204 Eton, 2 Eutaw Street, Baltimore, 80 Evans, Mr., 92 Ann M. (Adler), Mrs. Daniel, Jr. 66, 67 Charles, 63, 314, 402-403 Daniel, 62 ff., 70, 72 Daniel, Jr., 66, 67 David, 68 Eleanor, Mrs. Daniel, Jr., 66 Elizabeth, 63 Hannah, 64 Hannah, Mrs. Daniel, 64, 65 Job, 62 ff., 68 John, 63 ff. Mary, 63 Mary, Mrs. Job, 63 Robert, 63 Ruth, 64 Sarah, 63 William, 64, 65 family, 63 Evans and Worthington, 83 Evans Chapel, 63, 65 Evans' Chapel Road, Baltimore, 63 ff., 89 Evans Meeting House, 65 ff. "Evansdale," Baltimore, 63 Evanson, Philip, 343 Evening Sun (Baltimore newspaper), 62 Everett, Edward, 307 "Evergreen," Baltimore, 53, 54, 58 Evergreen on the Avenue, Baltimore, 54-56 "Everyman His Own Historian," by Carl Becker, 259 Exeunt, Roaring, by Tench Francis Tilghman, 94-99 Ezell, John S., 316 Faber, W. L., 27 "The Face Is to the Future," by Virginius Dabney, 100 The Face of Virginia, by A. Aubrey Bodine, reviewed, 100 Fahey, Mrs., 69 Henry, 68 Jemima (Woolrick), Mrs. Henry, 68 family, 69 Fahey's Meadow, Baltimore, 69 Fairfax, Lord, 400 Fairfield, Conn., 173 Falls, Moore, 182 Falls Turnpike Road, 70, 74, 75, 88 ff., 93 Fanning, Capt. David, 292 Farmer, Paul, 252 Farragut, Admiral David Glasgow, 135 Farrand, Max, 199 Farrow, Mr., 37 Fede, Helen M., "Registration Methods and Accessioning Policies," 407 Federal Gazette (newspaper), 70, 79 ff., 91 Federal Hill, Baltimore, 113 Feigin, Stephen, 124 Feldman, Sadie, 122 Samson, 122 Fell, Edward, 375 ff. William, 77, 78, 86, 375, 377 ff. Fell's Mill, 77 Fells Point, Baltimore, 80 Fendall, Dr. 77 Edward, 81 Frances, Mrs. Edward, 81 Ferguson, Alexander, 215 Ferrai & Dupin, 127 Fidelity Trust Co., 53 Fielding, Henry, Joseph Andrews, 401 Fieroé, J. P., 156 5th Maryland, 238 Fifth Regiment Armory, 121 Finch, Col., 300 Finksburg, 26 Finlayson, Charles P., 199 Finley, M. I., 244 "First Citizen" pseud., 342, 343, 347 First Maryland Cavalry, 218 1st Maryland Infantry, C.S.A., 328 1st Maryland, Potomac Home Brigade, 238 1st Maryland Volunteers, 238 "First Part of Ryly's Discovery," Prince George's County, 387 First Presbyterian Church, Baltimore, 73 Fisher, Josephine, 345 Fisher, Leroy H., Lincoln's Gadfly: Adam Gurowski, 404 Fitzhugh, William, 102-103 Flag House, Baltimore, 113, 122 Flather, Mrs. Mary Rebecca Mullan, 121 Fleet, Dr. Benjamin, 305 Benny, 305 Flowers, Mary, 381 Folkes, John Gregg, 239 Fonderden, John, M.D., 278 Ford, Mark B., 321 Joshua, 321 Ford Foundation, 406 Forman, Joseph, 57 Gen. Thomas Marsh, 57 Forrest, Bedford, 37, 41 Fort McHenry, 218 Fort McHenry In The Civil War, by Allan C. Ashcraft, 297-300 Fort Wayne, Indiana Sentinel (newspaper), 180 Fortieth Street, Baltimore, 61, 62, 89 Foster, James W., 122, 131, 136 Fountain Copper Works, 20, 21 Fourth Avenue, Baltimore, 62 Fox, Jacob, 23 Rev. John, 205 Joseph, 272 William Lloyd, 232 "Fox Hall," Baltimore 62-69 France, Jacob, 116 Francis, Richard, 378 Frankfurt on the Order, 247, 248 Franklin, Benjamin, 199-216, 309, 317, 341, 404, 406 William, 310 Franklin and Marshall College, 308 Franklin Street, Richmond, 42 Franklin's "Dr. Spence": The Reverend Archibald Spencer (1698?-1760), M.D., by J. A. L. Lemay, 199-216 Franklin's Forges, 91 Frazier, John, Jr., 146, 147, 157, 158, 160 Frazer, Persifor, 29 Freburger, Edward G., 135 Frederick, 398 Frederick County, 15-33 Frederick County Mining Company, 24 Frederick Daily News (newspaper), 29 Frederick-Town Herald (newspaper), 127 Fredericksburg Railroad, 44 The Free School In Prince George's County, 1723-1774, by Louise Joyner Hienton, 380-391 Free School of Queen Anne's, 386 Freeman, Douglas Southall, 35, 36, 38, 51 "Freeways and History," by John B. Funk, 132 Frey, Howard C., Shumway, George, and Durrell, Edward, Conestoga Wagon, 1750-1850: Freight Carrier for 100 Years of America's Westward Expansion, 318 Friedenwald, Dr. Aaron, 323, 326 ff., 330 ff, 339, 340 Mrs. Aaron, 327 Mrs. Bertha, 334 Dr. Edgar, 325, 340 Harry, 317, 323 ff., 327 ff., 333, 335, 336, 339, 340, 409 Isaac, 336 Jonas, 340 Dr. Joseph, 335 Friedenwald Press, 336 Friend, John, 400 "Friends Discovery," Baltimore, 62, 63, 73 Friends' Meeting House, Baltimore, 6 Friends' School, Baltimore, 63, 69 Friendship Fire Company, 126 From Prairie to Corn Belt: Farming on the Illinois and Iowa Prairies in the Nineteenth Century, by Allan G. Bogue, 236 Front Street, Baltimore, 113 Fry, James B., 146 Funk, Eliza, 124 Funk, John B., "Freeways and History," 132 Gaines Mill, Battle of, 40 Gaither, George R., 56 Gale, Col. Levin, 5, 377 Galland, J., 127 Gallery Committee Report, 121 Gallipolis, Ohio, 239 Galloway, Joseph, 310 Gambrill, Horatio Nelson, 55, 56 Gannon, Michael V., Rebel Bishop: The Life and Era of Augustin Verot, 404 Gantt, Thomas, 386, 387 Gardner, Dr. William S., 324 Garden, Alexander, Anecdotes, 290ff., 295 "Gardener's Cottage," Albert estate, 53 Gardens, Houses and People (magazine), 75 Gardiner, Patrick, 261 Gardner, Mr., 112 Garibaldi, [Giuseppi], 165 Garrett, John Work, 55, 56 Robert and Sons, 56 family, 54 Garrett County, 400-401 Garrettson, Job, 77 Garrison, Fielding Hudson, 272 Gartner, Garrett County, 400 Garvey, Robert R., Jr., "The Organization: Governing Bodies and Staff," 407 Gary, Louisa M., 124, 136 Gassaway, Thomas, 214 "Gaston," Baltimore County, 73 ff. Gaston Grange, Hants, England, 74 Gaston Green, Essex, England, 74 Gaston House, W. Essex, England, 74 "Gaston-Springvale-The Orchards," 72-76 "Gate House," Albert estate, 53 Gatell, Frank Otto, 106, 228, 308, 322, 397 GATELL, FRANK OTTO, editor, Roger B. Taney, The Bank of Maryland Rioters, and a Whiff of Grapeshot, 262-267 Gatterer, Johann Christoph, 248 Gauthorn, Mrs. G. W., 124 Gazetteer of the British Isles, by [John] Bartholomew, 74 General Conference of 1856, Methodist Church, 350 A General Idea of the College of Mirania, by William Smith, 309 George III, King of England, 310 General Conference of Methodist Episcopal Church, 352 ff., 357, 358, 361, 362, 368 George Washington University, 241 George Washington's Generals, edited by George Allan Billias, 237 George's Creek Coal and Iron Co., 126 Georgetown University, 114, 118, 322, 409 The German Catastrophe, by Friedrich Meinecke, 258 Gerrard, Elizabeth, Mrs. John, 386 John, 386 Gerth, H. H., 255 Gettysburg, 148 Gettysburg College, 308 Geyl, Pieter, 252 Ghiselin, Wm., 377, 378 Gibbon, Edward, 247 Gibbons, James Cardinal, 328, 337 ff. Gibson, Edmund, 204, 205 James, 381 John, 84 R. Hammond, 135, 136 Gies, William J., 285 "Gift Resurveyed," Baltimore, 62 Giles, William F., 276 Gill, E. R., Jr., 32 R. W., 264 Gilman, Daniel Coit, 250 Gilman Country School, 63, 66 Gilpin, Bernard, 92 Gittings, Richard J., 53 "Glen Mary," Baltimore, 55 Glenn, John, 126, 265 The Glorious Revolution in America: Documents on the Colonial Crises of 1689, edited by Michael G. Hall, Lawrence H. Leder, and Michael G. Kammen, 237; reviewed, 395-396 "God's Gift," Prince George's County, 382 Goddard, William, 344 Godspeed (ship), 100 Golder, John, 215 Goldsborough, Henry H., 161, 163, 164 Goldwater, Barry, 301 Gonzaga College, 397 Gooch, G. P., 246 ff., 251, 261 Goodwin, Edward Louis, 207 [Gordon] Gordan, [Andrew], Paradoxes Solved, 215-216 Douglas H., 75, 76 Gorman, Arthur P., 302, 339 Gottingen, University of, 248 Gottschalk, Louis, 244, 246 Goucher College, 124 Govanstown, 52, 72, 74, 75 Gowanna, Sean, Images of American Living: Four Centuries of Architecture and Furniture as Cultural Expression, 237 Grammar, Frederick L., 99 Grand Army of the Republic, 238 Grandeur on the Appoquinimink: The House of William Corbit at Odessa, Delaware, by John A. H. Sweeney, reviewed, 222-225 Grant, U.S., 41, 144, 302, 304 Grason, Gov. William, 277 Graves, Dr. John J., 276 ff. Graydon, William, Memoirs, 290, 291 Great Choptank Parish, Dorchester County, 4 Great Gunpowder Falls, 77 Great Gunpowder River, 57 The Great Lakes Frontier, 104 "Great Men and Great Furniture in the 18th Century," by Richard H. Randall, Jr., 132 Greeley, Horace, 177 Green, Anne Catharine (Hoff), Mrs. Jonas, 341, 342, 345, 347 Constance McLaughlin, 130 Green, Constance McLaughlin, Washington: Capital City, 1879-1950, 236 Edward, 93 Frederick, 343, 345 Jonas, 215, 341-349 Obed, 64 Robert W., 255 Samuel, 345 Sarah, 64 William, 343 family, 342 "Green Mount," 305 Greene, Jack P., The Quest for Power: The Lower House of Assembly in the Southern Royal Colonies, 1689-1776, 236 Greenfield, Kent Roberts, 131 Greenhow, Rose O'Neil, 36 Greenmount Cemetery, Baltimore, 66 Greif, Leonard and Brothers, Inc., 52 Grether, Selma, 125 Grew, Theophilus, 216 Grieve, George, 234 Griffith, Lucille, The Virginia House of Burgesses, 1750-1774, 236; reviewed, 393-394 Griswold, Rufus W., 287 Grover Cleveland: A Study of Courage, by Allan Nevins, 231 Guardian of Our Heritage, 119 "Guilford," Baltimore, 56-57, 79, 81, 84 Guilford Branch, 84, 86 Guilford Courthouse, Battle of, 348 Guilford Lake, 56 Gummere, Richard M., The American Colonial Mind and the Classical Tradition, reviewed, 226 Gundry, Dr., 330, 337 ff. Gunston Hall, 407 Gurowski, Adam, 404 Guy's Hospital, London, 272 Gwinn, Charles, 83, 84 Gwins Falls, 77 Habershaw, Capt. Hugh, 292 Haddock, James, 380, 388, 389 Haddoway, George, 63 Hafner Library of Classics, 322 Hagley Museum, 406 Halifax, England, 54 Hall, Andrew, 90 Hall, Claude H., Abel Parker Upshur, Conservative Virginian, 1790-1844, reviewed, 307-308 Hall, Michael G., Leder, Lawrence H., and Kammen, Michael G., editors, The Glorious Revolution in America: Documents on the Colonial Crises of 1689, 237; reviewed, 395-396 Jasper, 216 Hall of Fame for Lacrosse, 123 Hall of Records, 241, 317 Halle University, 248 Hallock, [Henry W.J], 41 Hambrooke Point, Dorchester County, 112 Hamilton, Alexander, 406 Dr. Alexander, 201 203, 207 ff. Hamilton, Edward P., editor, Adventure in the Wilderness: The American Journals of Louis Antoine de Bougainville, 1756-1760, 236 Hamlin, Hannibal, 170, 171, 173 ff. Hammond, James H., 304 Hammond farm, 24 The Hammond-Harwood House and Its Owners, by Rosamond Randall Beirne, 116 Hammond mine, 18 Hammond prospects, 17 Hamner, Rev. James G., 278 "Hampden," 88, 89 Hampden Improvement Association, 61, 89, 90 Hampden Village, 89 Hampton, Wade, 37 Hampton Historic Site, 122 Handy, W. R., 280 William W., 276 Hanley, Thomas O'Brien, 396 Hanna, William S., Benjamin Franklin and Pennsylvania Politics, 404 Hanover Street, Baltimore, 79, 80 Hardesty, Richard, 61 Hardy, Nancy, 36 Hargreaves, Mary W. M., Hopkins, James M., and, editors, The Papers of Henry Clay, Volume III, Presidential Candidate, 1821-1824, 236 Harker, John, 86 Samuel, 266, 267 Harnwell, Gaylord P., 115 Harper, Robert S., 172 Harris, Col., 300 Chapin Aaron, 268 ff., 273 ff., 283 ff. John, 271, 272 Thomas, 220 William L., 351, 367 Harrison, Mr., 37 Dr. Samuel A., 150 Thomas, 381 Harrisonburg, Va., 361 "Harrow's Tooth," Baltimore, 87 Hartford (sloop), 135 Hartford, Conn., 233, 234 Hartman, Alfred Z., 64 Harvey, William Pinkney, 67 Harwood, James, 126 Haslup, Charles L., 135 Hassler, William W., 37 Haupt, Herman, 48 Haverford College, 308 Havre-de-Grace, Harford County, 80 Hawkins, John, 216 Hawks, Francis L., 4 Hay, John, 150 Hayden, Horace H., 268 ff., 276 ff., 285 Hayes: The Diary of a President, 1875-1881, edited by T. Harry Williams, 237; reviewed, 303-304 Hayes, Lucy, Mrs. Rutherford B., 303 Melvin, 166, 172, 173 Rutherford B., 237, 303-304 The Heart is Like Heaven: The Life of Lydia Maria Child, by Helene G. Baer, 404 Heath, Willam, Memoirs, 290, 291 Heaton, Herbert, 254 Heidelberg, University of, 247 Helde, Thomas T., 322 Helde, Thomas T., Historians and Historical Knowledge, 243-261 Helper H. R., 304 Hemphill, W. Edwin, editor, The Papers of John C. Calhoun, Volume II, 1817-1818, reviewed, 105-106 Henderson, Capt., 37 Commissary, 10 Rev. Jacob, 380, 386 ff. Henry, Robert S., 49 Henshaw, Rev. Dr. J. P. K., 278 Henson, Josiah, 106 Heppburn, Dr. Patrick, 380 Herodotus, 247 Herring Run, 77 Herz, Henri, My Travels in America, reviewed, 314-315 Hesler, Mr., 168 Heyl, A. V., 15, 19 Hicks, John, 378 Hienton, Louise Joyner, "Presbyterian Beginnings of Prince George's County, Maryland," 409 Hienton, Louise Joyner, The Free School in Prince George's County, 1723-1774, 380-391 Higgins' Mill, 60 Higgins' Mill Pond, 60 High, James, 130 Hill, Dr., 338 Henry Bartram, 314-315 Lt. Col. Joseph C., 238 Hilles, Mrs. William S., 120 Hines, Capt. T. H., 48, 51 Hines farm, 24 Hines mine, 18 Hines prospects, 17 Hiss, Mary C., 124 An Historian and the Civil War, by Avery Craven, 317 The Historian's Craft, by Marc Bloch, 260 Historians and Historical Knowledge, by Thomas T. Helde, 243-261 Historic Annapolis, Inc., 122, 132 "Historical Studies Laboratory," 124 Histories of the Latin and Germanic Nations from 1494 to 1514, 247 History and Theory (periodical), 245 History as Art and Science, by H. Stuart Hughes, 260 A History of Colonial America, by Max Savelle, and revised by Robert Middlekauff, 237 The History of American Weather, 399 History of Higher Education in Pennsylvania, by Saul Sack, reviewed, 308-309 A History of Printing in Colonial Maryland, by Lawrence C. Wroth, 341 History of South Carolina, by David Ramsay, 290 Hobbs, William, 22 Hodges, H. A., 256 James, 328, 330, 339 John, 381 Hodgson, William Brown, 305 Hoen and Company, 322, Cover Dec., betw. 358-359 Hoffman, W., 297 Holborn, Hajo, 248, 249, 256 Holcome, James P., 47 Holdcraft, Paul E., 114 Holdsworth, Sir William, 371, 375 Holland, Eugenia Calvert, 120, 123 Holland (ship), 229 Holley, Edward G., Charles Evans, American Bibliographer, reviewed, 402-403 Hollingsworth, J. Rogers, The Whirligig of Politics: The Democracy of Cleveland and Bryan, reviewed, 231-232 Thomas, 92 Holmes, Oliver Wendell, 217, 220 Holton, Gerald, "Science and the Humanities," 114 "Homeland," Baltimore, 67, 69, 88, 89 Homeland Avenue, Baltimore, 52, 53 Homeland Branch, 55 Homeland Branch of Stony Run, 58, 76, 86 "Homewood," 66 "Honest Abe of the West," song, 174 Honorable Company of Tylers and Bricklayers, 1 Hope, House of, 185, 186 Hope Leslie, 289 Hopkins, Mr., 74 C. A. Porter, 117, 137, 399 Hopkins, G. M., Atlas of Baltimore City and County, 52, 55, 56, 59 ff., 64, 65, 67, 69, 71, 75, 84, 85, 89, 90 Hopkins, James M., and Hargreaves, Mary W. M., editors, The Papers of Henry Clay, Volume III, Presidential Candidate, 1821-1824, 236 Joseph, 73 Nicholas, 73 Samuel, 117 Hopkins Club, 89 Horan, James D., 34, 42, 48 Horn, Brig. Gen. John W., 238 Horowitz, Gary S., 239 Horry, Col. Peter, 292 Horse Shoe Robinson, by John P. Kennedy, 286-296 Horticultural Society of Maryland, 75 House and Garden Pilgrimage, 112 House Committee Report, 137 House of Delegates, 276, 277 "A House on Paca Street and the Stream of History," by Dr. Annabelle M. Melville, 132 Houston, Sam, 176 Howard, Charles T., 135 Edward G., 403 Howard, George W., The Monumental City, 325, 326 Lt. Col. Henry, 238 John Eager, 320 James McHenry, 328, 400 Julia, 400 McHenry, 400 Howard County, 26 Howard's Hill, Baltimore, 80 Howard's Point Warehouse, Anne Arundel County, 214 Howe, Lord, 291 Sir William, 348 Howe Commission, 310 Howes, Wright, 402 Hues, John, 381 Hughes, H. Stuart, 255, 258 Hughes, H. Stuart, History as Art and Science, 260 Hughes Company, 127 Humboldt University, 248 Hume, Robert Deniston, 315-316 Hunt, Jesse, 263, 264 Hunter, Dr. George, 311-312 W., 210 Wilbur H., Jr., 130, 137 "Huntington," 79 Huroms Observation, 215 Huband, Herman, 20 Hutchinson, Anne, 107-108 Thomas, 310 Hutchison, William T., and Rachal, William M. E., editors, The Papers of James Madison, Volume II, 1781, 236 Hyde, Mrs. Bryden B., 133, 136 Illustrated Newspaper, (Frank Leslie's), 181 Images of American Living: Four Centuries of Architecture and Furniture as Cultural Expression, by Sean Gowanns, 237 Independence Square, Philadelphia, 170 Independent Fire Company, 127 Indian Spring, 76 Indianapolis, Ind., 402 Indians: Delawares, 400 Nanticoke, 5, 6, Shawnees, 5 Ingham, W. A., 30 Ingle, Miss Pechin, 123 Ingram, K. E., 321 Inns of Court, London, 342 "Installation," by Robert Widder, 407 Institute of Early American History and Culture, 321 Intellectual Life in Jefferson's Virginia, 1790-1830, by Richard Beale Davis, 237 Intolerable Acts, 344, 347 Jacob and Anita France Room, Maryland Historical Society, 117 Jacobs, Capt., 193 Jacobson, Mrs. Dorothy B., 240 Jackson, Andrew, 106, 167, 170, 176, 220, 241, 262, 265, 266, 312, 398 C. T., 23 Samuel, 217 Gen. Stonewall, 37, 103, 104 James II, King of England, 9, 395 James, James Fitz, 215 James City County, Va., 204 James River, 41, 46 Jameson, J. Franklin, 106 Jamestown, Va., 100 James, Bishop, 353, 359 Jansen, Gov., of Cape of Good Hope, 188 Jaures, [Auguste Marie Joseph], 252 Jefferson, Peter, 400 Thomas, 108-111, 226, 237, 312, 393, 406 Jefferson Medical College, 312 The Jeffersonian Republicans in Power: Party Operations, 1801-1809, by Noble Cunningham, Jr., reviewed, 109-111 Jeffries, Major Noah L., 146 Jencks, Francis Haynes, 90 Jenings, Edmund, 6, 8 Nancy Gardner (Mankin), Mrs. Francis Haynes, 90 Thomas, 11 Jenkins, M. Ernest, 71 Robert T., 71 Jennings, Thomas, 214 "Jerome and Betsy Cross the Ocean," by Dorothy M. Quynn and Frank F. White, Jr., 241 Jervey, Mrs. J. T., Jr., 133 Jewish Historical Society, 119 J. Hall Pleasants Studies in Maryland Painting, 123 "Job's Addition," Baltimore, 54, 56, 62, 63 John Gorham Palfrey and the New England Conscience, by Frank Otto Gatell, 322 John Pendleton Kennedy's Horse Shoe Robinson: A Novel with "The Utmost Historical Accuracy," by William S. Osborne, 286-296 Johns Hopkins Hospital Child Life Program, 121, 133 Johns Hopkins University, 86, 89, 123, 128, 250, 323, 327, 333, 334, 336, 338 Johns Hopkins University Public Lectures, 114 Johns Hopkins University Studies in Historical and Political Science, 225 Johnson, Pres. Andrew, 301, 304 Melvin Maynard, 200 Reverdy, 147, 149, 265 ff., 322 Sir Thomas, and Company, 374 Johnston, Gen. J. E., 36, 39 Jolett, Capt. Robert, 293 Johnsville, 30 Jones, Clyde Ray, 239 Cyrus L., 155 Elias, 59 Frank N., 287 Jones, Howard Mumford, O Strange World, American Culture: The Formative Years, 318 Isaac D., 152 ff. James, 120 Virgil Carrington, 49, 50 Jones' Falls, 6, 11, 76, 77, 90 ff. Joppa, 7, 8, 10 Jordan, J. W., 5 Lt. Col. Thomas, 35, 36 Jordy, William H., 253 Joseph Andrews, by Henry Fielding, 401 Journal of the Presbyterian Historical Society, 409 Journal of Southern History, 305 Juillard, Lawrence, Abbe du Jarry, 216 Juniata College, 308 Junior League, 133 "Junius," pseud., 266 Kahler, Erich, The Meaning of History, 237, reviewed, 392-393 Kammen, Michael G., 395-396 Kammen, Michael G., Hall, Michael G., Leder, Lawrence H., and, editors, The Glorious Revolution in America: Documents on the Colonial Crises of 1689, 237; reviewed, 395 Kane, Harnett T., 36, 37, 47 Kean, Robert G. H., 47 Kearney's Sketch of the Military Topography of Baltimore and Vicinity, 79 Keirle, Dr. Nathaniel Garland, 333 Keener, David, 62 William H., 28 Kelly, Dennis, 89 Florence, 124 Kelly, J. Reaney, Quakers in the Founding of Anne Arundel County, 119 Martin, 89 Kellysville, Baltimore, 89 Kelso, John, 65 Kemp, James, 126 Mrs. James W., 55 Kenly, John R., 238 Kennedy, Florence J., 127 Kennedy, John Pendleton, Horse Shoe Robinson, 286-296 Kennedy, John P., Rob of the Bowl, 294, 295 Kennedy, John P., Swallow Barn, 322 "Kensington," Baltimore, 82, 84, 85 Kensington Mill, 78-85 Kent County Historical Society, 118, 136 Kent News (newspaper), 157 Kentucky Historical Society Register, 238 "Kernewood," Baltimore, 57-58, 75 Keswick Road, Baltimore, 62 Ketchum, James, 407 Keune, Russell Victor, 239 Key, Francis Scott, 300 Keyser, H. Irvine, 122 Mrs. H. Irvine, 136 Keyser Memorial Building, Maryland Historical Society, 117, 120 Kiernan, Thomas, 238 Kilbourne, John D., 112, 124, 129, 313, 314, 408 Kilby, Thomas, 200 Killian, James R., 114 Kimberly, Mrs., 85 King George County, Va., 43 King George's Parish, Prince George's County, 382, 390 King, Thomson, 214 William, 106 King William's School, 380 King's Mountain, Battle of, 287, 290, 291, 310 Kinnersley, Ebenezer, 317 Kirk, Samuel and Son, 121 Klein, Martin, 245 Knight of the Confederacy: General Turner Ashby, by Frank Cunningham, 103 The Knights of the Horse-Shoe, by [William A.] Caruthers, 305 Knowing Maryland, by William Trammell Snyder, 405 Knox, Henry, 310 Koch, Charles R. E., 271 Kotchendeffier, 29 Kranz, Marvin W., 304 Kraus, Michael, 261 Krecher, Dr. Joe Willard, 113 Kresie, Donald F., 240 Kriete, Alice, 120 Kunkel's Nightingale Opera Troupe, 322 Kurtz, Benjamin, 84 Benjamin Turner, 84 Katherine (Turner), Mrs. Benjamin, 84 Louise Hall, 84 Labaree, Leonard W., 199 Labaw, J., 31 Lafayette, 218, 320 Lafayette Engine Company, 127 Lake Avenue, Baltimore, 71, 73, 74 Lambert, John R., Jr., 339 Lanahan, Mr., 333, 334, 339 Thomas M., 55 Lancaster County Historical Society, 118 Land, Aubrey C., 130, 234, 342, 346 Landis Valley, 115, 407 Landon, Alfred M., 301 Lane, Robert Lehr, 71 Langer, William L., 260 Langley, Harold D., 241 LANGLEY, HAROLD D., William Patterson and "Old Ironsides," 217-221 Langlois, C. V., 244 Lankford, Isaac Smith, 156 La Pause, Guillaume Plantavit de, Abbe de Margon, 215 "Last Purchase," Somerset County, 4 Latimer, Dr. Thomas S., 328 ff. Latrobe, Benjamin H., 128 Ferdinand C., 337, 339 Lau, Catherine A., 120 Laurens, Col. John, 109 Lavisse, Ernst, 250 Lawrence's Colonial Families of America, 313 Le Compte, Anne (Winsmore), Mrs. John, 60 John, 60 William, 60 Le Conte, Joseph, 304 Lecott, Capt. C., 195 Leder, Lawrence H., 395-396 Leder, Lawrence H., Kammen, Michael G., Hall, Michael G., and, editors, The Glorious Revolution in America: Documents on the Colonial Crises of 1789, 237; reviewed, 395-396 Lee, Mother Ann, 107 Lee, Charles Robert, Jr., The Confederate Constitutions, reviewed, 227-228 Dwight E., 257 Robert E., 36, 37, 40, 41, 46, 49, 145, 305 Lehigh University, 309 Lehrbuch der historischen Methode und der Geschichtsphilosophie, by Ernst Bernham, 244 Lemay, J. A. Leo, 241 Lemay, J. A. Leo, Ebenezer Kinnersley: Franklin's Friend, 317 LEMAY, J. A. L., Franklin's "Dr. Spence": The Reverend Archibald Spencer (1698?-1760), M.D., 199-216 Lennox, Walter, 299 Lesley, J. P., 26 Leslie, Frank, 181 Lesure, Nancy C. (Pearre), Mrs. Frank G., 116 A Letter From Dr. Bray to Such as have Contributed Towards the Propagating of Christian Knowledge in the Plantation, 126 Letter upon the Earthquakes, 211 "Letters from a Pennsylvania Farmer," by John Dickinson, 347 Leverett family, 231 Levin, Alexandra Lee, The Szolds of Lombard Street, 409 Levin, Alexandra Lee, Vision: A Biography of Harry Friedenwald, 317, 409 LEVIN, ALEXANDRA LEE, When the Old Mercy Hospital Was New, 323-340 Levingstone, Mr., 292 Lewis, Carl P., 322 LEWIS CARL P., JR., The Baltimore College of Dental Surgery and the Birth of Professional Dentistry, 1840, 268-285 H. H. Walker, 117 Lexington, Ky., 312 Lexington Street, Baltimore, 6 Leybourne, William, 216 Liberty Copper Mining Company, 28, 31 Liberty Lake reservoir, 28 Liberty Mine, 15, 17 ft., 24, 31, 32 Libertytown, 21, 23, 24 Library Committee Report, 124-129 Library of Congress, 127, 407 Light Street Church, Baltimore, cover December, betw. 358-359, 359, 361 "Liliendale," 78 Lilly, William, 30 Lincoln, Abraham, 145 ft., 152, 153, opp. 154, 158, 165-181, 240, 301, 364 Robert Todd, 145 "Lincoln of the West," song, 173 Lincoln's Gadfly, Adam Gurowski, by Leroy H. Fisher, 404 LINCOLN'S WESTERN IMAGE IN THE 1860 CAMPAIGN, by Patricia Hochwalt Wynne, 165-181 Lindsay, Carroll, 407 Lilian, 272 Mildred, 288, 291, 292 Linganore Copper Co., 31, 32 Linganore Creek, 18 Linganore District, Frederick County, 15, 17, 23, 25, 29 ff., 33 "Linkwood," Baltimore, 59, 60, 83 Linkwood, Dorchester County, 59, 60 Linkwood Avenue, Baltimore, 59 Linkwood Distillery, 59 Lippman, Walter, Education of the Founding Fathers of the Republic, 226 Lisbon, Portugal, 182, 183, 186 ff. Little Gunpowder Falls, 77 Little Pipe Creek, 19 Little York, 70 Livezev, Jon H., 124 Lloyd Street, Baltimore, 113 Lloyd Street Synagogue, Baltimore, 113 Locke, John, 216 Logan, Frenise A., The Negro in North Carolina, 1876-1894, 237; reviewed, 306 Lombard Street, Baltimore, 113, 333, 409 Lombardi, Thomas, 124, 125 London, Bishop, of, 126, 386 ff. The London and Country Brewer, 216 Longstreet, [James], 37 Lord, Mrs. Forrest W., 124, 125 Mary W., 159 Lord and Lehr, 71 Lord Baltimore Press, 336 Louisbourg, 388 Louisville Journal (newspaper), 279 Lowe family, 313 Lowell, James Russell, 165 Lower Patapsco Hundred, Baltimore County, 64 Lowndes, Christopher, & Co., 382 Lowthrop, ————, Philosophical Transactions, 215 Loyola College, 58, 81 Loyalists and Redcoats: A Study in British Revolutionary Policy, by Paul H. Smith, 404 Lubbs, Frederick A., 203 Lucas, Daniel Bedinger, Memoirs, 104 Ludlum, David M., Early American Hurricanes, 1492-1870, reviewed, 399 Lux Darby, 80 Rachel, 78 Lying-in Asylum, 335 Lynch, Dr., 337 Lynes, Philip, 373 Lytton, Caleb, 240 M. R., 240 McCaffrey, Henry 322 McCarthy, Harry Bryan, 270, 275, 281, 282, 284 McColgan, Father Edward, 331, 337 McCluggage, Robert W., 269 McConkey, Edward, and Co., 85 McCormick, James, 80, 81, 87 John P., 87, 88 Rachel, Mrs. James, 80 Maccubbin, Nicholas, 377 McDermott, John Francis, editor, The Western Journals of Dr. George Hunter, 1796-1805, reviewed, 311-312 McDonald, Gen. William, 57 McDowell, Dr. Ephraim, 311 McHenry, James, 400 McInnes, Miss E. M., 203 McKeldin, Theodore, 113 Mackenzie [George N.], 80 McKenzie, Mrs. John, IV, 133 McKinsey, Folger, 23 McLean, Cornelius, Jr., 266, 267 McMahon, John V. L., 267 McPherson, Edward, 363 Macaulay, Stewart, Preuss, Henry Clay, and, "The Star Spangled Banner Home of the Free," 322 Machen, Mrs. Thomas Gresham, 71 Mackall, Leonard, M. D., 278 Richard Covington, 279, 284 Madison, James, 236, 312, 393, 406 Madison Street, Baltimore, 112 Maffit, Samuel S., 161 163, 164 Magruder, Alexander Contee, 95 Mahan, Alfred T., 35 [James M., Jr.], 63 Mahoney, Wm. T., 238 Maidenhead Court, 1 Main Street, Richmond, 42 "Major's Choice," Prince George's County, 386 "The Major's Lott," Prince George's County, 387 Malabar, 183 Malcolm, Rev. Alexander, 207 Malone, Blondelle, 401 Maloney, Joan, 401 Malvern Hill, Va., 40 Man on His Past, by Herbert Butterfield 246 Manakee, Harold R., 100, 117, 120, 263 Manchester, N. H., Union Democrat (newspaper), 176, 178 Mandelbaum, Maurice, 261 Col. Seymour, 59, 60 Manifest Destiny and Mission in American History: A Reinterpretation, by Frederick Merk, reviewed, 396-397 Mankin, Henry, 61, 88, 89 Henry Gardner, 87, 90 Isaiah, 90 Mankin's Road, Baltimore, 89 Manual Training School, 334 Map of Baltimore City and County, by J. C. Sidney, 67, 93 Map of the City and County of Baltimore, by Robert Taylor, 54, 67, 71, 83 March, Mary Ann, 9, 381 Mariners Museum, Newport News, 101 Marion, Francis, 292 Maritime Collection Committee Report, 135 Markham, Mrs., 292 Marriott, William H., 98 Marsden Family, 112 Marshall, Chief Justice John, 228 Marshall Hall, 43 Marsham, Richard, 388 Martin, Benjamin, 216 Marx, Karl, 254 Marye, William B., Baltimore City Place Names, Part 4, 52-93 Maryland Academy of Sciences, 122 Maryland Avenue, Baltimore, 65, 67, 71 Maryland Casualty Company, 62 Maryland Civil War Centennial Commission, 117 Maryland Copper Company of Baltimore, 27, 29 Maryland Council of Churches, 118 Maryland Dental Association, 240 Maryland Gazette (Annapolis newspaper), 76, 95, 96, 99, 212, 214, 341-349, 382, 387 ff. Maryland Genealogical Society, 112 Maryland Historical Magazine Index, 125, 128 Maryland Historical Seminar, 130 MARYLAND HISTORICAL SOCIETY ANNUAL REPORT FOR 1963, 117-140 The Maryland Historical Society, Past, Present, and Future, 119 Maryland History Notes, 126, 130 Maryland House and Garden Pilgrimage, 123 Maryland in Law and History, by Judge Edward S. Delaplaine, 405 Maryland Journal (newspaper), 65, 70, 344 Maryland Medical and Surgical Journal, 279 MARYLAND METHODISTS AND THE CIVIL WAR, by Richard R. Duncan, 350-368 Maryland National Bank, 137 Maryland Port Authority, 132, 135 The Maryland Press, 1777-1790, by Joseph T. Wheeler, 341 Maryland Society of Pennsylvania, 117 Maryland State Roads Commission, 132 Maryland Woman's Hospital, 324 Marywood College, 241 Mason, John T., 267 family, 102 Mason-Dixon Line, 117 Massey, Mary Elizabeth, Refugee Life in the Confederacy, 317 Maternité Hospital, Baltimore, 324 ff. 333, 335 Mathews, Marcia M., Richard Allen, 236 Mathews County, Va., 80 Matthews, William, 317, 397-398 Maulsby, Col. Wm. P., 238 Maurer, Louis, 168 Maxfield, Mrs. Harry W., 321 Leah Scarborough (Bonwell), Mrs. Uriah, 321 Uriah, 321 May, Benjamin F., 151 ff. Robert, 222 Mayer, George H., The Republican Party, 1854-1964, 237; reviewed, 301-302 Maynadier, Henry, 346 Mead, Dr. Richard, 203, 204 The Meaning of History, by Erich Kahler, 237; reviewed, 392-393 Mease, James, 21 Mecants, Alexander, 381 Medical and Chirurgical Faculty, 123 Meek, Alexander, 287, 305 Mehta, Ved, 261 Meinecke, Friedrich, 257, 258 Mellon, Stanley, 252 Melrose Avenue, Baltimore, 75 Melville, Annabelle M., "A House on Paca Street and the Stream of History," 132 Melville Park, 55 Membership Committee Report, 131 Memminger, Christopher G., 227 Memoirs, by Daniel Bedinger Lucas, 104 Memoirs, by William Graydon, 290 Memoirs, by William Heath, 290 Mencken, H. L., Newspaper Days, 326, 336 Menzies, John T., 133 Merchants Exchange Bank, 218 Mercy Hospital, Baltimore, 323-340 Merk, Frederick, Manifest Destiny and Mission in American History: A Reinterpretation, reviewed, 396-397 Merritt, Elizabeth, 124 Merryman, Eleanor, 88 Job, 79 John, 70, 78 Joseph, 65, 81, 86 Sarah (Rogers) Smith, Mrs. John, 70 "Merryman's Addition," 86, 88 Merryman's Lane, Baltimore, 61, 62, 78, 79, 84, 88, 89 "Merryman's Lot," Baltimore, 77 ff. Mesonier, Henry, 87 Methodist Episcopal Church, 350-368 Methodist Historical Society, 113 Metzger, Walter P., 244 Meyer and Ayers, architects, 118, 136 Meyerhoff, Hans, 245, 257, 259 Michael, Dr., 335, 336 Peter, 123 Michelet, [Jules], 252 Michigan University of, 250 Middendorf, J. William, II, 122 J. William, Jr., 122 Mrs. J. William, Jr., 136 Middle Department, 146 Middlekauff, Robert, 237 Middleton, Dr. Conyers, 210 William S., 204 The Mighty Revolution: Negro Emancipation in Maryland, 1862-64, by Charles L. Wagandt, 241, 404 Miles, William Porcher, 305 "Mill Lot," Baltimore, 82 The Mill Stream, Baltimore, 76 Miller, Mrs. E. Kirkbride, Jr., 133 James H., 276 Milligan, Maj. James F., 46 Mills, C. Wright, 255 Millspaugh, S. Kirk, 121 The Mind of the Old South, by Clement Eaton, reviewed, 304-305 Miner, Leroy M. S., 272, 274 Ward L., 344 Mineral Hill mines, 15, 17 ff., 28 ff., 30 Mineral Hill Mining Company of Baltimore, 27, 28 MINING FOR COPPER AND RELATED MINERALS IN MARYLAND, by Nancy C. Pearre, 15-33 Miranda, Francisco de, 316 Mitchell, Dr. John, 203, 204 Mobberly, Edward, 381 Mobile, Ala., 314 Moffatt, Dr. Thomas, 201, 203 Monahan family, 76 Monet, Claude, 401 Monroe, Frances A. (Tittle), Mrs. William Robert, 85 James, 105, 106, 312 Dr. William Robert, 85 Monroe mine, 18 Monroe property, 26 Monroe prospect, 17 Montgomery Convention, 227 Montgomery Junior College, 118, 241 Monticello, Va., 233 Monument Square, Baltimore, 298 Monumenta Germaniae Historica, 248 The Monumental City, by George W. Howard, 325, 326 Moon, Ginnie, 36, 37 Moore, Capt. Charles C., 152 ff. H. C., 28 John R., 287 Richard, 213 Robert R., 297-299 Moore’s Creek Bridge, 310 Morgan, Daniel, 310 Edmund S., 341, 349 [John H.], 37, 51 Rev. N. J. B., 360 “Morgan’s Delight,” Baltimore, 62, 66, 67, 70 ff. Morley, Felix, 302 Murray, James, 62 Morris, John B., 264 Rev. John G., 278 W. W., 297 Mosby, [John Singleton], 37, 49, 50 Moses, Robert, 398 Morton, John Copeland, 62 Mother Seton House, 112 Motte, Mrs. Jacob, 292 “Mount Airy,” Prince George’s County, 390 Mt. Clare Mansion, 121, 122 “Mount Pleasant,” Baltimore, 61, 77, 85-90 “Mount Royal,” Baltimore, 90 ff. Mount Royal Forge, Baltimore, 90, 91 Mount Royal Mill, 91 Mount Vernon, Va., 407 Mount Vernon Ladies’ Association, 116 Mount Vernon Place, Baltimore, 55, 319-320 Mt. Washington, Baltimore, 332 Mount Washington Copper Company, 31 Mountain View mine, 18, 30, 32 Mudge, Jean McClure, Chinese Export Porcelain for the American Trade, 1785-1835, reviewed, 222-225 Munson’s Hill, 89 Murray, William Vans, 346 family, 74 Murtagh, William J., 115, 407, 408 Muscat, 184 Musgrove, Major Edward, 287 Margaret, 288 Mary, 287, 288, 290, 293 Susan, 287 My Travels in America, by Henri Herz, reviewed, 314-315 Myer, Maj. [Albert J.], 42 Myers, Raymond E., The Zollie Tree, 317 Rev. Thomas, 367 Nadel, George H., 245 Naeve, Milo M., "American Earthenware Before 1850," 132 Namier, Sir Lewis, 393 "Namjemoy," Baltimore County, 80 Nashoba, 106 National Gallery of Art, 407 National Genealogical Society, 313 National Historical Publications Commission, 406 National Intelligencer (newspaper), 279 National Park Service, 407 Natural Philosophy, by [John] Rutherford, 215 National Society of Colonial Dames of America in the State of Maryland, 119, 123 National Trust for Historic Preservation, 115, 239, 407-408 Natural Bridge, 233 Naval War College, 116 Neff, Carolyn Jane, 239 The Negro in North Carolina, 1876-1894, by Frenise A. Logan, 237; reviewed, 306 The Negro in the American Revolution, by Benjamin Quarles, reviewed, 108-109 Nellie Pentz (ship), 158 Nelt, Louis, 57 Nemacolin (Indian), 400 Nevins, Allan, 261 Nevins, Allan, Grover Cleveland: A Study of Courage, 231 New Bern, N. C., 158 New Bremen Glass Manufactory, 398 New Burra Copper Company, 28 New Chapter, 350-368 New City Hospital, 323, 340 A New Compendious Dictionary, 215 The New Democracy in America: Travels of Francisco de Miranda in the United States, 1783-84, translated by Judson P. Wood, reviewed, 316 New England Confederation, 230 New England Magazine, 290 "A New Face On An Old Port," by Joseph L. Stanton, 132, 135 The New History, by James Harvey Robinson, 254 New London, 22 New London Copper Mining Company, 29 New London Daily Star (newspaper), 179 New London mine, 17 ff., 27, 29, 32 New Orleans, La., 9, 282 New Windsor, 29 New York, N. Y., 184, 201-202 New York Daily Tribune (newspaper), 167 New York Evening Post (newspaper), 168, 305 New York Herald (newspaper), 176, 178 New York Journal of Commerce (newspaper), 179 New York Medical Journal, 276 New York Post-Boy, 201 New York State Historical Association, 239 New York Weekly Journal, 201 Newark Museum, 121, 123 Newcomer, Waldo, 121 Newport, R. I., 201, 233 Newport News, Va., 100 Newport News Daily Press (newspaper), 101 Newspaper Days, by H. L. Mencken, 326 Newton, [Isaac], Principia, 215 Nichols, Roy, F., 244 Nicholson, Gov. Francis, 3, 380 Nicklin, John Bailey Calvert, 390 Nicoll, William, 91 Niebuhr, [Barthold], 248 Neill, J. W., 282 Niles' Weekly Register, 218 ff. "Nineteenth Century Tools," exhibit, 122 Ninth Street, Richmond, 42 Noble, George, Esq., 381, 386, 387 "The Noble Dream," by Charles A. Beard, 259 Nomini Hall, 226 Norfolk, Va., 229 Norfolk Virginian-Pilot (newspaper), 101 Norris, Walter B., 98 Maj. William, 38, 42, 43, 45 North American Review, 77 North Carolina Museum of Art, 121 North, Lord, 310 North Paca Street, Baltimore, 112 Northern Neck, Va., 102 Norwood, William Frederick, 281 Notes and Queries, 112, 288, 319, 406 Notre Dame College, 52 Notre Dame Lane, Baltimore, 52, 53, 87 Noyes, Enoch, 278 Oakdale Road, Baltimore, 84 "Oatry," 240 Odessa, Delaware, 222 Official Records of the War of the Rebellion, 45 Ogle, Samuel, 210, 377, 379, 388, 389 Ohio State University, 409 Old Caroline Street M.E. Church, Baltimore, 84 "Old Defenders," 66 "Old Ironsides," (ship), 217-221 Old Maryland Families, by Henrietta E. Bromwell, reviewed, 313 Old Otterbein Church, Baltimore, 113 Old Town, Alexandria, Va., 407 Old York Road, Baltimore, 55 Oldroyd, Osborn, 173 ff. Oliphant, [Mary C. Simms], 305 One West Mount Vernon Place, 122 Opie, Dr. Thomas, 324, 330 ff., 334, 335, 338, 339 Orchard mine, 27 "The Orchards," 75, 76 Ord, E. O. C., 238 Order of the Sons of Liberty, 48 "The Organization: Governing Bodies and Staff," by Robert R. Garvey, Jr., 407 Oriskany, Battle of, 310 O'Rourke, John T., 272, 274 O Strange World. American Culture: The Formative Years, by Howard Mumford Jones, 318 Osborne, William S., 322 Osborne, William S., John Pendleton Kennedy's Horse Shoe Robinson: A Novel with "The Utmost Historical Accuracy," 286-296 Osmundson, John Skinner, 239 Otis, Harrison Gray, 263 The Otterbein Church, Baltimore, 113 Oucherlony, John, 381 Overbeck, R. M., 15 Owens, Hamilton, 130 Owings, Donnell M., 377, 379 Nicholas, 91 Oxford University, 247 Paca, John P., 5th, 123 Gov. William, 122, 343, 345 Paca Street, Baltimore, 122, 132 Packard, C. S., 155 Edson, 60 Elisabeth, 122, 123, 137 Paine, Thomas, Common Sense, 344 Paine, Thomas, "Crisis," 348 "Painurus," pseud., 348 Palfrey, John Gorham, 322 Palmer, Robert R., 244 "Paper War," 345 The Papers of Benjamin Franklin, 199 The Papers of Henry Clay, Volume III, Presidential Candidate, 1821-1824, edited by James M. Hopkins and Mary W. M. Hargreaves, 236 The Papers of James Madison, Volume III, 1781, edited by William T. Hutchison and William M. E. Rachal, 236 The Papers of John C. Calhoun: Volume II, 1817-1818, edited by W. Edwin Hemphill, reviewed, 105-106 "Paradise," Baltimore County, 80, 81 "Paradise Farm," Baltimore, 58, 59, 78-85 Paradise Mill, 60, 78, 84 ff., 91 Paradoxes Solved, by [Andrew Gordon] Gordan, 215-216 Paris, France, 182 Park Avenue, Baltimore, 112 Parker, Dudrea, Mrs. Sumner, 112, 408 Dr. Robert H., 113 Sumner, 112, 408 Parker Genealogical Contest, 112, 408 Parker Mining and Development Co., 33 Parlett, Mrs., 69 Parrington, Vernon L., 343 Parlett, Elizabeth (Woolrick), Mrs. Elizabeth, 68 William, 68 family, 69 Parmly, Eleazer, 283 Parmyter, Mrs., 201 Parsons, George W., 155, 156 Pasteur Institute, 333 Patapsco Copper and Cobalt Mining Company, 27 Patapsco Copper Mine, 26 Patapsco Falls, 77 Patapsco Fire Company, 127 Patapsco Lower Hundred, Baltimore County, 68, 72, 78, 79, 86, 91 Patapsco mines, 17 ff., 27, 30 Patapsco Mining Company, 26, 27 Patapsco River, 25, 70 Patrick, S., 216 Patterson, Dorcas (Spear), Mrs. William, 218 George, 25 Maj. Gen. [Robert], 36 William, 217-221 Patterson-Bonaparte Collection, Maryland Historical Society, 120 Patuxent River, 389 Paul, J. G. D'Arcy, 55, 56 Paullin, Charles O., 220 Payne, Thomas, 279 Peabody, George, 320 Peabody Institute, 122, 128, 129, 402 Peabody Library, 240 Peabody Museum, 119 The Peabody Museum Collection of Navigating Instruments, by M. V. Brewington, reviewed, 233 Peach, Joseph, 381 Peale, Charles Willson, 122, 398 Rembrandt, 122 Peale Museum, Baltimore, 113, 122, 130, 137 Pearce, Enoch, 87 John N., 225 Pearre, Nancy C., Mining for Copper and Related Minerals in Maryland, 15-33 T. O., 29 Pease, Jane, and Pease, William H., Black Utopias: Negro Communal Experiments in America, reviewed, 106-107 Pease, William H., and Pease, Jane, Black Utopias: Negro Communal Experiments in America, reviewed, 106-107 Peckham, Howard H., The Colonial Wars, 1689-1762, 237 Peckor, Thomas, 216 Peggy Stewart (ship), 347 Pemberton, [John C.], 37 Penniman, Mrs., 71 Abbott L., Jr., 117, 120, 136 Pennington, Josias, 76 Pennsylvania (ship), 189 Pennsylvania Farm Museum, 115 Pennsylvania Gazette (newspaper), 202, 214 Pennsylvania Life and Culture, 115 Pensacola, Fla., 106 Pentz, John A., 235 Peo, 123 “People’s Campaign Song,” song, 173 Perine, Mr., 74 David M., 67, 69 Washington, 69 Perrot, Paul N., “American Glass of the 18th and 19th Centuries,” 132 Perry, William Stevens, 213, 388 Petersburg, Va., 41, 46 Peterson, Herman, 374 Petherick, Thomas, 25 Phelps, Brig. Gen. Charles W., 238 Jane L., 338 Phi Alpha Theta, 118 Philadelphia, Pa., 202, 233, 234, 347, 397 Philadelphia College of Dental Surgery, 284 Philadelphia Conference, Methodist Church, 351, 353, 354, 358, 364 ff. Philadelphia Evening Journal (newspaper), 178 Philadelphia General Conference, 1864, 366, 367 Philadelphia Inquirer (newspaper), 172 Philosophical Club of Newport, 201 Philosophical History and Memoirs of the Royal Academy of Sciences, 216 Philosophical Library, 238 Philosophical Transactions, by ——— Lowthrop, 215 Philosophy, by [Jean T.] Desaguliers, 215 Piatt, Donn, 157, 158, 160 Pickering, Danby, 376 Timothy, 263 Pickersgill Home, 123 Pills, Petticoats and Plows: The Southern Country Store, by Thomas D. Clark, 236 Pinto, John V., 153, 154 Piscataway, 382 Piscataway Creek, 381 Piscataway Manor, 381 Pitcher, Mrs. William, 136, 137 Platt, Washington, 320 Playthings exhibit, 122 Pleasants, J. Hall, 62, 66, 80 “A Plecian,” pseud., 344 Poe, Edgar Allan, 288, 293 John P., 339 Poe Society, 119 Polanyi, Michael, “Science and Philosophy,” 114 Pond, Mrs. E. H., 124 Pope, Cole and Co., 29 Pope’s Creek, 43 Poplar Hill, Baltimore, 63 ff., 69-72 “Poplar Hill Farm,” 65 Popper, Karl, 392 Port Royal, S. C., 106, 317 Portsmouth, N. H., 234 Potomac River, 5, 43, 46, 144, 381, 390, 400 Potter, David M., 244 Pratt Library, 240 Pratt Mansion, Maryland Historical Society, 118, 120 Pratt Street, Baltimore, 113 Prelude to Independence, by Arthur M. Schlesinger, 341 “Presbyterian Beginnings of Prince George’s County, Maryland,” by Louise Joyner Hienton, 409 Presbyterian Home for the Aged, 123 Preuss, Henry Clay, and Macaulay, Stewart, “The Star Spangled Banner Home of the Free,” 322 Price, David, 381 John, 240 Mary, 64 Richard, 64 Susanna (White), Mrs. John, 240 Prince George’s County, 237 Prince George's County Free School, 380-391 Prince George's Parish, 240 Prince George's County Tract Map, 409 Princess Anne, Somerset County, 152, 153 Princess Royalle (ship), 187 Princeton (ship), 307 Princeton College, 307 Principia, by [Isaac] Newton, 215 Principles and Practices of Dentistry, 284 Proceedings of the Maryland Court of Appeals, by Carroll T. Bond, 130 The Protestant Ethic and the Spirit of Capitalism, by Max Weber, 255 Provincial Court, 369-379 Publications Committee Report, 130-131 "Publicola," psued., 344 Pullen, Thomas G., Jr., 134 The Pursuit of Southern History: Presidential Addresses of the Southern Historical Association, 1935-1963, edited by George Brown Tindall, 405 Purviance, Robert, Jr., 87 Pyle, Lewis T., 145 Quakers in the Founding of Anne Arundel County, by J. Reaney Kelly, 119 Quarles, Benjamin, 107, 306 Quarles, Benjamin, The Negro in the American Revolution, reviewed, 108-109 "The Quarry," Baltimore, 87 Queen Anne, Prince George's County, 386 Queen Anne's County, 384 Queen Anne's Parish, Prince George's County, 213, 386 ff. The Quest for Power: The Lower Houses of Assembly in the Southern Royal Colonies, 1689-1776, by Jack P. Greene, 236 Quincy, [John], Chymical Lectures, 215 Quynn, Dorothy M., 182 Quynn, Dorothy M., and White, Frank F., Jr., "Jerome and Betsy Cross the Ocean," 241 Rachal, William M. E., Hutchison, William T., and editors, The Papers of James Madison, Volume III, 1781, 236 Radbill, Samuel X., M.D., editor, The Autobiographical Ana of Robley Dunglison, M.D., reviewed, 311-312 Radcliffe, George L., 117, 118 Rafferty, Dr., 98, 99 Ramsay, David, History of South Carolina, 290, 292, 293 John, 287, 290 Randall, Ann, 239 Anna, Mrs. Christopher, 239 Christopher, 239, 240 Christopher, Jr., 239 James, 239 Mary, 239 Nanny, Mrs. Christopher, 239 Richard, 123, 239 Richard H., 101, 230, 233 Randall, Richard H., Jr., "Great Men and Great Furniture in the 18th Century," 132 Sally, 240 Ranke, Leopold, 246 ff., 255, 257, 258 Rasin, I. Freeman, 339 Rawlings, James Scott, Virginia's Colonial Churches: An Architectural Guide, 317 Rayford, Thomas John, 36 Rea, William, 272 Read, Larkin, 58 ff., 83 Rebel Bishop: The Life and Era of Augustin Verot, by Michael V. Gannon, 404 Red Lane, Baltimore, 88, 89 Red Sulphur Springs, Va., 263, 265 Redwood Collection, Maryland Historical Society, 120 Redwood, Fisher and Neal Co., 190 Reed, Emily McKim, 119 Reed, Stickney and Co., 30 Reese, Rev. A. A., 362 Reeves, John, 371 Refugee Life in the Confederacy, by Mary Elizabeth Massey, 317 Register of Marylanders in the Armed Forces-World War II, 133 "Registration Methods and Acessioning Policies," by Helen M. Fede, 407 Rehearsal for Reconstruction: The Port Royal Experiment, by Willie Lee Rose, 317 Reipe, Mrs. Creighton, 136 Relations with Other Societies Committee, 134 Remington, Edward, 26 Repp mine, 17, 18, 20, 32 The Republican Party, 1854-1964, by George H. Mayer, 237; reviewed, 301-302 Resteau, Thomas C., M.D., 278 Restricted Fund, Maryland Historical Society, 139 Revere, Paul, 151 The Reverend Thomas Chase: Pugnacious Parson, by Rosamond Randall Beirne, 1-14 Reviews of Recent Books, 100, 222, 301, 392 "Reyley's Discovery," Prince George's County, 386, 387 Reynolds, William, 216 Rhett, Robert Barnwell, 172 Rice, Howard C., Jr., 233 Isaac, 106 Rich, A. Hester, 124, 125 Mrs. Ernest A., 124 Richard Allen, by Marcia M. Mathews, 236 Richards, James, 7, 8, 9 Stephen, 21 Richardson, Arnold, 81 ff. Beale Howard, 266, 267 Mary, Mrs. Arnold, 82 "Richardson's Mill," 79 Richman, Irwin, 115 Richmond, Va., 34, 44 ff. Richmond Times Dispatch (newspaper), 100 Rickert, Heinrich, 392 Ricketts, Thomas, 386, 387 Rickman, H. P., 256 Ridgaway, Henry B., 353 Ridgely family, 81 "Ridgely's Whim," Baltimore, 57, 58, 62, 67, 78, 80 ff., 85, 88 Ridout, Nancy, 124 Orlando, IV, 134 Rightmyer, Nelson W., 4, 10, 207, 213 Riley, Edward M., 204, 205 Rio Grande River, 397 Rives, William C., 308 Rob of the Bowl, by John P. Kennedy, 294, 295 Robbins, Royce and Hard, 175 Roberts, Rev. George C. M., M.D., 278 Robertson, James, 287 Robertson, James I., Jr., The Stonewall Brigade, reviewed, 103-104 Robinson, Anne (Athey), Mrs. Peter, 382 Galbraith, (Horse Shoe), 286-296 Horse Shoe, 286-296 J. Ben, 271, 273, 275, 277, 279, 280 James Harvey, The New History, 254 John, 394 Peter, 381, 382 R. J., 15, 20, 26 Rev. William, 204, 206 Robsart, Amy, 107 Rochambeau, [Jean Baptiste Donatien de Vineur, Count de], 233 Rochester, N.Y. Advertiser (newspaper), 179 Rockville, Montgomery County, 240 Rodin, Auguste, 401 Roger B. Taney, The Bank of Maryland Rioters, and A Whiff of Grapeshot, edited by Frank Otto Gatell, 262-267 Rogers, Benjamin, 70 Charles, 66, 70, 72, 73 Eleanor, Mrs. Nicholas, 70 H. G., 241 Nicholas, 70 Philip, 91, 92 Sarah (Hopkins), Mrs. Charles, 73 Capt. William, 70, 71, 74 William B., 304 Roland Avenue, Baltimore, 62 ff., 67, 69, 71 ff. Roland Park, 84 Roland Park Company, 75 Roop, A. A., 29 Roop mine, 17, 18, 29 "Rose Hill," Cecil County, 57 Roosevelt, Franklin D., 301 Theodore, 301, 338 Rose, Willie Lee, Rehearsal for Reconstruction: The Port Royal Experiment, 317 Rosecranz, [William S.], 41 Ross, J., 379 Rosser, Thomas L., 49 Rossiter Street, Baltimore, 87 Route 407, 113 Roux, Antoine, 135 Rowing Clubs exhibit, 122 Rowning, John, 215 Royal Chapel, Whitehall, 2 Royal College of Surgeons, 311 Royal Infirmary of Edinburgh, 311 Royal Infirmary of London, 311 Royal Raiders: The Tories of the American Revolution, by North Callahan, 236; reviewed, 310, 311 Rubelman, Robert J., 316 Ruckle, Thomas C., Cover Dec., betw. 358-359 Russum, George, 160 Rutherford, [John], Natural Philosophy, 215 Rutter, Mr., 91 Capt., 194 Elizabeth Hanson, 91 John, 91 Thomas, Jr., 91 Ryan, Frank, 305 Sack, Saul, History of Higher Education in Pennsylvania, reviewed, 308-309 St. Anne's Church, Annapolis, 94, 98, 343, 345 St. Augustine, Fla., 292 St. Barnabas Church, Prince George's County, 386, 387, 389 St. David's, Bishop, 2 St. Giles in the Fields, 2 St. James' Church, London, 2 St. John's Grand Lodge, Boston, 200 St. John's College, 94-99, 116 St. John's College, Cambridge, 2 St. John's Parish, Joppa, 10 St. Mary's College, 280 St. Mary's County Free School, 390 St. Mary's County Historical Society, 134 St. Mary's Seminary, 63, 65, 71, 112 St. Michaels, 135, 137 St. Patrick's Church, Washington, 397 St. Paul Street, Baltimore, 6, 331 St. Paul's Parish, Baltimore County, 2, 6, 7, 9, 11 ff., 72, 112 St. Thomas' Church, Baltimore County, 7 St. Thoma's Hospital, 202, 203 St. Vincent's Orphan Asylum, 397 Saints and Sectaries: Anne Hutchinson and the Antinomian Controversy in the Massachusetts Bay Colony, by Emery Battis, reviewed, 107-108 Salem, Mass., 233 Salisbury, Wicomico County, 152 The Salmon King of Oregon, by Gordon B. Dodds, reviewed, 315-316 Saltonstall family, 230 Sandburg, Carl, 47 Sangamon County, Ill., 170 Sappington, Thomas, 23 Saratoga Street, Baltimore, 6, 324 Savage, Mr., 400 Savannah, Ga., 40 Savelle, Max, A History of Colonial America, 237 Savier, Joseph B., 279 Savigny, [Friedrich Karl von], 248 Scarff, John H., 123, 399 Scarlett, Martin, 102 "Scavola," pseud., 345 Scharf, J. Thomas, 6, 7, 11, 79, 282 Schaw, Dr. John, 216 Schenck, Robert C., 145, 147 ff., 158, 160, 363 Schlesinger, Arthur M., 267 Schlesinger, Arthur M., Prelude to Independence: The Newspaper War on Britain, 1764-1776, 341, 347 Schley, Jacob, 398 Col. Wm. L., 238 School, Prince George's County Free, 380-391 Schultz, Edward T., 207 Schultz, Lawrence W., Durnbaugh, Donald F., and, A Brethren Bibliography, 1713-1963, reviewed, 314 Schwarzenau, Brethren, 314 Schweigger, Dr., 330 "Science and Government," by James R. Killian, 114 "Science and Philosophy," by Michael Polanyi, 114 "Science and the Humanities," by Gerald Holton, 114 "Science as a Cultural Force," 114 Scott, Bishop, 352, 353, 355 ff. James, 90 Joseph, 91 Rossiter, 85-90 Rossiter, Jr., 87 Thomas, 87 Townsend, 87 Sir Walter, 248 William, 90 Scott mine, 20, 25 "Scott's Mill, Baltimore, 85-90, 91 Scripps, John, 171, 172 Seale, William, Jr., 239 Second Avenue, Hampden, 89, 90 2nd Maryland Volunteers, 238 Sedgwick, Miss, 289, 295 "Seed Ticks Plenty," Baltimore, 61, 87, 88, 91 Seignobos, Charles, 244 Seminar for Historical Administrators, 115, 239 "A Senator," pseud., 344, 345 Seton, Mother, 119, 122, 132, 137 Seton House, 122, 123 7th Maryland, 238 Severn River, 380 Sewall, Samuel, 226 Sewell, Major Nicholas, 80 Shamokin, Pa., 5 Sharp Street, Baltimore, 113 Sharpe, Gov. Horatio, 9, 130 Shaw, Capt., 37 Shawinigan Electroproducts Co., 30 Sheffield, John, 373 "Shell Companies Foundation Lectures on Science, Technology, and Society," 114 Shenandoah Valley, 100 "Sheredine's Discovery," Baltimore, 52 Sherlock, Thomas, 205, 210, 211 Sherwood, Daniel, 374, 375 family, 313 Sherwood Gardens, 57 Shiloh, Battle of, 41 Shoemaker, David P., 93 Shorthose, James Henry, 381 Shull, Thelma, Victorian Antiques, reviewed, 232 Shumway, George, Durrell, Edward, and Frey, Howard C., Conestoga Wagon, 1750-1850: Freight Carrier for 100 Years of America's Westward Expansion, 318 Sickert, Walter, 401 Sidelightings, 94, 217, 297, 380 Sidney Sussex, 2 Sidney, J. C., Map of the City and County of Baltimore, 67, 75, 83, 89, 93 Siebert, [Wilbur H.], 310 Sim, Joseph, 390 Simms, Henry H., 409 W. Gilmore, 288 ff., 295, 304, 305 Simon, Dr., 337 Walter M., 253 William, 271, 274, 278, 280, 284 Simpson, Bishop, 357 Sinclair, Robert, 72 Singewald, Joseph T., Jr., 24, 26, 30 Sister Superior M. Benedicta, 328, 329, 332, 333, 335 ff. Sister Veronica, 325 Sisters of Mercy, 324, 328 ff., 336, 338, 339 Six Nations, 5, 6 Sixth Avenue, Baltimore, 61, 62, 89 6th Maryland, 238 Skaggs, David C., 409 Skaggs, David K., Editorial Policies of the Maryland Gazette, 1765-1783, 341-349 Sketches from the Civil War in North America, by Adalbert John Volck, 240 Slee, Jessie, 124 Slicer, Rev. Henry, 364 "Smallwood's Retreat," Charles County, 122 Smith, Mrs. Arthur L., 133 Charlotte Watkins, 260 Conrod, 63, 68 Ellen Hart, 108, 226, 312 James, 21 Smith, James Morton, editor, Documentary Problems in Early American History, 395-396 Capt. John, 317 John Addison, 70, 71 Smith, Joseph H., and Crowl, Philip A., editors, Court Records of Prince George's County, Maryland 1696-1699, 237 Page, 261 Smith, Paul H., Loyalists and Redcoats: A Study in British Revolutionary Policy, 404 Preserved, 248 Sarah (Rogers), Mrs. John A., 70 Theodore Clarke, 259 Smith, William, A General Idea of the College of Mirania, 309 William Rogers, 70 ff. Smithsonian Institution, 122, 241, 407 Snyder, William Trammell, Knowing Maryland, 405 The Social and Economic Impact of the Civil War on Maryland, by Richard R. Duncan, 409 Social Science Research Council, 244, 245 Society for Propagating the Gospel in Foreign Parts, 3 Society for the Preservation of Maryland Antiquities, 119, 132 Society of Apothecaries in London, 311 Society of the Ark and the Dove, 119 Society of the Cincinnati in Maryland, 119 "Solon," pseud., 348 "Some Records of the Stewarts of Ashbourne and Hambrooke Point, Dorchester County, Maryland," by Robert G. Stewart, 112 Somerset County, 2 ff., 153 Somerset County Historical Society, 118, 122, 123 Somerset Parish, 2 Sons of Colonial Wars of Maryland, 130 Sons of Liberty, 343 Sorrel, G. Moxley, 37, 40 South Mountain, 15, 17, 18, 21 South River Club, 214 South Sharp Street, Baltimore, 279, 283 Southard, Samuel L., 218 ff. Southern Connecticut College, 322 The Southern Frontier, by John Anthony Caruso, reviewed, 104-105 Southern Historical Association, 405 Southern History in the Making: Pioneer Historians of the South, by Wendell Holmes Stephenson, 405 Southern Quarterly Review, 305 Sparks, Jared, 77 Special Projects Committee Report, 137 Spence, Dr., 199-216 Spencer, Rev. Archibald, 199-216 Adam, 199 Henry, 135 Sporne, Nicholas, 372 Sprigg, Edward, 387 Samuel, 223 Spring-Garden tract, Frederick County, 21 Springfield, Ill., 169 Springfield, Ill., Weekly Illinois State Journal (newspaper), 167, 172 Springfield Copper Company, 26 Springfield Iron Mine, 25 ff. Springfield mine, 17, 18, 19, 30 "Springvale," 75 Stabler, Edward, 400 Stafford County, Va., 102 Stamp Act, 341, 346 Stanford University, 322 Stanger, Adam, 21 Stanton, David L., 238 Edwin M., 147 Joseph L., 135 Stanton, Joseph L., "A New Face On An Old Port," 132 "Star Spangled Banner," 174, 300 "The Star Spangled Banner Home of the Free," by Henry Clay Preuss and Stewart Macaulay, 322 Starr, Chester G., 244 State House, Annapolis, 122, 266 Staunton, Va., 355 ft., 395 ff. Stein, Freiherr vom und zum, 248 Steiner, Bernard C., 211, 380, 382, 388, 391 Dr. Lewis, 402 Stephenson, Wendell Holmes, Southern History in the Making: Pioneer Historians of the South, 405 Stepney Parish, Somerset County, 2, 3 Sterling, Richard W., 258 Stern, Fritz, 243, 245 Stevenson, Almira Jemima, 66 Evan, 66 George Rollsell, 66 John, 64 ff., 70 Dr. John, 10, 11, 21 John Wesley, 66 Oliver Perry, 66 Rebecca, 64 Rebecca (Evans), Mrs. John, 66 Rebecca Ann, 66 Rehekah, 64 William, 72, 73 Capt. William, 182-198 Stevenson's Copper Works, 21 Stewart, George H., 81 ff. J. J., 60 R. S., M. D., 278 family, 112 Stidger, Felix W., 48 Stockwell, David, 223 Mrs. David, 224 Stoddert, James, 380 Stokes, Frances-Ann Zug, 232 Mrs. John C., 123 Robert Young, 80 Stone Chapel, Carroll County, 113 Stone family papers, 128 The Stonewall Brigade, by James I. Robertson, Jr., reviewed, 103-104 Stonewall Jackson, by Lenoir Chambers, 104 Stony Run, 52-93 Strassburg, University of, 256 Stratton Major, Va., 204 Strawbridge, [Robert], 64 Strawbridge's Log Meeting House, Carroll County, 113 Strawser, Neil, 345 Strayer, J. R., 254 Joseph, 248 Stringfellow, Capt., 37 Stuart, Gilbert, 398 J. E. B., 37, 38 Studies in Maryland History, 130 Suckley, Geo., 297 Sudsberg, Col. Jos. M., 238 "Summary Statement of Millstreams in the Vicinity of Baltimore," 77 Sumwalt Run, Baltimore, 79, 88 The Sun, 60, 84 Sunday Sun Magazine, 101, 121 Sunpapers, Baltimore, 124 Surname Index to Sixty Five Volumes of Colonial and Revolutionary Pedigrees, by George Rodney Crowther III, 236; reviewed, 313 Susan Constant, (ship), 100 Susquehanna River, 5 Sutro, Ottilie, 122 Swallow Barn, by John P. Kennedy, 295, 322 Swan, [James], Designs in Architecture, 225 Robert, 216 Swaney, Charles Baumer, 350, 351, 353, 367 Swann, Thomas, 144, 145 Swarm, Virginia Moore, 121, 128, 136 Swarthmore College, 308 Sweeney, John A. H., Grandeur on the Appoquinimink: The House of William Corbit at Odessa, Delaware, reviewed, 222-225 Sweet, William Warren, 351, 358, 359 Swett, Mrs. Paul, 137 Swisher, Carl B., 262 Sword and Pen for George Washington, by Alice Curtis Desmond, 404 Sybel, [Heinrich von], 252 Sydnor, Charles, 393 Sykesville, 17, 23, 25 ff.; 30 Sykesville District, 15, 17, 18 Symington, Katherine S., 136, 137 Syng, Philip, 216 The Szolds of Lombard Street, by Alexandra Lee Levin, 409 Tableland Trails, reviewed, 400-401 Taft, Robert A., 302 William Howard, 301 Taine, [Hippolyte A.], 252 Talbot County Historical Society, 122, 123, 136 Talbott, William A., 57 Taney, Roger B., 262-267, 320 Taneytown, 19 "The Taller Man Well Skilled," song, 174 Tangier Island, 155 Tarleton, Banastre, 292 Tarr, J. H., 155 Tasker, Thomas, 80 The Tavern Lamps Are Burning: Literary Journeys Through Six Regions and Four Centuries of New York States, selected by Carl Carmer, 317 Taylard, William, 373 Taylor, Mrs., 226 Taylor, Captain, 293 Lt. Col. B. F., 238 Charles E., 34, 42, 44 Esther N., 124 Hannah, 381 Robert, 63, 65, 75, 83 Taylor, Robert, Map of Baltimore City and County, 54, 67, 71 Zachary, 176 family, 55 "Technology and Society," by Jerome Wiesner, 114 Teggart, Frederick J., 261 Tennent, William, 308 Tercentenary History of Maryland, by Matthew Page Andrews, 75 Terence's Comedies, 216 Tevis, Lt. Col. C. Carroll, 150, 157, 158, 160 Texas A & M University, 322 Thackeray, William Makepeace, The Virginians, 290 Thayer, Theodore, As We Were: The Story of Old Elizabethtown, 317 Thiel College, 308 Thiers, [Louis Adolphe], 252 Third Maryland Cavalry, 157 3rd Maryland Volunteers, 238 Third Avenue, Hampden, 89, 90 Thirty-Seventh Street, Baltimore, 62 Thirty-Sixth Street, Baltimore, 89 This Was Chesapeake Bay, by Robert H. Burgess, reviewed, 101 Thom, Mrs. DeCoursey, 121 Mary Gordon, 137 Thomas, Ebenezer Smith, 79 L., 297 Martha Carey, 309 Thomas, W. Va., 400 Thomas and Hugg Memorial, Maryland Historical Society, 117, 118, 121, 122, 133, 135, 136 Thomas and Hugg Memorial Building Committee Report, 136 Thomas Collyer [ship], 158 Thompson, Edith, 124 James, 60 James Westfall, 249 John W., 37 Thomson, Thomas, 381 Thorpe, Burton Lee, 270, 271, 273 The Three Worlds of Captain John Smith, by Philip L. Barbour, 317 Thurston, Capt. D. P., 150 Thucydides, 247 Tilden, Samuel J., 303 Tilghman, Tench Francis, 116 Tilghman, Tench Francis, Exeunt, Roaring, 94-99 Tillotson, John, 215 Timmons, Thomas A., 160 Tindall, George B., 306 Tindall, George Brown, editor, The Pursuit of Southern History: Presidential Addresses of the Southern Historical Association, 1935-1963, 405 Titlile, Amelia (Apsby), Mrs. Jeremiah, 85 Jeremiah, 57, 84, 85 Tolbert, Harvey Allan, 239 Tombstone, Ariz., 53 Tools Exhibit, 122 Totness (ship), 347 Tourgee, Albion W., 41 Towers, Rev. Dr., 208 Townley, Lady Margaret Frances, 10 Townley estate, 1 Townsend, Richard H., 60 Townsend Acts, 347 Towson State College, 119 "The Tragic Career of H. G. Rogers, A Jacksonian Diplomat," by Harold D. Langley, 241 Transquaking River, 60 Travels in North America in the Year 1780, 1781, and 1782, by the Marquis de Chastellux, reviewed, 233-234 The Treasure House of Maryland, 119 Treasurer of the Eastern Shore, 383, 385 Treasurer of the Western Shore, 383, 385 Treasurer's Report, 138-142 Trenwith, George, 28 Trevelyan, George Macauley, 245 Trimble, Major General Isaac Ridgeway, 148 Troy, N. Y. Daily Times (newspaper), 168 Tuesday Club, 207, 212, 341 Tumult on the Mountains: Lumbering in West Virginia, 1770-1920, by Roy B. Clarkson, 404 Turner, Barrida, 84 Robert, 83, 84 Robert, and Sons, 83 Tuscaloosa, Alabama, 287 Tuxedo Park, Baltimore, 67 Twenty-Eighth Annual Report of the Archivist of the Hall of Records, State of Maryland, for the Fiscal Year July 1, 1962 Through June 30, 1963, 317 Tyler, John, 307 Robert, 380, 386, 387, 390 Samuel, 387 Tyson, Isaac, 24, 27 ff., 88, 92 Isaac, Jr., 22, 23, 25 James, 25, 26 P. T., 23 Raymond, W., 94 Underwood Road, Baltimore, 57 Union Bank of Baltimore, 91, 93 Union Bank of Maryland, 262 Union Bridge, 19, 20 Union Democrat (Manchester, N.H., newspaper), 176 “Union Mill Property,” 88, 90-94 Union Room Committee, Maryland Historical Society, 238 Union Run, 77, 84, 88, 90, 91, 93 Union State Central Committee, 144-145 Unionville, 29 Unionville mine, 17, 18, 29, 32 The United Colonies of New England, 1634-90, by Harry M. Ward, reviewed, 230-231 United Mining, Milling and Copper Smelting Co., 32 University Microfilms, 112 University Parkway, Baltimore, 57, 59, 77, 78, 81, 84 U.S. Civil War Centennial Commission, 103 United States Gazette (newspaper), 279-295 United States Geological Survey, 116 United States Military Academy, 116 United States National Museum, 404 U.S. Navy Department, Dictionary of American Naval Fighting Ships, reviewed, 228-230 U.S. Signal Corps, 399 University of the City of New York, 276 University of Delaware, 222-225, 406 University of Edinburgh, 311 University of Erlangen, 311 University of Illinois, 231 University of Maryland, 128, 131, 272, 274, 275, 280, 312, 322, 334 ff. University of Maryland School of Dentistry, 278 University of Maryland School of Medicine, 273, 323, 327, 340 University of Oklahoma, 316 University of Pennsylvania, 115, 241, 309 University of Richmond, 109, 409 University of South Carolina, 401 University of Virginia, 312 University of the West Indies, 321 Upper Marlboro, Prince George’s County, 47, 380, 382 Upton and the Army, by Stephen E. Ambrose, 404 Urbanna, Va., 204 Valentine Museum, 121 Valley Forge, Pa., 117 Van Bibber, Mr., 81 Abraham, 57, ff., 61, 78, 80 Andrew, 80, 81 George L., 57 Isaac, 80 Lucretia, 57, 58 Mary (Young), Mrs. Abraham, 80 Sarah (Chew), Mrs. Abraham, 80 Thomas E., 57 Washington, 58, 80 ff. Washington Chew, 57 Van Bibber’s Mill, 78, 79 Van Lewenhoek, Anthony, 209 Van Tassel, David, 250 Van Tyne, [C. H.], 310 Van Wyck and Dorsey, Messrs., 92 Varga, Nicholas, 394 “Vauxhall,” Baltimore, 62-69 Venable, Austin, 305 Venn, John., 2 Venten, D., 175 Vernon, Lt. Col. George W. F., 238 Vernon Mining Company, 28 Verot, Augustin, 404 Veteran Volunteer Firemen’s Association, 127 Vickers, George, 157, 160 Vico, Giambattista, 247 Victoria, Queen of England, 107 Victorian Antiques, by Thelma Shull, reviewed, 232 “Villa Monta, Baltimore, 85 Villard, Oswald Garrison, 305 Vincent, John S., 60 “Vindex,” pseud., 345 Virchow, Dr., 330 Virginia, 1705-1786: Aristocracy or Democracy? by Robert E. and B. Katherine Brown, 237 Virginia Beach, 100 Virginia Consolidated Copper Co., 31 Virginia Gazette (newspaper), 80, 204 The Virginia House of Burgesses, 1750-1774, by Lucille Griffith, 236; reviewed, 393-394 Virginia Magazine of History and Biography, 102 Virginia Polytechnic Institute, 116 Virginia's Colonial Churches: An Architectural Guide, by James Scott Rawlings, 317 The Virginians, by William Makepeace Thackeray, 290 Vision: A Biography of Harry Friedenwald, by Alexandra Lee Levin, 317, 409 "Vive la Companie," song, 172 Vocabulary in Six Languages, 216 Vogelstein, L., 31 Volck, Adalbert John, opp. 144, 240 Volck, A. J., "Writing the Emancipation Proclamation," opp. 144 Voltaire, [Francois], 247 Von Laue, T. H., 246, 251 von Schlozer, A. L., 248 von Sybel, Heinrich, 249 von Treitschke, Heinrich, 252 A Voyage to the East Indies, 1805, edited by Frank F. White, Jr., 182-198 Wagandt, Charles L., 241 Wagandt, Charles L., Election by Sword and Ballot: The Emancipationist Victory of 1863, 143-164 Wagandt, Charles L., The Mighty Revolution Negro Emancipation in Maryland, 1862-1864, 404 Wahl, Jo Ann, 239 Walker, Jane [Coppinball], Mrs. Thomas, 2 Sarah, 4 Thomas, 4 Thomas, Sr., 2 Thomas, Jr., 2, 4 family, 2 Wall, John, 381 Wallops Island, Va., 100 Walsh, Richard, 109, 231, 300, 321 W. H., 261 Walters Art Gallery, 123 Walton, John, 309 Wampler, J. Morris, 89 The War of 1812 on the Chesapeake Bay, by Gilbert Byron, 119; reviewed, 235 War Records Committee Report, 133 War Records Division, 133 Ward, Mr., 74 Churchill E., 103 Elizabeth Roberts, 71 Ward, Henry M., The United Colonies of New England, 1634-90, reviewed, 230-231 John M., 74 John W., 71 William Henry, 71 family, 71 Ward, Winder, McElderry, McCoy, Messrs., 69 Warfield, Susanna, 126 Waring, Basil, 389 Warren Factory, 57 Warwick, England, 12 Washburn, Wilcomb E., 241 Washington, George, 127, 226, 237, 348, 349, 393, 394, 400, 404 Washington, D.C., 36, 39, 43, 170, 397 Washington Area History Conference, 114 Washington: Capital City, 1879-1950, by Constance McLaughlin Green, 236 Washington College, 94 Washington County, 15 Washington County Museum of Fine Arts, 121 Washington Medical College of Baltimore, 275, 276, 280 Washington Monument, Baltimore, 112 Washington Monument, Washington, 165 Washington Navy Yard, 218 Washington Public Library, 397 The Washington Tontine, 126 Washington University, 85 Washington University Hospital, 324 Waters, Capt. P. M., 288 Watkins, Ann (Brown), 215, 216 Joseph, 214 Watkins, Malcolm, "Curatorship," 407 Watson Street, Baltimore, 113 Watts, Thomas B., 25 Waugh, Rev. Beverly, 278 Waverly, 55 Webb, Mrs. Charles A., 136 Weber, Max, The Protestant Ethic and the Spirit of Capitalism, 254, 255 Webster, Albert L., 57 Daniel, 398 Col. Edwin H., 238 family, 231 Weis, F. L., Ancestral Roots of Sixty Colonists, 313 Weiser, Conrad, 5 Welling, John, 381 Wells, Madeleine, H., 124 Welsh, Robbert, 240 Weltburgerium und Nationalstaat, 258 Wertz, E. S., 31 Wescott, George, 21 Wescott Copper Mine, 21 Wesley College, Dover, Del., 113 West, Mary Magdalen, 213 William, 80 Rev. William, 12 West Lombard Street, Baltimore, 326 West Monument Street, Baltimore, 62, 120, 137, 319 West Mulberry Street, Baltimore, 112 The Western Journals of Dr. George Hunter, 1796-1805, edited by John Francis McDermott, reviewed, 311-312 Westminster, England, 1 Westmoreland County, Va., 43 Wharton, Vernon L., 306 “What Are Historical Facts,” by Carl Becker, 259 Wheeler, Dr. H. L., 135 Joseph, 37 Joseph T., 215, 342 Wheeler, Joseph T., The Maryland Press, 1777-1790, 341 “Wheeler’s Lott,” Baltimore, 54 When The Old Mercy Hospital Was New, by Alexandra Lee Levin, 323-340 Wherrett, James H., 408 Mary (Zachery), Mrs. James H., 408 W. N., 408 The Whirligig of Politics: The Democracy of Cleveland and Bryan, by J. Rogers Hollingsworth, reviewed, 231-232 Whiskey Rebellion, 263 White, Andrew Dickinson, 249, 250 Francis, 71 Frank F., Jr., 125, 241, 315, 316 White, Frank F., Jr., editor, A Voyage to the East Indies, 1805, 182-198 Mrs. G. Howard, 183 Jacob, 155 Lucius R., 120 Maunsel, 304 Mrs. Miles, Jr., 58 White Hall Mill, 91 White House, Washington, D.C., 302, 303, 407 Wicomico County, 2, 3 Wicomico River, 2 Widder, Robert, “Installation,” 407 “Wide-Awakes,” 169 Wiesner, Jerome, “Technology and Society,” 114 The Wigwam, Chicago, 167 “The ‘Wigwam’ Grand March,” song, 175 Wild Fund, Maryland Historical Society, 139, 140 Wildesen mine, 26, 27 Wilkinson, [James], 105 Walter W., 393 Willen, John, 381 William and Mary of England, 395 William and Mary College, 3, 204, 205 William Buckland, 1744-1774, Architect of Virginia and Maryland, by Rosamond Randall Beirne, 116 William Fitzhugh And His Chesapeake World, 1676-1701, edited by Richard Beale Davis, reviewed, 102-103 William Matthews: Priest and Citizen, by Joseph T. Durkin, S.J., 317; reviewed, 397-398 WILLIAM PATTERSON AND “OLD IRONSIDES,” by Harold D. Langley, 217-221 Williams, Charles R., 303 Elizabeth Hawkins, 121 G. H., 15, 20 Mrs. George Weems, 136, 137 Huntington, 129 Lucy Winchester, 121 Williams, T. Harry, editor, Hayes: The Diary of a President, 1875-1881, 237; reviewed, 303-304 T. J. C., 23, 25 ff. Wayne C., 168, 176, 178, 179 William, 87 Williams Fund, Maryland Historical Society, 140 Williamsburg, Va., 100, 204, 205, 233, 239, 347 Williamson, David, Sr., 121 David, Jr., 121 “Willow Farm,” Baltimore, 87 Willson, ———, Chemistry, 215 Wilmington, Del., 99 Wilson, David Shields, 57, 58, 75 James, 74, 79 Col. John W., 238 Mary Hollins (Bowley), Mrs. David S., 57 Rev. N., 356, 357, 360 Rufus Rockwell, 168, 177 William C., 75 Woodrow, 301, 302 Wilson & Perry, Messrs., 69 Windelband, Wilhelm, 256 Winder, Mrs., 74 Araminta Rogers (Bailey), Mrs. William Sidney, 73, 74 William Sidney, 73, 74, 79 The Windjammers, 119 Wingate, James, 164 Winslow, Mr., 400 Caleb, 401 Winsmore, Dr. Robert, 60 "Winston," Baltimore, 53, 54 Winters Run, 77 Winterthur Museum, 121, 132, 407 Winterthur Portfolio: One, 318; reviewed, 398-399 Winterthur Series, 222-225 Winthrop family, 230 Wise, Henry A., 304, 305 Wise, John S., The End of an Era, 305 Wish, Harvey, 261 Wood, Judson P., translator, The New Democracy in America: Travels of Francisco de Miranda in the United States, 1783-84, reviewed, 316 Wollaston, John, 122 Woltz, George, 121 Woman's Day (magazine), 121 Woman's Day Book of American Needlework, 121 Woman's Eastern Shore Society, 119 Woman's Hospital, 333 Women's Committee, 122 Women's Committee Report, 136 "Wood-Chopper of the West, song, 174 Woodlawn, Mt. Vernon, Va., 407-408 Woodville family, 127 Woodward, Henry, 214 Woolrick, Peter, 68 Philip, 68 Rebecca, 68 Woolerick, Sarah, 68 Wootton, Singleton, 390 Worcester County, 153 Wrenn, Lewis & Jencks, 112 Wright, Arthur F., 244 Frances, 106 Wright, Mrs. J. M. P., "Annapolis, Will Its Future Match Its Past?" 132 The Writ of Audita Querela in Eighteenth-Century Maryland, by C. Ashley Ellefson, 369-379 "Writing the Emancipation Proclamation," by A. J. Volck, opp. 144, 240 Wroth, Lawrence C., 342, 346 Wroth, Lawrence C., A History of Printing in Colonial Maryland, 341 Wyeth, John A., 41 Wyman, S., 88 Wyman Park, Baltimore, 76, 86, 88 Wyndhurst Avenue, Baltimore, 62, 67 ft. Wynne, Patricia, H., 241 WYNNE, PATRICIA HOCHWALT, Lincoln's Western Image in the 1860 Campaign, 165-181 Wynnewood Towers Apartments, 59 Yancey, William L., 305 Yardley, Richard Q., 100 Yates, Richard, 169, 170 Yellow Tavern, Battle of, 37 Yonge, Dr. Paul A., 107 York Avenue, Baltimore, 266 York River, 39 York Road, Baltimore, 52 ft., 57, 58, 65 79, 81, 82, 87 Yorktown, Va., 39, 218, 349 Youghiogheny River, 400 Young, Benjamin, 378 Clara (Sewell), Mrs. William, 80 Hugh Hampton, 59 Dr. John, 190 Rebecca (Young), Stokes, Mrs. Samuel, 80 Samuel, 80 Col. William, 80 estate, Baltimore, 81 "Young's Escape," Baltimore, 80 "Youth Programs," by Margaret Boutin, 407 Zachary, Dr. Lloyd, 202 Zion Lutheran Church, Baltimore, 113 The Zollie Tree, by Raymond E. Myers, 317
College: Arthur Temple College of Forestry and Agriculture Department: Agriculture Course Status: Existing; requires modification Course Prefix and Number: HRT 222 Course Title: Floral Design Course catalog description: The history and development of floral design focused on the elements and principles of design illustrated with the use of floral materials and techniques to create an appreciation of this art. Two hours lecture, two hours lab per week. Number of semester credit hours: 3 Estimated enrollment per year: 200 Course prerequisites: none Course is not available online Foundational Component Area: Creative Art: This course focuses on the exploration and appreciation of floral design as an art. The elements (line, form, texture/pattern, color, space and size) and principles (dominance, balance, proportion, harmony, rhythm, unity and contrast) of floral design provide the foundation for the appreciation of floral design aesthetics and innovation to assist student’s appreciation of the various styles of expression. The history of floral design examines the progression of this art as influenced by cultural, societal and religious norms as well as design techniques and mechanics. Explain why this course fits into this foundation component area: Core Objectives: Critical Thinking: The design process (thinking, observing and practice) and critiques (Feldman method - description, analysis, interpretation and evaluation) provide the cornerstone to critical thinking. Direct instruction and active learning provide the backbone to support creative thinking, innovation, inquiry and analysis as well as evaluation and synthesis to accomplish the desired aesthetics. Students in lecture and laboratory will be instructed in the design process and procedures for critiquing floral designs. Students will practice the design process through the creation of floral designs characteristic of different design styles in the laboratory. Similarly, students will apply critiques to their own and fellow student’s floral designs. Communication Skills: Flowers (floral designs) are a powerful tool for visual communication affecting one's mood, happiness, connections and compassion, at the deepest levels of human emotion. Students in lecture and laboratory will be instructed on the impact of symbolism and color of floral materials as tools of visual communication. Students will practice visual communication through the floral designs created in the laboratory. The design process and critiques incorporate visual, oral and written forms of communication. Students will practice written, oral and visual communication using the design process and critiques in their group and final design projects that require written (descriptions, materials list and cost); visual (sketches, PowerPoint, floral design) and oral (critiques, presentation). Teamwork: Students in lecture will be instructed in the guidelines and dynamics of effective teamwork to accomplish a common goal. There are two projects where students will demonstrate teamwork. Teams of 2-3 students will demonstrate teamwork in the creation of a floral design for a specific person or charity using the design process. This will require students to apply teamwork to the planning, creation and delivery of the floral design within the confines of a theme, budget and list of materials. Similarly, students will apply teamwork principles to the composting and recycling project. Social Responsibility: Intercultural competence will be developed through lectures exploring the contributions of various cultures on the development of floral design and the impact of the floriculture industry, globally, regionally and locally. Students will be instructed and practice social responsibility through the composting and recycling of waste products from the laboratory in collaboration with the SFASU Sustainable Community Education Garden. Additionally, students will be instructed and practice civic responsibility through the creation of a floral design specifically designed for a person or charitable organization discovering the psychological effects of flowers through giving of floral designs. Course Description: The history and development of floral design focused on the elements and principles of design illustrated with the use of floral materials and techniques to create an appreciation of this art. Two hours lecture, two hours lab per week. Program Learning Outcomes: 1. The student will demonstrate entry level skills needed for success in horticulture, agronomy and other related fields in the area of a) plant physiology and anatomy, b) practical experience in plant management systems, c) basic knowledge of plant genetics and reproduction, d) identification and knowledge of crops and e) management of soils and soilless media. 2. The student will demonstrate quantitative competence related to horticulture and agronomy. 3. The student will exhibit problem solving skills based on quantitative and analytical reasoning. 4. The student will demonstrate effective communication skills. 5. The student will exhibit leadership and other interpersonal skills needed for career placement and advancement. \| Course \| PLO 1 Plant Science \| PLO 2 Quantitative \| PLO 3 Problem Solving \| PLO 4 Communications \| PLO 5 Leadership \| \|--------\|---------------------\|--------------------\|-----------------------\|----------------------\|-----------------\| \| HRT 222\| I \| B \| B \| I \| I \| B-Basic I-Intermediate A-Advanced M-Mastery General Education Core Curriculum Objectives/Outcomes: 1. Students will apply the design process (thinking, observing and practice) and critiques (Feldman method - description, analysis, interpretation and evaluation) to demonstrate critical thinking. (Critical Thinking) 2. Students will demonstrate written, oral and visual communication skills through the use of critiques, the design process and creation of floral designs. (Communication Skills) 3. Students will demonstrate teamwork through a collaborative design and composting/recycling project. (Teamwork) 4. Students will demonstrate social responsibility in the collaborative design and composting/recycling projects. (Social Responsibility) Foundational Component Areas \| Component Area \| Critical Thinking \| Communication Skills \| Empirical & Quantitative Skills \| Teamwork \| Social Responsibility \| Personal Responsibility \| \|----------------\|-------------------\|----------------------\|---------------------------------\|----------\|-----------------------\|------------------------\| \| Creative Art \| X \| X \| \| \| X \| \| Student Learning Outcomes: Upon completion of this course, the students will: 1. Be able to define and identify the principles and elements of design used in floral composition and use appropriate terminology in describing and interpreting a floral composition. 2. Learn and understand the design process. 3. Be able to describe the steps required for the care and maintenance of cut flowers for maximum longevity. 4. Communicate in critical, creative and innovative ways about floral designs. Text and Materials: Johnson, J.L., W.J. McKinley, Jr. and M. ‘Buddy’ Benz. 2001. Flowers: Creative Design. San Jacinto Publishing Co., 4354 TAMU, College Station TX 77843 Course Requirements: Lecture - Exam I 22% - Exam II 22% - Final 22% Laboratory - Floral design portfolio 10% - Team design project 10% - Final floral design project 14% Total 100pts Course Calendar: Tentative Lecture Schedule: 66% Topic outline and Exam dates (Exam dates or topics may change with prior notification) Week 1 Florist profession / industry Week 2 Elements of floral design – line, form, space, texture/pattern, color and size. Week 3 Elements cont. and Principles of floral design – dominance, proportion, balance, rhythm, harmony, unity and contrast. Week 4 Principles cont. Week 5 Care and handling of cut flowers and foliage Week 6 Flower and foliage forms (line, mass, form and filler) Week 7 Design styles – Mille Fleurs, Biedermeier, Phoenix, Waterfall, Botanical, Vegetative, Landscape Week 8 Design styles cont. – Western line, Parallel systems, New convention, Formalinear, Sheltered, Pave, New wave, Abstract Week 9 Containers Week 10 History – Egyptian, Greek, Roman and Byzantine Week 11 European – Middle ages, Renaissance Baroques and Dutch-Flemish, French, English-Georgian, Victorian Week 12 Asian – Chinese, Japanese and American – Early American, Colonial, Neoclassical, Victorian Week 13 Modern – Art Nouveau, Art Deco, Free-Form Expression, Geometric and Contemporary Week 14 Design mechanics Week 15 Design techniques Tentative Laboratory Schedule: 34% Week 1 Floral tools and mechanics Week 2 Single and multi-stem bud vases Week 3 English garden Week 4 Circular design Week 5 Exam I Week 6 Symmetrical triangle design Week 7 Linear design Week 8 Boutonnieres, corsages, living jewelry – hand tie techniques Week 9 Final design project - presentation and write-up Week 10 Exam II Week 11 Dozen roses Week 12 Team design project – design and write-up Week 13 Formalinear design Week 14 Wreaths and garlands Week 15 Final design project – design Exam Schedule: Exam I xx, 2014 Exam II xx, 2014 Final xx, 2014 Laboratory Floral design portfolio xx, 2014 Team design project and write-up xx, 2014 Final design project, write-up and presentation xx, 2014 (Final project due xx, 2014 with Floral Design Exhibit xx, 2014 from 10:00 am to 4:00 pm) Grading Policy: Grades will be assigned according to the following scale: The lecture and laboratory grades will be pooled and you will receive the same grade for both the lecture (2 hrs) and laboratory (1 hr) A = 90 - 100% B = 80 - 89.9% C = 70 - 79.9% D = 60 - 69.9% F < 59.9% Classroom Behavior: Students are expected to assist in maintaining a classroom environment which is conducive to learning. In order to assure that all students have an opportunity to gain from time spent in class, unless otherwise approved by the instructor, students are prohibited from eating in class, making offensive remarks, reading newspapers, sleeping or engaging in any other form of distraction. Inappropriate behavior in the classroom shall result in, minimally, a request to leave the classroom. Disruptive, distracting, or disrespectful behavior will not be tolerated. Students who disrupt the learning environment may be asked to leave class and may be subject to judicial, academic, or other penalties. The instructor shall have full discretion over what behavior is appropriate/inappropriate in the classroom. Responsible Use of Technology: It is expected that all students will only use cell phones, PDAs, laptop computers, MP3 players and other technology outside of class time or when appropriate in class. Answering a cell phone, texting, listening to music or using a laptop computer for matters unrelated to the course may be grounds for dismissal from class or other penalties. Attendance Policy: Regular and punctual attendance is expected for all classes, laboratories, and other activities for which a student is registered. If a student has excessive absences, the instructor reserves the right not to give individual tutoring, special consideration regarding make-up work, or other help the student needs because of missing class. Attendance will also play a crucial role in decisions concerning borderline final grades. Excused Absences: Students may be excused from attendance for certain reasons, among these are absences related to health, family emergencies, and student participation in certain university-sponsored events. However, students are responsible for notifying their instructors in advance whenever possible for excusable absences. Students are responsible for providing timely documentation satisfactory to the instructor for each absence. Students with acceptable excuses may be permitted to make up work for absences to a maximum of three weeks of a semester when the nature of the work missed permits. Whether excused or unexcused, a student is still responsible for all course content and assignments. Attendance is expected for each lecture and lab. You are strongly urged to attend lab, participate and complete all lab assignments and projects. The lab is hands-on and should be a fun learning experience. Therefore, a missed lab will result in a 10% reduction in your course grade, missing a second lab without a valid documented excuse will result in failure of the course. Academic Integrity (A-9.1) Academic integrity is a responsibility of all university faculty and students. Faculty members promote academic integrity in multiple ways including instruction on the components of academic honesty, as well as abiding by university policy on penalties for cheating and plagiarism. Definition of Academic Dishonesty Academic dishonesty includes both cheating and plagiarism. Cheating includes but is not limited to (1) using or attempting to use unauthorized materials to aid in achieving a better grade on a component of a class; (2) the falsification or invention of any information, including citations, on an assigned exercise; and/or (3) helping or attempting to help another in an act of cheating or plagiarism. Plagiarism is presenting the words or ideas of another person as if they were your own. Examples of plagiarism are (1) submitting an assignment as if it were one’s own work when, in fact, it is at least partly the work of another; (2) submitting a work that has been purchased or otherwise obtained from an Internet source or another source; and (3) incorporating the words or ideas of an author into one’s paper without giving the author due credit. Please read the complete policy at http://www.sfasu.edu/policies/academic_integrity.asp Integrity and professionalism are expected at this level of education. Unauthorized collaboration on assignments or projects, as well as dishonesty on exams and quizzes will not be tolerated. Suspected cases of cheating or plagiarism in class and labs as well as grade disputes and appeals will be handled according to the academic regulations of the University. If it is determined cheating occurred, the student will be dismissed and fail the course. Withheld Grades Semester Grades Policy (A-54) Ordinarily, at the discretion of the instructor of record and with the approval of the academic chair/director, a grade of WH will be assigned only if the student cannot complete the course work because of unavoidable circumstances. Students must complete the work within one calendar year from the end of the semester in which they receive a WH, or the grade automatically becomes an F. If students register for the same course in future terms the WH will automatically become an F and will be counted as a repeated course for the purpose of computing the grade point average. Students with Disabilities To obtain disability related accommodations, alternate formats and/or auxiliary aids, students with disabilities must contact the Office of Disability Services (ODS), Human Services Building, and Room 325, 468-3004 / 468-1004 (TDD) as early as possible in the semester. Once verified, ODS will notify the course instructor and outline the accommodation and/or auxiliary aids to be provided. Failure to request services in a timely manner may delay your accommodations. For additional information, go to http://www.sfasu.edu/disabilityservices/.
SPLENIC LYMPHOMA IN HCV POSITIVE PATIENT; A CASE REPORT Abdullah Bin Saeed,1 Muaz,2 Bilal Anwar,1 Javaid Iqbal1 ABSTRACT Splenic Lymphoma is a marginal zone lymphoma (MZL’s) that is a type of Non-Hodgkin’s Lymphoma. It is characterized by a lymphocytic tumor of marginal zone of spleen that may involve splenic hilar lymph nodes and may spill the abnormal B-Lymphocytes in the blood. A 38 years old male, known HCV, presented with pain in left hypochondrium and an abdominal mass in left hypochondriac region. He was diagnosed clinically as a case of splenic hematoma which turned to be splenic lymphoma after investigations and was treated. Key Words: Splenic lymphoma, HCV positive Patient, Splenectomy INTRODUCTION The most common splenic malignancy is lymphoma.1 Splenic marginal zone lymphoma (SMZL) with or without villous lymphocytes is a disorder that was recently recognized as a distinct pathological entity in the World Health Organization classification. At diagnosis, SMZL presents as an indolent and disseminated disease that is originally recognized after histopathological examination of surgically removed spleens as SMZL itself, or by means of morphological and immunophenotypic characterization of circulating neoplastic lymphocytes as splenic lymphoma with villous lymphocytes.2 Cytopenia and lymphocytosis are frequently observed. According to WHO classification, lymphomas are divided into Hodgkin’s and Non-Hodgkin’s. Non-Hodgkin’s lymphomas are adult onset usually in late 40’s and present as lymphadenopathy of various regions notably in the groin, spleen, in the axilla and the neck. Marginal Zone lymphomas is a further classification of Non-Hodgkin’s lymphomas which present as a tumor like growth in secondary lymph node follicles and begin in the marginal zone of the node, later eroding adjacent zones of the node.3 It presents as hard node and involves the whole node later on. Splenic Marginal Zone lymphomas, a malignant condition, are found in the white pulp of the spleen and involve invariably the red pulp later on. It may also involve splenic hilar lymph nodes, bone marrow and blood. A particular glycoprotein of the Hepatitis C virus may be able to activate a specific B-Lymphocyte in the spleen which may act as origin of the tumor. Characteristic basophilic villous shaped B-Lymphocytes may or may not be found in blood, but when present are pathognomonic of Splenic Lymphoma. Lymphomas are 5.3% of all cancers and 55.6% of all blood cancers. Marginal Zone lymphomas represent 5-17% of all Non-Hodgkin’s lymphomas and SMZLs represent 20% of all MZLs.4 According to WHO, every person has 1 in 50 chance of developing this malignant condition. It is found preferably in males after the age of 50. In a study from Surveillance, epidemiology and End result (SEER) program in united states, out of 116411 cases of Non-Hodgkin’s lymphoma, 763 cases were Splenic Marginal Zone lymphomas. Exact etiology is still unknown, but chemotherapy, Hepatitis C virus infection, decreased immunity states such as AIDS, various chemicals like PCB (polychlorinated biphenyl), Radiation therapy, alkylating agents may induce this malignant state of spleen.5 The purpose of this case was to enlighten the surgeons as well as other healthcare professionals so that they may keep this condition in mind while treating a case of HCV positive having mass in abdomen.4 CASE REPORT A 38 years old male of 5.9 feet height and 68 kg weight, labourer by occupation, resident of Faisalabad city presented with pain in the left hypochondrium and left lumbar region for three months, with feeling of lump in the left hypochondriac region as well. Pain was moderate in intensity and increased with cough. He had no history of vomiting, weight loss, night sweats. History revealed no significant past history, medical history of relevance. There was no family history of similar disease. On examination there was no pallor, cyanosis, anemia and lymph node enlargement throughout the body. Abdominal examination showed tenderness in left hypochondrium and spleen was moderately enlarged in size with no other visceromegaly. No clinical evidence of hypertension, diabetes mellitus or any other significant systemic disease. Patient had been positive for HCV on chromatographic method for 8 months and was confirmed positive on ELISA as well as on PCR at the time of admission. He was diagnosed previously as a case of splenic hematoma but on ultrasonography, its non-communicating nature was revealed and was considered lymphoma. (Figure I). Its size was 9.1x9.0 centimeters. CT scan abdomen and pelvis confirmed a localized mass within the spleen. All the other viscera of the abdomen and pelvis were in normal shape and texture both on ultrasonography and CT. His hemoglobin was 12.8 g/dl and Total leucocyte count was 11500/cmm. Prothrombin Time, Activated Partial Thromboplastin Time and other Liver Function Tests revealed no significant hepatic abnormality. Splenectomy was done and specimen was sent for histopathology in the laboratory which confirmed it to be splenic marginal zone lymphoma. (Figure II). Patient was discharged after seven days uneventfully. Pneumococcal, meningococcal and Hib vaccines were given at the time of discharge. He was counseled for post-splenectomy consequences and was called for follow up after 3 weeks. DISCUSSION The case of splenic lymphoma associated with Hepatitis C virus or caused by it, is quite a rare case in Faisalabad. It is considered to occur after the age of 50 years but in our case the patient was 38 years old which is rare. The risk of SZML to run in the family is almost negligible. No abnormal basophilic villous shaped cells were found in blood. These cells may or may not be present in the peripheral blood. When present, these confirm diagnosis. The hilar splenic lymph nodes and bone marrow were not infiltrated. Patient was a known case of Hepatitis C for more than 3 months. In a study, the hepatitis C virus was found to have influence on the development of lymphoma in spleen and various other sites. A specific glycoprotein (E2) was found to interact with CD81 receptor in the precursor B-cell that lead to proliferation of B-cells. Bone marrow biopsy (BMB) is done to confirm the presence of cells in it. Bone marrow biopsy has led to spare the biopsy of spleen. In a study bone marrow biopsy was proved to as efficient as spleen biopsy itself in diagnosing and confirming the disease. Splenectomy was considered frontline treatment plan for it but in various centers chemotherapy is done and splenectomy is spared for recurrent splenomegaly associated with this condition. Chemotherapy is recommended for patients who can’t undergo surgery, elderly or those who have recurrent disease. After the discovery of rituximab, the treatment of splenic marginal zone lymphoma was revolutionized. Now the primordial treatment for splenic marginal zone lymphoma is rituximab therapy. Rituximab is given to all patients irrespective of their age, gender and co-morbidity. Splenectomy is done only in aggressive disease and in cases where splenomegaly is massive. Various studies have proved rituximab to be more beneficial than splenectomy and overall prognosis of rituximab was much better than splenectomy. In cases, where splenectomy was inevitable due to its size, laparoscopic approach was done. Laparoscopic splenectomy is considered superior to open methods. Median survival rate of patients is 5-10 years but in more aggressive disease it can be less than 4 years. Precise decision depends upon the growth size and grade of tumor. In the study done in USA on epidemiology, the median survival rate of patients after treatment was 5 years. Comparatively, the overall survival rate of splenic zone lymphomas was less than other variants of marginal zone lymphomas such as nodal marginal zone lymphomas (NMZL) and mucosa associated lymphoid tissue (MALT) which have better prognosis as well as longer survival rates. CONCLUSION This case report suggested that while treating HCV positive case having mass in left hypochondrium, Splenic Marginal Zone lymphoma, may be kept in differentiate diagnosis. REFERENCES 1. Tessier DJ, Pierce RA, Brunt LM, Halpin VJ, Eagon JC, Frisella MM, Czerniejewski S, Matthews BD. Laparoscopic splenectomy for splenic masses. Surg Endosc 2008;22:206-266. 2. Thieblemont C, Felman P, Callet-Bauchu E, Traverse-Glehen A, Salles G, Berger F, Coiffier B. Splenic marginal-zone lymphoma: a distinct clinical and pathological entity. Lancet Oncol 2003;4:95-103. 3. Zinzani PL. The many faces of marginal zone lymphoma. Hematology Am Soc Hematol Educ program 2012;426-32. 4. Olszewski AJ, Castillo JJ. Survival of patients with marginal zone lymphoma: analysis of the Surveillance, Epidemiology, and End Results database. Cancer 2013;119(3): 629-38. 5. Traverse-Glehen A, Baseggio L, Salles G, Felman P, Berger F. Splenic marginal zone B-cell lymphoma: a distinct clinicopathological and molecular entity. Recent advances in ontogeny and classification. Curr Opin Oncol 2011; 23(5):441-8. 6. Shimizu-Kohno K, Kimura Y, Kiyasu J, Miyoshi H, Yoshida M, Ichikawa R, Niino D, Ohshima K. Malignant lymphoma of the spleen in Japan: a clinicopathological analysis of 115 cases. Pathol Int 2012; 62(9):577-82. 7. Bennett M, Schechter GP. Treatment of splenic marginal zone lymphoma: splenectomy versus rituximab. Semin Hematol 2010; 47(2):143-7. 8. Wu Z, Zhou J, Wang X, Li YB, Niu T, Peng B. Laparoscopic splenectomy for treatment of splenic marginal zone lymphoma. World J Gastroenterol 2013; 19(24): 3854-60. 9. Liu L, Wang H, Chen Y, Rustveld L, Liu G, Du XL. Splenic marginal zone lymphoma: a population-based study on the 2001-2008 incidence and survival in the United States. Leuk Lymphoma 2013; 54(7):1380-6.
Kalas: A Verified, End-To-End Compiler for a Choreographic Language Johannes Åman Pohjola University of New South Wales, Sydney, Australia Alejandro Gómez-Londoño Chalmers University of Technology, Gothenburg, Sweden James Shaker Australian National University, Canberra, Australia Michael Norrish Australian National University, Canberra, Australia Abstract Choreographies are an abstraction for globally describing deadlock-free communicating systems. A choreography can be compiled into multiple endpoints preserving the global behavior, providing a path for concrete system implementations. Of course, the soundness of this approach hinges on the correctness of the compilation function. In this paper, we present a verified compiler for Kalas, a choreographic language. Its machine-checked end-to-end proof of correctness ensures all generated endpoints adhere to the system description, preserving the top-level communication guarantees. This work uses the verified CakeML compiler and HOL4 proof assistant, allowing for concrete executable implementations and statements of correctness at the machine code level for multiple architectures. 2012 ACM Subject Classification Theory of computation → Concurrency; Software and its engineering → Software verification; Software and its engineering → Compilers Keywords and phrases Choreographies, Interactive Theorem Proving, Compiler Verification Digital Object Identifier 10.4230/LIPIcs.ITP.2022.27 Supplementary Material Software (Source Code): https://github.com/CakeML/choreo/ Acknowledgements We are grateful to Marco Carbone, Rob van Glabbeek and Magnus Myreen for insightful discussion on this work. 1 Introduction In recent years, advances in the fields of concurrency theory and systems verification have taken us closer to the idea of a truly correct communicating system. The former abounds with beautiful high-level specification formalisms and reasoning techniques for communicating systems. At the same time, the latter provides detailed correctness proofs of the low-level computing infrastructure (e.g., compilers, language runtimes, and operating systems) needed to implement them. There is then much to be gained by joining these worlds. In particular, high-level descriptions of communicating systems – along with their guarantees – could be propagated down to low-level implementations to create an end-to-end result. One promising approach is choreographic programming, which at a high level describes communicating systems while providing by-construction guarantees. A choreography is a global description of a communicating system, written in a style reminiscent of the Alice → Bob notation for protocol descriptions. Compared to the traditional approach of writing separate programs for every Alice and Bob, the choreographic approach has the advantage that it is impossible to write a program with a communication mismatch. In particular, deadlock freedom holds by construction. Furthermore, through a procedure called endpoint projection choreographies can be compiled into separate programs for each endpoint, such that their parallel composition implements the global behaviour. In this paper, we present a compiler for our choreographic language, Kalas, with a machine-checked, end-to-end proof of correctness. That is, we create an environment based on the HOL4 interactive theorem prover [24] where programmers can write choreographies, and then have the system automatically generate executable code for each endpoint, along with a proof of its correct compilation into machine-code. Our compiler is structured into five phases, illustrated in Figure 1, with associated correctness result for each. The first step is endpoint projection, where the global choreography is projected into a parallel composition of sequential programs implementing each endpoint, expressed in a process algebra we call ENDPOINT. Second, the ENDPOINT operators for branch selection are encoded with more primitive operators. Third, ENDPOINT is compiled to a second process algebra, PAYLOAD. While messages in ENDPOINT can be arbitrarily large, messages in PAYLOAD have a fixed size. This step introduces a protocol that divides long messages into chunks, thus accounting for the fact that real communication protocols have bounds on message size, without burdening the application programmer with the details. A fourth step compiles Kalas’s fixpoint operator (with substitution semantics) into recursive function definitions (with environment semantics), to align better with functional programming idioms. The final compilation phase compiles PAYLOAD’s endpoints to CakeML [18], a sequential, functional programming language with a verified compiler, giving us semantics preservation down to the machine code. Composing the compiler correctness results for each phase, we show that the deadlock freedom of Kalas carries over to the compiler output: the generated CakeML code never aborts with a runtime error, and – by the CakeML compiler correctness theorem – neither does the machine code (unless it runs out of memory). As a convenient byproduct of CakeML’s FFI modelcode is parameterised on primitives for sending and receiving messages, making it communication-backend agnostic. Thus, the same CakeML code can be used irrespective of whether the communication happens via (say) TCP/IP, MPI, or IPC, as long as these actions have the same semantics as the corresponding PAYLOAD primitives. Like other choreographic languages, our deadlock freedom guarantee depends on the rather strong assumptions implicit in the operational semantics: the backend stays live, and messages will never be lost in transit. In practice, our theorems are only as good as the backend’s ability to abide by this. As a proof-of-concept of our approach, we implemented a filter choreography and executed the generated code using an IPC communication backend on seL4 [17], a formally verified operating systems microkernel. Hence there is strong evidence, in the form of machine-checked proofs of functional correctness of the kernel [17] and the delivery guarantees of the component platform [9], that this backend is up to the task, even though we do not connect our proofs with the seL4 proofs. This paper’s main contributions are: - the definition and verification of an end-to-end choreographic compiler, including: - the proof of endpoint projection’s correctness w.r.t. Kalas’s asynchronous semantics; and - the implementation of a proof-of-concept choreography on top of seL4/CAmkES. All definitions and proofs in this paper are mechanised in HOL4 [24] and available online.\footnote{https://github.com/CakeML/choreo/.} 2 Kalas: A Choreographic Language In this section we introduce our choreographic language, Kalas. To build an intuition for how choreographies operate, consider a common situation in component-based systems: a producer wishes to send a stream of messages to a consumer, but the consumer can only receive messages of a certain form. A filter that discards malformed messages is inserted. ▶ Example 1 (Message filter - Choreography). ``` while(true) do let v@producer = next_msg() in producer.v => filter.temp; let test@filter = test(temp) in if test@filter then filter => consumer[T]; filter.temp => consumer.v else filter => consumer[F] ``` We assume a function `next_msg` to obtain the next message, which is then stored in the `producer`’s local variable `v` (line 2). The `producer` then communicates the contents of `v` to the `filter` which stores it locally in `temp` (line 3). The `filter` computes `test(temp)` (line 4). If `test(temp)` is true (line 5), we inform the consumer that a message is coming (line 6), and forwards the contents of `temp` to the `consumer` (line 7). Otherwise, we inform the `consumer` that a message was dropped (line 8). This example highlights two important features: a choreography captures both the concrete behaviour of its participants and a global view of the communication occurring between them. That is, interactions between endpoints are presented together with local computation, e.g., `test` above. This allows individual endpoints to be translated into complete sequential programs. Second, communication mismatches are impossible by construction: if no message is forthcoming, the `consumer` will never be stuck waiting for one. 2.1 Syntax and Semantics Kalas is similar to Core Choreographies (CC) [5], but features arbitrary local computation and asynchronous communication. The main datatype under consideration in our choreography language is strings or, to be precise, finite sequences of bytes. Strings are used as endpoint names ($p_i$), variable names ($v_i$), process variables ($X$), and as the concrete data that gets bound to variables and transmitted between endpoints ($d$). The use of strings as the value represents a separation of concerns: after marshalling and unmarshalling, local computations have full access to HOL’s strongly typed language, but the choreography language is only concerned with data as it is really transmitted, namely as strings. The booleans (ranged over by $b$) are written T and F. When we use booleans where strings are expected, we tacitly identify T with [0x01], and F with [0x00]. We use $a$ to range over the union of strings and booleans, and $f$ to range over functions of type $\text{string}^* \rightarrow \text{string}$. ▶ Definition 2 (Kalas syntax). Choreographies in Kalas, ranged over by $C$, are inductively defined by the grammar \[ \begin{align} C & ::= p_1.v_1 \Rightarrow p_2.v_2; C & \quad \text{(com)} \\ & \quad \| \quad p_1 \Rightarrow p_2[b]; C & \quad \text{(sel)} \\ & \quad \| \quad \text{if } v@p \text{ then } C_1 \text{ else } C_2 & \quad \text{(if)} \\ & \quad \| \quad \text{let } v@p = f(v) \text{ in } C & \quad \text{(let)} \\ & \quad \| \quad \mu X. C & \quad \text{(fix)} \\ & \quad \| \quad X & \quad \text{(var)} \\ & \quad \| \quad 0 & \quad \text{(nil)} \end{align} \] Table 1 Kalas semantics: communication rules. The function $\text{wv}(\alpha)$ returns the variable (if any) that is modified by $\alpha$. \[ \begin{align} \text{COM} & \quad s(v_1, p_1) = d \quad p_1 \neq p_2 \\ s \triangleright p_1.v_1 \Rightarrow p_2.v_2; C \xrightarrow{p_1.v_1 \gg p_2.v_2}{\epsilon} s[(v_2, p_2) := d] \triangleright C \\ \text{COM-S} & \quad s \triangleright C \xrightarrow{\alpha}{l} s' \triangleright C' \quad p_1 \notin \text{fp}(\alpha) \quad p_2 \notin \text{fp}(\alpha) \\ s \triangleright p_1.v_1 \Rightarrow p_2.v_2; C \xrightarrow{\alpha}{l} s' \triangleright p_1.v_1 \Rightarrow p_2.v_2; C' \\ \text{COM-A} & \quad s \triangleright C \xrightarrow{\alpha}{l} s' \triangleright C' \quad p_1 \in \text{fp}(\alpha) \quad \text{wv}(\alpha) \neq (v_1, p_1) \quad p_2 \notin \text{fp}(\alpha) \\ s \triangleright p_1.v_1 \Rightarrow p_2.v_2; C \xrightarrow{\alpha}{(p_1.v_1 \gg p_2.v_2):l} s' \triangleright p_1.v_1 \Rightarrow p_2.v_2; C' \end{align} \] The prefix $(com)$ sends the data bound to variable $v_1$ at endpoint $p_1$ to endpoint $p_2$ which stores it in variable $v_2$, $(sel)$ communicates the selection of a branch from $p_1$ to $p_2$, $(if)$ branches over the value in variable $v$ at process $p$, and $(nil)$ is the empty choreography. $(let)$ performs local computation, taking all values bound to the variables $\vec{v}$ at endpoint $p$ and applies them as arguments to the function $f$. The result is then stored in $v$. Note that we do not commit to any particular syntax for functions; rather, $f$ is a function in the meta-language in which Kalas is defined. In our case, the meta-language is higher-order logic (HOL). Hence our syntax is only concerned with interaction and branching of endpoints, offloading computation to HOL. This flexibility is useful for specifying open systems, or systems with legacy components: the internal behaviour of an endpoint that we have no control over can be modelled by functions that are non-computable, underspecified, or even completely uninterpreted, and the compiler can ignore such endpoints for code generation. For endpoints that we do intend to project, we require that the $f$’s used in their let-bindings be “sufficiently code-like” – otherwise, code generation will fail. This excludes, for example, functions that use Hilbert choice, sets or quantifiers. Finally, $(fix)$ supports choreographies with infinite behaviour. These can be unfolded, taking e.g. $\mu X.p_1 \Rightarrow p_2[b]; X$ to $p_1 \Rightarrow p_2[b]; \mu X.p_1 \Rightarrow p_2[b]; X$. The above example also illustrates the only use of $(var)$: as a placeholder for fixpoint unfolding. The while loop used in Example 1 is syntactic sugar for $(fix)$. We will use $\text{fv}(C)$ to refer to the free variables of a choreography $C$, where each variable is paired with the name of the process that owns the variable. The binding operators are let and $p_1.v_1 \Rightarrow p_2.v_2; C$, where $(v_1, p_1)$ is considered free and $(v_2, p_2)$ is considered bound. The operational semantics is inductively defined, with some sample rules given in Table 1. Transitions are labelled to indicate both the action being performed (upper $\alpha$), and the trace (lower $l$) of deferred asynchronous actions. We explain the latter mechanism below. We refer to both labels and prefixes as actions, since they directly correspond to all operations that can be performed in the language. A store $s$ is a partial function $\text{string} \times \text{string} \mapsto \text{string}$ representing a global view of the endpoints’ variable binding environment: $s(v, p)$, if defined, denotes the value bound to $v$ in $p$’s binding environment. In HOL, we use option types in the range to encode this partiality; much of the following presentation elides the logic’s special handling of this (e.g., the Some and None constructors). Kalas uses non-blocking, asynchronous communication. Hence, a sender process should be able to perform further actions before the message has arrived at the receiver. The semantics captures this by allowing an action $\alpha$ to occur before other interactions, provided only the sender process is present in $\alpha$. A trace of every action that was skipped over is kept, to ensure the consistency between asynchrony and concurrency rules. This trace is used in the rule for \texttt{if}, which requires that both branches defer the same actions, though not necessarily in the same order. This constraint guarantees that regardless of the choice of branch, the asynchronous actions that need to be deferred in order to perform $\alpha$ are the same for each of the processes involved, implying that $\alpha$ is independent of the branching caused by the guard. We prove that the resulting semantics is locally confluent, which will turn out to be immensely important for taming the proofs. As a sanity check of our rather involved labels, we also show completeness with respect to a similar semantics (not shown here) with structural congruence instead of swapping rules. \section{Endpoint Projection} The first phase of our compiler is \textit{endpoint projection}, where we translate \textsc{Kalas} into \textsc{Endpoint}, our first intermediate language. Continuing with Example 1, when we apply endpoint projection to the producer-consumer-filter choreography (\textit{PCF}), we obtain $[\![\textit{PCF}]\!]_{E} = P \mid C \mid F$, comprised of the following endpoints running in parallel: \begin{example}[Message filter – \textsc{Endpoint}] \begin{align} P \text{ (Producer)} \\ \mu X. & \quad \text{let } v = \texttt{next\_msg()} \text{ in} \\ & \quad \texttt{send } v \text{ to } \texttt{filter}. X \\ C \text{ (Consumer)} \\ \mu X. & \quad \texttt{filter chooses} \\ & \quad T : \texttt{receive } v \text{ from } \texttt{filter}. X \\ & \quad \text{or} \\ & \quad F : X \\ F \text{ (Filter)} \\ \mu X. & \quad \texttt{receive } msg \text{ from } \texttt{producer}. \\ & \quad \texttt{let } v = \texttt{test}(msg) \text{ in} \\ & \quad \texttt{if } v \text{ then} \\ & \quad \quad \texttt{choose } T \text{ for } \texttt{consumer}. \\ & \quad \quad \texttt{send } msg \text{ to } \texttt{consumer}. X \\ & \quad \texttt{else } \texttt{choose } F \text{ for } \texttt{consumer}. X \end{align} \end{example} Here the (Filter) endpoint receives a message from the producer and, depending on the output of \texttt{test}, communicates its choice of branch to the consumer. Conversely, the (Consumer) decides based on the filter’s choice whether it should await a message or whether the message was dropped. Finally, the (producer) obtains a message and sends it to the filter. Note that no branching or choice is required in the producer, since it behaves the same whether \texttt{test} succeeds or not. \subsection{Endpoint: Syntax and Semantics} \textsc{Endpoint} inherits many design decisions from \textsc{Kalas}, but splits unitary \textsc{Kalas} systems into two layers: the endpoint layer is purely sequential, and the \textit{network} layer is a parallel composition of endpoints, each with its own name, queue and binding environment. A \textit{queue} $q$ is a function $\text{string} \rightarrow \text{string}^$. The value $q(p)$ is the sequence of messages, from first to last, received from \textit{process} $p$ but not yet read. Let $q + (p, a)$ be $q$ with $a$ appended to the end of $q(p)$, and $q - p$ be $q$ with the first element of $q(p)$ removed; if $q(p)$ is empty, $q - p$ is undefined. An \textit{environment} $e$ is a partial function from variable names to values. Table 2 Endpoint semantics: communication rules. \[ \begin{align} \text{SEND} & \quad e \ v = d \quad p_1 \neq p_2 \\ & (p_1, e, q) \triangleright \text{send } v \text{ to } p_2.P \xrightarrow{p_1 \rightarrow p_2 : d} (p_1, e, q) \triangleright P \\ \text{ENQUEUE} & \quad p_1 \neq p_2 \\ & (p_2, e, q) \triangleright P \xrightarrow{p_2 \leftarrow p_1 : d} (p_2, e, q + (p_1, d)) \triangleright P \\ \text{DEQUEUE} & \quad q(p_2) = d :: \tilde{a} \quad p_1 \neq p_2 \\ & (p_1, e, q) \triangleright \text{receive } v \text{ from } p_2.P \xrightarrow{\tau} (p_1, e[v := d], q - p_2) \triangleright P \end{align} \] Definition 4 (Endpoint syntax). \[ \begin{align} P, Q & \quad := \quad \text{send } v \text{ to } p.P \quad (\text{output}) \\ & \quad \text{receive } v \text{ from } p.P \quad (\text{input}) \\ & \quad \text{choose } b \text{ for } p.P \quad (\text{internal choice}) \\ & \quad p \text{ chooses } T : P \text{ or } F : Q \quad (\text{external choice}) \\ & \quad \text{if } v \text{ then } P \text{ else } Q \quad (\text{if}) \\ N & \quad := \quad N_1 \| N_2 \quad (\text{parallel}) \\ & \quad (p, e, q) \triangleright P \quad (\text{endpoint}) \end{align} \] let $ v = f(\tilde{v}) $ in $ P $ \quad (\text{let}) \\ \mu X.P \quad (\text{fix}) \\ X \quad (\text{var}) \\ 0 \quad (\text{nil}) \\ 0 \quad (\text{nil}) \] Table 2 shows three representative rules from ENDPOINT’s operational semantics. \text{send } v \text{ to } p.P represents an endpoint ready to send the contents of variable $ v $ to $ p $, using the SEND rule; the ENQUEUE rule allows a message thus sent to arrive in $ p $'s queue. \text{receive } v \text{ from } p.P denotes a process ready to dequeue a message from its queue originating from $ p $, and bind the contents of the message to the variable $ v $ (DEQUEUE); if there is no message from $ p $, the endpoint is blocked until one arrives. Similarly, \text{choose } b \text{ for } p.P represents an endpoint ready to tell process $ p $ that it has chosen the $ b $-branch. The corresponding INT\_CHOICE rule (elided) interacts with ENQUEUE to add the choice to $ b $'s message queue. $ p \text{ chooses } T : P \text{ or } F : Q $ represents a process waiting for $ p $ to communicate its choice of branch. If it finds a $ T $ from $ p $ in the queue, it proceeds as $ P $; if it finds something else from $ p $, it proceeds as $ Q $. 3.2 Endpoint projection The main complication when defining endpoint projection is how to handle \textbf{if} statements, which are not always projectable. For an example, consider the choreography \[ \text{if Alice}@v \text{ then Bob}.v \Rightarrow \text{Alice}.v \text{ else Alice}.v \Rightarrow \text{Bob}.v \] where Alice makes an internal choice, and depending on the result, either Alice sends a message to Bob, or vice versa. How does Bob know whether to send or receive? We need a projectability criterion that rules out such degenerate cases. Our criterion is, intuitively: whenever Alice chooses an \textbf{if} branch, every other endpoint whose projection depends on the choice must immediately be told which branch was chosen. Hence, the example above can be made projectable by adding selections as follows: \[ \text{if Alice}@v \text{ then Alice} \Rightarrow \text{Bob}[T]; \text{Bob}.v \Rightarrow \text{Alice}.v \\ \text{else Alice} \Rightarrow \text{Bob}[F]; \text{Alice}.v \Rightarrow \text{Bob}.v \] Table 3 Projection and projectability, with the \textit{(sel)} case, which is similar to \textit{(com)}, elided. Partiality is indicated with a result of $\bot$. Recursive calls (e.g., in the \texttt{let} case) that fail propagate that undefinedness to the top-level. \[ \begin{align} \text{pr}_p(\gamma, 0) &= 0 \\ \text{pr}_p(\gamma, p_1.v_1 \Rightarrow p_2.v_2; C) &= \begin{cases} \bot & \text{if } p_1 = p_2 = p \\ \text{send } v_1 \text{ to } p_2.\text{pr}_p(\gamma, C) & \text{if } p = p_1 \neq p_2 \\ \text{receive } v_2 \text{ from } p_1.\text{pr}_p(\gamma, C) & \text{if } p \neq p_1 = p_2 \\ \text{pr}_p(\gamma, C) & \text{otherwise} \end{cases} \\ \text{pr}_p(\gamma, \text{let } v@p_1 = f(\tilde{v}) \text{ in } C) &= \begin{cases} \text{let } v = f(\tilde{v}) \text{ in } \text{pr}_p(\gamma, C) & \text{if } p = p_1 \\ \text{pr}_p(\gamma, C) & \text{otherwise} \end{cases} \\ \text{pr}_p(\gamma, \mu X.C) &= \begin{cases} \mu X.\text{pr}_p(\gamma[X := \text{procs}(C)], C) & \text{if } p \in \text{procs}(C) \\ 0 & \text{otherwise} \end{cases} \\ \text{pr}_p(\gamma, X) &= \begin{cases} \bot & \text{if } X \notin \text{dom}(\gamma) \\ X & \text{if } p \in \gamma(X) \\ 0 & \text{otherwise} \end{cases} \\ \text{pr}_p(\gamma, \text{if } v@p_1 \text{ then } C_1 \text{ else } C_2) &= \begin{cases} \text{if } v \text{ then } \text{pr}_p(\gamma, C_1) \text{ else } \text{pr}_p(\gamma, C_2) & \text{if } p = p_1 \\ p_1 \text{ chooses } T : \text{pr}_p(\gamma, C'_1) \text{ or } F : \text{pr}_p(\gamma, C'_2) & \text{if } p \neq p_1 \text{ and } \text{sp}_{p_1,p}(C_1) = (T, C'_1) \\ & \text{and } \text{sp}_{p_1,p}(C_2) = (F, C'_2) \\ \text{pr}_p(\gamma, C_1) & \text{if } p \neq p_1 \text{ and } \text{pr}_p(\gamma, C_1) = \text{pr}_p(\gamma, C_2) \\ \bot & \text{otherwise} \end{cases} \end{align} \] To formalise this criterion, we use the auxiliary function \texttt{sp} to split off initial selections pertaining to a pair of endpoints and check which branch was chosen. Definition 5 (Split selections).* The partial function \texttt{sp} is inductively defined as follows (in all other cases, \texttt{sp} is undefined) \[ \text{sp}_{p_1,p_2}(p_3 \Rightarrow p_4[b]; C) = \begin{cases} (b, C) & \text{if } p_1 = p_3 \text{ and } p_2 = p_4 \\ \text{sp}_{p_1,p_2}(C) & \text{if } p_1 = p_3 \text{ and } p_2 \neq p_4 \\ \text{undefined} & \text{otherwise} \end{cases} \] Fixpoints motivate some additional projectability criteria: (i) orphan (\textit{var}) statements are not allowed, and (ii) the projection of a \textit{(fix)} statement for endpoints that do not appear in its body should be $0$ (otherwise, the compiler introduces divergence). To enforce these requirements, we use a \textit{fixpoint context} $\gamma$, a partial function from process names to sets of endpoint names that keeps track of which endpoints occur in the body of each \textit{(fix)} statement. We define a single partial function \texttt{pr} that given an endpoint name, a fixpoint context, and a choreography, returns an endpoint (its projection), if it exists. Definition 6 (Projection and projectability). A choreography $C$ is projectable if for all $p \in \text{procs}(C)$, $\text{pr}_p(\epsilon, C)$ is defined. The projection of the endpoints $\tilde{p}$ from a choreography $C$ with state $s$ is defined as $\llbracket s \triangleright C \rrbracket_E^{\tilde{p}} = \Pi_{p_i \in \tilde{p}^} (p_i, s \downarrow_{p_i}, \epsilon) \triangleright \text{pr}_{p_i}(\epsilon, C)$ where $\Pi$ denotes iterated parallel composition, $s \downarrow_{p}$ denotes $\lambda v.s(p, v)$, $\epsilon$ is an empty fixpoint context, and $\text{pr}$ is defined inductively by the equations in Table 3. $\llbracket s \triangleright C \rrbracket_E$ abbreviates $\llbracket s \triangleright C \rrbracket_E^{\text{procs}(C)}$. 4 Refining Choice In Phase II, we implement ENDPOINT’s choice primitives using send and receive actions. This simplifies reasoning about later compilation phases and the implementation of communication backends, which only need to consider two message-passing primitives instead of four. After refining choice from the parallel composition $P \mid C \mid F$ in Example 3, we obtain $\llbracket P \mid C \mid F \rrbracket_C = P' \mid C' \mid F''$, where the producer $P$ is unchanged because it uses no choice constructs. The filter and consumer are compiled as follows: ▶ Example 7 (Message filter – Refining choice). \[ \begin{align} F' & \text{(Filter)} \\ \mu X. & \\ & \quad \text{receive } msg \text{ from producer.} \\ & \quad \text{let } test = \text{test}(msg) \text{ in} \\ & \quad \text{if } test \text{ then let } v = T \text{ in} \\ & \quad \quad \text{send } v \text{ to consumer.} \\ & \quad \quad \text{send } msg \text{ to consumer. } X \\ & \quad \text{else let } v = F \text{ in} \\ & \quad \quad \text{send } v \text{ to consumer. } X \end{align} \] \[ \begin{align} C' & \text{(Consumer)} \\ \mu X. & \\ & \quad \text{receive } v \text{ from filter.} \\ & \quad \text{if } v \text{ then} \\ & \quad \quad \text{receive } v \text{ from filter. } X \\ & \quad \text{else } X \end{align} \] The phase is mostly straightforward: internal choice is encoded as sending a boolean value, and external choice is encoded as receiving a value, storing it in a temporary variable $v$, then branching on it using if. ▶ Definition 8 (Phase II). The compilation function is homomorphic on all operators except internal and external choice, where it is defined as follows for any $v$ not free in $P,Q$: \[ \begin{align} \llbracket \text{choose } b \text{ for } p.P \rrbracket_C &= \text{let } v = (\lambda x.b)\epsilon \text{ in } \text{send } v \text{ to } p.\llbracket P \rrbracket_C \\ \llbracket p \text{ chooses } T : P \text{ or } F : Q \rrbracket_C &= \text{receive } v \text{ from } p.(\text{if } v \text{ then } \llbracket P \rrbracket_C \text{ else } \llbracket Q \rrbracket_C) \end{align} \] Since $v$ is not used further in the continuation, it can be reused for subsequent choice encodings, meaning that in practice, a single fresh name suffices. The design of the ENDPOINT semantics anticipates this compilation phase, by allowing type confusion between boolean values and string values. This feature, which may seem otherwise undesirable, makes branch selection messages indistinguishable from other messages. This makes the difference between $N_k$ and $\llbracket N_k \rrbracket_C$ unobservable by other processes. 5 Splitting Large Messages In both ENDPOINT and our source language, transmitting a message of arbitrary size is a single atomic operation, whether it carries one bit or one terabyte of information. This is convenient for the programmer, but doesn’t reflect how real communication protocols work. Our second compiler phase introduces a protocol that divides long messages into chunks (see Figure 2), accounting for the fact that real communication protocols have bounds on message size, without burdening the application programmer with the details. For these purposes, we introduce another intermediate representation, PAYLOAD, which is similar to ENDPOINT except messages have a fixed size. It turns out that this compiler phase is more proof-relevant than compiler implementation-relevant. Syntactically, the compilation function $\llbracket . \rrbracket_C$ from ENDPOINT to PAYLOAD is essentially the identity function. Semantically, send and receive actions are no longer atomic, which leads to a combinatorial explosion in the number of possible interleavings. The associated proof complications are largely mitigated by observing that the target terms are always locally confluent. PAYLOAD is parameterised by a payload size $\sigma > 0$. Unlike in previous languages where messages can have arbitrary size, here messages in transit must be exactly $\sigma + 1$ bytes long. Longer messages are transmitted in chunks, and shorter messages are padded; the extra byte encodes the bookkeeping necessary to realise this. In particular, we must track whether a given chunk ends a message, or whether it will be continued in future messages. Definition 9 (Payload syntax, I).* The syntax of PAYLOAD is obtained by removing endpoint, input, output and choice from ENDPOINT, and adding: \[ (p, e, \eta, q) \triangleright P \quad \text{(endpoint)} \] \[ \text{send } v_n \text{ to } p.P \quad \text{(output)} \] \[ \text{receive } v \text{ in } \langle d \rangle \text{ from } p.P \quad \text{(input)} \] The message-splitting aspect of PAYLOAD’s semantics is embodied here: the new input and output prefixes record how far along in a transmission we are. Hence send $v_n$ to $p.P$ will send the value of $v$ to $p$, starting from the $n$-th byte, divided into as many chunks as necessary, one chunk at a time. Similarly receive $v$ in $\langle d \rangle$ from $p.P$ will receive chunks from $p$, recording every intermediate chunk in the temporary buffer $d$. When a final chunk arrives, all received chunks are concatenated and bound to the variable $v$. The state component $\eta$ is a closure environment; we will discuss it in Section 6.1, where the operators that need it are introduced. For space reasons, readers interested in the operational semantics are referred to the formalisation. ## 6 Introducing Closures Finally, before we transition from PAYLOAD to CakeML, we introduce closures. That is, we translate all instances of the fixpoint operator $\mu$ into a letrec primitive, to better match CakeML’s representation of recursive functions. Though CakeML supports global, updateable variables (SML’s ref types), reasoning is much simpler if one remains “purely functional”, and uses parameters with closures and local, immutable bindings. Thus: variables written to in the fixpoint body (ultimately from the Kalas source) must be made function parameters. Why not just put letrec in the source language, if we have to add it later anyway? Briefly, it becomes technically complicated to maintain a consistent view of the global environment in the presence of out-of-order execution. Fixpoint semantics do not need environments. See Section 9 for a comparison with related approaches. ### 6.1 Closures: syntax and semantics Recall from Section 5 that endpoint states contain a closure environment $\eta$. It is a mapping from function names to closures. Closures are triples $(e, \eta, \lambda \tilde{x}.P)$, where: $e, \eta$ are the local variable environments and closure environments, respectively; $\tilde{x}$ is the function’s parameters; and $P$ is the function body. Note that closures and environments are mutually recursive. Definition 10 (Payload syntax, II). These augment the operators from Definition 9. \[ \text{letrec } F(\tilde{d}) = P \quad (\text{letrec})F(\tilde{v}) \quad (\text{call}) \] (letrec) and (call) are function definitions and function calls, respectively. They are similar to (fix), but use environment semantics instead of substitution semantics. Note that letrec has no continuation; instead, the defined function will be called immediately. This suffices for our purposes, which is to use letrec to encode $ \mu $. 6.2 Compilation To compile the fixpoint operator into the letrec operator, the basic idea is the obvious one: a fixpoint binder $ \mu X $ becomes a recursive function definition, and a process variable $ X $ becomes a function call. But what arguments should we give the function? To prepare for compilation to CakeML, the main goal is to make sure we use the constructs that mutate variables (let and input) consistently with functional programming idioms. But we have a second, conflicting goal. To simplify proofs, we want the local variable environment of target terms to be identical to the global environment of their source terms. The following table illustrates the options we considered: \| Source \| Target I \| Target II \| Target III \| \|--------\|----------\|-----------\|------------\| \| \[ \text{let } x, y = \ldots \text{ in } \mu X. \text{let } x = f(x, y) \text{ in } \text{send } x \text{ to } p. \text{receive } z \text{ from } p. X \] \| \[ \text{let } x, y = \ldots \text{ in } \text{letrec } X(x, y, z) = \text{let } x = f(x, y) \text{ in } \text{send } x \text{ to } p. \text{receive } z \text{ from } p. \] \| \[ \text{let } x, y = \ldots \text{ in } \text{letrec } X(x) = \text{let } x = f(x, y) \text{ in } \text{send } x \text{ to } p. \text{receive } z \text{ from } p. \] \| Target I represents the simplest compilation strategy that could possibly work: every program variable becomes a parameter of every function. This, however, is rather wasteful: $ y $ is never modified within the function, so there’s no need to pass it around; $ z $ is modified in the body, but not subsequently read, so there is no need to remember its value between calls. Taking all this into account would yield Target III, which is to take as function parameters only those variables that may be read before they are written to within a fixpoint’s body. Unfortunately, this is not compatible with our second goal above: while the source term retains the value of $ z $ between subsequent fixpoint unfoldings, Target III will restore $ z $ to its value at the point of $ X $'s definition at each recursive call. As a compromise, we opt for Target II: the function parameters are the variables that may be written to within the body of the fixpoint expression. To this end, we let the function wv($ e $) return all variables that are modified (by let or receive) in $ e $. Definition 11 (Phase IV). The compilation function $ \llbracket \cdot \rrbracket_F^\gamma $ is homomorphic on all operators except: letrec and call, where it is undefined; and fix and val, where it is \[ \llbracket \mu X. P \rrbracket_F^\gamma = \text{letrec } X(\text{wv}(P)) = \llbracket P \rrbracket_F^{\gamma[X := \text{wv}(P)]} \llbracket X \rrbracket_F^\gamma = X(\gamma(X)) \] In the above, $ \gamma $ is a partial function from process variables to lists of local variables. A further minor complication is that a variable can be used as a function argument before its definition. We could add support for optional arguments, but since CakeML has no such feature we would eventually have to compile them away. Our fix is that before we apply $ \llbracket X \rrbracket_F $, we add a prelude to each endpoint that initialises all variables to a default value. 7 Compiler Correctness In this section, we discuss the compiler correctness theorem connecting Kalas to PAYLOAD with Letrec, and its proof. 7.1 Theorem Statement Let $[.\] \tilde{p}$ denote the composition $[.\] \tilde{p} \circ [.\] c \circ [.\] o \circ [.\] e and let \([C] = [C]^{\text{procs}(C)}$. We prove weak operational correspondence up-to strong bisimilarity (denoted $ \dot{\sim} $) for $[.\] \tilde{p}$: ▶ Theorem 12. If $c$ is a projectable choreography and $\text{fv}(c) \subseteq \text{dom}(s)$, then 1. (Operational completeness) If $s \triangleright C \implies s' \triangleright C'$ then there exist $s'', C'', N_f$ such that $s' \triangleright C' \implies s'' \triangleright C''$ and $[s \triangleright C] \implies N_f$ and $N_f \dot{\sim} [s'' \triangleright C'']^{\text{procs}(C)}$ 2. (Operational soundness) If $[s \triangleright C] \implies N_f$ then there exist $s', C', N'_f$ such that $N_f \implies N'_f$ and $s \triangleright C \implies s' \triangleright C'$ and $N'_f \dot{\sim} [s' \triangleright C']^{\text{procs}(C)}$ Here $\implies$ over networks denotes $\xrightarrow{\tau}^$, and $\implies$ over choreographies denotes $(\bigcup_{a,l} \xrightarrow{a,l})^$. Our presentation of operational completeness requires a catch-up transition because projectability is not, in general, preserved by reduction. However, any non-projectable choreography reachable from a projectable choreography can always reduce to a projectable choreography. One important consequence of Theorem 12 is that the compiler output is deadlock-free: ▶ Theorem 13 (Network-level deadlock-freedom). If $C$ is a projectable choreography, and $\text{fv}(C) \subseteq \text{dom}(s)$, and $[s \triangleright C] \implies N_f$, then either all endpoints in $N_f$ are Nil, or there exists $N'_f$ such that $N_f \xrightarrow{\tau} N'_f$ 7.2 On the proofs As the reader may expect, we prove soundness and completeness separately for each compilation phase before composing the theorems. A common theme is strategic use of confluence to reduce the number of interleavings we must consider. The proof of operational completeness for Phase I leverages local confluence to simplify reasoning in a major way. The asynchrony and swapping rules in Kalas’s semantics, which are otherwise a pain point, play no role in these proofs. This is because any reduction involving them has a common successor with a reduction that only uses the syntax-directed rules (e.g., rule Com from Table 1). This yields a simpler proof than, for example, Montesi [20, Appendix C]; his language is also confluent, yet his proof makes no use of this, and includes cases for the swapping and asynchrony rules. To prove operational soundness we use a technique based on inert reduction, first conceived by van Glabbeek to study encodings from the synchronous to the asynchronous $\pi$-calculus [28]. Intuitively, an inert reduction is one that performs a bookkeeping step without committing to a branch. We say that $N_e \longrightarrow N'_e$ is inert if for every $N''_e \neq N'_e$ such that $N_e \longrightarrow N''_e$, there is an $N''_e$ such that $N'_e \longrightarrow N''_e$ and there is an inert transition $N''_e \longrightarrow N'''_e$. The key insight is that for encodings that only use inert catch-up transitions, operational soundness can be proven by induction on the length of the reduction sequence. Moreover, since inertness is a form of confluence, it suffices to consider just one interleaving of the intermediate steps, namely the one that directly mimics one source-language step at a time. All our catch-up transitions are inert, which makes the proof of operational soundness much more tractable, with roughly half the effort going into proving confluence. The same technique is also used to great effect to tame the interleaving explosion of Phase III. Phase II uses a traditional invariant-based technique, which we found intractable for the other phases with more complicated interleavings. The main headache here is alpha-equivalence considerations arising from the need to invent fresh names. The proofs for Phase IV are different. In the other phases, the bulk of the effort is chasing transitions. Here, that part is trivial since we have one-to-one transition correspondence (up-to strong bisimilarity). The difficulty is in wrangling the candidate relation used to prove that the continuations of fixpoints and letrec unfoldings are bisimilar. The relation, which describes the precise relationship between closure environments and (possibly unfolded) fixpoints, is surprisingly complicated at almost 50 lines of HOL4 script. It is worth pointing out that this complicated relation entails no trust issues; its only use in the overall proof story is to witness an existential quantifier. ## Compilation into CakeML CakeML [18] is an impure, sequential, functional programming language similar to Standard ML. Its most notable feature is a compiler correctness proof in HOL4 that extends down to the machine code level for mainstream architectures such as x86-64 and ARM [25]. Interaction with the outside world is supported by a foreign function interface (FFI). We assume two foreign functions, send and receive, that support communication with the other endpoints. Compilation to CakeML consists of two parts: the static part, which is verified once and for all, and the dynamic part, which is proof-producing. ### Static compiler The static compilation is performed by the function $[\![ \cdot ]\!]_{\text{ML}}$, which maps PAYLOAD endpoints to CakeML expressions. Its full definition would not fit here, but to show its flavour, $[\![ \text{receive } v \text{ in } \langle \epsilon \rangle \text{ from } p.P ]\!]_{\text{ML}}$ produces the code ```ml let val v = let val buff = Word8Array.array (\sigma + 1) 0 fun receiveloop d = (#(receive) p buff; let val m = unpad buff in if final buff then concat(reverse(m::d)) else let fun zerobuf(i) = if i < 0 then () else (Word8Array.update(buff,i,0); zerobuf(i-1)) in zerobuf(Word8Array.length(buff)-1); receiveloop(m::d) end end) in receiveloop [] end in [\![ P ]\!]_{\text{ML}} end ``` First, a receive buffer of size $\sigma+1$ is allocated. Then, the function receiveloop repeatedly calls the foreign function #(receive) until a final chunk from $p$ is received, zeroing the receive buffer between every message. All chunks of the message are unpadded, concatenated and finally bound to the variable $v$ before proceeding. We use a small-step, relational (but deterministic) presentation of CakeML’s semantics, allowing a natural expression of our eventual simulation theorem. We write $(p_0, cs_0) \rightarrow_c (p, cs)$, with $p_0$ the initial CakeML program, and $cs_0$ its accompanying state, to mean that this pair can evolve in a single step to $(p, cs)$. The states $cs_i$ contain FFI information (see below), the internal program state (variable environment, reference contents), as well as a continuation stack to track what remains to be done. The semantics is parametric on the behaviour of foreign functions: states include a freely chosen model of the outside world, and a freely chosen oracle function that describes how this model reacts to FFI calls. We are interested in how generated CakeML code interacts with the choreography’s other endpoints, so our FFI state models the outside world as triple $(p, q, N)$, with $p$ the name of the CakeML endpoint, $q$ its queue, and $N$ a PAYLOAD network that $p$ interacts with. There is an unfortunate mismatch here: the FFI model must be a function (CakeML is deterministic), but PAYLOAD’s semantics is a one-to-many relation: when we receive a message from $N$, there is not in general a unique $N'$ that the network will reach after sending us our message, as actions internal to $N$ may or may not fire before $N$ sends the message. However, as long as all endpoints in $N$ have unique names (a reasonable invariant), PAYLOAD reductions and send actions are locally confluent. So whether such internal actions fired or not, the resulting states are observationally equivalent from $p$'s point of view. Let $N \xrightarrow{\widetilde{p} \rightarrow p \cdot d} N'$ denote $N \xrightarrow{p \rightarrow p_0 \cdot d_0} \cdots \xrightarrow{p \rightarrow p_n \cdot d_n} N'$. We define the oracle so that when \#(send) $p$ $d$ executes in a state $(p_1, q, N)$, if there is no endpoint named $p$ in $N$, we abort with a run-time error; otherwise we produce a new state $(p_1, q + (\widetilde{p}, d) + (p', d'), N')$, chosen with Hilbert Choice to satisfy $N \xrightarrow{\widetilde{p} \rightarrow p_1 \cdot d} \xrightarrow{p \rightarrow p_1 \cdot d} \xrightarrow{\widetilde{p}' \rightarrow p_1 \cdot d'} N'$. That is, the network component $N'$ records its delivery of some number of messages to us (from $\widetilde{p}$), the delivery of our message $d$ to $p_1$, followed by its sending us possibly yet more messages (from $\widetilde{p}'$). The semantics of \#(receive) is similar, with the addition that the FFI call diverges if there is no reduction sequence causing a message to be enqueued. A key sanity check and technical lemma to show that this use of Hilbert choice is innocuous is the following: Lemma 14 (FFI irrelevance). Two CakeML steps starting from equal environments, equal expressions and bisimilar initial states yield bisimilar states and otherwise equal results. Let $N_p$ denote the endpoint named $p$ in $N$, and $N - p$ the network with that endpoint removed. Let FFI$(cs)$ denote the FFI component of the CakeML state $cs$. Write $cs_1 =_{ffi} cs_2$ when FFI$(cs_1)$ is bisimilar to FFI$(cs_2)$ and all other components of the two states are equal. Theorem 15 (Network Forward Correctness). Let $N$ be a well-formed PAYLOAD network that includes an arbitrary endpoint $p$. Further, assume a CakeML state $cs$ that is appropriately related to $N$ (see below), with FFI$(cs) = (p, q, N - p)$. Then, if $N$ can reduce to $N'$, there exist $cs'$, $mp$ (the “merge program”), $cs_1$ and $cs_2$ (two “merge states”) such that - FFI$(cs') = (p, q', N' - p)$ and $cs'$ is appropriately related to $N'$; - $(\llbracket N_p \rrbracket_{ML}, cs) \rightarrow^_c (mp, cs_1)$; - $(\llbracket N'_p \rrbracket_{ML}, cs') \rightarrow^_c (mp, cs_2)$; and - $cs_1 =_{ffi} cs_2$. The “appropriate relation” above between a network and a CakeML state requires that: all bindings of $N_p$ are present in the CakeML state’s environment; our library functions (e.g., List.drop) are defined and have the expected behaviour; and for every function $f$ used in a let expression in $N_p$, a CakeML function that is a totally correct implementation of $f$ is present in the environment. As CakeML is deterministic, Theorem 15 gives us that (i) all infinite traces in PAYLOAD are necessarily simulated by an infinite trace in CakeML, and (ii) compilation of a terminating choreography produces CakeML endpoints that will all also terminate successfully. Though Theorem 15 tells us that every step taken by an endpoint will result in corresponding movement at the CakeML level, we have not transferred deadlock freedom to this level if the original choreography has only infinite paths. This is because currently, our theorems are not strong enough to rule out the possibility of livelocks: states where global progress is possible, but some nodes may be stuck waiting to receive. This is impossible by construction in Kalas, so while no such livelocks can occur (under weak fairness), operational correspondence by itself is only strong enough to guarantee global progress. One possible solution is to prove, in addition to operational correspondence, that an invariant stating “every receive can eventually be matched by a send” holds throughout the compilation chain. ### 8.2 Dynamic compiler by example The dynamic compiler creates the initial environment assumed in Theorem 15, and proves that it is appropriate. The environment is built on top of the CakeML basis library by invoking CakeML’s proof-producing code synthesis tool [21] on each function used in the endpoints’ let expressions. Kalas and the compiler are all deeply embedded in HOL4. Hence, users program choreographies by writing instances of the HOL4 datatype that encodes the choreography syntax. We define the system in Example 1 as a choreography `filter` where the producer has an infinite message stream, and where `test` is a simple function that checks if the message starts with “A” or not. To run the compiler, the invocation is ``` project_to_camkes builddir filename "filter"; ``` This automatically performs the following tasks: (i) proves that the current environment is appropriate; (ii) evaluates the compiler in the logic to produce CakeML code for each of the three endpoints; (iii) produces end-to-end theorems for each endpoint by composing Theorems 12 and 15, discharging all assumptions; (iv) finally, generates all the glue code and build instructions necessary to create a complete system image that runs our choreography on top of the verified microkernel sel4 [17]. The system consists of three components in parallel, each running our generated CakeML code. The CakeML code is linked with a thin layer of C glue code that implements `send` and `receive` using the dataport and IPC mechanisms of the CAmkES [19] component platform. Thus: the user writes a choreography, calls `project_to_camkes`, and obtains a correctly compiled choreography running on a verified component platform on a verified microkernel. ### 9 Related Work Session types [14] have seen extensive use in the $\pi$-calculus [15] and other concurrent languages [22, 29, 8, 16]. In recent years, the field has seen more mechanised proofs, perhaps motivated by past mistakes [31, 23]. In Castro et al. [3] a revised version of the session-typed $\pi$-calculus [31] is formalised in Coq [4]. Furthermore, Thiemann [27] proves type soundness and session fidelity in Agda [1] for an asynchronous functional session type language based on Gay et al. [10]. Tassarotti et al. [26] develop a higher-order concurrent logic, and verify a refinement procedure for a session-typed language as a case study. Hallal et al. [12] synthesise the distributed components of a communicating system from a global choreography. Their result aims only to capture the communication logic of the system; by way of contrast, we consider local computation also. Carbone and Montesi [2, 20] present a choreographic language with multi-party asynchronous session types (demonstrating the combination of the two approaches to great effect) along with a projection function into a variant of the calculus for multi-party sessions, with a proof – albeit pen-and-paper – of projection correctness. Kalas began as a simplified version of their language. The most closely related work is two recent Coq formalisations of endpoint projection in different settings, by Cruz-Filipe et al. [6], and by Hirsch and Garg [13]. Cruz-Filipe et al. verify endpoint projection from CC (Core Choreographies) to a distributed process calculus. Hirsch and Garg [13] formalise endpoint projection from Pirouette, a higher-order functional choreographic language, where functions can return, and be parameterised on, choreographies. The most obvious difference between our work and these other papers is one of scope: both of [6, 13] formalise endpoint projection in isolation; for us, this is just the first step towards our goal of integrating endpoint projection into an end-to-end verified compilation toolchain that can be used to build real, runnable code. Both CC and Pirouette are parameterised on a local language for describing computation, which is assumed to be available also in the target language. We achieve similar generality by representing local computation as shallow embeddings (functions in HOL4’s logic). This lets us use a more abstract presentation, with no need to carry around an extra syntax, semantics, and associated well-formedness assumptions. The tradeoff is that we need a proof-producing (as opposed to verified) compiler phase to generate CakeML code. In terms of semantics, one difference is that Kalas has asynchronous communication, whereas both CC and Pirouette are synchronous languages. Another interesting difference between the three languages is their representation of choreographies with infinite behaviour. Pirouette uses function closures. CC does not support the definition of local procedures, but executes in a context where a number of top-level, parameterless procedures are available. Kalas uses a fixpoint operator, which is parameterless, like CC, but supports arbitrary nesting of local procedures, like Pirouette. CakeML has functions with closure semantics, but we nonetheless chose fixpoints over functions for Kalas. This is because, in an environment semantics, it is difficult to maintain a consistent view of the global environment in the presence of out-of-order execution: the semantics needs to track which local computations should be executed in the caller’s environment (if they’re ahead) or in the callee’s environment (if they’re behind). One solution is Cruz-Filipe et al. [6]’s approach, which breaks the abstraction of global, atomic actions by introducing an operator representing partially-completed procedure entry into the source language. Hirsch and Garg use an interesting approach, where function calls are considered global \textit{both in source and target language}. In particular, executing a function call in a single endpoint has a CSP-like synchronous semantics where, as a single atomic action, the entire network performs the same function call together. While assuredly simplifying endpoint projection, this comes at the expense of complicated synchronisation when realising this in a distributed setting. In contrast, Kalas’s unfolding of fixpoints can be implemented locally. The target language used by Hirsch and Garg is a parallel composition of nodes expressed in the so-called \textit{control language}. It mixes $\lambda$-calculus features with communication-enabling effects like \texttt{send}, \texttt{receive} and \texttt{choose}. This is rather like a functional language, which invites comparisons to our final target language, CakeML, but the role it plays in their development is much more akin to the role Endpoint plays in ours. Much like the relationship between Kalas and Endpoint, the feature set of Pirouette and the control language are essentially the same, except the latter is a localised representation. Not all aspects considered by Hirsch and Garg, and by Cruz-Filipe et al., are present in our work. For example, Hirsch and Garg prove progress and preservation for an associated type system, while we do not consider types at all. In a companion paper, Cruz-Filipe et al. [7] prove that CC is Turing-complete, by showing that it can implement partial recursive functions. Turing completeness for Kalas is trivial because local computations may use arbitrary HOL functions. ## Conclusion We have presented what we believe to be the first end-to-end verified compiler for a choreographic language. After passing through five phases and two intermediate languages, our language, Kalas can be compiled to machine-code by reusing existing work from the CakeML project. Further, we have implemented a deployment on top of the micro-kernel seL4, itself also verified software. There, message-passing is implemented by IPC between separate user-processes. There are a number of interesting directions for future work. Data types other than strings require a framework for verified marshalling and de-marshalling. Our model of the communication backend assumes unboundedly long message queues, which is arguably unrealistic. It would be interesting to investigate if deadlock freedom holds in a model where queues are bounded but not lossy. Alternative ITree-base [30] semantics (i.e., a co-inductive observational semantics) for Kalas and other intermediate languages, could significantly simplify projection proofs and allow for more lax projectability criteria. The CakeML compiler correctness theorem has an “unless the compiler output runs out of memory” side-condition, so liveness properties such as deadlock freedom carry over to the machine code only with this caveat, which could be discharged using CakeML’s verified space-cost semantics [11]. We would also like to deploy on other communication backends, perhaps on top of TCP/IP, which would demonstrate verified distributed computation over the Internet. --- References 1. Andreas Abel, Stephan Adelsberger, and Anton Setzer. Interactive programming in Agda – Objects and graphical user interfaces. J. Funct. Program., 27:e8, 2017. doi:10.1017/S0956796816000319. 2. Marco Carbone and Fabrizio Montesi. Deadlock-freedom-by-design: Multiparty asynchronous global programming. In Roberto Giacobazzi and Radhia Cousot, editors, The 40th Annual ACM SIGPLAN-SIGACT Symposium on Principles of Programming Languages, POPL ’13, Rome, pages 263–274. ACM, 2013. doi:10.1145/2429069.2429101. 3. 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unlikely to be as dramatic as is often presupposed. The evolution of the mammalian olfactory processing system and its connections with hypothalamic and other regions controlling reproductive physiology and behavior have resulted in a far more flexible and integrated system than that for processing pheromones in invertebrates. We are unlikely, therefore, to find mammalian pheromones which drive an inevitable and unconscious behavioral or physiological reaction such as that portrayed, for example, in Roald Dahl’s celebrated short story Bitch [20] which features a fictional odourant cocktail capable of driving men to exhibit unconscious intense and insatiable sexual responses to women. References 1. Karlson, P., and Lüscher, M. (1959). ‘Pheromones’: a new term for a class of chemically active substances. Nature 183, 56–58. 2. Baxi, K.N., Dorries, K.M., and Eisthen, H.L. (2008). Is the vomeronasal system really special for detecting pheromones. Trends Neurosci. 29, 1–7. 3. Baum, M.J., and Bakker, J. (2013). Roles of sex steroids and steroids in mammalian pheromonal communication. Front. Neuroendocrinol. 34, 288–303. 4. Novotny, M.V., Ma, W., Wiesler, D., and Zidek, L. (1999). Positive identification of the puberty-accelerating pheromone of the house mouse: the volatile ligands associating with the major urinary protein. Proc. Roy. Soc. Lond. B 266, 2017–2022. 5. Haga, S., Hattori, T., Sato, T., Sato, K., Matsuda, R., Kobayakawa, R., Sakano, H., Yoshimura, Y., Kikusui, T., and Touhara, K. (2010). The mammalian pheromone ESR1 enhances female sexual receptive behavior through the spinal perinatalis receptor. Nature 466, 116–122. 6. Singer, A.G., Agosta, W.C., Clancy, A.N., and Macrides, F. (1987). The chemistry of vomeronasally detected pheromones: characterization of an aphrodisiac protein. Ann. N.Y. Acad Sci. 519, 287–298. 7. Boehm, T.W. (1999). Pheromone and hormone binding proteins in submaxillary gland and saliva of rats. In Olfaction and Endocrine Regulation, W. Breipohl, ed. (London: IRL Press), pp. 353–356. 8. Delgado, J.A., Gelez, H., Unrein, R., Haskins, C.E., and Breipohl, G.B. (1989). The male effect in sheep and goats: revisiting the dogma. Behav. Brain Res. 200, 304–314. 9. Murata, K., Tanaka, S., Itou, T., Yoshimura, Y., Wakabayashi, Y., Watanabe, H., Okamura, H., Takeuchi, K., and Mori, Y. (2014). Identification of an olfactory signal molecule that activates the central control of reproduction in goats. Curr. Biol. 24, 681–686. 10. Murata, K., Wakabayashi, Y., Sakamoto, K., Tanaka, S., Yoshimura, Y., Mori, Y., and Okamura, H. (2011). Effects of brief exposure of male pheromone on multiple-unit activity at close proximity to the medial amygdala in the goat arcuate nucleus. J. Reprod. Dev. 57, 197–205. 11. Takeuchi, K., Wakabayashi, Y., Yamamura, T., Tanaka, T., Takeuchi, K., Mori, Y., and Okamura, H. (2013). A population of kisspeptin/neurokinin B neurons in the arcuate nucleus may mediate the effect of the male effect phenomenon in goats. PLoS One 8, e81017. 12. Brennan, P.A., and Kendrick, K.M. (2006). Mammalian social odours: attraction and individual recognition. Phil. Trans. Roy. Soc. B. 361, 2061–2078. 13. Dulac, C., and Torroba, A.T. (2003). Molecular detection of pheromone signals in mammals: from genes to behaviour. Nat. Rev. Neurosci. 4, 551–562. 14. Kang, N., Baum, M.J., and Cherry, J.A. (2011). Differential profiles of main and accessory olfactory bulb mitral/tufted cell projections revealed in an axon tracing whole mount stained cortex preparation. Chem. Senses 36, 235–243. 15. Loukemaus, M., Szynanski, L., Martini, M., Ellis, A., and Keller, M. (2013). Kisspeptin: a new neuronal target of primate pheromones in the central nervous system of female mammals. Gen. Comp. Endocrinol. 188, 3–8. 16. Boehm, T., Zou, Z., and Buck, L.B. (2005). Pheromone receptors and mammalian pheromone signaling with reproduction. Cell 123, 683–695. 17. Bhatnagar, V., Wysocki, C.J., Barnhart, C.J., Sondheimer, S.J., and Leyden, J.J. (2003). Male axillary extracts contain pheromones that affect putative secretion of luteinizing hormone and mating in women recipients. Biol. Reprod. 68, 2107–2113. 18. Stern, K., and McCloud, M.K. (1998). The role of odor in the perception of human pheromones. Nature 392, 177–178. 19. Frasarelli, J., Lundström, J.N., Boyle, J.A., Katschnig, A., and Jones, B.F. (2011). The vomeronasal organ is not involved in the perception of endogenous odors. Hum. Brain Mapp. 32, 450–460. 20. Dahl, R. (1976). Switch Bitch (London: Penguin Books). Key Laboratory for Neuroinformation, University of Electronic Science and Technology of China, Chengdu 610054, China E-mail: k.kendrick@firstname.lastname@example.org http://dx.doi.org/10.1016/j.cub.2014.02.019 --- Climate Change: A Hybrid Zone Moves North A shifting zone of hybridization between two chickadee species helps us understand the proximate mechanisms driving species responses to climate change. Bettina Harr¹ and Trevor Price²,³ In association with climate change, the northern range limits of northern species are moving northward [1]. These species southern range limits also appear to be moving northward, albeit at a slower rate and with greater heterogeneity between species [2,3]. While the ultimate reason may well be climate change, the more proximate mechanisms are difficult to determine. How much can range shifts be attributed to changes in the available resources (such as a longer growing season or different kinds of food) plus competition for these resources [4]? One reason why it is so difficult to determine the role of competition is that when resource quality or quantity gradually varies over space, theory predicts that the species will show a large overlap in their geographical range. One species may be superior at one end of the gradient and the other at the other end so that the two species mutually set each other’s range limit, but over an extensive area, each species can persist alongside the other by consuming a different portion of the available resources [5] (Figure 1). The gradual spatial turnover from one species to the other makes it difficult to empirically demonstrate competition as the ultimate cause of the range limits of each species. It should make it even more difficult to assess drivers of range expansions and contractions under climate change. Hybridization between species changes this dynamic. A small amount of cross-mating between a pair of species can considerably narrow the overlap between them [5] (Figure 1). This is essentially because any individual that hybridizes leaves no offspring, and hence has zero fitness. The result is a steep cline across which the two species regularly interact, making it easier to directly evaluate species interactions in range movements. Further, in a hybrid zone, the southern limit of one species is tied to the northern limit of the other, so the two boundaries move at the same rate. This coordinated change in range movements, plus the close proximity of the parental forms, implies studies on moving hybrid zones have much to offer to our understanding of species responses to climate change. A number of bird hybrid zones are moving along a south–north axis [6], and one particular hybrid zone is the focus of a new paper by Taylor and colleagues [7] in this issue of Current Biology. Taylor et al. [7] used genomic methods to study a classic moving bird hybrid zone, that between the black-throated blue warbler (Dendroica atricapilla, to the north) and Carolina chickadee (P. carolinensis, lying to the south) in eastern North America (Figure 2). Based on songs and morphology the zone is considered to be about 30 km wide. It stretches >1,500 km from Kansas to New York state, although not everywhere along this transect do the species actually come into contact. The hybrid zone has been moving north at a rate of ~1 km per year for more than 100 years [8,9]. Even though northward movement commenced long before the current global warming trend, climate is strongly implicated as a determinant of zone position, because it tracks present-day winter temperatures well [7]. For example, the zone dips south 300 km along the trace of the Smoky mountains in Tennessee and North Carolina [7]. Taylor et al. [7] performed genetic analysis of the hybrid zone in eastern Pennsylvania. Taking advantage of a new high-throughput method called genotyping by sequencing (GBS), they were able to identify and genotype 1,425 single nucleotide polymorphisms (SNPs) in 167 individuals across the hybrid zone. Seventy-five SNP loci showed clinal geographic variation, with cline widths less than 100 km (average 31 km). These are the loci that can be used to study the temporal dynamics of the hybrid zone at a truly genome-wide level. When comparing the samples taken from the same hybrid zone 10 years apart, 71 out of the 75 loci showed cline centers displaced northwards in the more recent sample, by an average of 9 km. Ten of the 167 individuals studied were clearly F1 hybrids between the two species, but there are no obvious early generation backcrosses. The genomes of both species as a whole appear to be moving north, with very little, if any, introgression between the species. The classic conception of a hybrid zone is that of a ‘tension zone’ in which the parental forms mate randomly, and hybrids have low fitness. The zone is maintained by a balance of dispersal of members of the parental species into the zone and selection against the hybrids [10]. Most hybrid zones differ from this ideal, however. For example, nonrandom mating is common in hybrid zones, with individuals more often pairing with members of their own species than would be expected by chance. This includes some of the best-known hybrid zones, such as that between the Townsend’s warbler (Setophaga townsendi), and hermit warbler (Setophaga occidentalis), in the Pacific northwest, about which we will have more to say later. Also in contradiction to the classic conception, parental forms often suffer reduced fitness when on the wrong side of the zone. For example, resources may differ across the zone (Figure 1), or males of one species when surrounded by the other may be subject to aggression [6,11]. In birds, it is the chickadee hybrid zone that comes closest to the notion of a tension zone [6]. Based on mitochondrial DNA differences, the two species may be separated by as much as 4 million years [6]. This long separation time would be expected to lead to low fertility in the hybrids, as has been confirmed in field studies of the chickadees [9] and is supported by the apparent absence of recent generation backcrosses in the genomic analysis. As far as we know, mating is random, i.e., conspecific pairs in a particular locality do not appear to be more frequent than expected based on the frequency of the parental types in that place. Most pair formation apparently occurs well before the breeding season commences and exactly how the heterospecific pairs form remains to be determined [12], but the species do look very similar (Figure 2), which may be one reason why cross-pairing is common. Low hybrid fitness and random mating should make for a narrow hybrid zone, but these factors are not expected to drive zone movement in any particular direction. Instead, interactions between the parental species are likely to be the main reason for directional movement. In several moving bird hybrid zones, the dominant species is displacing the subordinate one [6]. This is a curious finding, because if the dominant has an inherent advantage, it raises the question of why subordinates should ever persist in nature [13]. We suggest that in the case of moving zones, behavioral dominance is a flexible trait, reflecting response to current conditions. Thus, in a warmer and shorter winter, the southern species (Carolina chickadee) may be better suited to build up the resources that enable it to displace the northern species. This and other narrow hybrid zones provide excellent systems in which to investigate competitive interactions between parental types in response to climate change. Moving hybrid zones have many implications for the process of speciation, as well as determinants of range limits. Providing at least one fertile backcross is produced, genes can leak from one taxon to the other, thereby slowing divergence, but perhaps only at certain regions of the genome. Some parts of the genome may move with the zone and others get left behind, but the extent to which this happens does depend on the fitness of hybrids. The black-capped/Carolina chickadee zone apparently results in hybrids of very low fitness and introgression of genes from one side of the zone should be rare. Other studies based on small molecular datasets have found some evidence for introgression [14–15], which may be ancient. However, alternatives, such as shared ancestral polymorphism, have been hard to rule out. Limited, or no, introgression may be contrasted with the findings from other moving zones, in which the species involved are younger and gene exchange more frequent. Rohwer et al. [16] found that the hybrid zone in Washington State between southern hermit warblers and northern Townsend’s warblers was likely to be moving south. This was inferred from the presence of hermit warbler mitochondrial DNA in Alaskan Townsend’s warblers, 2,000 km to the north of the present zone. Dominance of Townsend’s males is implicated in zone movement, and the discordance between plumage and mtDNA could be explained if male plumage and associated dominance traits moved south but the females disperse more or less at random. Hybrid zones between recently separated groups such as these are calling out for genomic analyses along the lines pioneered by Taylor et al. [7]: climate change not only affects range limits, but also the potential for hybridization and introgression during a protracted speciation process. References 1. Parmesan, C., and Yohe, G. (2003). A globally coherent fingerprint of climate change impacts across natural systems. Nature 421, 37–42. 2. Thioune, C.D., and Pons, J.M. (1999). Birds extend their ranges northwards. Nature 398, 213–213. 3. Smith, J.M., Bates, A.E., and Dulvy, N.K. (2012). Thermal tolerance and the global redistribution of animals. Nature Climate Change 2, 580–580. 4. Price, T. (2013). Ecology of Climate Change: the Importance of Biotic Interactions (Princeton University Press). 5. Goldberg, E.E., and Lande, R. (2006). Ecological and reproductive character displacement on an environmental gradient. Evolution 60, 1344–1357. 6. Price, T. (2014). Speciation in Birds (Boulder, CO: Roberts and Co.). 7. Taylor, S.A., White, T.A., Hochachka, W.M., Ferretti, V., Curry, R.L., and Lovette, I. (2014). Canopy occupancy predicts the fate of an avian hybrid zone. Curr. Biol. 24, 671–676. 8. Brewer, R. (1985). Ecological and reproductive relationships of black-capped and Carolina chickadees. Auk 80, 9–47. 9. Bronson, C.L., Price, T.C., and Braun, M.J. (2002). Testing of the environmental and exogenous selection hypotheses for the maintenance of a narrow avian hybrid zone. Evolution 57, 1361–1367. 10. Barton, N.H., and Hewitt, G.M. (1989). Adaptation, speciation and hybrid zones. Nature 341, 457–459. 11. Stein, A.C., and Uy, J.A.C. (2006). Unidirectional introgression of a sexually selected trait across an avian hybrid zone: a role for female choice? Evolution 60, 1476–1485. 12. Curry, R.L., Rossano, L.M., and Reidunk, M.W. (2007). Behavioral aspects of chickadee hybridization. In Ecology and Behavior of Chickadees and Titmice: an Integrative Approach, K. Otter, ed. (Oxford: Oxford University Press), pp. 101–110. 13. Rohwer, S., and Ewald, P.W. (1981). The cost of dominance and advantage of subordination in a bird signaling system. Evolution 35, 441–454. 14. Sattler, S.D., and Braun, M.J. (2008). Morphological divergence as a predictor of genetic interactions between black-capped and Carolina chickadees at a contact zone in the Appalachian Mountains. Mol. Ecol. 17, 427–444. 15. Sattler, S.D., Sutter, G.D., Williams, J., Braun, M.J. (2013). Reproductive isolation and cryptic speciation in a sky island enclave of Appalachian birds. Ecol. Evol. 3, 2484–2496. 16. Rohwer, S., Bermingham, E., and Wood, C. (2001). Plumage and mitochondrial DNA haplotype variation across a moving hybrid zone. Evolution 55, 439–452. Max-Planck Institute of Evolutionary Biology, 24304 Plön, Germany. 2Department of Ecology and Evolution, University of Chicago, Chicago, IL 60637, USA. E-mail: email@example.com http://dx.doi.org/10.1016/j.cub.2014.02.023 Hearing Damage and Deafness: A Role for the Circadian Clock Severe noise can cause permanent hearing damage. A recent study now shows that the capacity to recover from noise damage varies with time of day, driven by circadian clock control of a nerve growth factor (BDNF) in the inner ear. Andrew S.I. Loudon We are all familiar with the effects of loud noise on our hearing. These include ‘ringing in the ear’ and temporary deafness, but for severe noise trauma, these effects can be permanent. The cause of these problems resides in the spiral cochlea of the inner ear, specifically involving damage to the delicate hairs of the inner ear, which are tuned to specific frequencies, and also importantly the dendrites of the auditory nerve. The circadian clock is known to be regulated by environmental stimuli, of
Thermodynamics and hydrodynamic transport properties in a resonantly interacting or unitary Fermi gas are of special interest since they are universal functions of density and temperature. However, the behavior of the shear viscosity $\eta$ and the thermal conductivity $\kappa_T$ of a unitary Fermi gas is not yet established. This dissertation provides a new time-domain, free evolution method of measuring hydrodynamic transport coefficients in quantum gases, by observing the free decay of a spatially periodic density profile in a box potential. Measurement of the evolution enables the first independent determination of both the universal thermal conductivity and the universal shear viscosity in a normal fluid strongly interacting Fermi gas, providing new parameter-free tests of predictions. © Copyright 2022 by Xin Wang All Rights Reserved Hydrodynamic Relaxation in a Unitary Fermi Gas by Xin Wang A dissertation submitted to the Graduate Faculty of North Carolina State University in partial fulfillment of the requirements for the Degree of Doctor of Philosophy Physics Raleigh, North Carolina 2022 APPROVED BY: Albert Young Michael Kudenov Thomas Schäfer John Thomas Chair of Advisory Committee DEDICATION For Yixuan Xin Wang was born in Wuhan, China on September 17, 1989. He attended Fudan University in 2009, where he participated in experimental condensed matter physics on iron-based superconductors for his junior research project under the guidance of Professor Donglai Feng. He studied the shear viscosity of spinning soft matters for his undergraduate thesis under the direction of Professor Luwei Zhou and received his B.S. in Physics in 2013. Later this year, he enrolled in the graduate program at North Carolina State University. He joined the AMO research group of Professor John Thomas in 2015. His research in the JET lab was focused on universal hydrodynamics in a strongly interacting Fermi gas. He also contributed to setting up new experimental apparatuses and improving system stability. He was awarded an M.S. in Physics in 2020, with his Ph.D. following in May 2022. ACKNOWLEDGEMENTS I cannot precisely express how I feel when I finally reach this point where I can write my dissertation and obtain my Ph.D. degree. The one thing I am pretty sure about is that I feel truly blessed to have these people around me in my long journey as a graduate student. Without them, I could never reach this far. I would like to express my great appreciation to my advisor, Dr. John Thomas for his enormous support and help. It was my privilege of having John as my advisor and mentor. Besides his world-class talent and sharp insights in physics, he always creates a friendly, supportive and creative atmosphere for the whole group. These were what attracted me to join the group even though I knew the experiments we did were very hard and I had to wait for several years before taking over the system for my thesis project. Moreover, as a great mentor, he inspired me to both become an independent researcher and become a better person. His enthusiasm for physics is boundless. It is truly impressive that he thought about pressure waves on a road trip, and he does “Thermodynamic Sudoku” after dinner as a habit. John treats every group member with respect and is supportive of their life. He has never pushed or forced us to do any research. Instead, he provided stimulative ideas and helped us with his knowledge. The only downside about John is that I had to think hard about how good I needed to be to graduate, since he usually said “You are good so you can stay.” and “You are too good so you can never graduate.” I have enjoyed the spirited discussion about physics and experiments with John. Our talk often goes beyond research and it has always been great fun, from his suggestion that Tempranillo is pretty good to his favorite closure “Hope the universe will be flat.” Thank you, John, I am truly grateful for having you as my advisor. I am indebted to our postdocs, Stetson Roof and Ilya Arakelyan. I learned a lot of lab and coding skills from Stetson when we set up the optics together. I especially thank you for letting me have more control and ownership of the lab when I was a junior in the group. It was great fun hitting the gym with him and talking about who is the best basketball player on the planet when taking boring data. I am glad that Stetson cannot argue with me in this thesis, so he has to agree that Lebron is better than MJ, hands down. Ilya, who knows everything in the lab, helped me a lot when I ran into trouble. His thorough understanding of what we do and solid lab skills helped me to take over the whole complicated system smoothly and be able to run it all by myself. Thank you for teaching me how to think and plan professionally. I appreciate his modest personality and his straightforward jokey talking style. I have had the fortune of working with bright graduate students from Duke and NC State. I would like to thank Arunkumar Jagannathan for introducing and explaining all the basics of the research in our group, which helped me in choosing my research topic. Your friendliness and kindness made me feel at home when I first joined the group. I enjoyed all kinds of talks with him, from stock investments to politics. What impresses me is his tennis skill is as good as his physics. Nithya Arunkumar, thank you for teaching me how to pick up and run the system. I am glad that you and Arun both like the spicy fried fish of Szechuan Taste which I recommended. Lorin Baird, the big brother of team Hydro, has always been a fun person to work with and talk to. Thank you for writing RoboXin which freed me from watching the atom number fluctuations, and I hope you have already found the foods in California are way better than that of the Mexican restaurant in Georgia. Kangara Mudiyanselage Jayampathi, the kindest person that I have ever met, has been always willing to help whenever I asked. Thank you for adding some joyful memories to my graduate student life, from bench pressing together to hanging out to cheer my marriage with those folks. Saeed Pegahan, I am glad that we all made it for being able to graduate with a lack of hands in both labs. I like your screenshot for the Zoom group meeting during the lockdown and it amused my committee during my defense. There was a time John decided to stop recruiting new students so I was supposed to be the last one in our group. While he changed his mind and we were happy to welcome the junior members. Xiang Li, Cannen Royce, and Jingjing Huang, thanks for bringing new energy and thoughts to the group and I enjoyed the fruitful discussions with you guys. I admire their dedication and I appreciate the opportunity for building leadership when teaching and working with them. I would like to express my heartful gratitude to my parents who always support me unconditionally. They gave me great freedom to chase what I dreamt of. They trusted and respected every decision I made, allowing me to choose physics, a very fun but not that “useful” major, for my degrees. They never give me too much pressure on this long journey, and they are always there for me whenever I need them. My special thanks to our graduate program coordinator, Rhonda Benett for helping me with all the paperwork and stuff through the years, as well as sharing me with the delicious candies. I am in debt of gratitude to my committee members, Dr. Thomas Schäfer, Dr. Albert Young, and Dr. Michael Kudenov. Thank you for helping me in both doing research and writing this dissertation. Finally, I would like to express my deepest gratitude to my wife, Yixuan Jiang. Thank you for understanding me, trusting me, and constantly supporting the whole family. I won’t be able to make it happen without you. It was my greatest fortune that I met you at NC State, and it turned out to be my most important decision to go to the gym that day where we first met. Your sweet smile is my favorite coffee that wipes the fatigue and is what encourages me to work hard every single day. No matter enjoying sunshine and wines on Miami beach or cleaning and sanitizing all the groceries during the Covid lockdown, you are always with me. You always make sure that I have the best lunch box in the group even when you were so busy with your work. Thank you for taking over everything for our family in the last few months when I was sprinting to the finishing line. You are so smart that you would definitely become a great physicist if your love of food didn’t lead you to study food science. Also, thank you for giving birth to our cute baby little James, who showed the greatest interest in physics at the age of 1, and tried to climb on my desk to type his own “equations” for me whenever I wrote my thesis at home. This forced me to hide in my closet to write the thesis and surprisingly it turned out to be more productive. # TABLE OF CONTENTS List of Tables ................................................................. ix List of Figures ................................................................. x Chapter 1 Introduction ....................................................... 1 1.1 Tunable Interactions .................................................. 3 1.2 Unitary Fermi Gas .................................................... 9 1.3 Ultracold Gases in Homogeneous Potentials ..................... 12 1.4 Primary Results ...................................................... 14 1.5 Significance of Current Work ...................................... 16 1.6 Dissertation Organization ........................................ 17 Chapter 2 Theory ........................................................... 19 2.1 Thermodynamic Theory ............................................. 19 2.1.1 Thermodynamic Relations .................................... 19 2.1.2 Unitary Fermi Gas Thermodynamics .......................... 21 2.2 Hydrodynamic Theory .............................................. 25 2.2.1 Hydrodynamic Linear Response ............................... 26 2.2.2 Analytic Solution in Fourier Space ........................ 28 2.2.3 Damped Oscillator ............................................ 33 Chapter 3 Experimental Methods ........................................ 35 3.1 Atom Trapping and Cooling ...................................... 35 3.2 Imaging ............................................................. 39 3.3 Optical Box ......................................................... 40 3.3.1 Box Beam ...................................................... 42 3.3.2 Digital Micromirror Devices ................................. 45 3.3.3 The "Top-Hat" Beam Shaper .................................. 50 3.3.4 Alignment of the Box ......................................... 57 3.4 Box Loading and Perturbation .................................... 60 3.4.1 Box Potential .................................................. 61 3.4.2 Perturbing Potential .......................................... 64 Chapter 4 Data Analysis Methods ....................................... 68 4.1 Data Taking and Processing ...................................... 68 4.2 Data Analysis Methods ............................................ 71 4.2.1 Numerical Integration of the Complete Equations .......... 71 4.2.2 Solving Ordinary Differential Equations .................... 81 4.2.3 Analytic Fit Function ......................................... 83 4.2.4 Exact Analytic Fit Function .................................. 86 4.3 Data Analysis Details ............................................. 93 4.3.1 Statistical Uncertainty ................................................................. 93 4.3.2 Determination of the Central Density ........................................... 95 Chapter 5 Results .................................................................................. 98 5.1 Experimental Results ....................................................................... 98 5.1.1 Sound Diffusivity ..................................................................... 106 5.2 Systematic Shifts of the Results ...................................................... 108 5.2.1 Effect of Density Variation on the Measured Transport Coefficients 108 5.2.2 Stored Energy ........................................................................ 111 5.2.3 Long Wavelength Limit ............................................................ 113 5.3 Breakdown of Hydrodynamics ....................................................... 115 Chapter 6 Conclusion ............................................................................. 120 6.1 Summary ....................................................................................... 120 6.2 Outlook .......................................................................................... 122 References ............................................................................................. 123 APPENDICES .......................................................................................... 129 Appendix A Code for Jarvis Halftoning .................................................. 130 Appendix B Code for Numerical Integration .......................................... 133 Appendix C Code for Exact Analytic Fit Function .................................. 143 \| Table 5.1 \| Measured Transport Coefficients \| 106 \| \|----------\|---------------------------------\|-----\| \| Table 5.2 \| Validity of the Long Wavelength Limit \| 115 \| \| Table 5.3 \| Comparison of Time Scales and Drude Corrections \| 119 \| LIST OF FIGURES Figure 1.1 A unitary Fermi gas is loaded into a box potential with a small static spatially periodic perturbation $\delta U$, creating a spatially periodic 1D density profile. After $\delta U$ is abruptly extinguished, the dominant Fourier component exhibits a two-mode oscillatory decay (see Fig. 1.6). 3 Figure 1.2 Magnetic field dependence of the $^2S_{1/2}$ ground state of $^6Li$. We use a 50-50 mixture of the two lowest spin states $\|1\rangle$ (spin up) and $\|2\rangle$ (spin down) for the experiment. Plot was originally drawn by Kinast [2006]. 5 Figure 1.3 Magnetic Feshbach resonance occurs due to the hyperfine coupling between the scattering continuum in the triplet potential (open channel) and the molecular bound state in the singlet potential (closed channel). When $B = B_{res}$, the energy of the triplet state moves downward into resonance with the singlet state. 7 Figure 1.4 The s-wave scattering length $a_s$ near a magnetic Feshbach resonance at $B_{res} = 832.18$ [Zürn et al. 2013]. When $B < B_{res}$, the scattering length is positive and the interactions are repulsive, this regime is called BEC side of the Feshbach resonance. When $B > B_{res}$, the scattering length is negative and interactions are attractive, this regime is called BCS side of the Feshbach resonance. When $B = B_{res}$, the scattering length diverges, yielding strong interactions. 8 Figure 1.5 Absorption images show the free evolution of the periodic density profile. An oscillatory decay of the ripples is observed. 14 Figure 1.6 Real part of the Fourier transform of the density perturbation $\delta n(q,t)$, normalized to $\delta n(q,0)$, for $q = 2\pi/\lambda$ with $\lambda = 22.7 \mu m$. The reduced temperature $T/T_F = 0.46$. Blue dots: data; Red curve: analytic hydrodynamics model, Eq. 1.21. Inset shows contributions of thermal diffusion (orange) and first sound (blue). The error bars are statistical. 15 Figure 2.1 Reduced temperature $\theta = T/T_F$ versus adiabatic sound speed $\tilde{c}_S \equiv c_S/v_F$ and isothermal sound speed $\tilde{c}_T \equiv c_T/v_F$. For $\theta > 0.25$, $\theta$ monotonically increases with $\tilde{c}_S$ ($\tilde{c}_T$), showing that the fitted $\tilde{c}_S$ ($\tilde{c}_T$) can be used as a thermometer to determine $\theta$ in the normal fluid region. The blue dots are obtained from the equation of state of Ref. Ku et al. [2012]. The upper (lower) red solid curve shows a fit with a cubic polynomial, $\theta(\tilde{c}_S) = -0.399 + 0.958 \tilde{c}_T + 0.839 \tilde{c}_T^2 - 0.059 \tilde{c}_T^3$, $\theta(\tilde{c}_T) = 0.478 - 4.410 \tilde{c}_T + 11.688 \tilde{c}_T^2 - 5.711 \tilde{c}_T^3$. 23 Figure 2.2 Reduced temperature $\theta = T/T_F$ versus the heat capacities per particle at constant volume $c_{V_1}$ and at constant pressure $c_{P_1}$. The red lines are obtained from interpolations of the equation of state of Ref. Ku et al. [2012]. The upper (lower) black dashed curve shows the fit with a quartic polynomial, $c_{V_1} = 1.190 - 0.872 \theta + 2.160 \theta^2 - 1.387 \theta^3 + 0.283 \theta^4$ ($c_{P_1} = 1.904 - 3.223 \theta + 7.998 \theta^2 - 5.500 \theta^3 + 1.194 \theta^4$). 24 \| Figure 2.3 \| Components of the analytic fit function $\delta n(q, t)$ Eq. 2.57 and $\delta \bar{T}(q, t)$ Eq. 2.59 for a typical data at $T/T_r = 0.46$. Red curve: Total fit function; Orange curve: Zero frequency, exponentially decaying (thermal diffusion) mode; Blue curve: oscillating, exponentially decaying first sound mode. Note that the two components are in phase for $\delta n(q, 0)$ and $180^\circ$ out of phase for $\delta \bar{T}(q, 0)$, ensuring an isothermal initial condition. \| \| --- \| --- \| \| Figure 3.1 \| Experimental setup for initial cooling of $^6$Li atoms by the Zeeman slower and the slower beam and precooling by the MOT beams, repumper beams and MOT coils. MOT and repumper beams are overlapped and are shown together in red. Inset shows fluorescence from the atoms trapped in the MOT. This figure is directly taken form thesis of Jagannathan [2016] for demonstration purpose. \| \| Figure 3.2 \| Illustration of the box trap. A 532 nm beam propagating in the vertical (x) direction provides 4 vertical walls of the box. A 669nm beam propagating in the horizontal plane (y-z) provides the top and bottom sheets. Two CCD cameras view through x and y directions at each of the two spins, enabling in-situ imagery for both spins. \| \| Figure 3.3 \| Box beam path along with the main chamber and imaging system. Top(bottom) orange(green) colored shapes represent a 669 nm gaussian (532 nm “top-hat”) laser beam. Red colored shapes represent the imaging beams. \| \| Figure 3.4 \| Illustration of the box trap. A 532 nm beam propagating in the vertical (x) direction provides 4 vertical walls of the box. A 669nm beam propagating in the horizontal plane (y-z) provides the top and bottom sheets. \| \| Figure 3.5 \| (a) Setup of the horizontal DMD, key elements including a high power fiber, the DMD, a higher order diffraction beam block, a microscope objective and lenses. (b) Micromirror landed position and light paths [DMD], the orientation of the mirrors are diagonal respect to the DMD chip frame. \| \| Figure 3.6 \| Left: In the proper trigger “slave mode”, mirrors only respond to external triggers. Right: Example of another mode, where the mirrors refresh at a fixed time interval. \| \| Figure 3.7 \| Grayscale image of a box made by the DMD with a gaussian input beam, taken by a ThorLabs CMOS camera. The light intensity varies and decrease rapidly for the long side. \| \| Figure 3.8 \| Illustration of the box position, with respect to the magnetic coils proving high field (832 G). \| \| Figure \| Description \| Page \| \|--------\|-----------------------------------------------------------------------------\|------\| \| 3.9 \| A simulation of the relative intensity, as a function of the ratio of the radius (distance to the center) to the gaussian width. A certain radius prefers one optimal width; for radius larger than the Gaussian width, expanding the beam will increase intensity. \| 53 \| \| 3.10 \| Typical setup for the “Top-Hat” beam shaper, including a collimated laser beam, a beam shaper element, a focusing lens and a focal plane for the application [THS]. EFL is effective focal length, $D$ is the input beam size, $d$ is the spot size. Figure only for demonstration, we actually use a round spot in the experiments. \| 55 \| \| 3.11 \| Simulation results for the designed intensity profile for a TH-228-Q-Y-A “Top-Hat” beam shaper, with 3 mm input beam size and a perfect alignment. Image of the actual spot in experiments is shown in Fig. 3.12. \| 55 \| \| 3.12 \| CMOS camera images of typical Top Hat beam applications. The disk in (a) is about 250 $\mu$m in diameter. The box pattern in (b) is about 200 by 95 $\mu$m. This figure is just to show our capability of making very shape edges, the box we actually use in experiments are much thicker to prevent atoms from accumulating outside of it and affecting the image (see Sec. 3.4). \| 57 \| \| 3.13 \| Simulation results for a beam width departs from 3 mm. A larger beam is transformed to a hollow top and a smaller beam is transformed to a gaussian-like top. Above are 2-D spots at focal plane; Bottom are radial intensity profiles. \| 58 \| \| 3.14 \| Relative position of the box, the FORT and the atom cloud during the box loading. Blue: atom cloud; Pink: FORT at final depth of forced evaporation; Gray: the optical box. \| 62 \| \| 3.15 \| 2D absorption images from the horizontal and vertical directions. The box dimension is roughly 52 (x) by 50 (y) by 160 (z) $\mu$m. Upper(lower) image pixel size, which is the camera pixel size divides by magnification, is 1.06(1.34) $\mu$m. \| 63 \| \| 3.16 \| For a sinusoidal potential, the desired pattern (left); the digital halftoned binary pattern (middle); and the blurred halftoning pattern (right). A Jarvis Halftoning operation and the blurring effect of the projecting system, together, make the optical potential close to ideal. \| 65 \| \| 3.17 \| Design of a sinusoidal perturbing potential (7 spatial periods of 23 $\mu$m wavelength), and the observed column density of the atom cloud from the horizontal view CCD camera. \| 66 \| \| Figure 4.1 \| Evolution of the atom cloud in the first 1400 $\mu$s is shown as 2D column density images (using a MATLAB ‘jet’ colormap with a shifted zero-color for better look). An averaged background is subtracted from each image to show better contrast of the perturbations. Also, each image is averaged by a vertical-flipped “mirror” image to show better vertical symmetry. Clearly we see a oscillatory decay. \| \| --- \| --- \| \| Figure 4.2 \| Column Density $n_0(x,z)$ and 1D background density $\bar{n}_0(z)$ (blue dots). Red curve: Fit of Eq. 4.3. \| \| Figure 4.3 \| Box potential in units of local Fermi energy $\epsilon_F(n_0)$ for the central density $n_0$. The potential is determined from the measured background density $n_0(z)$ using Eq. 4.4. Note that the curvature at the bottom of the box potential energy arises from curvature in the bias magnetic field, which produces a small confining harmonic potential. A typical $\epsilon_F(n_0) \approx 0.2\,\mu$K, and the box depth $U_0 \simeq 1.0\,\mu$K. \| \| Figure 4.4 \| Spatial profile of measured data and numerical simulation of $\delta n(z,t)$ for the $T/T_F = 0.28$ case at $t = 0.9$ ms, with (b) or without (a) a band-pass filter based on dominant spatial frequencies. In (b), the filter is applied on both the data and the initial condition for the simulation. \| \| Figure 4.5 \| Spatial profile and absolute values of the Fourier transformed spectrum at $t = 0.2$ ms for a $T/T_F = 0.28$ data. Here, q is in unit of cm$^{-1}$ for convenience, since most of our calculations are in the cgs units. \| \| Figure 4.6 \| A surface plot of $\chi^2$ as function of $\eta$ and $\kappa_T$. Each $\delta n_p(q,t)$ for the $\chi^2$ calculation is obtained by performing the numerical integration for a given set of $\{\eta, \kappa_T\}$, with $c_T$ fixed. $\chi^2$ shown here is per number of measurement times, which is summed over all the times we take measurements and divided by total number of measured times. \| \| Figure 4.7 \| Evolution of $\delta n(q)$ as function of time, where $T/T_F = 0.28$ and $q = 2\pi/\lambda$, with $\lambda = 23.5\,\mu$m, for the 3 central spatial periods, compared with all 5 spatial periods. Here, $\eta$ is in units of $\hbar n_0$ and $\kappa_T$ is in units of $\hbar n_0 k_B/m$. The best fit simulation works for both cases in the first 2.5 ms, and deviates from the 5 periods data after 2.5 ms due to effect of walls. Error bars are statistical (see Sec. 4.3.1). \| \| Figure 4.8 \| Components of the analytic fit function $\delta n(q,t)$ Eq. 4.13 for a typical data in the middle temperature range of our measurements, where $T/T_F = 0.46$ and $q = 2\pi/\lambda$, with $\lambda = 22.7\,\mu$m. Red curve: Total fit function; Orange curve: Zero frequency, exponentially decaying (thermal diffusion) mode; Blue curve: oscillating, exponentially decaying first sound mode. \| \| Figure 4.9 \| $T/T_F = 0.28$, $\lambda = 23.5\,\mu m$ \| \| Figure 4.10 \| $T/T_F = 0.34$, $\lambda = 23.5\,\mu m$ \| \| Figure 4.11 \| $T/T_F = 0.40$, $\lambda = 23.0\,\mu m$ \| \| Figure 4.12 \| $T/T_F = 0.46$, $\lambda = 22.7\,\mu m$ \| \| Figure 4.13 \| $T/T_F = 0.52$, $\lambda = 23.0\,\mu m$ \| \| Figure 4.14 \| $T/T_F = 0.63$, $\lambda = 23.3\,\mu m$. \| 91 \| \| Figure 4.15 \| $T/T_F = 0.56$, with longer wavelength $\lambda = 41.7\,\mu m$. \| 92 \| \| Figure 4.16 \| $T/T_F = 0.37$, with shorter wavelength $\lambda = 18.2\,\mu m$. \| 92 \| \| Figure 4.17 \| Density profiles along the $x$ and $y$ directions of the box potential. The horizontal imaging path is cleaner than the vertical imaging path, where an artificial distortion can be seen. \| 95 \| \| Figure 5.1 \| Real part of the Fourier transform of the density perturbation $\delta n(q,t)$ for $q = 2\pi/\lambda$ with $\lambda = 22.7\,\mu m$. The reduced temperature $T/T_F = 0.46$. Blue dots (data); Red curve: Analytic fit of our hydrodynamics model. Inset shows contributions of thermal diffusion (orange exponential) and first sound (blue). The error bars are the standard deviation of the mean of $\delta n(q,t)$ (see Sec. 4.3.1). \| 100 \| \| Figure 5.2 \| Shear viscosity $\eta$ in units of $\hbar n$ versus reduced temperature $T/T_F$. Blue dots: $\lambda \simeq 23\,\mu m$. Orange dots: Left (right) $\lambda = 18.2(18.9)\,\mu m$. Pink dots: Left (right) $\lambda = 32.3(41.7)\,\mu m$. Red solid curve: Fit to cloud expansion data, $\alpha_0 \theta^{3/2} + \alpha_2$, where $\alpha_0 = 2.77, \alpha_2 = 0.25$ [Bluhm et al. 2017]. Shaded region denotes the standard deviation of the fit. Upper purple-dashed curve: Prediction of Enss et al. [2011]. Lower red-dashed curve: High temperature limit, $\alpha_0 \theta^{3/2}$. Data error bars are statistical (see Sec. 4.3.1). \| 102 \| \| Figure 5.3 \| Thermal conductivity $\kappa_T$ in units of $\hbar n k_B/m$ versus reduced temperature $T/T_F$. Blue dots: $\lambda \simeq 23\,\mu m$. Orange dots: Left (right) $\lambda = 18.2(18.9)\,\mu m$. Pink dots: Left (right) $\lambda = 32.3(41.7)\,\mu m$. Red-dashed curve: High temperature limit, $15/4 \alpha_0 \theta^{3/2}$, where $\alpha_0 = 2.77$. Error bars are statistical (see Sec. 4.3.1). \| 104 \| \| Figure 5.4 \| Sound diffusivity $D_1 = 2a/q^2$, in units of $\hbar/m$ versus reduced temperature $T/T_F$. Blue dots: $\lambda \simeq 23\,\mu m$. Orange dots: Left (right) $\lambda = 18.2(18.9)\,\mu m$. Pink dots: Left (right) $\lambda = 32.3(41.7)\,\mu m$. Red-dashed curve: Long wavelength, high temperature limit, $D_1 = 7/3 \alpha_0 \theta^{3/2}$. Red solid curve: $D_1 = 4/3(\alpha_0 \theta^{3/2} + \alpha_2) + \alpha_0 \theta^{3/2}$, where $\alpha_0 = 2.77, \alpha_2 = 0.25$. Error bars are statistical (see Sec. 4.3.1). \| 105 \| \| Figure 5.5 \| Sound diffusivity, $D_1 = 2a/q^2$, in units of $\hbar/m$ versus reduced temperature $\theta = T/T_F$. Blue, Orange and Pink dots: Current work. Red dots: Patel et al. [2020]. Red-dashed curve: Long wavelength, high temperature limit, $D_1 = 7/3(\alpha_0 \theta^{3/2})$, where $\alpha_0 = 2.77$. Red solid curve: $D_1 = 4/3(\alpha_0 \theta^{3/2} + \alpha_2) + (n k_B T/p) \alpha_0 \theta^{3/2}$. \| 109 \| Figure 5.6 Another comparison of sound diffusivity, $D_1 = 2 \alpha / q^2$, in units of $\hbar/m$ versus reduced temperature $\theta = T/T_F$. Blue, Orange and Pink dots: Current work. Red dots: Patel et al. [2020]. Red-dashed curve: Long wavelength, high temperature limit, $D_1 = 7/3(\alpha_0 \theta^{3/2})$, where $\alpha_0 = 2.77$. Red solid curve: $D_1 = 4/3(\alpha_0 \theta^{3/2} + \alpha_2) + \alpha_0 \theta^{3/2}$, with $\alpha_2 = 0.25$. Shaded region denotes the standard deviation of the fit to first term on the right-hand side [Bluhm et al. 2017]. Purple solid curve: $D_1 = 4/3(\alpha_0 \theta^{3/2} + \alpha_2) + \alpha_0 \theta^{3/2}$, with $\alpha_2 = 0.95$. A resonantly interacting or unitary Fermi gas is of special interest, as it is a scale-invariant, strongly interacting quantum many-body system. It is unique in modeling exotic systems, from high temperature superconductors and neutron stars to the quark-gluon plasma that existed microseconds after the Big Bang. Studies in such systems widely connect to different forms of matter across vast energy scales [Adams et al. 2012; Bloch et al. 2012; Strinati et al. 2018], including nuclear physics, astrophysics, condensed matter physics and high energy physics. This system provides test-bed for variety of theories from thermodynamics to string theory. In unitary Fermi gases, thermodynamic and transport properties are universal functions of the density and temperature, permitting parameter-free comparisons with predictions. However, the behavior of the shear viscosity $\eta$ and the thermal conductivity $\kappa_T$ of a unitary Fermi gas is not yet established. A normal unitary gas, at temperatures above the superfluid transition $T_c$, is a single component fluid that affords the simplest universal system for hydrodynamic transport measurements, as the transport properties comprise only the shear viscosity $\eta$ and the thermal conductivity $\kappa_T$, since the bulk viscosity $\xi$ vanishes in scale-invariant systems [Son 2007; Hou et al. 2013; Elliott et al. 2014]. Further, measurements in the normal fluid at high temperature $T$ can be compared with benchmark variational calculations for a unitary gas in the two-body Boltzmann limit [Bruun and Smith 2007; Braby et al. 2010], $$\eta = \frac{15}{32\sqrt{\pi}} \frac{(m k_B T)^{3/2}}{\hbar^2}$$ (1.1) and $$\kappa_T = \frac{15}{4} \frac{k_B}{m} \eta,$$ (1.2) with $k_B$ the Boltzmann constant and $m$ the atom mass. It has been found by experiments [Joseph et al. 2015], that a leading correction to Eqs. 1.1 is required, which is proportional to density $n$ [Bluhm and Schäfer 2016; Bluhm et al. 2017]. This also suggests a density dependent correction to Eq. 1.2. However, before this dissertation, $\eta$ and $\kappa_T$ in the strongly interacting normal fluid regime have never been directly measured independently. This dissertation presents a new time-domain, free evolution method for measuring hydrodynamic transport coefficients in a normal fluid unitary Fermi gas. The universal thermal conductivity and the universal shear viscosity in the normal fluid regime have been measured independently for the first time. We create an ultracold ($\sim 100$ nK) near-homogeneous sample of strongly interacting $^6$Li, confined in a box potential. A periodic spatial profile is initially created in thermal equilibrium by a perturbing potential, Fig. 1.1. After the perturbation is abruptly extinguished, we measure the free decay of the density profile. The dominant spatial Fourier component exhibits an exponentially decaying (thermally diffusive) mode and a decaying oscillatory (first sound) mode, enabling independent measurement of the thermal conductivity and the shear viscosity directly from the time-dependent evolution. Our new time-domain, free-decay experiments utilize advanced light-crafting techniques. We employ digital micromirror devices (DMDs), containing millions of mirrors in micron size-scale, to project laser light patterns into the $\sim 150$ micron long rectangular box, with programmable dynamic control. The laser light used for the DMD projection is reshaped by a “top-hat” beam shaper, achieving a uniform intensity distribution on the desired focal plane, which improves the box trap depth, thus enabling measurements in a wide range of temperatures. Figure 1.1: A unitary Fermi gas is loaded into a box potential with a small static spatially periodic perturbation $\delta U$, creating a spatially periodic 1D density profile. After $\delta U$ is abruptly extinguished, the dominant Fourier component exhibits a two-mode oscillatory decay (see Fig. 1.6). 1.1 Tunable Interactions Since quantum degeneracy was observed in laboratories [Anderson et al. 1995; Bradley et al. 1995; Davis et al. 1995; DeMarco and Jin 1999] and strongly interacting Fermi gas was produced [O’Hara et al. 2002], a dilute ultra-cold atomic Fermi gas has been a powerful platform for studying quantum many-body physics, in which the interactions are precisely tunable between non-interacting to scale-invariant strongly interacting. This tunability is accomplished through the existence of a magnetic Feshbach resonance, where a change in the strength of an applied bias magnetic field can produce either strong or weak interactions in the gas, with either an attractive or repulsive potential [Bloch et al. 2008; Ketterle and Zwierlein 2008]. The interaction strength can be quantified by the s-wave scattering length $a_s$. Near a resonating magnetic field, the scattering length is given by [Moerdijk et al. 1995] $$a_s = a_{bg} \left(1 - \frac{\Delta}{B - B_{res}}\right),$$ where $a_{bg} = 1582a_0$ is the background scattering length, $\Delta = 262.3G$ is the resonance width and $B_{res} = 832.18G$ [Zürn et al. 2013] is the resonant magnetic field. Before further explaining how the Feshbach resonances works, we need to know some basic atomic structure for the $^6$Li. $^6$Li, which is a fermion, has 3 protons, 3 neutrons and 3 electrons. Its ground state $2S_{1/2}$ has a nuclear spin of $I = 1$, electronic spin $S = 1/2$ and orbital angular momentum $L = 0$. The total atomic angular momentum then takes the values $F = 1/2, 3/2$. Without the presence of a magnetic field, the $F = 1/2$ level has two states, $m_f = \pm 1/2$; while the $F = 3/2$ level has four states, $m_f = \pm 3/2, \pm 1/2$. With the presence of a magnetic field, the atomic levels of $^6$Li further split into six states by the Zeeman interaction, see Fig. 1.2). The interaction Hamiltonian is given by [Houbiers et al. 1998]: $$H_{int} = \frac{a_{hf}}{\hbar^2} \mathbf{S} \cdot \mathbf{I} - \frac{\mu_B}{\hbar} (g_f \mathbf{S} + g_I \mathbf{I}) \cdot \mathbf{B},$$ where $a_{hf}/\hbar = 152.14$ MHz is the magnetic dipole constant, $g_f = -2.002$ and $g_I = 0.000448$ [Arimondo et al. 1977]. The eigenstates can be written in $\|m_S \ m_I\rangle$ basis, as $$\|1\rangle = \sin \theta_+ \|1/2 \ 0\rangle - \cos \theta_+ \|-1/2 \ 1\rangle$$ $$\|2\rangle = \sin \theta_- \|1/2 \ -1\rangle - \cos \theta_- \|-1/2 \ 0\rangle$$ $$\|3\rangle = \|-1/2 \ -1\rangle$$ $$\|4\rangle = \sin \theta_- \|-1/2 \ 0\rangle + \cos \theta_- \|1/2 \ -1\rangle$$ $$\|5\rangle = \sin \theta_+ \|-1/2 \ 1\rangle + \cos \theta_+ \|1/2 \ 0\rangle$$ $$\|6\rangle = \|1/2 \ 1\rangle,$$ where $\sin \theta_\pm = 1/\sqrt{1+(Z^\pm + R^\pm)^2/2}$, $Z^\pm = (\mu_n + 2\mu_e)B/a_{hf} \pm 1/2$, and $R^\pm = \sqrt{(Z^\pm)^2 + 2}$. The Figure 1.2: Magnetic field dependence of the $2^2S_{1/2}$ ground state of $^6Li$. We use a 50-50 mixture of the two lowest spin states $\|1\rangle$ (spin up) and $\|2\rangle$ (spin down) for the experiment. Plot was originally drawn by Kinast [2006]. states are numbered in order of increasing energy, Fig. 1.2. We use a 50-50 mixture of the lowest ground states $\|1\rangle, \|2\rangle$ in the experiment. At high field, the $\sin \theta_\pm$ term is close to zero and the two lowest states become $\|1\rangle = \|-1/2\ 1\rangle$ and $\|2\rangle = \|-1/2\ 0\rangle$, split by $\sim 76$ MHz at a $B \sim 832$ G. For a $^6$Li-$^6$Li collision, the symmetry of the wavefunction must be taken into consideration. The two particle wavefunction is a product of three terms: the center-of-mass wavefunction (describing where in the trap the collision takes place), the spatial wavefunction (describing the relative position of the atoms), and the spin wavefunction (describing the intrinsic angular momenta of the atoms). Since $^6$Li is a composite fermion, the overall wavefunction must be antisymmetric. The center-of-mass wavefunction is clearly symmetric. As a result, the product of the spatial wavefunction and spin wavefunction must be antisymmetric. In an ultracold gas, higher energy collisions are greatly suppressed and the dominant interaction is s-wave scattering. For s-wave collisions of atoms in the $\|1\rangle, \|2\rangle$ mixture, the total magnetic quantum number $M = 0$ is conserved. In the $\|S, m_S; I, m_I\rangle$ basis, where $S$ is the total electronic spin quantum number and $I$ is the total nuclear spin quantum number, there are five states for $M = 0$. The states $\|0, 0; 0, 0\rangle$ and $\|0, 0; 2, 0\rangle$ are called singlet states, since $S = 0, m_s = 0$. There are also three triplet states $\|1, -1; 1, 1\rangle$, $\|1, 0; 1, 0\rangle$ and $\|1, 1; 1, -1\rangle$, with $S = 1, m_s = 1, 0, -1$, respectively. When two atoms approach each other, they effectively reside in attractive potential wells. In the triplet potential, the two atoms with their valence electronic spins are parallel ($S = S_1 + S_2 = 1$), where the spin wavefunction is symmetric, requiring the spatial wavefunction to be antisymmetric. In such case, the electrons are excluded from the region between the nuclei, yielding a shallow potential well. In the singlet potential, however, the two electronic spins are antiparallel ($S = S_1 + S_2 = 0$), where the spin wavefunction is antisymmetric, requiring the spatial wavefunction to be symmetric. The electrons are allowed to sit in the region between the nuclei, and the electrostatic attraction between electrons and nuclei leads to a deep potential well. Here, multiple molecular bound states are allowed in the deep well. In an ultracold $^6$Li-$^6$Li collision, where there are both triplet and singlet potentials, with the presence of a magnetic field, the triplet potential threshold for a $\|1\rangle - \|2\rangle$ collision is lower than that of the singlet potential threshold. So the triplet potential is energetically accessible as an open channel for the scattering; while the singlet potential is called a closed channel, which is usually not energetically accessible. However, a magnetic Feshbach resonance occurs when a bias magnetic field tunes the total energy of a colliding atom pair in the open triplet channel into resonance with a molecular bound state in the closed singlet channel [Chin et al. 2010]. Such tuning can be realised since the singlet state ($m_s = 0$) has much smaller energy shift in the bias magnetic field compared to the triplet states with $m_s = -1, 1$, while the nuclear magnetic moment is negligible. The nearest bound state is lower than the triplet state, so the triplet state need to be tuned downward, see Fig. 1.3. Actually, we can find that the only triplet state that can be tuned down is $\|1, -1; 1, 1\rangle$, since it has $m_s = -1$ and the tunable energy is $-2\mu_B B$, where $\mu_B = 1.4$ MHz/G is the Bohr magneton. Now let us consider what is the change on the scattering length when a resonance between the two channels happens. The collision cross section and the s-wave scattering length are given by [Sakurai and Napolitano 2020] \[ \sigma_c = \frac{4\pi}{k^2} \sin \delta^2 \\ a_s = -\lim_{k \to 0} \frac{\tan \delta}{k}, \] (1.6) where $\sigma_c$ is the total cross section, $a_s$ is the s-wave scattering length, $\delta$ is the scattering phase shift and $k$ is the wavevector. It can be shown from the partial wave approach that the s-wave scattering length diverges when a resonance between bound and unbound states happens, where the phase shift becomes odd number of $\pi/2$, thus $\sin \delta = 1$. Hereby, near the Feshbach resonance, the zero energy ($k = 0$) scattering length rapidly increases. Fig. 1.4 shows the zero energy s-wave scattering length near the magnetic Feshbach resonance. At the Feshbach resonance $B_{fes}$, the scattering length diverges, leading to strong interactions. For magnetic fields below the resonance, the scattering length is positive and interactions are repulsive. This side of the Feshbach resonance is described by Bose-Einstein condensation. Unbound atom pairs with opposite spins can form a BEC of molecules by inelastic three-body collisions [Jochim et al. 2003; Zwierlein et al. 2004] or an adiabatic ramp across the Feshbach resonance [Greiner et al. 2003; Bourdel et al. 2004]. For magnetic fields above the resonance, the scattering length is negative and interactions are attractive. This side of the resonance can be understood in the famous framework of Bardeen-Cooper-Schrieffer (BCS) theory [Bardeen et al. 1957]. Unbound free atoms can form Cooper pairs with other fermions due to the presence of weak attractions between them. ![Scattering Length vs Magnetic Field](image) Figure 1.4: The s-wave scattering length $a_s$ near a magnetic Feshbach resonance at $B_{res} = 832.18$ [Zürn et al. 2013]. When $B < B_{res}$, the scattering length is positive and the interactions are repulsive, this regime is called BEC side of the Feshbach resonance. When $B > B_{res}$, the scattering length is negative and interactions are attractive, this regime is called BCS side of the Feshbach resonance. When $B = B_{res}$, the scattering length diverges, yielding strong interactions. At resonance, the scattering length no longer plays any role in the description of the gas. The only length scales that remain are the thermal De Broglie wavelength $\lambda_T$ and the average distance between the atoms, or inverse Fermi wavevector $L \sim 1/k_F$. Therefore, this scale-invariant region is also called the unitary regime, where the scattering cross section reaches the unitary limit $4\pi/k^2$, with $k = 2\pi/\lambda_T$. 1.2 Unitary Fermi Gas As we mentioned in the previous section, at the Feshbach resonance, the collisional behaviour in such strongly interacting system becomes independent of the scattering length. This system is a scale-invariant unitary Fermi gas. In an unitary Fermi gas, thermodynamic and transport properties are universal functions of the density and temperature [Ho 2004]. Thermodynamics in the unitary Fermi gas has been well established. The pressure $p$ and the energy density $\mathcal{E}$ are functions only of the density and temperature, as required by universality, related by $p = 2 \mathcal{E} / 3$ [Ho 2004]. Note that this equation relates the pressure and local energy density for the unitary gas in the same way as for an ideal, noninteracting homogeneous gas, although the energy densities are different [Thomas et al. 2005]. Dimensional analysis then shows that the energy density takes the simple form $$\mathcal{E} = \frac{3}{5} n e_F(n) f_E(\theta) \equiv n E_1,$$ (1.7) where $E_1$ is the energy per particle and $\theta \equiv T / T_F$ is the reduced temperature with $T_F$ the local Fermi temperature. For a balanced 50-50 mixture of two spin components of total density $n$, the local Fermi energy is $$e_F(n) = k_B T_F = \frac{m v_F^2}{2} = \frac{\hbar^2 (3 \pi^2 n)^{2/3}}{2m}.$$ (1.8) The universal function $f_E(\theta)$ has been measured by Ku et al. [2012], which determines all of the thermodynamic properties. The pressure is then $$p = \frac{2}{5} n e_F(n) f_E(\theta).$$ (1.9) The entropy density takes a similar form $$s = n k_B f_S(\theta) = n s_1(\theta) \equiv n s_1,$$ (1.10) where $s_1$ is the entropy per particle and $f_S(\theta)$ can be determined from $f_E(\theta)$. Above are some examples of the thermodynamic properties as universal functions. Other properties, such as the chemical potential $\mu$, will be covered later in this dissertation. Hydrodynamics in an Unitary Fermi Gas A hydrodynamic system can be described by three conserved charges: the mass density $\rho$, the momentum density $\pi = \rho \, v$ and the energy density $\mathcal{E}$ [Schäfer 2014], which obey the conservation laws \begin{align} \partial_t \rho &= -\nabla \cdot \pi, \\ \partial_t \pi_i &= -\nabla_j \Pi_{ij}, \\ \partial_t \mathcal{E} &= -\nabla \cdot J, \end{align} where $\Pi_{ij}$ is the stress tensor and $J$ is the energy current. In a simple non-relativistic fluid, rotational symmetry and Galilean invariance require the stress tensor to take the form $$\Pi_{ij} = \rho \, v_i \, v_j + p \delta_{ij} + \delta \Pi_{ij}$$ where $v$ is the velocity field and $p$ is the pressure. The dissipative term $\delta \Pi_{ij}$ can be expanded to the first order of gradient expansion\footnote{Generally, the gradient expansion is an infinite expansion of the energy-momentum tensor. In fluids dynamics, it is expanded around the perfect fluid in powers of gradients of fluid variables [Chapman et al. 1990; Florkowski et al. 2016]} as $$\delta \Pi_{ij} = -\eta \, \sigma_{ij} - \xi \, \sigma'_{ij},$$ with $\sigma_{ij} \equiv \partial_i v_j + \partial_j v_i - 2 \delta_{ij} \nabla \cdot v / 3$ and $\sigma'_{ij} = \partial_i v_j \nabla \cdot v$. Here, we have two transport coefficients in the expression, namely, the shear viscosity $\eta$ and the bulk viscosity $\xi$. The energy current $J$ is given by $$J = (p + \mathcal{E}) v + \delta J,$$ and the first order gradient expansion is $$\delta J_i = v_j \delta \Pi_{ij} - \kappa_T \nabla_i T.$$ The last term describes the contribution from heat transfer, which gives another transport coefficient, i.e., the thermal conductivity $\kappa_T$. So far, we have defined the transport coefficients to characterize a hydrodynamic system. These coefficients are parameters that have to be extracted from experiment. Actually, the viscosity is determined by the rate of momentum diffusion, and the thermal conductivity is determined by the rate of thermal diffusion. In an unitary Fermi gas, hydrodynamic transport properties are also universal functions, only depending on density $n$ and temperature $T$, with transport coefficients as parameters that have to be extracted from experiment. We can express the viscosity in units of $\hbar n$, $$\eta \equiv \alpha_\eta \hbar n$$ \hspace{1cm} (1.18) $$\xi \equiv \alpha_\xi \hbar n$$ \hspace{1cm} (1.19) and determine $\alpha_\eta, \alpha_\xi$ from the measurements. Similarly, we can express the thermal conductivity in units of $\hbar n k_B / m$ as $$\kappa_T \equiv \alpha_\kappa \hbar n \frac{k_B}{m}$$ \hspace{1cm} (1.20) and determine $\alpha_\kappa$ from the measurements. The bulk viscosity is related to the changing of the volume and traditionally is considered vanishing for an incompressible flow. Further, it has been proven both theoretically [Son 2007; Hou et al. 2013; Maki and Zhang 2020] and experimentally [Elliott et al. 2014] that in an unitary Fermi gas, the bulk viscosity $\xi$ is zero in the normal fluid regime, while a third component $\xi_3$ can be nonzero in the superfluid regime, which is beyond our purpose in this dissertation. Although there are plenty of theoretical studies for unitary Fermi gases. These include the behavior of the shear viscosity $\eta$ [Bruun and Smith 2007; Bluhm et al. 2017; Enss et al. 2011; Wlazlowski et al. 2012; Bluhm and Schäfer 2016; Nishida 2019; Hofmann 2020], and the thermal conductivity $\kappa_T$ [Braby et al. 2010; Frank et al. 2020; Zhou and Ma 2021]. However, the transport properties of a unitary Fermi gas are not yet established due to experimental challenges. Measurement of hydrodynamic flow in freely expanding clouds [Cao et al. 2011; Joseph et al. 2015] enables extraction of $\eta$ in the normal fluid regime, but requires a second order hydrodynamics model to properly account for ballistic flow in the dilute edges [Bluhm and Schäfer 2016; Bluhm et al. 2017]. Spectroscopic techniques have also been applied to the study of quantum gases [Vale and Zwierlein 2021]. A recent study on sound modes by two-photon Bragg spectroscopy reveals connection between the damping rate of sound excitation and the shear viscosity just above $T_c$, but it neglects the contribution from thermal conductivity and cannot go fully into the hydrodynamic regime [Kuhn et al. 2020]. Since the required homogeneous density is realized by tightly focused the Bragg laser on a small region near center of a harmonic trap, the wavelength is too short to investigate hydrodynamic behavior. 1.3 Ultracold Gases in Homogeneous Potentials From the previous subsection we can see a major challenge for studying the transport properties in unitary Fermi gases is that the density is varying in the trap. A proper interpretation of experimental results usually needs some averaging estimations or theoretical corrections. Ultracold gases have been traditionally produced in harmonic electromagnetic traps and thus had inhomogeneous densities. Recent advances in light shaping technologies pave the way for trapping in flat-bottomed optical box potentials, allowing the creation of homogeneous samples [Navon et al. 2021]. The box potential, which has versatile geometric nature, e.g., rectangle, disk and ring, has been achieved for both Bose and Fermi atomic gases in various dimensionalities [Mukherjee et al. 2017; Ville et al. 2018; Hueck et al. 2018; Tajik et al. 2019; Christodoulou et al. 2021], and even for molecular gases [Bause et al. 2021; Zhang et al. 2021]. The technical advances are utilized by two types of programmable light modulators, i.e., the liquid-crystal spatial light modulators (SLMs) that tune the phase of laser beams and the digital micromirror devices (DMDs) that modulate the amplitudes [Gauthier et al. 2021]. The applications can also involve static light modulators, such as intensity masks and axicons, for their higher power tolerance. A homogeneous sample in such box traps provides more direct connections with theory. It also allows better quantitative determination of physical properties in experiments. Recent measurements of the sound diffusivity are obtained by a MIT group [Patel et al. 2020], by observing sound attenuation in a driven, uniform density, unitary Fermi gas. The study constrains $\eta$ and $\kappa_T$, but they are not independently determined [MZT]. The sound diffusivity is also measured in a 2D Fermi gas [Bohlen et al. 2020], but again, $\eta$ and $\kappa_T$ are not independently determined. Our group started to investigate hydrodynamic transport properties in a box by driving a repulsive periodic optical potential through the uniform sample [Baird et al. 2019], with inspiration from an energy-absorption spectroscopy proposal by Zhang and Yu [2018]. Instead of measuring the energy input, a hydrodynamic linear response model was established to directly analyze the density profile, which allowed us to extract the thermal conductivity $\kappa_T$, assuming a known shear viscosity $\eta$ from the high temperature diluteness expansion fit of Bluhm et al. [2017] to previous $\eta$ measurements of our group [Joseph et al. 2015]. However, the contributions from $\eta$ and $\kappa_T$ were still not resolved, and only one temperature was used. Shortly before submission of this dissertation, a study on second sound attenuation in the superfluid regime was reported by Li et al. [2022], in which they successfully extract both $\eta$ and $\kappa_T$. They probe the density response in a uniform sample, using a method similar to the above study of Baird et al. [2019], but employ high-resolution Bragg spectroscopy instead of driving the gas by the DMD. Taking advantage of a very high atom density $n \simeq 1.6 \times 10^{13} \text{ cm}^{-3}$, they are able to suppress the noise and precisely measure the first and second sound attenuations. However, this method is only applicable in the superfluid region for the purpose of determining $\eta$ and $\kappa_T$ independently, since both first and second sound modes are needed for calculating $\eta$ and $\kappa_T$ [Hu et al. 2018]. In contrast, for the normal fluid, only one sound mode exists and the density response spectra cannot distinguish the contributions from the shear viscosity and the thermal conductivity. 1.4 Primary Results The primary results of this dissertation are summarized below. Descriptions of the theoretical model, experimental procedure, data analysis methods and a detailed display and discussion of the results will be covered in the following chapters. We confine a cloud of $^6$Li atoms in a repulsive box potential, producing a sample of nearly uniform density. A density perturbation is then created by applying a small static optical potential that is spatially periodic along the long axis. After equilibrium is established, the perturbing potential is abruptly extinguished. The atomic gas exhibits an oscillatory decay under the free evolution of hydrodynamic relaxation. Fig. 1.5 shows the false color illustration of the evolution. ![Absorption images show the free evolution of the periodic density profile. An oscillatory decay of the ripples is observed.](image) Figure 1.5: Absorption images show the free evolution of the periodic density profile. An oscillatory decay of the ripples is observed. We measure the time-dependence of the dominant spatial Fourier component of the density, $\delta n(q, t)$, Fig. 1.6, which exhibits an exponentially decaying mode that measures the thermal conductivity and a decaying oscillatory mode that determines the sound speed. and the sound diffusivity. The data are well fit by a linear hydrodynamics analytic model, as will be discussed in detail in chapter 2, \[ \delta n(q, t) = A_0 e^{-\Gamma t} + e^{-a t} [A_1 \cos(b t) + A_2 \sin(b t)], \] (1.21) where $A_0, A_1, A_2$ are constrained by initial conditions, and the frequencies $\Gamma, a,$ and $b$ are related to the isothermal sound frequency $\omega_T$, the adiabatic sound frequency $\omega_S$, and the transport properties $\gamma_\eta \equiv 4 \eta q^2/(3n_0 m), \gamma_\kappa \equiv \kappa_T q^2/(n_0 c_V)$, with $c_V$ the heat capacity per particle at constant volume. ![Graph showing real part of the Fourier transform of the density perturbation $\delta n(q, t)$, normalized to $\delta n(q, 0)$, for $q = 2\pi/\lambda$ with $\lambda = 22.7 \mu m$. The reduced temperature $T/T_F = 0.46$. Blue dots: data; Red curve: analytic hydrodynamics model, Eq. 1.21. Inset shows contributions of thermal diffusion (orange) and first sound (blue). The error bars are statistical.](image) From the fit, we can determine the shear viscosity $\eta$, the thermal conductivity $\kappa_T$, and also the reduced temperature $T/T_F$ in-situ. For reduced temperatures $T/T_F > 0.45$, we find that the shear viscosity measured by this free hydrodynamic relaxation in the box is consistent with that extracted from data on expanding clouds Bluhm and Schäfer [2016]; Bluhm et al. [2017], which includes a significant density-dependent contribution. At lower temperatures, $T/T_F < 0.4$, the shear viscosity measured in the box is consistently larger than that of the expanding cloud. The thermal conductivity for $T/T_F > 0.45$ is close to the high temperature limit. In contrast to the shear viscosity, the pure density dependent contribution to the high temperature thermal conductivity appears to be quite small. These results emphasize the need for rigorous calculations of the leading density-dependent corrections to the two-body high temperature limits. The measured sound diffusivity is self-consistent with a damped oscillator interpretation. Our data can be compared to that of Patel et al. [2020], which is shifted upward relative to ours, but exhibits nearly identical scaling with $T/T_F$ and appears to converge at low temperatures. Figures of all these results are provided in chapter 5. ### 1.5 Significance of Current Work We have developed a new time-domain, free evolution method for measuring hydrodynamic transport coefficients in a normal fluid unitary Fermi gas. The thermal conductivity and the shear viscosity in a universal normal fluid have been measured independently for the first time. Confined in a box potential, the dominant spatial Fourier component of a sinusoidal density profile exhibits an exponentially decaying (thermally diffusive) mode and a decaying oscillatory (first sound) mode after the extinguishing of an initial perturbation, enabling independent measurement of the thermal conductivity $\kappa_T$ and the shear viscosity $\eta$ directly from the time-dependent evolution. The two-mode oscillatory decay of a spatially periodic density perturbation are well-distinguished. For the isothermal static initial conditions employed in the experiments, the thermally diffusive mode comprises $\simeq 32\%$ of the initial total amplitude of the dominant Fourier component, which is readily apparent in the free hydrodynamic relaxation. This method is complementary to frequency domain techniques, where transport properties of quantum fluids have been determined by measuring the hydrodynamic Prior to our work, it was not obvious that simply measuring the hydrodynamic decay of a periodic density perturbation, created in a box potential, would enable a clear separation of the contributions of a zero frequency, thermally diffusive mode and an oscillating first sound mode in a normal fluid unitary Fermi gas. Of particular importance is that our data emphasize the need for rigorous calculations of the leading purely density-dependent corrections to the two-body high temperature limits of the transport coefficients. 1.6 Dissertation Organization In the chapter 2, I will introduce the basic theory of thermodynamics, including unique features for a unitary Fermi gas. Followed by a hydrodynamic linear response model and the analytic solution to the equations in Fourier space, which we use to fit our data. The two mode picture for both the density change and the temperature change over time is discussed here. A damped oscillator model will also be discussed to illustrate the free evolution of the density profile for the atomic gas. In chapter 3, I will describe the experimental apparatus in our laboratory for creating, cooling, trapping, modulating and watching the $^6$Li atomic gas. I will discuss challenges in previous experimental setup and focus on the new techniques for realizing the box potential and the method to create perturbations. In chapter 4, I will provide four data analysis methods, starting with data taking and processing procedures. These methods were gradually developed during the research. We start from a straight-forward numerical integration of the hydrodynamic linear response equations. Then as our understanding of the experiment deepens, an analytic model is established, clearly interpreting the two mode physics. Examples of our fit to different data are presented in Sec. 4.2.4, so the readers can see how good our fits are. The calculation of statistical errors and a discussion on the central density will also be covered in this chapter. In chapter 5, I will present the main results of this dissertation, which are the measurements of the shear viscosity $\eta$, the thermal conductivity $\kappa_T$ and the sound diffusivity $D_L$, following by comparison with existing theoretical prediction and previous experiments. We will also evaluate the consistency of our measured results and estimate systematic errors. Last, a brief discussion about the breakdown of hydrodynamics will be provided to stimulate further studies on the transport properties, including possible corrections to our measurements. Finally, in chapter 6, I will briefly summarize this dissertation and provide outlook for future studies. In this chapter, we provide the thermodynamic and hydrodynamic theories we need to describe the evolution of the atomic gas in the box potential. The derivations lead to a hydrodynamic linear response model, with necessary thermodynamic relations, which we use to extract the shear viscosity $\eta$, the thermal conductivity $\kappa_T$ and the first sound diffusivity $D_1$, and to determine the temperature in-situ. 2.1 Thermodynamic Theory Before we derive the hydrodynamic linear response model for the normal fluid regime, we derive the elementary thermodynamic relations that appear in our hydrodynamic model. 2.1.1 Thermodynamic Relations Defining the density $n = 1/V_1$ in terms of the volume per particle $V_1$, the expansivity is $$\beta \equiv \frac{1}{V_1} \left( \frac{\partial V_1}{\partial T} \right)_p = -\frac{1}{n} \left( \frac{\partial n}{\partial T} \right)_p,$$ (2.1) which has a dimension of inverse temperature. The isothermal sound speed $c_T$ is defined by $$m \, c_T^2 = \left( \frac{\partial p}{\partial n} \right)_T = - \left( \frac{\partial p}{\partial T} \right)_n \left( \frac{\partial T}{\partial n} \right)_p,$$ where we have used the chain rule. Similarly, the adiabatic sound speed $c_S$ is defined by $$m \, c_S^2 = \left( \frac{\partial p}{\partial n} \right)_{s_1} = - \left( \frac{\partial p}{\partial s_1} \right)_n \left( \frac{\partial s_1}{\partial n} \right)_p,$$ where we have defined $s_1$ as the entropy per particle. Taking the ratio of Eqs. 2.2 and 2.3, and using $(\partial T / \partial n)_p = 1/(\partial n / \partial T)_p$ and $1/(\partial p / \partial s_1)_n = (\partial s_1 / \partial p)_n$, we obtain the well-known relation $$\frac{c_T^2}{c_S^2} = \frac{\left( \frac{\partial s_1}{\partial p} \right)_n \left( \frac{\partial p}{\partial T} \right)_n}{\left( \frac{\partial s_1}{\partial n} \right)_p \left( \frac{\partial n}{\partial T} \right)_p} = \frac{\left( \frac{\partial s_1}{\partial T} \right)_n}{\left( \frac{\partial s_1}{\partial T} \right)_p} = \frac{c_{V_1}}{c_{P_1}},$$ where $c_{V_1} = T(\partial s_1 / \partial T)_n$ and $c_{P_1} = T(\partial s_1 / \partial T)_p$ are the heat capacities per particle at constant volume and at constant pressure, respectively. Next, we find the first order pressure change, $\delta p$, which is needed later in eq. 2.32. We have $$\delta p = \left( \frac{\partial p}{\partial n} \right)_T \delta n + \left( \frac{\partial p}{\partial T} \right)_n \delta T = \left( \frac{\partial p}{\partial n} \right)_T \left[ \delta n + \left( \frac{\partial n}{\partial p} \right)_T \left( \frac{\partial p}{\partial T} \right)_n \delta T \right].$$ The chain rule gives $$\left( \frac{\partial n}{\partial p} \right)_T \left( \frac{\partial p}{\partial T} \right)_n = - \left( \frac{\partial n}{\partial T} \right)_p = \beta n,$$ where we have used Eq. 2.1 for the expansivity $\beta$. With Eqs. 2.5 and 2.2, $$\delta p = m \, c_T^2 (\delta n + \delta \bar{T}),$$ where we have defined $$\delta \bar{T} \equiv \beta \, n \, \delta T,$$ which has a dimension of density. For the first order temperature change, we have $$\delta T = \left( \frac{\partial T}{\partial n} \right)_{s_1} \delta n + \left( \frac{\partial T}{\partial s_1} \right)_n \delta s_1 = \left( \frac{\partial T}{\partial s_1} \right)_n \left[ \left( \frac{\partial s_1}{\partial T} \right)_n \left( \frac{\partial T}{\partial n} \right)_{s_1} \delta n + \delta s_1 \right].$$ The chain rule gives \[ \left( \frac{\partial s_1}{\partial T} \right)_n \left( \frac{\partial T}{\partial n} \right)_{s_1} = - \left( \frac{\partial s_1}{\partial n} \right)_T, \] which we evaluate as follows. Consider $ s_1[T, n(T, p)] $. Then, \[ c_p = T \left( \frac{\partial s_1}{\partial T} \right)_p = T \left( \frac{\partial s_1}{\partial T} \right)_n + T \left( \frac{\partial s_1}{\partial n} \right)_T \left( \frac{\partial n}{\partial T} \right)_p = c_{V_1} - \beta n T \left( \frac{\partial s_1}{\partial n} \right)_T, \] where we have used Eq. 2.1. Hence, \[ \left( \frac{\partial s_1}{\partial n} \right)_T = - \frac{c_{P_1} - c_{V_1}}{\beta n T}. \] With $(\partial T / \partial s_1)_n = T / c_{V_1}$ and Eq. 2.10, Eq. 2.9 takes the simple form, \[ \delta T = \left( \frac{c_{P_1}}{c_{V_1}} - 1 \right) \frac{\delta n}{\beta n} + \frac{T \delta s_1}{c_{V_1}}. \] Here, the first term is the adiabatic change in the temperature arising from the change in density. For a monatomic gas in the high temperature limit, Eq. 2.1 with $ n = p / (k_B T) $ gives $ \beta \to 1/T $ and $ c_{P_1} / c_{V_1} - 1 \to 2/3 $. Then, $ \delta T / T = 2/3 \delta n / n $, i.e., $ T / T_0 = (n / n_0)^{2/3} $ as expected. For a unitary Fermi gas, where $ s_1 = k_B f_S(\theta) $, see Eq. 2.17 below, this result holds at all temperatures, since $(\partial T / \partial n)_{s_1} = (\partial T / \partial n)_\theta$, with $ T = \theta T_F $, and $ T_F \propto n^{2/3} $. The second term is the temperature change arising from the heat flow per particle, $ T \delta s_1 = \delta q_1 $. ### 2.1.2 Unitary Fermi Gas Thermodynamics For the unitary Fermi gas, universality [Ho 2004] requires that the pressure $ p $ and the energy density $ \mathcal{E} $ are functions only of the density and temperature, related by $ p = 2 \mathcal{E} / 3 $. Dimensional analysis then shows that the energy density takes the simple form \[ \mathcal{E} = \frac{3}{5} n \epsilon_F(n) f_E(\theta) \equiv n E_1, \] where $ E_1 $ is the energy per particle and $ \theta \equiv T / T_F $ is the reduced temperature with $ T_F $ the local Fermi temperature. For a balanced 50-50 mixture of two spin components of total density $ n $, the local Fermi energy is \[ \epsilon_F(n) \equiv k_B T_F = m v_F^2 / 2 = \hbar^2 (3 \pi^2 n)^{2/3} / (2m). \] The universal function $f_E(\theta)$ has been measured by Ref. Ku et al. [2012], which determines all of the thermodynamic properties. The pressure $p = (2/3)\mathcal{E}$ is then $$p = \frac{2}{5} n \epsilon_F(n) f_E(\theta). \tag{2.16}$$ The entropy density takes a similar form $$s = nk_B f_S(\theta) = ns_1(\theta) \equiv ns_1, \tag{2.17}$$ where $s_1$ is the entropy per particle and $f_S(\theta)$ can be determined from $f_E(\theta)$. The adiabatic sound speed Eq. 2.3 is easily obtained from Eq. 2.16, as Eq. 2.17 requires constant $\theta$ for constant $s_1$, $$mc_s^2 = \left( \frac{\partial p}{\partial n} \right)_\theta = \frac{2}{3} \epsilon_F(n) f_E(\theta) = \frac{10}{9} E_1, \tag{2.18}$$ where the last form on the right follows from Eq. 2.14. With $\epsilon_F(n) = m v_F^2 / 2$, Eq. 2.18 yields $$c_s^2 = \frac{v_F^2}{3} f_E(\theta). \tag{2.19}$$ The isothermal sound speed, Eq. 2.2, is easily determined from Eq. 2.16, with $p = p[n, \theta(n, T)]$, $$c_T^2 = \frac{1}{m} \left( \frac{\partial p}{\partial n} \right)_T = \frac{v_F^2}{3} \left[ f_E(\theta) - \frac{2}{5} \theta f'_E(\theta) \right], \tag{2.20}$$ where the $\partial_\theta f_E(\theta) \equiv f'_E(\theta)$. Eqs. 2.19 and 2.20 yield $c_S(\theta), c_T(\theta)$ from $f_E(\theta)$. Fig. 2.1 shows that for $\theta > 0.25$, $\theta$ monotonically increases with $\tilde{c}_S \equiv c_S/v_F$ and $\tilde{c}_T \equiv c_T/v_F$, as measured by Ref. [Ku et al. 2012]. Eqs. 2.19 and 2.20 can be used as a thermometer to determine $\theta$ from $\tilde{c}_S$ and $\tilde{c}_T$, respectively. In practice, we use a fit with a cubic polynomial to $\theta(c_S/v_F)$ and $\theta(c_T/v_F)$, which as shown in Figs. 2.1. The heat capacity per particle at constant volume takes a simple form. Using Eq. 2.14, $$c_{V_1} = T \left( \frac{\partial s_1}{\partial T} \right)_n = \left( \frac{\partial E_1}{\partial T} \right)_n = \frac{3}{5} k_B f'_E(\theta). \tag{2.21}$$ Eq. 2.4 then determines $c_P$ from the ratio $c_P / c_V = c_S^2 / c_T^2$ using Eqs. 2.19 and 2.20, $$c_P = \frac{f_E(\theta)}{f_E(\theta) - \frac{2}{5} \theta f'_E(\theta)} c_V.$$ \hspace{1cm} (2.22) Similarly, we use quartic polynomials to fit $c_V$ and $c_P$, see Fig. 2.2. ![Heat Capacity per Particle (k_B)](image) Figure 2.2: Reduced temperature $\theta = T/T_F$ versus the heat capacities per particle at constant volume $c_V$ and at constant pressure $c_P$. The red lines are obtained from interpolations of the equation of state of Ref. Ku et al. [2012]. The upper (lower) black dashed curve shows the fit with a quartic polynomial, $c_V = 1.190 - 0.872 \theta + 2.160 \theta^2 - 1.387 \theta^3 + 0.283 \theta^4$ ($c_P = 1.904 - 3.223 \theta + 7.998 \theta^2 - 5.500 \theta^3 + 1.194 \theta^4$). \footnote{We fit the smoothly varying part of $c_V$ and $c_P$ by limiting the $\theta$ range from 0.25 to 2. For $\theta = 0.25 \sim 1.5$, we use interpolations of the measurements by Ku et al. [2012]; for $\theta = 1.5 \sim 2$, we use high temperature limits, i.e., 3/2 for $c_V$ and 5/2 for $c_P$.} Finally, Eqs. 2.21 and 2.22 determine \[ \frac{1}{c_{V_1}} - \frac{1}{c_{P_1}} = \frac{1}{k_B} \frac{2}{3} \frac{\theta}{f_E(\theta)}, \] (2.23) which appears later in the sound diffusivity Eq. 2.66. With Eqs. 2.15 and 2.16, Eq. 2.23 can also take the form [Ku et al. 2012] \[ \frac{1}{c_{V_1}} - \frac{1}{c_{P_1}} = \frac{4}{15} \frac{nT}{p}, \] (2.24) with $ (5/2) \theta / f_E(\theta) = n k_B T / p $. It is also useful to derive the confining potential in a trap from chemical potential $ \mu $. We find the force arising from the confining potential along one axis $ z $, using a measured density profiles $ n_0(z) $. The trapping potential is easily found in the local density approximation from the local chemical potential, $ \mu(z) $, where $ \mu(z) + U_0(z) = \mu_G $, with $ \mu_G $ the global chemical potential. Then, \[ U_0(z) = \mu_G - \mu(z) = \mu_G - e_F[n_0(z)] f_\mu[\theta(z)]. \] (2.25) Here, $ f_\mu(\theta) $ is a dimensionless universal function of the reduced temperature $ \theta $, which determines $ \mu(n, \theta) $ in terms of the local Fermi energy $ e_F(n) $. $ f_\mu(\theta) $ has been precisely measured Ku et al. [2012]. The reduced temperature $ \theta(z) = T_0 / T_F(n) = \theta_0 / [\bar{n}_0(z)]^{2/3} $, where we determine $ \theta_0 = T_0 / T_F(n_0) $ from the fitted isothermal sound speed $ c_T $ and $ \bar{n}_0(z) = n_0(z) / n_0 $, with $ n_0 $ the central density, which occurs at $ z \equiv z_{\text{max}} $. The global chemical potential is then $ \mu_G = e_F(n_0) f_\mu(\theta_0) $, so that $ U_0(z_{\text{max}}) = 0 $ by construction. It is convenient to find $ \tilde{U}_0(z) = U_0(z) / e_F(n_0) $, with $ \tilde{\mu}_G = f_\mu(\theta_0) $. Then, \[ \tilde{U}_0(z) = f_\mu(\theta_0) - [\bar{n}_0(z)]^{2/3} f_\mu\left(\theta_0 / [\bar{n}_0(z)]^{2/3}\right). \] (2.26) ### 2.2 Hydrodynamic Theory We consider a normal fluid Fermi gas, which is a single component fluid with a mass density $ \rho \equiv n m $, where $ n $ is the total particle density (we assume a 50-50 mixture of two spin components) and $ m $ is the atom mass. $ \rho(\mathbf{r}, t) $ satisfies the continuity equation, \[ \partial_t \rho + \partial_i (\rho \ v_i) = 0, \] (2.27) where a sum over $i = x, y, z$ is implied. The mass flux (momentum density) is $\rho \ v_i$, with $v_i(r, t)$ the velocity field. The momentum density and corresponding momentum flux $\rho \ v_i \ v_j$ obey [Landau and Lifshitz 1959] $$\partial_i (\rho \ v_i) + \partial_j (\rho \ v_i \ v_j) = -\partial_i p - n \ \partial_i U + \partial_j (\eta \sigma_{ij} + \xi_B \sigma'_{ij}). \tag{2.28}$$ Here, $-\partial_i p - n \ \partial_i U$ is the force per unit volume arising from the pressure $p$ and the externally applied potential $U(r, t)$. The last terms describe the dissipative forces, which arise generally from the shear viscosity $\eta$ and the bulk viscosity $\xi_B$, with $\sigma_{ij} \equiv \partial_i v_j + \partial_j v_i - 2 \delta_{ij} \nabla \cdot v/3$ and $\sigma'_{ij} = \delta_{ij} \nabla \cdot v$. For generality, we retain $\xi_B$, which vanishes for a unitary gas [Son 2007; Hou et al. 2013; Elliott et al. 2014]. Taking the divergence of Eq. 2.28, and using Eq. 2.27, we obtain $$-\partial_i^2 \rho + \partial_i \partial_j (\rho \ v_i v_j) = -\partial_i^2 p - \partial_i (n \ \partial_i U) + \partial_i \partial_j (\eta \sigma_{ij} + \xi_B \sigma'_{ij}). \tag{2.29}$$ ### 2.2.1 Hydrodynamic Linear Response We are interested in the hydrodynamic linear response to a perturbing external potential $\delta U(r, t)$, which leads to first order changes in the density $\delta n(r, t)$ and pressure $\delta p(r, t)$, $$n(r, t) = n_0(r) + \delta n(r, t)$$ $$p(r, t) = p_0(r) + \delta p(r, t)$$ $$U(r, t) = U_0(r) + \delta U(r, t). \tag{2.30}$$ Here, $n_0(r)$ and $p_0(r)$ are the equilibrium (time independent) density and pressure arising from confinement in the box trap potential, $U_0(r)$. In equilibrium, the velocity field $v_0(r, t) = 0$ and Eq. 2.28 requires balance of the forces per unit volume arising from the box trap and the pressure, $$-\nabla p_0(r) - n_0(r) \nabla U_0(r) = 0. \tag{2.31}$$ Substituting Eqs. 2.30 and 2.31 into Eq. 2.29 and retaining terms to first order in small quantities, we obtain $$\partial_i^2 \delta n = \frac{1}{m} \nabla^2 \delta p + \frac{1}{m} \nabla \cdot [n_0(r) \nabla \delta U + \delta n \nabla U_0] - \frac{1}{m} \partial_i \partial_j (\eta \sigma_{ij} + \xi_B \sigma'_{ij}). \tag{2.32}$$ Here, the second term on the left side of Eq. 2.29 is negligible, as the velocity field is first order in small quantities, and we also neglect $\delta n \nabla \delta U$, which is also second order in small quantities. To evaluate the last term in Eq. 2.32, we assume that the dissipative forces are small compared to the conservative forces and that the density $n_0$ slowly varies in the region of interest. Then we can ignore the spatial derivatives of $\eta$, $\xi_B$, and $n_0$, yielding $$\partial_i \partial_j (\eta \sigma_{ij} + \xi_B \sigma'_{ij}) \simeq \eta \partial_i \partial_j \sigma_{ij} + \xi_B \partial_i \partial_j \sigma'_{ij} \simeq \left( \frac{4}{3} \eta + \xi_B \right) \nabla^2 (\nabla \cdot v). \quad (2.33)$$ The velocity field is eliminated using $\nabla \cdot v \simeq -\partial_t \delta n / n_0 = -\delta \dot{n} / n_0$, which follows from Eq. 2.27. With Eq. 2.7, $\delta p = mc_T^2 (\delta n + \delta \tilde{T})$, Eq. 2.32 becomes $$\delta \dot{n} = c_T^2 \nabla^2 (\delta n + \delta \tilde{T}) + \frac{1}{m} \nabla \cdot [n_0(r) \nabla \delta U + \delta n \nabla U_0] + \frac{\frac{4}{3} \eta + \xi_B}{n_0 m} \nabla^2 \delta \dot{n}, \quad (2.34)$$ where $\delta \tilde{T} \equiv \beta n \delta T$, from Eq. 2.8. To complete the model, we require the evolution equation for $\delta \tilde{T}$, which is determined from Eq. 2.13, $$\delta \dot{T} = \epsilon_{LP} \frac{\delta \dot{n}}{\beta n} + \frac{T \delta s_1}{c_V}. \quad (2.35)$$ Here, $\epsilon_{LP} \equiv c_{P_1} / c_{V_1} - 1$ the Landau-Placzek parameter, $T = T_0$ is the initial, spatially-uniform, temperature and $n = n_0$ is the initial spatially-uniform density. The heating rate per particle, $T \delta s_1$ is determined to first order in small quantities by $$T \delta s_1 = T (\partial_t + v \cdot \nabla) \delta s_1 = \frac{\delta \dot{q}}{n_0}, \quad (2.36)$$ where $\delta \dot{q}$ is the heating rate per unit volume. The heating rate arising from the shear viscosity is second order in $v_i$, which is negligible compared to the heating rate arising from heat conduction. Hence, $\delta \dot{q} \simeq -\nabla \cdot (-\kappa_T \nabla \delta T) \simeq \kappa_T \nabla^2 \delta T$, where we neglect the spatial derivatives of $\kappa_T$ and $$\delta \dot{T} = \epsilon_{LP} \frac{\delta \dot{n}}{\beta n} + \frac{\kappa_T}{n_0 c_{V_1}} \nabla^2 \delta T. \quad (2.37)$$ Multiplying Eq. 2.37 by $\beta n$, we obtain finally $$\delta \dot{T} = \epsilon_{LP} \delta \dot{n} + \frac{\kappa_T}{n_0 c_{V_1}} \nabla^2 \delta T. \quad (2.38)$$ Note that by defining $\delta \tilde{T} \equiv \beta \ n \ \delta T$, the temperature terms have units of density, enabling direct comparison with the density perturbation. Eqs. 2.34 and 2.38 have simple physical interpretations. The $c_T^2$ terms on the right-hand side of Eq. 2.34 correspond to the pressure change. A viscous damping force arises from the shear viscosity, $\eta \equiv \alpha_\eta \ \hbar \ n_0$, while the bulk viscosity $\xi_B$ vanishes for a unitary Fermi gas. The final terms in Eq. 2.39 arise from the perturbing and box potentials, where $\partial_z U_0(z)$ is found from the slowly varying background density $n_0(z)$ and $\delta U(z, t > 0) = 0$ for our experiments. The first term on the right-hand side of Eq. 2.38 describes the adiabatic change in the temperature due to the change in density. The last term describes temperature relaxation at constant density due to the heat flux, which is proportional to the thermal conductivity $\kappa_T \equiv \alpha_\kappa \ \hbar \ n_0 \ k_B / m$. Together, Eqs. 2.34 and 2.38 determine the evolution for the given forces $\nabla U_0$ and $\nabla \delta U$, with the initial conditions $\delta n(z, 0)$ (measured), $\delta \dot{n}(z, 0) = 0$, and $\delta \tilde{T}(z, 0) = 0$. ### 2.2.2 Analytic Solution in Fourier Space For our experiments, we employ a one-dimensional approximation, where the only spatial dependence is $z$. So $\nabla \Rightarrow \partial_z$. Eqs. 2.34 and 2.38 then become \begin{align} \delta \dot{n} &= c_T^2 \ \partial_z^2 (\delta n + \delta \tilde{T}) + \frac{1}{m} \ \partial_z \cdot [n_0(z) \partial_z \delta U + \delta n \partial_z U_0] + \frac{4}{3} \eta + \xi_B \ \frac{n_0 m}{\partial_z^2 \delta \dot{n}}, \\ \delta \dot{\tilde{T}} &= \epsilon_{LP} \ \delta \dot{n} + \frac{\kappa_T}{n_0 c_{V_1}} \ \partial_z^2 \delta \tilde{T}, \end{align} where $\partial_z U_0(z)$ is a slowly varying function. Note that in the experiments, we study the evolution after the perturbing potential is extinguished, yielding $\delta U = 0$. Further, we measure in a nominally uniform region along $z$ in the middle of the box, where $U_0(z)$ is a slowly varying function. Further we use a short time scale so that the reflection of sound by the walls does not matter. Hence we have $\partial_z U_0 \simeq 0$. With $\delta U = 0$, $\partial_z U_0 = 0$, a spatial Fourier transform of Eqs. 2.39 and 2.40 yields coupled time-dependent equations for the Fourier amplitudes $\delta n(q, t)$ and $\delta \tilde{T}(q, t)$, \begin{align} \delta \dot{n}(q, t) &= -c_T^2 \ q^2 [\delta n(q, t) + \delta \tilde{T}(q, t)] - 4 \eta \ q^2 / (3 n_0 m) \ \delta \dot{n}(q, t) \\ \delta \dot{\tilde{T}}(q, t) &= \epsilon_{LP} \ \delta \dot{n}(q, t) - \kappa_T \ q^2 / (n_0 c_{V_1}) \ \delta \tilde{T}(q, t), \end{align} where $ \epsilon_{LP} = c_P / c_V - 1 $. Note that the bulk viscosity $ \xi_B = 0 $ for a unitary Fermi gas [Son 2007; Elliott et al. 2014]. We can express the local shear viscosity in units of $ \hbar n_0 $, \[ \eta \equiv \alpha_\eta \hbar n_0 \] (2.43) and determine $ \alpha_\eta $ from the measurements. Similarly, we can express the thermal conductivity in units of $ \hbar n_0 k_B / m $ as \[ \kappa_T \equiv \alpha_\kappa \hbar n_0 \frac{k_B}{m} \] (2.44) and determine $ \alpha_\kappa $ from the measurements. To simplify the expressions, we can define $ q $-dependent properties — an oscillation frequency $ \omega_T(q) $ and two decay rates $ \gamma_\eta, \gamma_\kappa $ to describe the evolution. Let \[ \begin{align} \omega_T(q) &= c_T q \\ \gamma(q) &= \frac{\hbar}{m} q^2 \\ \gamma_\eta(q) &= \frac{4}{3} \alpha_\eta \gamma(q) \\ \gamma_\kappa(q) &= \alpha_\kappa \frac{k_B}{c_V} \gamma(q). \end{align} \] (2.45) Eqs. 2.41 and 2.42 then become \[ \delta \dot{n}(q, t) = -\omega_T^2 [\delta n(q, t) + \delta \dot{T}(q, t)] - \gamma_\eta(q) \delta \dot{n}(q, t) \] (2.46) \[ \delta \dot{T}(q, t) = \epsilon_{LP} \delta \dot{n}(q, t) - \gamma_\kappa(q) \delta \dot{T}(q, t). \] (2.47) The above equations have an analytic solution. The general solution for $ \delta n(q, t) $ and $ \delta \dot{T} $ consists of \[ \begin{align} \delta n(q, t) &= Ae^{-s_1 t} \\ \delta \dot{T}(q, t) &= Be^{-s_2 t}. \end{align} \] (2.48) Then Eqs. 2.46 and 2.47 require \[ (s^2 + \omega_T^2 - \gamma_\eta s)A + \omega_T^2 B = 0 \\ \epsilon_{LP} s A - (s - \gamma_\kappa)B = 0. \] (2.49) (2.50) A nontrivial solution is obtained by setting the determinant of the coefficients equal to zero, \[ (s^2 + \omega_T^2 - \gamma_\eta s)(s - \gamma_\kappa) + \epsilon_{LP} s \omega_T^2 = 0. \] (2.51) So, we have \[ s^3 - s^2 (\gamma_\kappa + \gamma_\eta) + s (\omega_S^2 + \gamma_\kappa \gamma_\eta) - \omega_T^2 \gamma_\kappa = 0, \] (2.52) where $ \omega_S^2 = (1 + \epsilon_{LP}) \omega_T^2 = c_H / c_V \omega_T^2 $, i.e., $ \omega_T = c_T q $ and $ \omega_S = c_S q $. Eq. 2.52 is a cubic polynomial with real coefficients, which must have one real root $ \Gamma $ and one complex pair $ a \pm ib $, i.e., it factors as $ (s - \Gamma)[(s - a)^2 + b^2] $. Then, \[ s^3 - s^2 (\Gamma + 2a) + s (a^2 + b^2 + 2a \Gamma) - \Gamma (a^2 + b^2) = 0. \] (2.53) Comparing the coefficients of $ s^n $ in Eq. 2.53 and Eq. 2.52, we find \[ \Gamma + 2a = \gamma_\eta + \gamma_\kappa \\ a^2 + b^2 + 2a \Gamma = c_S^2 q^2 + \gamma_\eta \gamma_\kappa \\ \Gamma (a^2 + b^2) = c_T^2 q^2 \gamma_\kappa. \] (2.54) (2.55) (2.56) As there are three solutions with three initial conditions, we take the density perturbation to be \[ \delta n(q, t) = A_0 e^{-\Gamma t} + e^{-at} [A_1 \cos(b t) + A_2 \sin(b t)], \] (2.57) The first initial condition $ \delta n(q, 0) = A $ requires $ A_1 = A - A_0 $, and from $ \delta \dot{n}(q, 0) = 0 $, we can obtain $ A_2 = [( \Gamma - a ) A_0 + a A ]/b $. With $ \delta \dot{T}(q, 0) = 0 $, the third initial condition follows from Eq. 2.46, $ \delta \ddot{n}(q, 0) = -\omega_T^2 A $. By comparing $ \delta \ddot{n}(q, 0) $ with a direct calculation from Eq. 2.57, this yields the amplitude $ A_0 $, \[ [( \Gamma - a )^2 + b^2] A_0 = (a^2 + b^2 - c_T^2 q^2) A. \] (2.58) Similarly, the temperature perturbation is given by \[ \delta \tilde{T}(q, t) = B_0 \left[ e^{-\Gamma t} - e^{-a t} \cos(b t) + \frac{\Gamma - a}{b} e^{-a t} \sin(b t) \right], \] (2.59) which satisfies $ \delta \tilde{T}(q, 0) = 0 $ and $ \delta \dot{\tilde{T}}(q, 0) = 0 $, as required by Eq. 2.47 with the initial condition $ \delta \dot{n}(q, 0) = 0 $. From Eq. 2.47, and using $ \delta \ddot{n}(q, 0) = -\omega_T^2 A $, we also have the additional constraint $ \delta \ddot{\tilde{T}}(q, 0) = -\epsilon_{LP} c_T^2 q^2 A $. Using Eq. 2.59, we find $ B_0 $, \[ [(\Gamma - a)^2 + b^2]B_0 = -\epsilon_{LP} c_T^2 q^2 A. \] (2.60) We have developed a complete analytic solution for the evolution of $ \delta n(q, t) $ and $ \delta \tilde{T}(q, t) $, connecting all the coefficients and physical properties. We fit Eq. 2.46 to the data using the three frequencies $ c_T q, \gamma_\eta, \gamma_\kappa $, and the amplitude $ A $ as free parameters. We can see that the solution consists of two independent modes. One is an exponentially decaying thermal diffusion mode, and the other is a decaying, oscillating first sound mode, see Fig. 2.3. The physics of these two modes is illustrated as follows. Fig. 2.3 shows the modes that contribute to a typical fit for $ T/T_F = 0.46 $ data, which sits in the middle of our temperature range. From the fit, we can find the contributions of the first sound mode and thermal diffusion mode to $ \delta n(q, t) $ and $ \delta \tilde{T}(q, t) $. First, we determine the frequencies $ \Gamma, a, $ and $ b $ from the fit parameters $ c_T q, \gamma_\eta, \gamma_\kappa $ using Eqs. 2.54-2.56. This is most easily done by finding the real solution $ \Gamma $ of Eq. 2.52. Then Eq. 2.54 determines $ a $ and Eq. 2.55 yields $ b $. Eq. 2.58 then determines $ A_0 $ in terms of the fitted amplitude $ A $ and Eq. 2.60 determines $ B_0 $. We scale the plots by $ A $ to normalize to 1 at $ t = 0 $. From Fig. 2.3 we can see the contribution of the zero frequency, exponentially decaying thermal diffusion mode to $ \delta n(q, 0) $ is initially $ \simeq 32\% $. The large amplitude enables independent determination of the thermal conductivity through the decay rate $ \Gamma $. In $ \delta \tilde{T}(q, t) $, we see that $ \delta \tilde{T}(q, 0) = 0 $ forces the first sound and thermal diffusion modes to be initially $ 180^\circ $ out of phase, ensuring an isothermal initial condition. On the other hand, the first sound mode is described by an oscillating exponential decay. The oscillation frequency gives the first sound speed, which determines the reduced temperature from Eq. 2.19 and the equation of state (see Fig. 2.1). The decay rate gives the usual first sound diffusivity, $ D_1 = 2a/q^2 \simeq D_\eta + D_\kappa $, which contains contributions only from the shear viscosity and the thermal conductivity (see Eq. 2.66 below). So the shear viscosity can be extracted by subtracting $ D_\kappa $ from $ D_1 $. We see that the decay rates of these two distinct modes determine both the thermal Figure 2.3: Components of the analytic fit function $\delta n(q, t)$ Eq. 2.57 and $\delta \tilde{T}(q, t)$ Eq. 2.59 for a typical data at $T/T_F = 0.46$. Red curve: Total fit function; Orange curve: Zero frequency, exponentially decaying (thermal diffusion) mode; Blue curve: oscillating, exponentially decaying first sound mode. Note that the two components are in phase for $\delta n(q, 0)$ and 180° out of phase for $\delta \tilde{T}(q, 0)$, ensuring an isothermal initial condition. conductivity and the shear viscosity. ### 2.2.3 Damped Oscillator In the previous subsection, we introduce the usual first sound diffusivity $D_1$, which is given by $2a/q^2$ from the first sound mode. We expect that the first sound mode behaves essentially as a damped oscillator of resonance frequency $\omega_S = c_S q$ and damping rate $2a$, for which the equation of motion is $$\ddot{x} + 2a \dot{x} + \omega_S^2 x = 0 \quad (2.61)$$ The general solution $x = A e^{-s t}$ satisfies $$s = a \pm i \sqrt{\omega_S^2 - a^2} \equiv a \pm i b. \quad (2.62)$$ In this case, the damped oscillation frequency is $b \simeq \sqrt{\omega_S^2 - a^2}$, so that $\omega_S$ should be closer to $\sqrt{a^2 + b^2}$. Actually from our measurements, for $T/T_F = 0.28, 0.46$ and $0.63$, we find that $\omega_S/\sqrt{a^2 + b^2}$ is $1.006, 1.015,$ and $1.008$, nearly unity as expected. We can understand this result using Eqs. 2.54 and 2.55, and rewrite them in the following way $$a^2 + b^2 = \omega_S^2 + \gamma_\eta \gamma_\kappa - 2a \Gamma = \omega_S^2 + \gamma_\eta \gamma_\kappa - \Gamma(\gamma_\eta + \gamma_\kappa - \Gamma) = \omega_S^2 + (\Gamma - \gamma_\kappa)(\Gamma - \gamma_\eta), \quad (2.63)$$ where $a^2 + b^2 \simeq \omega_S^2$. In the high temperature classical limit, where the decay rates are largest, the last term is evaluated as follows, $$\Gamma - \gamma_\kappa = \gamma_\kappa \left( \frac{\omega_T^2}{\omega_S^2} - 1 \right) = \gamma_\kappa \left( \frac{c_{V_1}}{c_{P_1}} - 1 \right).$$ Taking the high temperature limit of $c_{V_1} \simeq (3/2) k_B$, $c_{P_1} \simeq (5/2) k_B$ and $\kappa_T \simeq (15/4)(k_B/m)\eta$ [Braby et al. 2010], we can write $\Gamma$ in terms of $\gamma_\eta$ and obtain $\Gamma - \gamma_\eta = (1/8)\gamma_\eta$. Together, we then have, $$(\Gamma - \gamma_\kappa)(\Gamma - \gamma_\eta) \simeq -\gamma_\eta \gamma_\kappa / 20 \ll \omega_S^2. \quad (2.64)$$ A similar conclusion that $(\Gamma - \gamma_\kappa)(\Gamma - \gamma_\eta) \ll \omega_S^2$ for lower temperatures can be easily made since the decay rates are even smaller. Hence, we can take $a^2 + b^2 = \omega_S^2 = c_S^2 q^2$ in Eq. 2.56. With $c_T^2/c_S^2 = c_{V_1}/c_{P_1}$ and $\gamma_\kappa/q^2 =$ we obtain, \[ \frac{\Gamma}{q^2} = \frac{\omega_T^2}{\omega_S^2} \frac{\gamma_\kappa}{q^2} = \frac{\kappa_T}{n_0 c_{P_1}} = D_T, \] (2.65) with $D_T$ the thermal diffusivity. With Eq. 2.65 and $\gamma_\eta/q^2 = 4\eta/(3n_0m)$, Eq. 2.54 shows that the measured $2a/q^2$ is, to a very good approximation, the usual first sound diffusivity [Landau and Lifshitz 1959], \[ D_1 = \frac{2a}{q^2} = \frac{4}{3} \frac{\eta}{n_0 m} + \left( \frac{1}{c_{V_1}} - \frac{1}{c_{P_1}} \right) \frac{\kappa_T}{n_0} = D_\eta + D_\kappa. \] (2.66) Eq. 2.65 shows that the decay rate $\Gamma$ of the thermal diffusive mode determines the thermal conductivity $\kappa_T$. Measurement of the decay rate $2a$ of the first sound mode determines $D_1$ in Eq. 2.66, and yields $\eta$. In this chapter, I will discuss the preparation of an ultracold degenerate gas of $^6$Li atoms, and the optical system for applying the perturbing potentials. The atoms are trapped and cooled to a temperature near absolute zero ($T \sim 10-100$ nK) before being transferred into a box shaped potential. The basic technique and the experimental apparatus used in our lab to trap and cool the atoms are well described in detail in the theses of our previous group members, and this will only be briefly described here. Readers are encouraged to refer to O’Hara [2000]; Gehm [2003]; Kinast [2006]; Joseph [2010]; Jagannathan [2016]. The main part of this chapter will be focused on the new techniques to create a stable and relatively strong box potential by utilizing a digital micro-mirror array (DMD) and a diffracting “top-hat” (TH) beam shaper. ### 3.1 Atom Trapping and Cooling There are several stages for preparing an ultracold atoms samples for our studies. $^6$Li atoms are solid at room temperature in our source. First, we need to heat a sample of lithium to create an atom gas flux. Then the atoms need to be captured and evaporatively cooled to low temperature. Last, we need to put them into the box potential, which is our final trap, without additional heating. The experimental apparatus contains a locking region and a main system. Each of these is comprised of a vacuum system with an oven as atom source. Both ovens are heated to approximately 400°C to supply the atoms for our experiments. The locking region is a system to generate laser beams with required frequencies in the experiments. In this system, the frequency of a Coherent 899 dye laser, pumped by a Coherent Verdi V10 diode pumped solid state laser, is referred to an atomic resonance of $^6$Li near 671 nm, providing a stable “main beam” with a power of about 800 mW. This main beam is then directed through different beam paths to the main system. Within each path the frequency is modulated by one or more acousto-optic modulator (AOMs), which acting as a grating to modulate the angle and frequency of the non-zeroth order passing-through beams. We use the first order beams deflected outward from the AOM, and the frequency is controlled by an applied driving voltage. With such a setup, we are able to tune the individual laser beams to different desired frequencies, for atom trapping, cooling, and imaging. The main system makes use of two different physical mechanisms to trap and cool atoms. The first mechanism is absorption and emission of photons and the second mechanism is electric dipole interactions. The first mechanism applies to the setup of a Zeeman slower, a magneto-optical trap (MOT) and another MOT optical beam called the “repumper”, which will be discussed shortly. Fig. 3.1 shows the system set up for these trapping and cooling stages. The atoms initially travel at high velocity and they are quickly slowed and captured by a slower beam. Photons in this red-detuned near-resonant counter-propagating beam is absorbed by the atoms traveling towards the beam, with the Doppler effect shifting their frequency to resonance. The atoms then emit photons in random direction, thus the atoms slow down as a result of momentum conservation. Moreover, a magnetic field generated by the Zeeman coils produce a spatially varying Zeeman shift to the energy levels of the atoms to keep cooling them, compensating for the reduced Doppler effect when atoms slow down. Together, this setup is called the Zeeman slower. Then a magneto-optical trap or MOT traps the atoms near the center region of the vacuum chamber and provides additional cooling. The MOT is a combination of 3 pairs of retro-reflected beams and magnetic fields. It provides Zeeman shifts and Doppler shifts, by the same mechanism as the Zeeman slower, but in all six directions. Also, the MOT beams are polarized in a way to provide restoring forces when atoms move away from the center. In our lab, about 300 million atoms are cooled to the Doppler limited temperature of 140 $\mu$K in the MOT\textsuperscript{1}. The first mechanism cannot further cool the atoms below the Doppler limited temperature of about 140 $\mu$K [Kinast 2006]. To further cool the atoms, we load a far off resonance trap or FORT generated by an ultra-stable Coherent DEOS LC100-NV CO$_2$ laser (140 W) beam and perform evaporative cooling. The cigar-like shape FORT provides an electric dipole potential that confines the atoms in space. The dipole potential is written as $$U_{dip} = -\frac{2\pi}{c} \alpha I,$$ (3.1) where $I$ is the intensity of the laser beam. The CO$_2$ laser beam has a cylindrically symmetric \textsuperscript{1}In order to cool the atoms in both $F = 1/2, 3/2$ states, an additional beam called “repumper beam”, tuning 228 MHz lower than the MOT beam, co-propagates with the MOT beam. gaussian profile, so the intensity can be written as, \[ I(r, z, \phi) = \frac{I_0}{1 + (z/z_0)^2} \exp\left\{-\frac{2r^2}{w^2}\right\}, \] (3.2) where $ I_0 $ is the peak intensity, $ z_0 $ is the Raleigh length and $ \omega $ is the $ 1/e^2 $ radius of the beam. Here, the polarizability for the ground state of $ ^6 \text{Li} $ is \[ \alpha = \alpha_0 \frac{\omega_0^2}{\omega_0^2 - \omega^2}, \] (3.3) where $ \alpha_0 $ is the static polarizability for frequencies far below resonance, taking the form of $ 2\mu_{e_g}^2/\hbar \omega_0 $. The wavelength of the CO$_2$ beam is 10.6 $ \mu \text{m} $, which is much larger than resonant wavelength of the atom $ \sim 671 \text{ nm} $. So from Eq. 3.1 - 3.1 we can easily find that the FORT potential is attractive, deeper in the center. In the FORT, we use a bias the magnetic field to tune to the strongly interacting regime, and the atoms collide with each other, sharing energy and rethermalizing. The hot atom escape the trap and the colder atom effectively cool down after rethermalization. A passive evaporative cooling with full CO$_2$ trap depth is called the free evaporation, during which the atoms can be cooled to $ \sim 50 \mu \text{K} $. After this stage, a forced evaporation by lowering the trap depth provides the final cooling. We use a lowering curve, \[ U(t) = U_0 \left(1 + \frac{t}{\tau}\right)^{-1.44}, \] (3.4) which ensures efficient evaporative cooling while, at same time, keeping the most atoms in the trap [O’Hara et al. 2001], where $ t $ and the lowering constant $ \tau $ can be adjusted for different final trap depth. The lowering of the FORT is realized by controlling the applied RF voltage on the CO$_2$ AOM, which acts as a beam intensity modulator here. We applied two RF signals (40 MHz and 32 MHz) on the AOM to maintain the total RF power during the lowering to ensure temperature stability in the AO, avoiding beam angle changes. The output beam modulated by the 40 MHz RF signal is what we use for the FORT. At the end of the forced evaporation stage, the temperature of the atoms can be as low as 10 nK. Finally, the atoms are slowly transferred into a box potential, which comprises six sheets of repulsive blue-detuned light, created by two digital micromirror devices (DMDs). The top and bottom sheets employ a 669 nm beam from a diode laser. The four vertically propagating sheets are produced by a 532 nm diode laser beam, which passes through a diffractive optical element and an imaging lens to produce a “top-hat” shaped intensity profile on the surface of the DMD array. With the flexibility of the DMD (we will discuss in Sec.3.3.2), we are able to transfer the atoms from the FORT smoothly to the box without moving in space, which avoids losing or heating the atoms. The repulsive dipole force confines the atoms inside the box with nominally uniform or slowly varying density profiles in all three directions. The “walls” built by the repulsive force are designed to be strong enough to hold the atoms of various temperatures, without noticeable atom loss during the experimental time scale. This provides an ideal platform to measure thermodynamic and transport properties. ### 3.2 Imaging After the atoms are cooled and trapped in the final box potential, the vertical 532 nm beam crafted by the DMD is used to generate a spatial periodical perturbing potential for experiments (see Sec.3.4.2). After re-reaching thermal equilibrium, the perturbing potential is turned off and the atoms then undergo free evolution inside the box. To observe the atom evolution, we use absorption imaging to extract the density profile of the atom cloud. This technique uses a pulse of resonant light to image the atom cloud, the transmitted intensity profile is then recorded on a CCD camera. The density profiles can be obtained by reconstructions of the images. Fig. 3.2 shows the beam setup for the box and the referencing frame (x-y-z). We have two cameras to look at the atom cloud: one views the horizontal (y) direction and the other views the vertical (x) direction. The imaging beams for these cameras are differ in frequency by about 76 MHz away, so each of them can image one spin species of the mixture in-situ. Note that we use a 50-50 mixture of spin-up ($\|1\rangle$) and spin-down ($\|2\rangle$) atoms. Their energy difference at high field of 832 G is calculated to be about 76 MHz. By tuning the frequencies of two imaging beams 76 MHz apart, we are able to use two cameras, with each of them viewing one spin species of the mixture. Since the imaging beam only resonantly absorbed by one spin state without interrupting the other spin state, this yields in-situ imagery of both spins. The images we take are processed by a converting code, which relates the extracted column density to the photon counts in each pixel and some camera characteristics to Figure 3.2: Illustration of the box trap. A 532 nm beam propagating in the vertical (x) direction provides 4 vertical walls of the box. A 669nm beam propagating in the horizontal plane (y-z) provides the top and bottom sheets. Two CCD cameras view through x and y directions at each of the two spins, enabling in-situ imagery for both spins. give us 2D density profiles of the atoms as function of position. Then we use a “spline” method 1-D interpolation to smoothly covert the density profiles to be in units of microns (atoms/μm). 3.3 Optical Box Many previous studies of quantum gases are limited by the trapping beam shapes, which is usually a gaussian profile in space. One downside of the gaussian shaped trap is that the density of the trapped atoms varies near the cloud edges, which makes theories hard to test. To investigate the properties of the gases more properly, beam-shaping techniques are essential for creating controlled profiles for different applications. As I mentioned in the introduction, a uniform sample of unitary Fermi gases in a box is the ideal platform for studying hydrodynamic transport properties. A good way to realize uniform density distribution is to transfer the cold atoms from FORT to another trap, which has the geometry of a rectangular box. By carefully aligning the position of the box in the center of the magnetic bowl, formed by gradient of the bias magnetic field (see Sec. 3.3.4), once the FORT is turned off, the only trapping potential arises from the 6 walls of the box. The atoms can then flow almost freely to uniformly occupy the space inside the box. It was not easy to build a box potential with sharp edges and strong confinement in the past. However, by combining some new technology, a good box potential is accomplished in our lab. The basic apparatus includes 2 blue-detuned laser beams, 2 Digital Micromirror Devices (DMDs), a “top-hat” beam shaper with adjustable telescopes and two wavelength selecting optics. A schematic of the optical setup is shown in Fig. 3.3. Figure 3.3: Box beam path along with the main chamber and imaging system. Top(bottom) orange(green) colored shapes represent a 669 nm gaussian (532 nm “top-hat”) laser beam. Red colored shapes represent the imaging beams. While the details of these new techniques will be described later, it is useful to know some basic concepts to understand the system setup. The DMD is a dynamic spatial light modulator that can reshape the incoming light. It puts an arbitrary pattern on the incoming beam and projects the pattern onto the atoms, with a de-magnification by a microscope objective. Also, a diffractive optic, called “top-hat” beam shaper, is used to make the incoming beam intensity flat on the DMD, increasing the box potential (the reasons are explained 3.3.1 Box Beam To build a box for the atoms, the first question one naturally asks is what’s the material for the “walls”. We learn from the previous section that electrical dipole forces can be used to trap the atoms without resonant interactions. Similarly, we can use pure optical beams for box trapping. However, we need a repulsive beam here. After the forced evaporation, the atoms reach the desired temperature in the FORT. We can then release the atoms to the box potential, constructed by 6 repulsive laser beam sheets, taking advantage of dipole forces. As we discussed in Sec. 3.1, the dipole potential takes the form of \[ U_{dip} = -\frac{2\pi}{c} a_0 \frac{\omega_0^2}{\omega_0^2 - \omega^2} I. \] (3.5) It is obvious that we need a beam frequency $\omega$ higher than the resonant frequency $\omega_0$, in other words, a blue-detuned light, to give us a repulsive potential. We want to build a strong box trap with the capability of holding atoms with a variety energies. The depth of the optical potential should be at least few times of the typical Fermi energy in experiments, which is $\sim 0.2\mu K$. Since the optical potential scales roughly as inverse of $\omega_0^2 - \omega^2$, tuning closer to the resonance frequency would provide a deeper box. Meanwhile, we also need to be careful not to use a beam too close to the atomic line. Even for a box trap setup, where most of the beam does not directly shine on the atoms, if the wavelength is close enough to the resonance, light scattering will heat the gas and cause loss. Taking these ideas into consideration, a diode laser centered around 669 nm is a very good choice for our box beams. This wavelength is about 2 nm away from atomic resonance, which gives strong dipole force without too much light scattering. For a typical Toptica diode laser tuned at 669 nm, the output power is around 200 mW. With power losses through the necessary optical elements, this power is still sufficient to provide a trap of a few $\mu K$ when it’s focused on the atoms. This energy is much bigger than the nominal Fermi energy $\simeq 0.2\mu K$, so the optical trap depth is very good. To create a 3D box, we need two perpendicularly propagating beams to form 6 sheets for the walls. A straight forward choice is to use the 669 nm beams for both propagating directions. However, we also need to think about the separation of imaging beams, which are at 671 nm. We have two CCD cameras taking images for the horizontal and the vertical views. For our vacuum chamber, there is only one pair of window ports for beams in the vertical direction. Notice that the MOT configuration needs three perpendicularly propagating beams, so one of the MOT beams has to co-propagate with the vertical image beam. This is not a problem since we always take pictures after the MOT procedure is done. So a simple electronically controlled flipper mirror can separate those two vertical beams and turn each on in a sequence. However, for the box beam, we cannot use the same method. For the best measurements, we always want to take in-situ images so that we minimize any disturbance to the properties we study. This means the imaging beams need to be turned on when the box beams are present. To solve the problem, we can use dichroic beam splitters. Dichroic mirrors or beam splitters can spectrally separate light by transmitting and reflecting light as a function of wavelength. Lowpass dichroic mirrors have a transmission and reflection band that are divided by a cut-on wavelength. This type of dichroic is highly reflective below the cut-on wavelength and highly transmissive above it. It allows us to separate the box beam from the imaging beam right outside of the vacuum chamber. Now, we look back at our candidate beam of 669 nm. It’s only 2 nm away from the imaging beam which is tuned to resonance. This makes it extremely hard to find a dichroic mirror that can separate them. Also, let’s think more about the general ideas of the experiment. We want to build a versatile platform that can conduct different kinds of experiments in a uniform box potential. Besides building a box, we also want to apply some perturbing potentials on the atoms, either static or moving. To make the apparatus not too complicated, we prefer to use the same laser beam for the box and perturbing potentials. If the optical force is too strong, we will lose dynamic range for designing an spatially varying perturbations. This will be discussed in detail in Sec. 3.3.2. Another disadvantage of a near resonance beam is that we cannot shine the beam on atoms for long time without exciting the atoms. Indeed, for the purpose of holding the perturbing potential long enough for reaching a thermal equilibrium, we would rather use a far off resonance light. Based on the two concerns above, it is better to choose a wavelength further away from resonance for the vertical box beam. But with limitation of the damage threshold of the DMD, we cannot go too far away from the resonance where a very high power is required for a strong trap. We use a Coherent Verdi V10 diode-pumped laser to generate a high power stable green beam at 532 nm. This wavelength is well below the atomic resonance, which allows us to effectively separate it from the imaging beam using a dichroic beam splitter. Although the dipole polarizability is smaller compared to that of the 669 nm beam, the output power of Verdi can go up to 10 W, which is much higher than the power of the 669 nm beam. This compensates for the overall strength of the force, making a strong enough force for the box walls and not too strong for the perturbing potentials. Another fact we need to take into consideration is the effect of bias magnetic field curvature, which inevitably exerts forces on the atoms inside the box. Without going deeply to this topic, a brief conclusion is that the force is repulsive in the vertical direction and attractive in the horizontal plane. Both are small but not negligible compare to optical potential. So we would prefer the horizontal box beams to be stronger to give additional vertical confinement against the magnetic force, for the top and the bottom sheets. Fig. 3.4 shows the beam setup for the box. We chose to build our box with two different beams. A horizontal red 669 nm beam provides stronger top and bottom walls; a vertical green 532 nm beam provides the other four walls, as well as creating perturbing potentials. The red beam propagates in a path that does not overlap with imaging beams. The green beam shares part of the vertical path with the imaging beam, and they are separated by a longpass dichroic mirror. Additionally, since the selective efficiency of a dichroic mirror is not 100%, a lowpass filter is placed in front of the camera to minimize green light transmission. Figure 3.4: Illustration of the box trap. A 532 nm beam propagating in the vertical (x) direction provides 4 vertical walls of the box. A 669nm beam propagating in the horizontal plane (y-z) provides the top and bottom sheets. 3.3.2 Digital Micromirror Devices With the laser sources of the box beams chosen, let us move forward to discuss the beam shaping. Some beam shapes can be generated from passive approaches, such as a diffractive phase plate, refractive aspheric lens or axicon pairs, or a binary-transmissive metal mask. However, these methods cannot adjust for variations in input beam profiles due to imperfect optical systems or produce different types of output beam profiles on demand. Spatial light modulators (SLMs), on the other hand, provide a programmable modulation of phase and/or amplitude. It opens possibilities for arbitrary beam shape designs. Furthermore, if a programmable SLM is able to update patterns fast enough, the beam shapes can be controlled in both space and time, which allows us to dynamically control the optical potentials [Gauthier et al. 2021]. The digital micromirror array (DMD) emerges as a versatile tool for arbitrary beam shaping and dynamical control. The TI-DLP chipset has been used in image display, industrial and medical applications, for high resolution and high speed spatial light modulation. However, recently it has been applied to laser beam shaping and atom trapping in research. The DLP chipsets utilize highly reflective aluminum micromirrors, known as a digital micromirror device (DMD). Each DMD contains up to 8 million individually controlled micromirrors built on top of an associated CMOS memory cell. During operation, the DMD controller loads each underlying memory cell with a “1” or a “0”. Next, a mirror set pulse is applied, which causes each micromirror to be electrostatically deflected about a hinge to the associated +/- 12 degree state, defining as “on” and “off”. The deflection angle of these two valid states is very repeatable due to a physical stop against two spring tips [DMD]. There are two types of patterns that can be realized by the DMD: binary and grayscale. Binary patterns are created by direct display of black and white pictures. Grayscale patterns are created by programming the on/off duty cycle as functions of time for each mirror, which allows additional flexibility for pattern design. In our system, the ‘on’ state beam is reflected to the main vacuum chamber and the ‘off’ state beam goes to a beam damp (black paper board). This acts as an intensity mask on the original beam, which is a “top-hat” beam in our case (Sec. 3.3.3, to reshape the light. The designed patterns are programmable, and they are stored in the CMOS memory cell in the form of image files. The displayed pattern on the mirrors constructed by ‘on’ and ‘off’ pixels can be held or changed by receiving internal or external triggers. This allows dynamical control of the light in a very precise way. In our application, we chose a DLP 6500 to shape the horizontal beam for its fine pixel size and DLP 7000 to shape the vertical beam for its fastest pattern rate. Reasons for this selection will be discussed in detail later. In our applications, we have some specific requirements for the beams. The DMD chipset models and the way to program them need to be carefully considered. First of all, the device needs to handle relatively high beam intensity for forming a deep box trap. However, since the primary applications of DMD were for displays, they were not originally designed for high power handling. In order to do laser beam shaping safely, we need to carefully check the thermal responses of the DMD. According to the general DMD data sheets, the average power density (peak power density • duty cycle) cannot exceed the specification of 25 W/cm$^2$ for all DMDs. So we don’t have the flexibility to choose a higher power DMD. However, we use some methods to increase power without damaging the device. First, when we don’t need the box beam, instead of turning the DMD to the “off” states while keeping the laser beam on, we chose to turn off the AOM for the 532 nm beam and direct the input beam to a beam dump. This way we keep the active duty cycle short to give the device enough time to cool down. Second, we expand our laser beam and chose a relatively large area on the DMD to illuminate for lower intensity on it, and then de-magnify the beam to hit the atoms. This also gives the advantage of using more pixels on the DMD for higher pattern resolution. Third, we make the intensity profile of the 532 nm beam almost uniform on the DMD surface, by using the “top-hat” technique, to avoid possible local damage near the high intensity gaussian peak. Note that we do not apply such technique to the 669 nm beam, since its power is much lower than the 532 nm beam. Now, let us look at two key features of the DMD, the pixel size and the highest pattern rate. The DMD mirrors has two states: on and off, so the pattern on the DMD is binary. A smaller pixel (mirror) size grants us more pixels to use for grayscale pattern designs, which improves their resolution and fidelity. Indeed, all of the DMD chipsets have very small mirror sizes, from 5.4 $\mu$m to 13.6 $\mu$m. That is where the name “micromirror” comes from. A nominal input beam size is roughly about 1 mm, so either DMD gives good number of useful pixels for creating patterns. Now we look at the highest pattern rates. From the company’s product descriptions, for an 8-bit pattern, the DLP portfolio offers max pattern rates from 60 Hz to 4069 Hz. For our application (binary), the rate is 8 times larger. Considering the system we study, typical hydrodynamic characteristic frequencies are several thousand rad/s. In order to study hydrodynamic properties thoroughly, we prefer to have the capability to drive or perturb the system at frequencies from well below to well above those frequencies. So with a reasonable size of the micromirrors, we want to choose the fastest chipset we can find for the direction (vertical) we apply modulations. And for the horizontal direction, we are more flexible to choose any handy model. Based on the considerations above, we build our vertical direction beam shaping system by a DLP 7000 DMD, with key features of $13.68 \mu m$ micromirror pitch and a $32552 \text{ Hz}$ pattern rate. It crafts the $532 \text{ nm}$ beam for building the four vertical walls of the box, as well as for applying spatial perturbations on the atoms. For the horizontal $669 \text{ nm}$ beam shaping, we use a DLP 6500 DMD, with key features of $7.56 \mu m$ micromirror pitch and a $11574 \text{ Hz}$ pattern rate. The biggest reason for chosing this DMD is very simple: much cheaper! Now with right DMD chosen, we need to think about the alignment. It is not easy to set up a DMD since its mirror orientations are tilted (mirrors flip by $\pm 12^\circ$ along diagonal direction of the array). Usually the incoming beam and reflected beam are nearly overlapping. A neat optic called a total internal reflection (TIR) prism is helpful for an easier setup, since it allows us to introduce the incoming beam at a surface almost perpendicular to the reflected beam. A high power fiber collects the beam from the laser side of the optical table and sends the beam to the TIR prism. Since the DMD is basically nothing other than a 2D array of mirrors, it acts as a diffraction grating, where there is more than one order of beam diffracted. It is important to adjust the blaze angle to get the most power out of the zero order diffracted beam. From the specifications, the maximum diffraction efficiency can reach 86 %. We optimized the angle by placing a power meter right after the DMD and maximizing the power. The application of the TIR prism also makes this process easier. It is worth mentioning that we use an IRIS-like aperture to block any other orders of the diffracted beams. The reflected beam from the DMD goes to a microscope objective for de-magnification. A roughly 1-to-1 lens system then projects the de-magnified image onto the atoms. The lens closest to the vacuum chamber is sitting on a 3-axis translation stage to provide fine adjustment for positioning. With all the hardware setup for the DMDs described, now is a good time to explain how they are programmed in our experiments. Generally, we use our vertical ($532 \text{ nm}$ beam) DMD for building the four sides of the box and for dynamic perturbing potentials. The horizontal ($669 \text{ nm}$ beam) DMD is only used to create top and bottom sheets of the box. The DMD displays images pre-uploaded to its CMOS memory cell; one at a time based on triggers. The triggers can be either internal or external. While internal trigger mode is slightly more accurate, external trigger mode is more programming friendly, since it can be easily integrated to our MATLAB timing controls. So, we use external triggers for the Figure 3.5: (a) Setup of the horizontal DMD, key elements including a high power fiber, the DMD, a higher order diffraction beam block, a microscope objective and lenses. (b) Micromirror landed position and light paths [DMD], the orientation of the mirrors are diagonal respect to the DMD chip frame. vertical DMD. In our experiments, we use a sequence of different patterns to display on the DMD. These patterns are binary images of which pixel number is the same as the DMD’s mirror number. We use MATLAB code to generate patterns for different boxes and perturbing potentials. There are several display modes for the DMDs, and the patterns switch differently for different modes. For the experiment, it is important to make sure we are applying a stable trapping and perturbing potential on the atoms without extra heating. So ideally, we don’t want the mirrors to tilt off and back on when we switch the patterns. We carefully chose a setting called “slave mode”. In this mode, when we trigger a next pattern, the mirrors remaining in the same state (“ON” or “OFF”) do not move. Only those that need to change state tilt correspondingly. This guarantees constant box walls through the whole experiment, avoiding unwanted heating or atom losing. Our shortest time interval for switching between different patterns is 1 ms, which is slow compare to this DMD’s maximum rate. However, we would like to know how fast the mirrors can respond to a trigger to complete a stage change. In the experiment, we want to measure the free decay of the gas, so it’s important to know when the decay begins. The response time of mirrors is important since it tells us how well we know the beginning of the evolution. We measured the response time by using a photodiode to detect the change of light signal before and after the triggers. The result shows that in the “slave mode”, the response times, both from “on” to “off” and “off” to “on” are less than 10 μs. The mirrors do not change orientation without a trigger. For comparison, another measurement with the photodiode shows internal refreshes of the mirrors, when the DMD is in a “no dark time” mode. The internal refresh is caused by a setting of “picture time”. It occurs even if an external trigger is not present, see Fig. 3.6. This comparison shows the importance of programming the DMD in the correct way. Our typical data taking time interval is 100 μs and our typical evolution to watch time is 3000 μs. Since the response time is 10 μs, we can assume an instant release when we trigger the perturbation off in the “slave mode”. Now we have a clear picture of how the DMD works. The only thing left to do is to draw the patterns. The horizontal DMD is used to create the top and bottom sheets for the box. So, we simply draw two parallel bars with a spacing equals to the desired box width. The vertical DMD is used for building the other 4 sheets which I call the box frame, as well as the perturbing potential inside the frame. The rectangular frame is rotated by a small angle on the DMD to match the orientation of the FORT. Before we talk about some more details of the patterns, we need to take a look at some other technical details. Some special considerations for the patterns will be described in Sec. 3.4. ### 3.3.3 The “Top-Hat” Beam Shaper With the correct laser wavelength and DMD choices, we have the foundation to build our box. However, due to some limitations of the apparatus, we need to take additional measures to make the box better. The biggest problem for building a box of light is the spatial profile of the input beam intensity. For a single mode laser beam, the intensity distributed as a gaussian in space. On any surface the light shines, the intensity peaks in the center and decreases to the edge. With the use of DMDS, we can effectively put a transmissive mask on the beam to create a 2D box frame. In this case, we do not change the intensity distribution of the input beam. This fact can cause two problems. First, we are not utilizing all of the power of our light source, which in practice is only limited by the damage threshold of the high power fiber. Remember that we need a strong box potential to hold the Fermi gas at different temperatures. For a gaussian beam, the intensity region used by the DMD for projecting the box frame is only a small portion of the region near the peak. With a fixed input beam width, the bigger the box is, the lower the intensity. Fig. 3.7 show a gaussian beam on a long box frame, we can see the intensity decreases rapidly for the long sides. For the longest box we use in the experiment, the intensity of the box walls is only about 25% of the peak. Notice that damage threshold of the DMD is still set by the peak intensity, since the mirrors in the beam for both “on” or “off” state. In other words, we would waste substantial power to build a strong box by using a Gaussian beam directly. So, we want to reshape the gaussian input beam before it reaches the DMD. Our goal is to increase power efficiency for the box, so let’s look at the geometry of the box first. The box is designed to be long in the axial direction (z) and relatively short in the two radial directions (x and y) for three reasons. First, this is similar to the shape of the FORT, which makes the loading from the FORT to the box easier. Second, uniformity is the most important condition we want to realize for the studies of 3D hydrodynamic transport properties, especially for the directions we integrate through. In our relaxation experiment, the imaging beam is integrating through the atom sample (y direction) to give a 2D density profile. We then integrate through the radial (x) direction, which is along the perturbing potential, to get a 1D density profile. Hence these two directions need to be very uniform. Due to the confining effect of the magnetic curvature (see Sec. 3.3.4), the longer the box, the more density variations of the atom cloud. Also, we need to maintain a high atom density to ensure the relaxation is in the hydrodynamic region. So a shorter box dimension in the x and y directions is preferred. Third, the box should be long in the axial (z) direction, since we apply the periodical perturbing potential across the sample in this direction. The perturbation needs to be at least of a few spatial periods, as needed for a good data analysis. The perturbing wavelength cannot be too short due to limited DMD dynamic range. Also, the hydrodynamic requirements (the long wavelength limit, see chapter 5) prefer long perturbing wavelength. Moreover, although we can model the evolution of the gas by considering the edge reflection of the box walls, it is much more convenient to focus on a central region, where the walls have no affect (see chapter 4). This again requires a longer z direction length for the box since we can then leave off the close-to-box region for modeling. Based on these considerations, we chose the x and y width of the box to be about 50 $\mu$m, for good uniformity and high gas density. The width is slightly bigger than the radial diameter of the FORT after forced evaporation (the diameter varies a little depending on different final trap depth), so that we can load the atoms from the FORT into the box without radial clippings. The z length of the box actually varies in our experiment, depending on desired temperature, density, and spatial perturbation wavelengths. We actually use a box length from 110 $\mu$m to 180 $\mu$m in the experiments. Fig. 3.8 shows the geometry of the box with respect to the bias magnetic coils. ![Figure 3.8: Illustration of the box position, with respect to the magnetic coils proving high field (832 G).](image) To realize a more efficient setup for the box shape above. We first tried is to use a cylindrical telescope to expand the gaussian beam in one direction (for the long side of the box). This application improves the power efficiency for building longer boxes. For a gaussian beam, the spatial intensity distribution takes the form of: \[ I(r, z, \phi) = \frac{I_0}{1 + (z/z_0)^2} \exp\left\{-\frac{2r^2}{w^2}\right\} \] \[ I_0 = \frac{2P_0}{\pi w^2}, \] (3.6) where $w$ is the $1/e^2$ radius of the beam and $r$ is distance from the propagating axis. Fig. 3.9 shows simple calculations of the relative intensity at a fixed distance $r$ as function of the ratio of $w/r$. We can find an expanded gaussian beam increases the intensity far away from the peak. ![Graph showing the relative intensity as a function of the ratio of the radius to the gaussian width.](image) Figure 3.9: A simulation of the relative intensity, as a function of the ratio of the radius (distance to the center) to the gaussian width. A certain radius prefers one optimal width; for radius larger than the Gaussian width, expanding the beam will increase intensity. However, this method has two shortcomings. First, the beam profile is still a gaussian in each of the perpendicular directions, which means the peak intensity is still in the center. Second, one cylindrical telescope with a fixed magnification only works best for one box length. When we use boxes of different sizes in the experiments, some of them are not optimized. Fortunately, we found a newly developed optical element that can make the beam much better for our box. The “Top-Hat” (TH) beam shaper is a phase element, mainly based on diffractive technology (Diffractive Optical Element - DOE). This shaper is used to transform a near-gaussian (TEM00) incident laser beam into a uniform-intensity spot. Based on different diffractive structures for the element, the spot can be either round, rectangular, square, line or other custom shapes with sharp edges in a specific work plane. This is a perfect choice for our beam shaping with two advantages. First, by transforming a gaussian spot to a uniform one, it increases the power efficiency significantly. When we focus the uniform spot on the DMD, the intensity of light for the box walls is the peak intensity. This allows us to utilize maximum power handling of the DMD to build a strong box. The second advantage is that a uniform input beam profile makes optical potential crafting much easier. When we design the patterns for applying a perturbing potential on the DMD, for a gaussian incoming beam, we need to consider the gaussian envelope. The desired potential should be the desired pattern multiplied by the gaussian profile of the incoming beam. However, for a uniform spot, the desired potential is the same as the DMD pattern. There are two types of TH beam shapers in terms of the focal point. One focuses at infinity and one focus at a fixed focal point depending on a build-in lens. Also, each TH beam shaper is designed for one particular input beam size, wavelength and output spot shape and size. Fig. 3.10 demonstrates a typical setup for the application of the TH beam shaper. Note that we use a round spot in our experiments instead of the squared one shown in Fig. 3.10. This figure is only for demonstration. We use a Holo/Or TH-228-Q-Y-A “Top-Hat” beam shaper. It takes a Gaussian beam of 3 mm width and transforms it to a round uniform spot with 1.5 mm diameter near its focus. A simulation tool made by the company helps us to find this element, which best fits our application. The simulation result for the designed intensity profile is shown in Fig. 3.11. The TH beam shaper is designed for highly uniform images and superb accuracy output shape. For better performance, some considerations are needed for setting up the beam path. The element is (a) Sensitive to X-Y displacement; (b) Sensitive to input beam diameter; (c) Sensitive to working distance; (d) Requires $M^2 < 1.3$ (higher value will result in poorer results), where $M^2$ is the quality factor; (e) Some designs are rotation sensitive (mainly, non-radial designs). Figure 3.10: Typical setup for the “Top-Hat” beam shaper, including a collimated laser beam, a beam shaper element, a focusing lens and a focal plane for the application [THS]. EFL is effective focal length, $D$ is the input beam size, $d$ is the spot size. Figure only for demonstration, we actually use a round spot in the experiments. (a) 2D spot profile (b) Intensity along radial axis Figure 3.11: Simulation results for the designed intensity profile for a TH-228-Q-Y-A “Top-Hat” beam shaper, with 3 mm input beam size and a perfect alignment. Image of the actual spot in experiments is shown in Fig. 3.12. The solutions for our optical system to fulfill those requirements are (a) We put the element on a X-Y-Z micrometer translation stage. (b) We use custom high power fiber collimators for ideal output beam size, and we use an adjustable beam expander for fine controls. (c) An additional long Z translation stage provides larger range for axial positioning. (d) We use high quality Toptica diode laser and high power fiber. (e) The element is mounted in a premium mirror mount for fine tilt control. We use round spot shape for better flexibility for box orientations. With these added features to a basic TH beam shaper setup, we actually have the ability to customize the final spot for the DMD. In practice, we align the TH beam by placing a ThorLabs DCC1545M CMOS camera ($\sim 5.3 \mu m$ pixel resolution) at the focal plane of the microscope objective, which we use to de-magnify the DMD pattern (see Fig. 3.3). We first turn the DMD to an all on state, so it acts as a mirror. We adjust the expanding telescope until we see a nice round spot with clear edges on the camera. Notice that the intensity distribution may not be uniform at this point. We then pick up the X-Y-Z position and the rotation of the TH beam shaper to carefully distribute the intensity, making it uniform, see Fig. 3.12. Next, we use the DMD to generate the pattern for our box frame, and watch how it overlaps with the TH spot. The position of the box pattern can be changed digitally by editing the uploaded image, and the TH beam can also be moved across the DMD surface. By adjusting both ways, we can realize a very good near uniform TH spot, with a little more intensity on the outer edge on purpose. Examples of a good TH beam profile and a box frame made by the TH beam combined with the DMD are shown in Fig. 3.12. These images are $\sim 250 \mu m$ long, about the same size as those on the atom cloud. The axial diffraction pattern on the TH spot is an artifact of the camera. Actually, with our setup described above, we can intentionally change the input beam size, tilt or defocus the TH beam shaper to put more intensity on the box walls. We can also use this trick to make the most power efficient configuration for each box of different size. Since we have an adjustable expanding telescope, the most convenient way to modify the spot profile is to change the input beam size. With the other conditions being ideal, we use the simulation tool to predict effect of beam size change on the spot profile. The result shows when the input beam size changes, at the same focal plane, the profile in radial direction varies from a gaussian-like one for smaller beam to a hollow one for bigger beam (see Fig. 3.13). By using the top hat beam shaper with an adjustable beam expander, we make the best use of the DMD as a dynamical spatial light modulator to build a strong optical box. 3.3.4 Alignment of the Box We have all the optical elements to make the box now. The only remaining question is where to position the box in the main chamber. Recall that during the entire trapping procedure, the atoms are loaded to three different traps: the MOT, the FORT and the box. Since the box is the final trap where we perform the experiment, we need to carefully position it in the best place to make the other traps overlap with it. At high field, the magnetic field is generated by two coaxial coils running parallel current. The coils generate a large field (832 G), on top of the dipole trap. The finite size and distance of the coils result in a slowly varying field, which has a cylindrical symmetry. Here, a potential is generated by the magnetic field due to the field curvature. Let us consider a virtual move of the atom cloud in the bias magnetic field. Based on the geometry of the field, if we assume the trapped atom cloud is located in the center. When it moves along the x axis, the magnetic field it experiences will increase; and when it moves in the y-z plane away from the x-axis, the magnetic field drops. To understand the magnitude and direction of the magnetic force, we need to review the basic atomic structure for the $^6$Li. Note that we use a $\|1\rangle, \|2\rangle$ mixture of the lowest ground states. These states are highfield seeking, i.e., when placed in a magnetic gradient, Figure 3.13: Simulation results for a beam width departs from 3 mm. A larger beam is transformed to a hollow top and a smaller beam is transformed to a gaussian-like top. Above are 2-D spots at focal plane; Bottom are radial intensity profiles. they are drawn to regions of high field. As a result, the potential is attractive in the plane perpendicular to the axis of the magnet coils (horizontal y-z plane) and repulsive along the axis of the coils (vertical x-axis), see Fig. 3.8. The net magnetic potential can be written as harmonic oscillator potentials for a simple magnetostatic treatment: \[ U_{mag} = \frac{m}{2}(-\omega^2_{mx}x^2 + \omega^2_{my}y^2 + \omega^2_{mz}z^2). \] (3.7) The magnetic dipole moment $\mu$ of the atom will align itself with the local magnetic field direction, so we have $U_{mag} = -\mu \cdot B = -\mu B$. Maxwell’s equations require $\nabla^2 B = 0$, and comparing the two forms of U we have, \[ \nabla^2 B = \nabla^2(\frac{-U_{mag}}{\mu}) \hat{x} = 0 \] (3.8) \[ -\omega^2_{mx} + \omega^2_{my} + \omega^2_{mz} = 0. \] (3.9) From cylindrical symmetry, we have $\omega^2_{my} = \omega^2_{mz} = \frac{1}{2}\omega^2_{mx}$, hence the vertical magnetic force is twice as big as the horizontal force. Also, note that our magnetic field gradient is small, so the effect of gravity cannot be ignored since it’s comparable to the magnetic force. Together, the total potential due to gravity and magnetic force is referred as the “magnetic bowl”. We need to align our box in the center of the magnetic bowl, where the horizontal magnetic force is minimized and radially symmetric on the atom cloud. The vertical position can be set a little off the geometric center, so the magnetic force is pushing the cloud center up to cancel the gravity. In such a configuration, the net force on the cloud is minimum and the density along x (vertical) is roughly symmetric along the center. We hereby can call this location the “center” of the magnetic bowl. The way to center the box in such position is to do a so called “Slosh Mode” experiment, which is to release the atom from the optical trap to the magnetic bowl. It is obvious that we always want to overlap the box with the FORT for the best loading. So we can start the best-position search with atoms releasing from the FORT. For the horizontal plane, when we release the gas from a position that is not centered, the gas will migrate towards the magnetic potential center. The center of mass motion can be monitored by eye coarsely and by computer finely to direct us to the center of the magnetic bowl. The magnetic coils are fixed so we can move the CO$_2$ beam focal point by translating focusing lens to change the FORT position. Repeating so leads us to center the FORT in the magnetic bowl. For the vertical direction, we basically follow the same procedure, but it’s a bit harder since the atom cloud expands in a repulsive potential. However, since the vertical magnetic force is twice bigger than the horizontal forces, the vertical alignment of the box is more critical. A better way for adjusting the position finely is to load the gas to the box from a good FORT position and measure its density profile. The x profile obtained by the horizontal view camera should be symmetric about the vertical center, and a little curved to the top and bottom when the box is in the correct position. We can also use this method to find the horizontal center better. Note that for different final depths of the forced evaporation stage, which determines the temperature, the atoms are actually sitting at different places due to thermal effects on the focusing optics. So for each different final FORT depth, we need to repeat the search procedure and re-align the CO$_2$ beam. ### 3.4 Box Loading and Perturbation Before I describe how to load the atoms to the box, there is another consideration for the box potential. We have a good understanding and control for the atoms inside the box now, but the atoms outside the box could also affect our observations. For our imaging system, the CCD camera integrates through the whole optical path and cannot distinguish the atoms inside the box from the atoms outside. From the example of the slosh mode experiment, we know that without any other confinement, the magnetic force will push the atoms away from the vertical center and attract them to the center of the magnetic bowl in the horizontal plane. When we load the atoms from the FORT to the box, we cannot catch all the atoms in the long axial direction for high temperature cases, since the FORT is longer at higher depth. For such situations, we need a repulsive potential to keep the atoms away from the box walls. This can be done simply by creating proper DMD patterns for both directions. For the vertical DMD, we can turn all the mirrors on except those inside the box. Although the box frame width does not affect atom trapping since the trapping potential only depends on how sharp the edge is, a wider frame repels the atoms outside the walls to prevent them from entering the imaging path of the box. On the other hand, for the horizontal DMD, we can make the length of the top and bottom bars barely longer than the box, so the atoms outside of the box can escape easily. Actually, with the possible capability to edit an arbitrary optical potential. The DMD - TH beam shaper system can be utilized to create a balancing potential of the magnetic bowl. The density variation caused by the magnetic curvature can therefore be improved or eliminated, giving us a one level more uniform box for the next generation experiments. To realize this, I have two constructive ideas. The dynamic range of the DMD is limited by the area illuminated on the array, so it may not be enough for the current optical setup, since the magnetic potential is small compared to the box depth. So, one could design an appropriate duty circle\textsuperscript{2} for the mirrors to apply a grayscale projection, which effectively increases the dynamic range. The other idea is to adjust the beam expanding telescope for the top hat beam shaper to generate a somewhat hollow intensity profile. This would help since we need more repulsive force further away from the center of the magnetic bowl to cancel the stronger magnetic force. ### 3.4.1 Box Potential With the box set up and positioned properly, the last quest to prepare our sample is to load the atoms to the box $U_0(r)$ and generate a perturbing potential $\delta U(z)$ in the long axial direction. The box loading procedure comprises releasing the atoms from the FORT and capturing them by the box beams. Regarding general expansion dynamics, atom clouds confined in optical traps expand more rapidly as the optical trap oscillation frequencies are increased. Since the region we are interested in is at very low temperature, we always use very shallow FORTs (low frequencies), where the gas expands slowly. Also, our box walls are very close to the atom cloud in the FORT. So the atoms will flow gently into the box when the FORT is extinguished, and there is no need for controls slow release. Hereby, for the release, we simply turn off the RF signals applied on the CO$_2$ AOM. This makes all the CO$_2$ beam goes to a beam dump, thus extinguishing the FORT. We use an RF switch to turn off both the 40 MHz and 32 MHz signals to ensure that there is no CO$_2$ beam, diffracted by the AOM, leaks to the box and affect the cloud. For the box beams, we need to treat the 532 nm beam for the frame and the 669 nm beam for the top-bottom sheets differently. Notice that an atom cloud in the FORT is long in the z direction and short in the x-y directions, see Fig. 3.14. When aligning the box with the FORT, we can make the x and y-side of the box wider than the FORT, while the z-side is shorter or comparable to the FORT. This is due to our system limitation for the box length, and also to obtain high atom density. Since the box \textsuperscript{2}A duty circle is to create a serials of DMD patterns with desired holding times. For a observation time scale much longer than the holding time for each pattern, the observer sees an averaged image of those patterns. potential is partially overlapped with the FORT, it is better to ramp up the box beam slowly to avoid abrupt kicks on the atoms. We ramp up the power of both 532 nm and 669 nm beams from 0 to maximum in 0.5 second while the FORT is sitting at its final trap depth. Note that our 669 nm beam is only 2 nm away from atomic resonance. Although it doesn’t resonantly interact with the atoms when used for box trapping as mentioned previously, we need to be careful not to let any red beam go to the main chamber before the box loading stage. We use a mechanical shutter to block the red beam before we trigger the ramping. Since a mechanical shutter has a finite response time, we want to open it a little earlier (50 ms) than when the beam is needed. We put an “all off” pattern on the DMD for 100 ms before switching to the two bars pattern to ensure no light leak to the atom cloud. With these methods, we are able to load the atom cloud from the FORT into the box without a significant change of temperature or atom number. Before the gas re-thermalizes in the box, there is an optional step. Sometimes we want to study the gas in a smaller box for higher density. We can use our longest box to catch as many atoms as we can from the FORT, and then perform a near isothermal compression by squeezing the box slowly. Such a step can be accomplished by using the dynamic feature of the DMD. Instead of using a static pattern of a box frame, we generate a series of shrinking boxes that share the same center position for the vertical beam DMD. By choosing an appropriate display-switching interval, we can effectively squeeze the box. Here, again thanks to the application of the top-hat beam shaper, we don’t need to worry about a varying beam intensity that would affect this process. After loading the atoms into the box, we allow 50 ms for the gas to reach thermal equilibrium. The box potential $U_0(r)$ yields a rectangular density profile with typical dimensions $(x, y, z) = (52 \times 50 \times 150)\mu\text{m}$, see Fig. 3.15. The density varies slowly in the direction of the long ($z$) axis, due to the harmonic confining potential $\propto z^2$ arising from the curvature of the bias magnetic field, which has little effect on the shorter $x$ and $y$ axes. The typical total central density is $n_0 = 4.5 \times 10^{11} \text{ atoms/cm}^3$, with the Fermi energy $\epsilon_{F0} \equiv k_B T_F = k_B \times 0.22\mu\text{K}$ and Fermi speed $v_F \simeq 2.5 \text{ cm/s}$. The box depth $U_0 \simeq 1.1\mu\text{K}$. ![Horizontal view of the box](image1.png) (a) Horizontal view of the box. ![Vertical view of the box](image2.png) (b) Vertical view of the box. Figure 3.15: 2D absorption images from the horizontal and vertical directions. The box dimension is roughly 52 (x) by 50 (y) by 160 (z) $\mu\text{m}$. Upper(lower) image pixel size, which is the camera pixel size divides by magnification, is 1.06(1.34) $\mu\text{m}$. Fig. 3.15 shows typical 2D column density views for a long box (160 $\mu\text{m}$). Ideally, we would like to do all the experiments in the same box with the same density, and only change the reduced temperature $T/T_F$ and the perturbing potential $\delta U(z)$. However, in the real world, it is difficult to keep the density the same for different temperatures, since our atom cooling technique is dependent on the degree of evaporative cooling. A lower temperature is realized by more evaporations which also results in fewer atoms remaining in the FORT. Also, our current box potential $U_0 \sim 1\mu K$, limited by the DMD damage threshold, is not enough to hold atoms of both high density and high temperature. So changing the box size and the way to load the atom from the FORT is a more practical way to do the experiment. In fact, the box length we use is from 110 $\mu m$ to 160 $\mu m$. A bigger box yields lower density, which helps us investigate the gas at higher reduced temperate. Meanwhile, we need to keep the density high enough for staying in the linear hydrodynamic region (see Sec. 5.3), as well as for good imaging signal to noise ratio. Accordingly, a variety of density, from about $3 \times 10^{11}$ to $6 \times 10^{11}$ atoms/cm$^3$, is studied. ### 3.4.2 Perturbing Potential In our hydrodynamic relaxation experiments, the initial condition is set by applying a small perturbing potential $\delta U(z)$ onto the atom cloud and waiting for equilibrium. The sinusoidal periodic optical potential is created by the vertical beam DMD, and takes the form $$\delta U(z) = \epsilon [1 + \cos(qz + \phi)]. \tag{3.10}$$ Here, $\epsilon$ is a small amplitude coefficient, which determines how strong the maximum perturbation is. $q = w\pi/\lambda$ is the spatial frequency of the modulation and $\phi$ is a phase factor for positioning the perturbation relative to the box. These values are set as programmable input parameters to generate the DMD patterns. Note that this perturbing potential $\delta U(z)$ is built only inside the box. We only use the binary display feature of the DMD during the experiment. For a proper interpretation of the sinusoidal potential, we need a method to write the binary pattern that works effectively as a grayscale image. A reprographic technique called “halftone” finds great usage here. Halftoning is a method for creating the illusion of continuous-tone output with a binary device. It simulates continuous-tone imagery through the use of dots, varying either in size or in spacing, thus generating a gradient-like effect. For our application, we use a “Jarvis Halftone”, in which an input grayscale image is converted into a halftone image of same size using Jarvis’s Error Diffusion Method (see Appendix). Also, due to the finite aperture sizes of the projection system, the projected pattern on the atom cloud is blurred compared to the original one on the DMD. Usually blurring is an adverse effect for an imaging system. However, it actually helps us in smoothing the perturbing potential, see Fig. 3.16. The blurred halftone pattern is very similar to the desired As we mentioned in the previous subsection, we do not want to turn on a potential abruptly. In contrast, by ramping up the perturbation slowly, we are able to compress the gas almost isothermally, creating the initial density profile without changing temperature. To do so, however, the most straight-forward way of changing the beam power does not work, since the perturbing potential and the box share the same laser beam and DMD pattern. Alternatively, we can make use of the high dynamic range of the DMD to create a series of patterns for different modulation amplitudes. We divide the programming parameter $\epsilon$ to 10 segments (from $0.1\epsilon$ to $1\epsilon$) and use each of them to generate a corresponding pattern. Those patterns share the same box frame. Then we upload them to the DMD in ascending order of $\epsilon$ and set the holding times for them. In experiment, we display each pattern for 1000 $\mu$s before triggering the next to simulate a slowing ramping perturbation. The last potential is held for 36 ms to ensure sufficient thermalization. A typical pattern for the box and the ramped up perturbation is shown in Fig. 3.17. The DMD pattern shown here has greater modulation amplitude than those we actually use in experiments for better visibility to the reader. The measured modulation amplitudes $\delta n/n_0$ range from 7% to 22%. (a) DMD pattern design. (b) Atom cloud hold by the box and perturbing potential. Figure 3.17: Design of a sinusoidal perturbing potential (7 spatial periods of $23 \mu m$ wavelength), and the observed column density of the atom cloud from the horizontal view CCD camera. The wavelength in Fig. 3.17 is for demonstration only so it is irrelevant. In the experiments, we use several perturbation wavelengths, from $18 \mu m$ to $42 \mu m$ to check the $q$-dependence of our measured results, which will be discussed in detail in Chapter 5. We find that a perturbation wavelength $\lambda \simeq 23\,\mu m$ yields good dynamic range for decay measurements over time scales that avoid perturbing $\delta n(z, t)$ in the measured central region by reflections from the walls of box potential, which then can be neglected (see Sec. 4.2). So most of our experiments are using a perturbation wavelength of $23\,\mu m$. The perturbing potential is then turned off abruptly (within $10\,\mu s$) while the box potential stays on. The gas begins a free oscillatory decay subsequently, and absorption images are taken at desired time intervals (usually every $100\,\mu s$) to study the evolution. In this chapter, I will show the measured results of the hydrodynamic relaxation experiments and how we extract the transport coefficients. The experimental methods have been covered in the previous chapter. Here, I will start with data taking procedures and some necessary data processing methods. 4.1 Data Taking and Processing After the small perturbing potential is turned off, we measure the free evolution of the atom cloud as a time varying density profile $n(r, t)$. We need to measure the background $n_0(r, t)$ as well, since what we study is the density perturbation $\delta n(r, t) = n(r, t) - n_0(r, t)$. A typical observation duration for the relaxation is from about 2 ms to 4 ms. So an appropriate time step to take each image is 100 $\mu$s or 150 $\mu$s. For the background, we need to be a little careful. A perfect background $n_0(r, t)$ should be taken at the same time as $n(r, t)$ with all the conditions identical to it, except that there is no perturbation. However, this is impossible to do in real life. The best approximation is taking an image of the same amount of atoms at the same temperature in the same box at the same time without perturbation. For convenience, let me call the experiment of measuring perturbed $n(r, t)$ as the relaxation run, and that of unperturbed $n_0(r, t)$ as the background run. We first try to measure the background in a separate background run aside from the relaxation run, by only turning the box potential on and taking images at several different times. These times are chosen to be within the range when we take images for the relaxation run. The advantage of doing so is to minimize the time difference between those two runs, so that the measured background $n_0(r)$ is close to what we want. However, later on we noticed that there is a significant shortcoming of this method. Even though we have shown that the stored energy in the initial perturbation is very small (see Sec. 5.2.2), we find the gas has slightly different density profiles before and long after (to ensure rethermalization) application of the perturbation. Since our optical box potential is static, as is the magnetic bowl, $n_0(r, t)$ can be treated as a time-independent quantity $n_0(r)$. Therefore we can take the background at any time as long as the gas is in thermal equilibrium. Hereby, it is better to measure the background within the relaxation run, after the oscillation dies out and thermal equilibrium is re-established. In the experiments, we usually take 20 to 30 background shots, randomly from 7 ms to 17 ms after releasing the gas, and do an average. Although those images are taken over a large time span, the density profiles show no obvious difference from each other. Note that we have two cameras to look at the atom cloud: one views the horizontal direction and the other views the vertical direction. The imaging beams differ in frequency by about 76 MHz, so each of them can image one spin species of the mixture in-situ\footnote{Note that we use a 50-50 mixture of spin-up ($\|1\rangle$) and spin-down ($\|2\rangle$) atoms. Their energy difference at high field of 832 G is calculated to be about 76 MHz, so each of the imaging beams is resonantly absorbed by one spin state without interrupting the other spin state, yielding in-situ imagery of both spins}. The images we take are processed by a converting code, which relates the extracted column density to the photon counts in each pixel and some camera characteristics to give us 2D density profiles of the atoms as function of position. Then we use a “spline” method 1-D interpolation to smoothly covert the density profiles to be in units of microns (atoms/$\mu$m). Images taken by the vertical view camera are only used to calculate the central density in the box (see Sec. 4.3.2). The images from the horizontal view, on the other hand, are used for data analysis, as the spatial resolution is better and the images are of higher quality than those of the vertical view camera. Fig. 4.1 shows the 2D column density evolution for our coldest sample. An oscillatory decay can be seen. Since we are only interested in the z direction where the density varies, we first integrate Figure 4.1: Evolution of the atom cloud in the first $1400 \, \mu s$ is shown as 2D column density images (using a MATLAB ‘jet’ colormap with a shifted zero-color for better look). An averaged background is subtracted from each image to show better contrast of the perturbations. Also, each image is averaged by a vertical-flipped “mirror” image to show better vertical symmetry. Clearly we see an oscillatory decay. through the x direction to get 1D density profiles $n(z, t), n_0(z, t)$. Actually, we find the center of the box in the x direction by a fitting and choose a region of ± 20 pixels (43.5 $\mu m$) to integrate through, since we want to avoid the edges. Note that in real world experiments, the atom number for each run always fluctuates. To obtain $\delta n(z, t)$ correctly, we need to normalize the 1D profiles of $n(z, t)$ and $n_0(z, t)$ to the total atom number before subtraction. Also, the atom number fluctuations of the system result in statistical errors characterized by $\sigma_{n(z,t)}$, which are used later in the data analysis. Since we take a large number of backgrounds, $\sigma_{n_0(z,t)}$ can be neglected for convenience. In this dissertation, we always assume $\sigma_{\delta n(z,t)} = \sigma_{n(z,t)}$. ### 4.2 Data Analysis Methods We have developed four methods for data analysis based on different assumptions. These methods reveal different physical insights and have their own pros and cons in practice. I will first introduce all of them and then focus on those we prefer, which enable better interpretation of the physics and are easier to use. Some results of our study are shown here to illustrate these methods. #### 4.2.1 Numerical Integration of the Complete Equations We have already shown all the derivations leading to our hydrodynamic linear response model in chapter 2. Here, we start our data analysis from the complete time dependent hydrodynamic linear response equations for $\delta n, \delta T$: $$ \begin{align} \delta \dot{n} &= c_T^2 \partial_z^2 (\delta n + \delta \bar{T}) + \frac{1}{m} \partial_z [n_0(z) \partial_z \delta U + \delta n \partial_z U_0] + \frac{4\eta}{3n_0m} \partial_z^2 \delta \dot{n} \\ \delta \dot{\bar{T}} &= \epsilon_{LP} \delta \dot{n} + \frac{\kappa_T}{n_0c_{V_1}} \partial_z^2 \delta \bar{T}. \end{align} $$ (4.1) Here, $c_T$ is the isothermal sound speed, $\eta$ is the shear viscosity, $\kappa_T$ is the thermal conductivity, $\epsilon_{LP} \equiv c_{P_1}/c_{V_1} - 1$ the Landau-Placzek parameter, where $c_{P_1}$ is heat capacity per particle at constant pressure and $c_{V_1}$ is heat capacity per particle at constant volume. $n = n_0$ is the initial spatially-uniform density, obtained from the central region of the atomic cloud (see Sec. 4.3.2). Note that we have employed a one-dimensional approximation, i.e., the only spatially varying direction is z. We have also omitted the bulk viscosity term since $\xi_B = 0$ in unitary Fermi gases [Son 2007; Elliott et al. 2014]. These equations are space-time coupled, so there is no easy way to solve the differential equations analytically. We developed a numerical integration method to simulate the density response according to these two coupled equations (see Appendix). In the numerical integration, we vary $c_T$, $\eta$ and $\kappa_T$ as global fit parameters to find the best fit to the experimental data. $c_{V_1}$ and $c_{LP} \equiv c_R/c_{V_1} - 1$ are obtained by the equation of state, since $c_T$ is a known function of $T/T_F$ from Eq. 2.20, and $T/T_F$ yields $c_{V_1}$, $c_R$, from Eqs. 2.21 and 2.22 (see Sec. 2.1.2). $\delta U$ is 0 in our case, and $U_0$ will be discussed shortly. The initial condition $\delta n(z, 0)$ is given by the measured initial density profile; the initial $\delta \dot{n}(z, 0) = 0$, due to static equilibrium, and the isothermal condition requires $\delta T(z, 0) = 0$. Usually we do 5 to 8 trials for each data. However, the data at t=0 is particularly important since it sets the initial condition for solving those differential equations, so we take a total of 25 to 40 shots here to make the best measurement. We obtain the static box potential $U_0(z)$ from the background density profile. To reduce noise and statistical errors, we do not simply use one measured background density profile. Instead, we fit our averaged 1-D background density with an analytic function (see Fig. 4.2). ![Column Density $n_0(x, z)$ and 1D background density $\bar{n}_0(z)$](image) Figure 4.2: Column Density $n_0(x, z)$ and 1D background density $\bar{n}_0(z)$ (blue dots). Red curve: Fit of Eq. 4.3. When working on a 1-D density profile, it is convenient to refer the density to a fixed value, which we choose to be the peak density $n_0$. Note that actually we define our 1-D $n_0$ as the average density of the central 35 micron region. The analytic function for fitting $\bar{n}_0(z) = n_0(z)/n_0$ is a tanh function multiplied by a polynomial, $$h(z) = \frac{\tanh[(z - z_{10})/w_1] - \tanh[(z - z_{20})/w_2]}{2} \sum_n a_n z^n.$$ \hspace{1cm} (4.3) The difference of the tanh functions produces a top-hat shape of nominal width $z_{20} - z_{10}$ and slopes on each side determined by $w_1$ and $w_2$. The flat top is modulated by the multiplying polynomial. Fig. 4.2 shows a typical fit using a fifth order polynomial. The density offset arises from atoms trapped outside the box, in between the repulsive sheets and the magnetic confining potential arising from the bias magnetic field. With a smooth density profile obtained from the fit, we can now use the equation we derived in Sec. 2.1.2 from the chemical potential $\mu = \epsilon_F(n)f_\mu(\theta)$, $$\tilde{U}_0(z) = U_0(z)/\epsilon_F(n_0) = f_\mu(\theta_0) - [\bar{n}_0(z)]^{2/3}f_\mu(\theta_0/[\bar{n}_0(z)]^{2/3}),$$ \hspace{1cm} (4.4) to obtain $U_0(z)$ in unit of $\epsilon_F(n_0)$, as shown in Fig. 4.3. ![Figure 4.3: Box potential in units of local Fermi energy $\epsilon_F(n_0)$ for the central density $n_0$. The potential is determined from the measured background density $n_0(z)$ using Eq. 4.4. Note that the curvature at the bottom of the box potential energy arises from curvature in the bias magnetic field, which produces a small confining harmonic potential. A typical $\epsilon_F(n_0) \simeq 0.2 \mu K$, and the box depth $U_0 \simeq 1.0 \mu K$.](image-url) For finding the box potential from Eq. 4.4, the density offset in Fig. 4.2 is subtracted so that the density smoothly vanishes at the walls of the box and the peak density is scaled to 1. The central 3D density $n_0$ is determined as described below in Sec. 4.3.2. The reduced temperature $\theta_0 = T_0 / T_F(n_0)$ is determined from the isothermal sound speed $c_T$, which is one of the fit parameters for the $\delta n(z, t)$ data. The box potential then determines the corresponding force $-\epsilon_F(n_0) \partial_z U_0(z)$ for use in Eq. 4.1. In our experiments, where $\epsilon_F(n_0) \simeq 0.2 \mu K$, the box depth $U_0 \simeq 1.0 \mu K$. In our data analysis, we usually avoid the effects of the walls by choosing a central region of the atom cloud for $\delta n(z, t)$ measurement. It is worth mentioning that, for this method, including the wall potential gives us almost identical results to those without walls. However, due to finite imaging resolution and background noise, the calculation of the box depth is not precise, so it is better to avoid the walls. Now we have everything we need for the simulation. Here, the beauty of a free evolution experiment can already be seen from this data analyzing method. The initial condition is directly measured without any approximation or involvement of free fit parameters. Comparing this method with our previous approaches of investigating hydrodynamic linear response [Baird et al. 2019], the number of fit parameters reduces by two (avoids fitting for $\delta U$ and $U_0$). Therefore, the sensitivity to the transport coefficients increases. Starting from the spatial density profile, see Fig. 4.4, we can find the numerical integration simulates the evolution of the density profile well and we are able to catch the overall shapes of the perturbation. However, we also notice that it is easily effected by noise, some artificial pattern such as imaging diffraction and the effect of walls, especially at where the oscillation amplitude is small. A common trick to improve the performance of fittings is to apply a noise filter (low-pass filter or band-pass filter) to the data. We take a $T/T_F = 0.28$ case as an example to show what a filter does for the fittings, see Fig. 4.4. The region of interest (ROI) for the numerical integration is chosen to be sufficiently long to cover the entire box and even outside of the box. Although the region out side of the box does not matter, it is interesting to see how the simulation evolves. The filter we use is a band-pass filter, which selects a range of Fourier components near the peak in frequency space. When the filter is applied, it is on both the data and the initial condition $\delta n(z, 0)$ for a smooth simulation. Note that we obtain the static potential term $\partial_z U_0(z)$ from a poly-tanh fitting, so it’s already a smooth function that does not need a filter. As we can see in Fig. 4.4, the band-pass filter smooths the data and the simulation, yielding a much better agreement between them. Applying a filter also restrict the changes in the density profile, so we don’t run into troubles of a diverging integral or some artificial Figure 4.4: Spatial profile of measured data and numerical simulation of $\delta n(z, t)$ for the $T/T_F = 0.28$ case at $t = 0.9$ ms, with (b) or without (a) a band-pass filter based on dominant spatial frequencies. In (b), the filter is applied on both the data and the initial condition for the simulation. Clearly a noise filter helps us to better extract useful information from the data. Let us think a little further. What a noise filter does for a spatial function is selecting some Fourier component in the frequency domain and transferring it back to space. However, since we watch the evolution of a sinusoidal density perturbation, it has a well-defined wavelength. We find that it is better to look at only the dominant Fourier component $q$, which contains most useful information, see Fig. 4.5. Also, since the evolution of the density profile can be regarded as a damped oscillator, whose characteristic frequencies and decay rates are q-dependent functions, using this method gives us clearer physical interpretations and comparisons. ![Figure 4.5: Spatial profile and absolute values of the Fourier transformed spectrum at $t = 0.2$ ms for a $T/T_F = 0.28$ data. Here, q is in unit of cm$^{-1}$ for convenience, since most of our calculations are in the cgs units.](image) We perform a fast Fourier transform of the measured density perturbation $\delta n(z, t)$ to obtain the Fourier component $\delta n(q, t)$. The wave vector $q$ is obtained by doing an averaged “findpeak” search from the data taken at first few times, when the periodic structures are clearest. The $q$ is then fixed for all the other data and for the simulations. The predicted time-dependent $\delta n_{pred}(z, t)$, obtained by the numerical integration of Eqs. 4.1 and 4.2 can also be Fourier transformed, yielding $\delta n_{pred}(q, t)$, which is used in a $\chi^2$ calculation to compare with the measured $\delta n(q, t)$ at each time, $$\chi^2(q) = \sum_{t_i} \frac{(\delta n(q, t_i) - \delta n_{pred}(q, t_i))^2}{\sigma^2_{\delta n(q, t_i)}}.$$ (4.5) Here, each prediction of $n_{pred}(q, t_i)^2$ is obtained from the simulation trial of given $c_T, \eta, \kappa_T$ as described previously. $\chi^2(q)$ has been summed over all the measurement times $t_i$. There are different ways to obtain information from the Fourier transform. The most straightforward way is to look at the magnitude of the dominant Fourier component, which is done by taking an absolute value. However, the magnitude of a well-defined periodic function should come solely from the real part of its transform. The imaginary part contains the phase information, which ideally should be a constant. So, if we carefully choose a integer number of spatial periods to transform and set the phase to minimize the imaginary part, we can study only the real part of the Fourier transform. This yields less statistical uncertainty by getting rid of the noise in the phase. Hence, the $\sigma_{\delta n_{real}(q, t)}$ obtained this way is smaller for calculating the $\chi^2$. We start from some reasonable guess of the fit parameters and do some coarse searches to narrow the range down. Then a multi-loop integration of fine-spaced fit parameters yields a best global fit by minimizing the $\chi^2$. The best fit is used to extract the transport coefficients, as well as the reduced temperature (given directly from $c_T$, $n_0$ and the equation of state, see Sec. 2.1.2). To speed up the fitting process, we use the data taken at a few early times of the evolution to get a good estimate of $c_T$. The reason why we can do in this way is that $c_T$ sets the overall oscillation frequency of $\delta n(q, t)$ which can be easily determined (the evolution can be modeled as a damped oscillator, as shown in Sec. 4.2.3). $c_T$ is relatively uncorrelated with other fit parameters. Then we set $c_T$ as a constant to find the corresponding minimal $\chi^2(\eta, \kappa_T)$ by running parallel “for-loop” computations of an array of finely spaced $\{\eta, \kappa_T\}$ values. Varying the value of $c_T$ with our approximated range will lead to the global $\chi^2$ minimum. A typical surface plot of $\chi^2(\eta, \kappa_T)$ is showed in Fig. 4.6. From the $\chi^2$ surface plot, we can see this method shows good sensitivity to both $\eta$ Figure 4.6: A surface plot of $\chi^2$ as function of $\eta$ and $\kappa_T$. Each $\delta n_p(q, t)$ for the $\chi^2$ calculation is obtained by performing the numerical integration for a given set of $\{\eta, \kappa_T\}$, with $c_T$ fixed. $\chi^2$ shown here is per number of measurement times, which is summed over all the times we take measurements and divided by total number of measured times. and $\kappa_T$. Although they are somewhat correlated, the very small number of fit parameters needed (only three) in the fitting makes it possible to extract these two important transport coefficients independently\footnote{Actually the physics is there are two modes evolving quite differently, which will be illustrated by the analytic fit model in chapter 2 and in later this chapter.}. It is interesting to see how the simulations deviate from the data after a longer time when we choose a region of interest close to the walls. For a low temperature $T/T_F \simeq 0.28$ data, we compare the data range of a central region of 70 micron (3 spatial periods) with one of a whole range of 112 micron (5 spatial periods), Fig. 4.7. Using this complete solution, we can see that the best fit for the first 2.5 ms holds for both cases, and deviates a little for the 112 micron case due to the effect of walls. Also, here we can see that the simulations, with, and without, including the walls are almost identical. We see that even if the walls have influence on the atoms nearby, a Fourier transform helps us to filter out the high frequency sharp response at the walls, which makes the overall dominant q component almost unaffected. The numerical integration method makes use of the complete hydrodynamic linear response equations of $\delta n(z,t)$ and $\delta T(z,t)$. It includes the spatially dependent box potential $U_0(z)$, so it works well even without the uniform density assumption for the z direction. It should also work for the case that the region of interest is close to or including the walls. Although we don’t use this the numerical method for our final measurements on the transport coefficients, it helps to determine the time scale over which the box potential has a negligible effect on the spatial region of interest, enabling the determination of an analytic fit function for $\delta n(q,t)$, which we will discuss later. While this method already works well for our study, we are motivated to develop some other methods for three reasons. First, this method is very slow. This numerical integration is done by step by step calculations, or in other words, by “brute force”. The number of iterations can be huge for a fine-step simulation towards a long end time, with finely spaced fit parameters. In fact, during practice, we are interested to investigate what different fitting regions both in space and time could affect our results, so we may need to run the simulation many times for a single piece of data. Therefore, we prefer much faster methods. Second, this method relies significantly on an accurate measurement of the density profile at $t = 0$, which sets the initial condition for the integration. In principle, we could add a free fit parameter to compensate for a small uncertainty in $\delta n(q,0)$. However, this could reduce the performance of the fitting and will definitely make it even slower. So, to make the method work better, we need to take more data at $t = 0$ to get the best average of the density profile. Third, although this method is able to extract the shear viscosity coefficient $\eta$ and the thermal conductivity $\kappa_T$ independently, it does not provide clear physical insights why we can distinguish these parameters. We would like to unravel the contributions for each of them to the evolution of the gas. Figure 4.7: Evolution of $\delta n(q)$ as function of time, where $T/T_k = 0.28$ and $q = 2\pi/\lambda$, with $\lambda = 23.5 \mu m$, for the 3 central spatial periods, compared with all 5 spatial periods. Here, $\eta$ is in units of $\hbar n_0$ and $\kappa_T$ is in units of $\hbar n_0 k_B/m$. The best fit simulation works for both cases in the first 2.5 ms, and deviates from the 5 periods data after 2.5 ms due to effect of walls. Error bars are statistical (see Sec. 4.3.1). 4.2.2 Solving Ordinary Differential Equations The quest for a faster and better method lead us to think about how to simplify the hydrodynamic linear response equations Eqs. 4.1 and 4.2, which we repeat here \[ \delta \dot{n} = c_T^2 \partial_z^2 (\delta n + \delta \bar{T}) + \frac{1}{m} \partial_z \cdot [n_0(z) \partial_z \delta U + \delta n \partial_z U_0] + \frac{4\eta}{3n_0 m} \partial_z^2 \delta \dot{n} \] (4.6) \[ \delta \dot{\bar{T}} = \epsilon_{LP} \delta \dot{n} + \frac{\kappa_T}{n_0 c_V} \partial_z^2 \delta \bar{T}, \] (4.7) where $\delta U = 0$ for $t > 0$ in our experiment. These equations are slow to solve since they are coupled partial differential equations (PDEs) with respect to $t$ and $z$. However we can perform a Fourier transform on these equations to extract information of the dominant frequency component $\delta n(q, t)$. In practice, we can choose to limit the spatial region for the Fourier transform to the region near the center of the box, where the background density varies very slowly within about 10%. Further, the phase of the transform is selected so that the Fourier amplitudes are real, by choosing an integral number of periods for the length of the transformed region. When the evolution is measured over short enough time scales, the box potential makes a negligible contribution to the time-dependent density profile in the region of interest, so that we can safely ignore it. Therefore, within such range, we can let $\nabla U_0 = 0$. Actually, a Fourier transform will convert these linear PDEs with constant coefficients to ordinary differential equations (ODEs). For Eqs. 4.6 and 4.7, the $z$-partial derivatives become $-q^2$ after a Fourier transform, thus greatly simplifies the equations. As shown in Sec. 2.2.2, applying a spatial Fourier transform on Eqs. 4.6 and 4.7 yields coupled time-dependent equations for the Fourier amplitudes $\delta n(q, t)$ and $\delta \bar{T}(q, t)$, \[ \delta \dot{n}(q, t) = -\omega_T^2 [\delta n(q, t) + \delta \bar{T}(q, t)] - \gamma_\eta(q) \delta \dot{n}(q, t) \] (4.8) \[ \delta \dot{\bar{T}}(q, t) = \epsilon_{LP} \delta \dot{n}(q, t) - \gamma_\kappa(q) \delta \bar{T}(q, t). \] (4.9) with $\epsilon_{LP} = c_P / c_V - 1$, and \begin{align} \omega_T(q) &= c_T q \\ \gamma(q) &= \frac{\hbar}{m} q^2 \\ \gamma_\eta(q) &= \frac{4}{3} \alpha_\eta \gamma(q) \\ \gamma_\kappa(q) &= \alpha_\kappa \frac{k_B}{c_V} r(q), \end{align} (4.10) where by definition \begin{align} \eta &\equiv \alpha_\eta \hbar n_0 \\ \kappa_T &\equiv \alpha_\kappa \hbar n_0 \frac{k_B}{m}. \end{align} (4.11) (4.12) Here, we see that Eqs. 4.8 and 4.9 are now ordinary differential equations with respect to time. It is very easy to solve them numerically with given initial conditions, i.e., $\delta n(q, 0) \neq 0$ (measured), $\delta \tilde{n}(q, 0) = 0$ and $\delta \tilde{T}(q, 0) = 0$. We use a MATLAB ODE 45 solver to solve these second-order equations numerically. Notice that the MATLAB ODE solvers only solve first-order equations. We need to rewrite higher-order ODEs as an equivalent system of first-order equations using the generic substitutions. We vary $\omega_T$, $\gamma_\eta$ and $\gamma_\kappa$ as fit parameters to run a similar $\chi^2$ search for finding the global minimum. Then the shear viscosity coefficient $\alpha_\eta$, thermal conductivity coefficient $\alpha_\kappa$ can be obtained from Eq. 4.10, and with the isothermal sound speed $c_T = \omega_T / q$, again, the reduced temperature $T / T_F$ can be obtained (see Sec. 2.1.2). So far, our second data analysis method, solving time-dependant ODE method, has been established. Let us see what we have gained. The first benefit is that it's much easier to write the code this way. With a well-developed MATLAB solver can be used directly, the code for solving the equations can be written in just 10 lines. Applying the solutions to our search loop for the numerical integration method easily works. Second, the speed is much faster than the previous method mainly because we eliminate the space dependence. Also, the ODE 45 solver uses an algorithm faster than the "brute force" method for the PDE's. For comparison, we run a same size of search points with the two methods. It takes 525 seconds for the numerical integration method, while only taking 2.5 seconds for the solving ODE method\textsuperscript{3}. Solving the ODE for $\delta n(q, t)$ is built on the assumption that $\nabla U_0 = 0$, so it is worth comparing the results of the two methods. We look at some typical cases we measured. For the $T/T_F = 0.28$ case, the extracted $\alpha_\eta$ differ by 9.5% (solving ODE is bigger) and $\alpha_\kappa$ differ by 0.9% (solving ODE is bigger). For the $T/T_F = 0.52$ case, the extracted $\alpha_\eta$ differ by 3.7% (solving ODE is bigger) and $\alpha_\kappa$ differ by 3.0% (solving ODE is bigger). For the $T/T_F = 0.63$ case, the extracted $\alpha_\eta$ differ by 3.0% (solving ODE is bigger) and $\alpha_\kappa$ differ by 2.0% (solving ODE is smaller). We can see that there is no big difference. Considering the accumulated deviation from the different algorithms for the two methods, the actual difference should be even smaller. By taking the derivative term of potential $\nabla U_0$ out of the equation, we make the hydrodynamic linear response equations even neater. The direct implementation is that solving by the ODE method speeds up the fitting process significantly. However, there is no change in the physical interpretation. Also, a well-measured initial density profile is still needed. ### 4.2.3 Analytic Fit Function Let us take another look at our time dependent ordinary differential equations 4.8 and 4.9. Instead of solving them numerically, we can try to find an analytic solution, as shown in Sec. 2.2.2). The density and reduced temperature perturbation can be written as $$\delta n(q, t) = A_0 e^{-\Gamma t} + e^{-a t} [A_1 \cos(b t) + A_2 \sin(b t)], \quad (4.13)$$ and $$\delta T(q, t) = B_0 \left[ e^{-\Gamma t} - e^{-a t} \cos(b t) + \frac{\Gamma - a}{b} e^{-a t} \sin(b t) \right], \quad (4.14)$$ where the coefficients are connected by $$\Gamma + 2a = \gamma_\eta + \gamma_\kappa$$ $$a^2 + b^2 + 2a\Gamma = c_S^2 q^2 + \gamma_\eta \gamma_\kappa$$ $$\Gamma(a^2 + b^2) = c_T^2 q^2 \gamma_\kappa. \quad (4.15)$$ with $\gamma_\eta$, $\gamma_\kappa$ given by Eq.4.10. \textsuperscript{3}The elapsed time is for a single given $c_T$ with a typical data length of 26 different times. The actual time we spend to search for the global minimal is much longer. Restriction are set by the initial conditions of Eqs. 4.13 and 4.14, as follows. For the density perturbation, the initial condition $\delta n(q,0) = A$ requires $A_1 = A - A_0$, and from $\delta \dot{n}(q,0) = 0$, we can obtain $A_2 = [(\Gamma - a)A_0 + aA]/b$. With $\delta \tilde{T}(q,0) = 0$, the third initial condition yields the amplitude $A_0$ should follow $$[(\Gamma - a)^2 + b^2]A_0 = (a^2 + b^2 - c_T^2 q^2)A.$$ (4.16) Similarly, the temperature perturbation satisfies $\delta \tilde{T}(q,0) = 0$ and $\delta \tilde{\dot{T}}(q,0) = 0$. From Eq. 4.9, we have the additional constraint $$(\Gamma - a)^2 + b^2]B_0 = -\epsilon_{LP}c_T^2q^2A.$$ (4.17) Here, we have developed an analytic solution for the evolution of $\delta n(q,t)$, connecting all the coefficients and the physical properties. We see that the solution consists of two independent modes, i.e., thermal diffusion and first sound. Actually, the analytic solution method unravels the physics of why we can measure the shear viscosity and the thermal conductivity independently. The thermal diffusion mode, described by an exponential decay rate $\Gamma$, determines the thermal conductivity, which is proportional to the temperature relaxation rate. On the other hand, the first sound mode is described by an oscillating exponential decay. The oscillation frequency gives the first sound speed, which determines the reduced temperature from the equation of state. The decay rate $2a$ gives the usual first sound diffusivity $D_l = 2a/q^2 \simeq D_\eta + D_\kappa$, which contains contributions only from the shear viscosity and the thermal conductivity (see Eq. 2.66). So the shear viscosity can be extracted from subtracting $D_\kappa$ from $D_l$. Hereby, the decay rates of these two distinct modes determine both the thermal conductivity and the shear viscosity. The contributions of the two modes to $\delta n(q,t)$ are illustrated by an example of our fit for the $T/T_f = 0.46$ data in Fig. 4.8. The contributions to $\delta \tilde{T}(q,t)$ is also shown in Fig. 2.3 in chapter 2. With enough interpretation of the analytic solutions, let us now move forward to discuss how to use this method practically. The straight-forward way is to do a 4-parameter fit to the $\delta n(q,t)$ equation: Eq. 4.13. Three of the parameters are $\Gamma, a, b$, relate to the three frequencies $c_Tq, \gamma_\eta, \gamma_\kappa$ we want to find from Eq. 4.15. The other parameter is the amplitude $A$, which also gives $A_0$ by Eq. 4.16. To get the best fit, we construct a $\chi^2(q,t)$, similar to the previous two methods, and use a Figure 4.8: Components of the analytic fit function $\delta n(q, t)$ Eq. 4.13 for a typical data in the middle temperature range of our measurements, where $T/T_F = 0.46$ and $q = 2\pi/\lambda$, with $\lambda = 22.7 \mu m$. Red curve: Total fit function; Orange curve: Zero frequency, exponentially decaying (thermal diffusion) mode; Blue curve: oscillating, exponentially decaying first sound mode. “fminsearch” MATLAB function to return us the corresponding fit parameter for the global minimum\textsuperscript{4}. One can use other algorithms for the same purpose. Then solving Eq. 4.15 numerically and using Eq. 4.10 gives us the shear viscosity $\eta$ and the thermal conductivity $\kappa_T$ and the isothermal sound speed $c_T$, which we use to get the reduced temperature $T/T_F$ since $T/T_F$ is a known function of $c_T$ (Sec.2.1.2). For the sound diffusivity $D_1$, although we could calculate it from Eq. 2.66 with known $\eta, \kappa_T$, the more straight-forward way is to get $D_1$ directly form the fit parameters $a$. Note that by definition, the measured sound diffusivity $D_1 = 2a/q^2$ [Landau and Lifshitz 1959] (a detailed discuss about the measured sound diffusivity is shown in Sec. 2.2.3). There are also alternative ways to use the analytic function. Actually, even though we know the restriction on $A_0$, which is given by Eq. 4.16, we can construct a 5-parameter fit, \textsuperscript{4} “fminsearch” is programmed to find real local minimum of unconstrained multi-variable function using derivative-free method. In our case, the local minimal is the global minimal, so no additional search is needed. with both $A$ and $A_0$ as fit parameters. This method fits our data reasonably well, especially for good data, yielding an $A_0/A$ almost same as Eq. 4.16. It shows the analytic fit method has potential for future applications on more complicated systems, in which more fit parameters are needed\textsuperscript{5}. Also, although our fit function works well when $A$ is set to be a fit parameter, notice that the initial condition requires $\delta n(q, 0) = A$, where $\delta n(q, 0)$ can be measured. So we can force $A$ to be our measured $\delta n(q, 0)$, then the fit becomes a 3-parameter fit. One should find that doing so immediately makes the analytic fit function method equivalent to the solving $\delta n(q, t)$ ODE method\textsuperscript{6}. Here, we can see one beauty of the analytic fit function method is that it does not require a very well-measured initial density profile. A perfectly measured profile, on the other hand, could slightly increase the sensitivity to other fit parameters. The speed of this method is the fastest among all our methods. It takes less than 1 second for both the 4-parameter fit and the 5-parameter fit, for our largest data set including 32 different times. In practice, it’s about 5000 times faster than the numerical integration method (the slowest), and it is easy to program. The analytic fit function reveals physically why we can distinguish the shear viscosity and the thermal conductivity in the evolution of the atomic density profile, i.e., the two independent modes of thermal diffusion and first sound, which evolve differently. However, we can still improve it for practical purpose. ### 4.2.4 Exact Analytic Fit Function Followed by the previous subsection, while the fit parameter $A$ is just an amplitude, the useful fit parameters directly from the analytic fit function are $a, b$ and $\Gamma$. Then we need to use Eq. 4.15 to solve for $\gamma_\kappa, \gamma_\eta$ and $c_T$. Actually we can use the latter three directly as fit parameters to avoid accumulated solver inaccuracies in the numerical solving process for Eq. 4.15. We write down an analytic fit function in terms of the two decay rates $\gamma_\kappa, \gamma_\eta$ and the oscillation frequency $\omega_T$. We rewrite Eq. 4.15 in frequencies $\omega_s \equiv q c_S, \omega_T \equiv q c_T$ for \textsuperscript{5}It is important to mention that we should not use the 5-parameter fit in practice, since there are too many free parameters for getting a reliable result. However, seeing a good agreement between the 5-parameter fit and the 4 or 3 parameters fit for some well measured data shows a promising potential for applying the method to more complicated systems, e.g., where the equation of state is unknown. \textsuperscript{6}Actually the two methods still differ in terms of chosen fit parameters. Changing the fit parameters from $(a, b, \Gamma)$ to $(c_T, \gamma_\eta, \gamma_\kappa)$ lead to the so-called “exact analytic fit function”, which we will discuss shortly. convenience \[ \Gamma + 2a = \gamma_\kappa + \gamma_\eta \\ a^2 + b^2 + 2a\Gamma = \omega_S^2 + \gamma_\eta \gamma_\kappa \\ \Gamma(a^2 + b^2) = \omega_T^2 \gamma_\kappa, \] (4.18) where $ \omega_S^2 = (1 + \epsilon_{LP}) \omega_T^2 = c_R / c_V, \omega_T^2 = c_R / c_V - 1, \gamma_\eta = (4\hbar q^2 / 3m) a_\eta, \gamma_\kappa = (k_B \hbar q^2 / c_V m) a_\kappa $ (see chapter 2 for complete derivations). The decay rate $ \Gamma $ is obtain by finding the real solution to the cubic polynomial \[ s^3 - s^2(\gamma_\kappa + \gamma_\eta) + s(\omega_S^2 + \gamma_\kappa \gamma_\eta) - \omega_T^2 \gamma_\kappa = 0. \] (4.19) Solving for $ a $ and $ b $, we have \[ a = \frac{1}{2} (\gamma_\kappa + \gamma_\eta - \Gamma) \\ b = \sqrt{\omega_S^2 + (\Gamma - \gamma_\kappa)(\Gamma - \gamma_\eta) - \frac{1}{4} (\gamma_\kappa + \gamma_\eta - \Gamma)^2}. \] (4.20) Also, from the initial conditions, we have \[ A_0 = \frac{a^2 + b^2 - \omega_T^2}{(\Gamma - a)^2 + b^2} A \\ A_1 = A - A_0 \\ A_2 = [(\Gamma - a)A_0 + aA] / b. \] (4.21) Now, with Eqs. 4.20 and 4.21, we can fit the analytic function, repeating here: \[ \delta n(q, t) = A_0 e^{-\Gamma t} + e^{-a t} [A_1 \cos(b t) + A_2 \sin(b t)] \] (4.22) using the three frequencies $ \omega_T, \gamma_\kappa, \gamma_\eta $, and the amplitude $ A $ as free parameters. We define this method as the “exact analytic fit function”, since it uses exactly what we want to extract as fit parameters. We use this method for obtaining the final results we published in our paper [Wang et al. 2022]. To practice, we first perform fast Fourier transfers (FFTs) on our 1-D density profiles at each time during the evolution, which gives us both $ \delta n(q, t_i) $ and $ \sigma_{\delta n(q, t_i)} $. The $ q $ value is found by performing a MATLAB “findpeak” search on the Fourier spectrum for each of the first five $t$, and then doing an average. We define the $\chi^2$ function as $$\chi^2 = \sum_{t_i} \frac{(\delta n(q, t_i) - \delta n_{pred}(q, t_i))^2}{\sigma^2_{\delta n(q, t_i)}},$$ \hspace{1cm} (4.23) where $\delta n(q, t_i)$ and $\sigma_{\delta n(q, t_i)}$ are measured, $t_i$ is the range of times we want to sum over, which is nominally for all the data we take. However, there are cases we choose to omit some data points, which show large deviations. To compute the above $\chi^2$, we need to know $\delta n_{pred}(q, t_i)$, which is obtained from the “exact analytic fit function” with given $\omega_T, \gamma_K, \gamma_\eta, A, \omega_S, \Gamma$ (see Appendix). Here, we define $\omega_T, \gamma_K, \gamma_\eta$ and $A$ as free fit parameters. $\Gamma$ can be obtained by solving the cubic polynomial Eq. 4.19. $\omega_S$ is related to $\omega_T$ by $\omega_S^2 = c_P/c_V \omega_T^2$, with $$\frac{c_P}{c_V} = \frac{f_E(\theta)}{f_E(\theta) - \frac{2}{5} \theta f_E'(\theta)},$$ \hspace{1cm} (4.24) We also have $$c_T^2 = \frac{\omega_T^2}{q^2} = \frac{v_F^2}{3} \left[ f_E(\theta) - \frac{2}{5} \theta f_E'(\theta) \right],$$ \hspace{1cm} (4.25) where $f_E(\theta)$ is measured precisely by Ku et al. [2012]. From Eqs. 4.24 and 4.25, we can solve for $c_P/c_V$ with given $q, v_F$ as constants, and thus obtain $\omega_S$. In practice, we fit $c_P(\theta)/c_V(\theta)$ and $\theta(c_T/v_F)$ with polynomial to speed up fit process (see Sec. 2.1.2). Finally, by providing an initial guess of the free fit parameters, we use the MATLAB “fminsearch” function to find the global minimum of the constructed $\chi^2$, yielding the best fit parameters. Examples of our fit for different temperatures are shown below, Fig. 4.9 ~ Fig. 4.14. In these figures, blue dots are measured data with errorbars. Red curves are best fits from this “exact analytic fit function” method. For the evolution, note that the decay rate $\Gamma \propto q^2 \propto \lambda^{-2}$. In order to give the reader a better view of the different decay rates versus the reduced temperatures $T/T_F$, we keep the same wavelength $\lambda$ for all these 6 figures here. We also compare the data measured at different wavelengths (see Figs. 4.15 and 4.16) to check whether we get consistent results. We do not see significant change in the extracted transport coefficients for neither longer nor shorter wavelengths. A more detailed discussion will be covered in Chapter 5. Figure 4.9: $T/T_F = 0.28, \lambda = 23.5\mu m$. Figure 4.10: $T/T_F = 0.34, \lambda = 23.5\mu m$. Figure 4.11: $T/T_F = 0.40, \lambda = 23.0\mu m$. Figure 4.12: $T/T_F = 0.46, \lambda = 22.7\mu m$. Figure 4.13: $T/T_F = 0.52, \lambda = 23.0\mu m$. Figure 4.14: $T/T_F = 0.63, \lambda = 23.3\mu m$. Figure 4.15: $T/T_F = 0.56$, with longer wavelength $\lambda = 41.7 \mu m$. Figure 4.16: $T/T_F = 0.37$, with shorter wavelength $\lambda = 18.2 \mu m$. 4.3 Data Analysis Details In this section, we discuss some data analysis details, including the calculation of statistical errors, the determination of the central density, and the estimation of the systematic shifts in our experiments. 4.3.1 Statistical Uncertainty Our statistical uncertainty in the experiment comes from the shot-to-shot variation of the density profile. At the beginning of each measurement cycle, the number of atoms loaded into the box varies. Also, even assuming that the atom number is the same for all runs, the spatial distribution can vary as well. All the properties we measure depend on the density of the atomic gas. In a single experiment, we usually take about 150-200 shots and assume they all represent the same system, i.e., same density and temperature etc. So we need to ensure that the atom number fluctuation is not too big for the data we study. Actually, the first step of our data analysis is to calculate the standard deviation $\sigma_s$ in atom number of our entire data set, and to exclude those data $2\sigma_s$ away from the mean. This step helps us select the data for the same condition statistically. We use a standard statistical measure $\sigma_m = \frac{1}{\sqrt{N}} \sigma_s$, i.e., the standard error of the mean (SEM), to estimate the variations. Here, $\sigma_s$ is the corrected sample standard deviation\footnote{Note that the corrected sample standard deviation is still biased downward for small sample size, but it performs better than the uncorrected one; Either method is good enough for our application.}, given by $$\sigma_s = \sqrt{\frac{1}{N-1} \sum_{i=1}^{N} (x_i - \mu)^2},$$ (4.26) where $\mu = \frac{1}{N} \sum_{i=1}^{N} x_i$, and $x_i$ are measurements of the sample. We omit the notation $_m$ and use the usual symbol for standard deviation $\sigma$ to denote SEM in the rest of this thesis for convenience. Since we are mainly interested in the density perturbation in the Fourier domain, SEM here is expressed by $\sigma_{\delta n(q,t)}$. In our plots for $\delta n(q,t)$, the statistical variation is shown as error bars, each denoting for $\pm 1\sigma$. As we mentioned in Sec. 4.1, since we take a large number of backgrounds, $\sigma_{n_0(z,t)}$ can be neglected and $\sigma_{\delta n(z,t)} \simeq \sigma_{n(z,t)}$. The hydrodynamic transport coefficients extracted by the fit parameters are examined by an error matrix for goodness of fit [Taylor 1997]. Suppose $\chi^2$ depends on two independent parameters $(u, v)$, and we find the minimum at $(u_0, v_0)$. To evaluate the uncertainty for the minimum, we expand $\chi^2$ by a Taylor expansion up to second order: \[ \chi^2(u, v) \simeq \chi^2(u_0, v_0) + \sum_{i=u,v} D_i \epsilon_i + \frac{1}{2} \sum_{i,j=u,v} H_{ij} \epsilon_i \epsilon_j, \] (4.27) where $\epsilon$ is a small step walking away from $(u_0, v_0)$ to $(u, v)$, i.e., $u = u_0 + \epsilon_u$ and $v = v_0 + \epsilon_v$. $D_i$ is the partial derivative with respect to each parameter, and $H_{ij}$ is the Hessian matrix, defining as follows, \[ D_u = \frac{\partial \chi^2}{\partial u}, \\ D_v = \frac{\partial \chi^2}{\partial v}, \\ H_{uu} = \frac{\partial^2 \chi^2}{\partial u^2}, \\ H_{vv} = \frac{\partial^2 \chi^2}{\partial v^2}, \\ H_{uv} = H_{vu} = \frac{\partial^2 \chi^2}{\partial u \partial v}. \] (4.28) The minimum of $\chi^2$ requires $D_i = 0$. The uncertainty in the coefficients $(u, v)$ is evaluated by a change of 1 of the $\chi^2$ with respect to a change of the coefficients. Taking the correlation between $u$ and $v$ into account, the corresponding uncertainty is given by the square root of the error matrix, where a factor of $\sqrt{2}$ comes from the Taylor expansion in Eq. 4.27. So, we have \[ \sigma_u = \sqrt{\frac{2 H_{vv}}{H_{uu} H_{vv} - H_{uv}^2}}, \\ \sigma_v = \sqrt{\frac{2 H_{uu}}{H_{uu} H_{vv} - H_{uv}^2}}. \] (4.29) Use this method, we calculate our uncertainties in the extracted hydrodynamic transport coefficients. For the shear viscosity coefficient $\sigma_\eta$ and the thermal conductivity coefficient $\sigma_\kappa$, we evaluate $\chi^2(\alpha_\eta, \alpha_\kappa)$ holding $\omega_T$ and $A$ as constants for the “exact analytic fit function” method (4.2.4), and find $\sigma_{\alpha_\eta}$ and $\sigma_{\alpha_\kappa}$ from Eqs. 4.28 and 4.29, by letting $u \equiv \alpha_\eta$ and $v \equiv \alpha_\kappa$. For the sound diffusivity $2a/q^2$, we evaluate $\chi^2(a, b)$ holding $\Gamma$ and $A$ as constants for the analytic fit function method (4.2.3), and find $\sigma_a$ from Eqs. 4.28 and 4.29, by letting $u \equiv a$ and $v \equiv b$. Then we calculate $\sigma_{D_h} = 2\sigma_a/q^2$. 4.3.2 Determination of the Central Density The central 3D-density $n_0$ is used to find the central Fermi energy, corresponding Fermi temperature $T_F$, and Fermi speed $v_F$, which determines the reduced temperature $T/T_F$ from the measured sound speed $c_T$ using the known equation of state [Ku et al. 2012]. The reduced temperature then determines the thermodynamic properties of the sample. ![Density profiles along the x and y directions of the box potential.](image) (a) $x$ profile from the horizontal camera. (b) $y$ profile from the vertical camera. Figure 4.17: Density profiles along the $x$ and $y$ directions of the box potential. The horizontal imaging path is cleaner than the vertical imaging path, where an artificial distortion can be seen. To find $n_0$, we observe the trapped cloud along the $x$ and $y$ axes with two cameras (see Fig. 4.17). In this way, we measure the two-dimensional column densities $\tilde{n}(z, x) = \int_{-\infty}^{\infty} dy \ n(x, y, z)$ and $\tilde{n}(z, y) = \int_{-\infty}^{\infty} dx \ n(x, y, z)$, for each spin state, where $z$ denotes the long axis of the box potential and $x$ denotes the direction of the bias magnetic field. For our experiments, the typical box dimensions are $\Delta x = 52\,\mu m$, $\Delta y = 50\,\mu m$ and $\Delta z = 150\,\mu m$. The curvature of the bias magnetic field produces a harmonic confining potential $\propto z^2$, which causes a noticeable variation of the density over $150\,\mu m$. In contrast, the confining potential $\propto y^2$ produces a much smaller variation of the density over $50\,\mu m$ along the $y$ axis. Further, the number of atoms trapped outside the box along $x$ and $y$ is negligible (see Sec. 3.3.4). We note that the measured $n(y)$ is distorted in Fig. 4.17 (b). This is an artifact of the imaging path for the vertical camera, which is collinear with the vertically projected beams that form the sides of the box potential. We assume that the true shapes are nearly identical. The one-dimensional density that we analyze in the experiments as a function of time, is obtained by integrating the measured 2D-column density over a limited central region along $x$ (about 43.5 microns long), where the density is slowly varying, $$n(z) = \int_{x_1}^{x_2} dx \; \bar{n}(z, x). \quad (4.30)$$ The $n(z)$ contains most of the atoms (usually more than 80%) along $x$, while the edges are avoided. To estimate the 3D density, we assume that $n(x, y, z)$ approximately factors, as it would in a true 3D box potential, $$n(x, y, z) \simeq \bar{n}(x, z) n(y). \quad (4.31)$$ We normalize $\int_{-\infty}^{\infty} dy \; n(y) = 1$, so that $\int_{-\infty}^{\infty} dy \; n(x, y, z) = \bar{n}(x, z)$ as it should. The normalized 1D density $n(y)$, averaged over the “top-hat” region near the center of the box $y = y_c$, is essentially the inverse of the box length $L_y$ along $y$, i.e., $n(y) = 1/L_y$, as it would for a true box potential. We measure $$n(y) = \frac{\int_{z_1}^{z_2} dz \; \bar{n}(z, y)}{\int_{-\infty}^{\infty} dy \int_{z_1}^{z_2} dz \; \bar{n}(z, y)}, \quad (4.32)$$ where $\bar{n}(z, y)$ is the column density measured by the camera oriented along the $x$-axis. $n(y)$ satisfies $\int_{-\infty}^{\infty} dy \; n(y) = 1$ for any choice of $z_1$ and $z_2$. We take $z_1$ and $z_2$ in the central region of the cloud (about 35 micron long), where the density is nearly uniform, to measure the Fourier transform $\delta n(q, t)$. Averaging the column density near the center, $x_c, z_c$, where the 2D density is nearly uniform, we obtain the total central density $n_0 = 2 \bar{n}(x_c, z_c) n(y_c)$. For a single spin state, typical values are $n(y_c) = 0.0204/\mu m = 204/cm$, i.e., $L_y = 49.0\,\mu m$, and $\bar{n}(x_c, z_c) = 1.10 \times 10^9/cm^2$, which yields $n_0/2 = 2.24 \times 10^{11}/cm^3$. From $n_0$ we find the Fermi speed $v_F$. This in turn determines the reduced temperature $\theta(c_T/v_F)$, where $c_T = \omega_T/q$ is determined from the fit to $\delta n(q, t)$. Note that there is a systematic effect that could make our measured density slightly lower than the actual density. For any absorption imaging technique, true atom number is measured when the imaging beam is right on the atomic resonance frequency. But every laser beam has a finite bandwidth and the imaging frequency drifts around the resonance in real life, which results in a overall downward shift of the measured average atom number. A detailed discussion can be found in the thesis of our former group member [Joseph 2010]. However, we don’t expect a significant downward shift of the measured density we obtain compared to an estimate of $\sim 12\%$ from Joseph [2010]. First, our high field magnet power supply has been upgraded to a very stable one, eliminating the variation in B-field and hence imaging resonance frequency, which plays a significant role in Joseph’s model. More importantly, as mentioned in the previous subsection, we exclude data $2\sigma_s$ away from the mean atom number. So, our shifts should be significantly smaller than what has been estimated by Joseph [2010]. In this chapter, I will show the main experimental results, i.e., our measured shear viscosity $\eta$, thermal conductivity $\kappa_T$, and sound diffusivity $D_l$. I will also discuss some details of the results to check consistency and generality in our model, and to provide corrections to the measurements based on our best understanding. I also compare our sound diffusivity results with a recent measurement by the MIT group [Patel et al. 2020]. Further, I extend our analysis beyond the current model to the region where hydrodynamics breaks down, to motivate future studies. 5.1 Experimental Results In the previous chapter, I described four data analysis methods. They give identical results for the extracted transport coefficients within errorbars$^1$. Here, I show the measurements of the shear viscosity $\eta$, the thermal conductivity $\kappa_T$, and the sound diffusivity $D_l$ from the $^1$The method of numerical integration of $\delta n(z, t)$ (Sec.4.2.1) gives slightly different (a few percent) results compared to the other three methods, which are based on Fourier component $\delta n(q, t)$. This is simply because the density profile is slowly varying in the region we measure, even though we have already chosen the most uniform region. A perfectly uniform potential is expected to make results from all methods identical. “exact analytic fit function” method (see Sec. 4.2.4). I briefly summarize this method here to show how we get the shear viscosity $\eta$, the thermal conductivity $\kappa_T$ and the sound diffusivity $D_I$, while readers are encouraged to read chapter 4 for details. In chapter 1, we have pointed out that the transport coefficients in unitary Fermi gases are universal functions of density and pressure. Here, we define \begin{align} \eta &\equiv \alpha_\eta \hbar n_0 \\ \kappa_T &\equiv \alpha_\kappa \hbar n_0 \frac{k_B}{m}. \end{align} We fit the analytic solution for a density perturbation in Fourier space to the data, \begin{equation} \delta n(q, t) = A_0 e^{-\Gamma t} + e^{-a t} [A_1 \cos(b t) + A_2 \sin(b t)], \end{equation} using the amplitude $A$ and three frequencies $\omega_T \equiv q c_T, \gamma_\kappa, \gamma_\eta$ as free parameters. These three frequencies are connected to the above equation by \begin{align} \Gamma + 2a &= \gamma_\kappa + \gamma_\eta \\ a^2 + b^2 + 2a \Gamma &= \omega_S^2 + \gamma_\eta \gamma_\kappa \\ \Gamma(a^2 + b^2) &= \omega_T^2 \gamma_\kappa, \end{align} where $\omega_S^2 = c_P/c_{V_i} \omega_T^2$, $\gamma_\eta = (4\hbar q^2/3m)\alpha_\eta$, $\gamma_\kappa = (k_B \hbar q^2/c_{V_i} m)\alpha_\kappa$. The initial conditions require $A_0 = (a^2 + b^2 - \omega_T^2/(\Gamma - a)^2 + b^2)A$, $A_1 = A - A_0$, $A_2 = [(\Gamma - a)A_0 + a A]/b$. The decay rate $\Gamma$ is obtained by finding the real solution to the cubic polynomial \begin{equation} s^3 - s^2 (\gamma_\kappa + \gamma_\eta) + s (\omega_S^2 + \gamma_\kappa \gamma_\eta) - \omega_T^2 \gamma_\kappa = 0. \end{equation} Here, the heat capacities per particle at constant volume $c_{V_i}$ and at constant pressure $c_P$ can be determined from the measured equation of state as function of the reduced temperature $T/T_F = \theta(c_T/v_F)$, which is self-consistently determined from $c_T \equiv \omega_T/q$ by the equation of state, with $v_F$ given for the average central density $n_0$ (see Sec.2.1.2). The fits determine the frequency $\omega_T$ within 2%, enabling in-situ thermometry. A typical fit to our data is shown in Fig. 5.1. We can see our model describes the evolution of $\delta n(q, t)$ very well. The inset shows two independent modes, an exponentially decaying thermal diffusion mode (orange) and a decaying oscillatory first sound mode (blue). We find that fitting the data with $A_0 = 0$ increases the $\chi^2$ per degree of freedom from $\simeq 1$ to $\simeq 20$, demonstrating the importance of the thermal diffusion mode, which determines the thermal conductivity in our measurements. In fact, for the isothermal static initial conditions employed in our experiments, the thermally diffusive mode comprises $\simeq 32\%$ of the initial total amplitude of the dominant Fourier component $\delta n(q,0)$, which is readily apparent in the free hydrodynamic relaxation. Also, from the inset in Fig. 5.1, we can see that these two modes (orange and blue) evolve very differently as functions of time, enabling well-distinguished determination of $\eta$ and $\kappa$. To be more specific, $\kappa_T$ is, to a very good approximation (see Sec. 2.2.3), found from the decay rate $\Gamma$ of the thermal diffusion mode. Meanwhile, the first sound diffusivity $D_1 = 2a/q^2 = D_\eta + D_\kappa$ contains contributions from $\eta$ and $\kappa_T$. Hereby, subtracting $D_\kappa$ from $D_1$ immediately yields $D_\eta$, which gives $\eta$ (see Eq. 2.66). Our measured shear viscosity, Fig. 5.2, can be compared to the high temperature diluteness expansion of Bluhm et al. [2017], $\eta_{\text{exp}}(\theta) = (\alpha_0 \theta^{3/2} + \alpha_2) \hbar n$, where $\alpha_0 = 2.77(21)$ and $\alpha_2 = 0.25(08)$ are measured by using a second order hydrodynamics model to fit aspect ratio data for freely expanding clouds of Joseph et al. [2015]. Here, the first term is the high temperature limit, where $\theta^{3/2} n \propto T^{3/2}$ depends only on the temperature. The extracted $\alpha_0$ is in excellent agreement with a variational calculation based on the two-body Boltzmann equation for a unitary gas [Bruun and Smith 2007; Bluhm et al. 2017]. The leading correction from $\alpha_2$ depends only on the density. The red curve in Fig. 5.2 shows that $\eta_{\text{exp}}(T/T_F)$ is in agreement with the measurements in the box potential for $T/T_F \geq 0.45$. At lower temperatures, $T/T_F < 0.4$, the shear viscosity measured in the box is consistently larger than that of the expanding cloud. For comparison, the red-dashed curve shows the high temperature limit, where $\alpha_2 = 0$. Comparing the red curve and the red-dashed curve, we find that there is a significant density-dependent contribution to the shear viscosity. The top purple-dashed curve is a theory prediction of Enss et al. [2011], by evaluation of the Kubo formula within the T-matrix approximation. This prediction is in reasonable agreement with our data. Our measured thermal conductivity, Fig. 5.3, can be compared with variational calculations for a unitary Fermi gas in the high temperature, two-body Boltzmann equation limit [Braby et al. 2010], where $\kappa_T(\theta) = 15/4 \alpha_0 \theta^{3/2} \hbar n k_B/m$, with $k_B$ the Boltzmann constant. The red-dashed line in Fig. 5.3 shows that the high temperature prediction is in reasonable agreement with measurements in the box potential for $T/T_F \geq 0.45$, without a temperature-independent correction. Note that, in contrast to the shear viscosity, the pure density dependent contribution to the high temperature thermal conductivity appears to be quite small. Meanwhile, our measured thermal conductivity is significantly smaller than some recent predictions (a Luttinger-Ward approach by Frank et al. [2020]; a Kubo-based microscopic calculation by Zhou and Ma [2021])\footnote{As mentioned by the author, in their paper, the theory yields different Tc to experiments in the crossover regions, so a direct comparison between their plots with experiments may not be appropriate. However, we can estimate that our measurement is lower than their calculation, but in closer agreement compared to the prediction of Frank et al. [2020]}. For lower temperatures, $T/T_F < 0.4$, the thermal conductivity measured in the box... Figure 5.2: Shear viscosity $\eta$ in units of $\hbar n$ versus reduced temperature $T/T_F$. Blue dots: $\lambda \simeq 23\,\mu m$. Orange dots: Left (right) $\lambda = 18.2(18.9)\,\mu m$. Pink dots: Left (right) $\lambda = 32.3(41.7)\,\mu m$. Red solid curve: Fit to cloud expansion data, $\alpha_0 \theta^{3/2} + \alpha_2$, where $\alpha_0 = 2.77, \alpha_2 = 0.25$ [Bluhm et al. 2017]. Shaded region denotes the standard deviation of the fit. Upper purple-dashed curve: Prediction of Enss et al. [2011]. Lower red-dashed curve: High temperature limit, $\alpha_0 \theta^{3/2}$. Data error bars are statistical (see Sec. 4.3.1). seems to be larger than the high temperature prediction, but is significantly smaller than the predictions by Frank et al. [2020]; Zhou and Ma [2021]. The sound diffusivity $D_1 = 2a/q^2$, in units of $\hbar/m$, Fig. 5.4, is determined by Eqs. 4.15 from the fit parameters $c_T q$, $\gamma_\eta$, and $\gamma_K$. We obtain the same results within our error bars, by directly fitting $\Gamma$, $a$ and $b$ in Eq. 4.13, constraining $A_0/A$ using the long wavelength (LW) limit (see Sec. 5.2.3), where $b \simeq c_S q$ determines $T/T_F$. The red-dashed curve shows the predicted LW $D_1$, using the high temperature limits for both the shear viscosity and the thermal conductivity, with $c_{\eta_1} = 5/2 k_B$ and $c_{\nu_1} = 3/2 k_B$, i.e., $1/c_{\nu_1} - 1/c_{\eta_1} = 4/15$. For the red solid curve, the high temperature shear viscosity term in $D_1$ is replaced with the measured viscosity for the expanding gas, $\eta_{exp}(\theta)$ and the thermal conductivity term remains the same, i.e., $D_1 = 4/3 (\alpha_0 \theta^{3/2} + \alpha_2) + \alpha_0 \theta^{3/2}$, yielding a good fit to the data for $T/T_F \geq 0.45$, consistent with our measured $\eta$ and $\kappa_T$. Our diffusivity data can be compared to that of Patel et al. [2020], which is shifted upward relative to that of Fig. 5.4, but exhibits nearly identical scaling with $T/T_F$. More details of sound diffusivity, including the comparison with Ref. Patel et al. [2020], will be discussed shortly in Sec. 5.1.1. As can be seen in Figs. 5.2 ~ 5.4, we use several perturbation wavelengths in the experiment, from 18 $\mu$m to 42 $\mu$m to check the $q$-dependence of our measured results. We compare data for $\lambda \simeq 23 \mu$m to data points with $\lambda = 18.2 \mu$m (4-spatial periods\textsuperscript{3}), 18.9 $\mu$m (4-spatial periods), 32.3 $\mu$m (3-spatial periods) and 41.7 $\mu$m (2-spatial periods). These measurements show that there are no large systematic shifts with wavelength. Meanwhile, we find that a perturbation wavelength $\lambda \simeq 23 \mu$m yields good dynamic range for decay measurements over time scales that avoid perturbing $\delta n(z, t)$ in the measured central region by reflections from the walls of box potential, which then can be neglected (see Sec. 4.2). This explains why most of our experiments are using a perturbation wavelength of 23 $\mu$m. \textsuperscript{3}Number of spatial periods here indicates the range of the 1-D profile we use to perform the FFT, see Sec. 4.2 Figure 5.3: Thermal conductivity $\kappa_T$ in units of $\hbar n k_B/m$ versus reduced temperature $T/T_F$. Blue dots: $\lambda \simeq 23\,\mu m$. Orange dots: Left (right) $\lambda = 18.2(18.9)\,\mu m$. Pink dots: Left (right) $\lambda = 32.3(41.7)\,\mu m$. Red-dashed curve: High temperature limit, $15/4\,a_0\,\theta^{3/2}$, where $a_0 = 2.77$. Error bars are statistical (see Sec. 4.3.1). Figure 5.4: Sound diffusivity $D_1 = 2a/q^2$, in units of $\hbar/m$ versus reduced temperature $T/T_F$. Blue dots: $\lambda \simeq 23\,\mu m$. Orange dots: Left (right) $\lambda = 18.2(18.9)\,\mu m$. Pink dots: Left (right) $\lambda = 32.3(41.7)\,\mu m$. Red-dashed curve: Long wavelength, high temperature limit, $D_1 = 7/3\alpha_0\theta^{3/2}$. Red solid curve: $D_1 = 4/3(\alpha_0\theta^{3/2} + \alpha_2) + \alpha_0\theta^{3/2}$, where $\alpha_0 = 2.77, \alpha_2 = 0.25$. Error bars are statistical (see Sec. 4.3.1). Since the measured hydrodynamic transport coefficients are particularly important for theoretical studies, here, we provide a complete table for our measurement of the coefficients, including the total central density$^4$ $n_0$ and perturbing wavelength $\lambda$. Table 5.1: Measured Transport Coefficients \| $T / T_F$ \| $\alpha_\eta$ \| $\sigma_{\alpha_\eta}$ \| $\alpha_\kappa$ \| $\sigma_{\alpha_\kappa}$ \| $D_1$ \| $\sigma_{D_1}$ \| $c_T [cm/s]$ \| $\lambda [\mu m]$ \| $n_0 [cm^{-3}]$ \| \|-------------\|-----------------\|--------------------------\|------------------\|--------------------------\|--------\|----------------\|-----------------\|-----------------\|-----------------\| \| 0.278 \| 0.879 \| 0.021 \| 2.432 \| 0.081 \| 1.759 \| 0.032 \| 1.185 \| 23.53 \| 6.20E+11 \| \| 0.343 \| 0.991 \| 0.023 \| 2.618 \| 0.090 \| 1.997 \| 0.046 \| 1.097 \| 23.53 \| 4.13E+11 \| \| 0.352 \| 0.967 \| 0.021 \| 2.928 \| 0.075 \| 2.043 \| 0.038 \| 1.197 \| 24.10 \| 5.24E+11 \| \| 0.376 \| 1.010 \| 0.065 \| 2.329 \| 0.229 \| 1.975 \| 0.115 \| 1.167 \| 18.18 \| 4.59E+11 \| \| 0.381 \| 1.149 \| 0.026 \| 3.348 \| 0.072 \| 2.423 \| 0.048 \| 1.078 \| 32.26 \| 3.58E+11 \| \| 0.398 \| 1.025 \| 0.027 \| 2.937 \| 0.065 \| 2.147 \| 0.054 \| 1.083 \| 22.99 \| 3.49E+11 \| \| 0.453 \| 1.057 \| 0.041 \| 3.044 \| 0.220 \| 2.240 \| 0.076 \| 1.201 \| 18.87 \| 4.22E+11 \| \| 0.462 \| 1.050 \| 0.025 \| 3.458 \| 0.097 \| 2.337 \| 0.041 \| 1.198 \| 22.73 \| 4.11E+11 \| \| 0.494 \| 1.211 \| 0.035 \| 3.628 \| 0.138 \| 2.617 \| 0.079 \| 1.118 \| 22.99 \| 3.13E+11 \| \| 0.521 \| 1.368 \| 0.046 \| 3.798 \| 0.117 \| 2.906 \| 0.103 \| 1.221 \| 22.99 \| 3.86E+11 \| \| 0.557 \| 1.440 \| 0.044 \| 4.596 \| 0.118 \| 3.256 \| 0.071 \| 1.139 \| 41.67 \| 2.94E+11 \| \| 0.634 \| 1.659 \| 0.027 \| 4.813 \| 0.127 \| 3.621 \| 0.098 \| 1.343 \| 23.26 \| 4.20E+11 \| Here, $\eta \equiv \alpha_\eta \hbar n_0$, $\kappa_T \equiv \alpha_\kappa \hbar n_0 (k_B/m)$, $D_1 = 2a/q^2$ is in units of $\hbar/m$, $c_T$ is the isothermal sound speed, $\lambda \equiv 2\pi/q$ is the perturbing wavelength and $n_0$ is the total central density for both spin states; $\sigma$ is the uncertainty (see Sec. 4.3.1). ### 5.1.1 Sound Diffusivity In Chapter 2, from the model of a damped oscillator, we have shown that the measured $2a/q^2$ is, to a very good approximation, the usual first sound diffusivity [Landau and Lifshitz 1959], \[ \frac{2a}{q^2} = \frac{4}{3} \frac{\eta}{n_0 m} + \left( \frac{1}{c_{V_1}} - \frac{1}{c_{P_1}} \right) \frac{\kappa_T}{n_0} = D_1 . \] (5.8) The same result follows immediately from the long wavelength (LW) limit (which we will discuss shortly in Sec. 5.2.3), where $c_S q >> \gamma_\kappa, \gamma_\eta$, although we do not require this approximation for the initial analysis of our data. The analytic fits of Eq. 5.3 to the data, determine the measured sound diffusivity $2a/q^2$ --- $^4$Note that what we actually measure is the density for one spin state, the total density $n_0$ is obtained simply by doubling the measured one-spin-density, since we use a 50:50 mixture. shown in Fig. 5.4 and later in Fig. 5.5. The measured $2 \alpha / q^2$ can be compared to Eq. 5.8. For the unitary Fermi gas, where $$\frac{1}{c_{V_1}} - \frac{1}{c_{P_1}} = \frac{1}{k_B} \frac{2}{3} \frac{\theta}{f_E(\theta)},$$ Eq. 5.8 and Eq. 5.9, with Eqs. 5.1, and 5.2 yield $$D_l(\theta) = \left[ \frac{4}{3} \alpha_\eta(\theta) + \frac{2}{3} \frac{\theta}{f_E(\theta)} \alpha_\kappa(\theta) \right] \frac{\hbar}{m}. \quad (5.10)$$ Here, $f_E(\theta)$ is the measured universal function [Ku et al. 2012] that determines the energy density, Eq. 2.14. This universal function determines the heat capacities and the sound speeds employed in our data analysis, as described in Sec.2.1.2. We evaluate the viscosity term in Eq. 5.10 using a diluteness expansion, $$\alpha_\eta(\theta) = \alpha_0 \theta^{3/2} + \alpha_2,$$ where $\alpha_0 = 45 \pi^{3/2} / (64 \sqrt{2}) \simeq 2.77$ [Bruun and Smith 2007; Bluhm et al. 2017]. Here, we include an $\alpha_2$ term, which arises from the purely density-dependent part of the viscosity. $\alpha_0 = 2.77(21)$ and $\alpha_2 = 0.25(08)$ are obtained from the fits to cloud expansion data [Bluhm and Schäfer 2016; Bluhm et al. 2017]. For the thermal conductivity term, we use the high temperature two-body Boltzmann equation limit [Braby et al. 2010], $$\kappa_T = \frac{15}{4} \frac{k_B}{m} \eta. \quad (5.12)$$ This result follows from kinetic theory, where $\eta = \tau_\eta p$ and $\kappa_T = 5/2 k_B / m \tau_\kappa p$, with $p$ the pressure. Using $\tau_\kappa = (3/2) \tau_\eta$, which can be shown to hold for any isotropic collision cross section, one obtains Eq. 5.12. This result is consistent with the thermal conductivities obtained in ref. [Braby et al. 2010] for a unitary Fermi gas and for a Fermi gas with a constant collision cross section. While Eq. 5.12 is rigorously derived only for the leading $\alpha_0$ term in $\eta$, we take $$\alpha_\kappa(\theta) = \frac{15}{4} (\alpha_0 \theta^{3/2} + \alpha'_2), \quad (5.13)$$ to include a pure density-dependent correction. Using Eqs. 5.11 and 5.13, the sound diffusivity for a unitary Fermi gas, Eq. 5.10, takes the form $$D_l(\theta) = \left[ \frac{4}{3} (\alpha_0 \theta^{3/2} + \alpha_2) + \frac{5}{2} \frac{\theta}{f_E(\theta)} (\alpha_0 \theta^{3/2} + \alpha'_2) \right] \frac{\hbar}{m}, \quad (5.14)$$ where $ \frac{5/2}{f_E(\theta)} = n k_B T / p $, as we have proven in chapter 2. The red-dashed curve in Fig. 5.4 shows the high temperature classical limit of eq. 5.14 where $ p = n k_B T $ and $ \frac{5/2}{f_E(\theta)} \to 1 $. Here, we take $ \alpha_2 = \alpha'_2 = 0 $, so that $ D_1 = 7/3 \alpha_0 \theta^{3/2} $ with $ \alpha_0 = 2.77 $. The red-solid curve in Fig. 5.4 shows Eq. 5.14 with $ \alpha_2 = 0.25 $, consistent with our shear viscosity data, and $ \alpha'_2 = 0.0 $, consistent with our thermal conductivity data. For simplicity, we again take the classical limit with $ \frac{5/2}{f_E(\theta)} \to 1 $. The good fit to our sound diffusivity data demonstrates the consistency with our extracted transport properties, $ \eta $ and $ \kappa_T $. Similar results are obtained using the $ f_E(\theta) $ from the measured equation of state [Ku et al. 2012] in Eq. 5.13 with $ \frac{5/2}{f_E(\theta)} = n k_B T / p $. This is shown in Fig. 5.5. In Fig. 5.5, we also compare our data with those of Patel et al. [2020] (red dots). In both data sets, the error bars are statistical, and denote 1$ \sigma $. For our data, we show the statistical error from the $ \chi^2 $ fits. We estimate a systematic downward shift of $ \leq 5\% $, arising from the density variation, as discussed in Sec.5.2.1. For Patel et al. [2020], the estimated systematic error is 13\%, arising from the width of the end caps. We observe an upward shift of the diffusivity data of Patel et al. [2020], compared to that of the present work, but the scaling of the normal fluid diffusivity with reduced temperature $ T/T_F $ is in good agreement. It is also interesting to compare our data with those of Patel et al. [2020] by fitting both with $ D_1 = 4/3 (\alpha_0 \theta^{3/2} + \alpha_2) + \alpha_0 \theta^{3/2} $ with $ \alpha_0 = 2.77 $, and choosing different values for $ \alpha_2 $. Fig. 5.6 shows the same trend of the two measurements, while the optimal $ \alpha_2 $ appear to be different by 0.7. This is interesting for future theoretical studies. ### 5.2 Systematic Shifts of the Results In this section, we discuss some important details of our theoretical model and measured results to evaluate possible shifts, including an estimation for the effect of density variation on the measured results, a consistency check by calculating the stored energy in the initial perturbation, and a discussion of the long wavelength (LW) approximation. #### 5.2.1 Effect of Density Variation on the Measured Transport Coefficients Figs. 5.2 - 5.4 and Table. 5.1 show the measured transport coefficients, where the error bars denote the statistical errors from the $ \chi^2 $ fits, which we find from the error matrix (see Sec. 4.3.1). The transport coefficients $ \alpha_{ij} $ and $ \alpha_k $, and $ 2a/q^2 $, are determined by Eqs. 5.4-5.6, which do not explicitly depend on the density. Figure 5.5: Sound diffusivity, $D_1 = 2a/q^2$, in units of $\hbar/m$ versus reduced temperature $\theta = T/T_F$. Blue, Orange and Pink dots: Current work, Red dots: Patel et al. [2020]. Red-dashed curve: Long wavelength, high temperature limit, $D_1 = 7/3(\alpha_0 \theta^{3/2})$, where $\alpha_0 = 2.77$. Red solid curve: $D_1 = 4/3(\alpha_0 \theta^{3/2} + \alpha_2) + (n k_B T/p) \alpha_0 \theta^{3/2}$. Figure 5.6: Another comparison of sound diffusivity, $D_1 = 2a/q^2$, in units of $\hbar/m$ versus reduced temperature $\theta = T/T_F$. Blue, Orange and Pink dots: Current work. Red dots: Patel et al. [2020]. Red-dashed curve: Long wavelength, high temperature limit, $D_1 = 7/3(\alpha_0 \theta^{3/2})$, where $\alpha_0 = 2.77$. Red solid curve: $D_1 = 4/3(\alpha_0 \theta^{3/2} + \alpha_2) + \alpha_0 \theta^{3/2}$, with $\alpha_2 = 0.25$. Shaded region denotes the standard deviation of the fit to first term on the right-hand side [Bluhm et al. 2017]. Purple solid curve: $D_1 = 4/3(\alpha_0 \theta^{3/2} + \alpha_2) + \alpha_0 \theta^{3/2}$, with $\alpha_2 = 0.95$. However, the measured decay rates are inherently averages over the sample. To estimate the effect of the density variation, we consider the high temperature limit, where $c_T \propto \sqrt{T}$ is independent of density, as are the transport properties, $\eta$ and $\kappa_T$, which are $\propto T^{3/2}$. The decay rates then scale inversely with density, $\gamma_\eta \equiv \gamma_\eta(0) n_0/n$, and $\gamma_\kappa \equiv \gamma_\kappa(0) n_0/n$, so that the decay rates are larger in the low density regions compared to the center, where $n(0) = n_0$. In a simple model, we can average the exponential decay factors with a normalized density profile for the region measured in our 160 $\mu$m boxes, where the density variation over the central 100 microns is $\simeq 10\%$. We use the central values $\gamma_\eta(0)$ and $\gamma_\kappa(0)$ as fit parameters, since these correspond to the density $n_0$ that determines $T/T_F$ in the figures. These fit parameters are adjusted so that the average decay factors agree with the measurements. We find that $\gamma_\eta(0)$ and $\gamma_\kappa(0)$ are shifted downward by 5% compared to the measured values. These results are confirmed by numerical modeling of $\delta n(z,t)$ with Eqs. 4.1 and 4.2, where we find a downward shift of 3-9% for $\gamma_\eta(0)$ and 1-4% for $\gamma_\kappa(0)$ (see Sec. 4.2.2). We also compute the corresponding average for the density profile $n(y)$ along the line-of-sight direction, where we cannot choose the central region. We divide the density $n(y)$ into 30 segments, find $\delta n(q,t)$ for each segment, and sum the density weighted decay curves, yielding comparable down shifts. From these estimates, we see that the corrected transport parameters, corresponding to the central density $n_0$ and the given $T/T_F$, are systematically shifted downward, compared to the given measured values, by at most 5% for an average, and no more than 10% for any individual measurement shown in Figs. 5.2 - 5.4 and Table. 5.1. ### 5.2.2 Stored Energy We also estimate the change in the energy per particle $W_i$ that arises from the energy stored in the initial spatially periodic density profile. This is important since we assume the average energy per particle does not change during the entire evolution. The initial density perturbation stores energy, which is converted into kinetic energy after the perturbation is extinguished and finally into heat. To show that the change in the average energy per particle is negligible, we determined the stored energy $W$ for the ideal case of an adiabatic change of the density, $\delta n$, starting from a uniform density $n_0$. As the total number of atoms does not change during the compression, we must have $$\int d^3r \delta n(r) = 0.$$ (5.15) Now consider a small volume $\Delta V$ of the cloud, containing a small number of atoms $\Delta N = n \Delta V$. Changing the volume for fixed $\Delta N$, we have $d \Delta N = d n \Delta V + n d \Delta V = 0$. Taking $n \simeq n_0$, the density before perturbation is applied, we have $$d \Delta V = -\Delta V \frac{d n}{n_0}. \tag{5.16}$$ The work to change $\Delta V$ by $d \Delta V$ is just $$d \Delta W = -p \ d \Delta V = (p_0 + \delta p) \Delta V \frac{d n}{n_0}. \tag{5.17}$$ Then the net work to change the local density from $n_0$ to $n$ is $$\Delta W = \Delta V \int_{n_0}^{n} \frac{d n}{n_0} (p_0 + \delta p). \tag{5.18}$$ Using as the integration variable the local change in density $\delta n \equiv n - n_0$, $d n = d \delta n$. Assuming an adiabatic change in pressure, $p - p_0 \equiv \delta p = m c_S^2 \delta n$, with $c_S$ the adiabatic sound speed and $p_0$ the uniform background pressure, we have $$\Delta W = \Delta V \int_{0}^{\delta n} \frac{d \delta n'}{n_0} (p_0 + m c_S^2 \delta n') = \Delta V \left( \delta n \frac{p_0}{n_0} + m c_S^2 \frac{(\delta n)^2}{2 n_0} \right). \tag{5.19}$$ Replacing the local volume $\Delta V$ by $d^3 r$, we have for the total stored energy $$W = \int d^3 r \left( \delta n \frac{p_0}{n_0} + m c_S^2 \frac{(\delta n)^2}{2 n_0} \right) \simeq \frac{m c_S^2}{2} \int d^3 r \ n_0 \left[ \frac{\delta n(r)}{n_0} \right]^2. \tag{5.20}$$ In Eq. 5.20, since the background pressure $p_0$ and density $n_0$ are spatially uniform, Eq. 5.15 requires that the term linear in $\delta n$ vanish. For simplicity, we ignore the spatial variation of the sound speed $c_S$ and background density $n_0$ in the region of the perturbation. Defining the energy per particle $W_i = W/N$ in terms of the mean square fractional density perturbation, we have finally $$W_i = \frac{m c_S^2}{2} \left\langle \left[ \frac{\delta n(r)}{n_0} \right]^2 \right\rangle. \tag{5.21}$$ The same result can be obtained by finding the rate of change of the total kinetic energy $K$ from the dissipationless equation of motion $ n_0 m \partial_t v = -\nabla \delta p $. Starting from \[ n_0 m \partial_t v^2 = -v \cdot \nabla \delta p, \] and defining the total kinetic energy integrating over volume, we have \[ K \equiv \int d^3 r \frac{m v^2}{2}, \] \[ \partial_t K = -\int d^3 r v \cdot \nabla \delta p = \int d^3 r \nabla \cdot v \delta p. \] From the continuity equation $ \delta \dot{n} + n_0 \nabla \cdot v = 0 $, and using $ \delta p = mc_s^2 \delta n $, we have \[ \partial_t K = -\int d^3 r \frac{\delta \dot{n}}{n_0} \delta p = -mc_s^2 \int d^3 r \frac{\delta \dot{n}}{n_0} \delta n \] \[ = -\frac{mc_s^2}{2} \partial_t \int d^3 r n_0 \left( \frac{\delta n}{n_0} \right)^2 \] Finally from $ \partial_t (K + W) = 0 $, we see that $ W $ is the effective potential energy. Dividing $ W $ by the atom number $ N $, we obtain the same result for $ W_i $, i.e., Eq. 5.21. Note that for a unitary Fermi gas, $ mc_S^2 = 10 E_1 / 9 $ from Eq. 2.18. For a sinusoidal perturbation with a 20% amplitude, $ \delta n / n_0 \simeq 0.2 \cos(qz) $, we have $ W_i \simeq 0.01 \ mc_S^2 $. As $ mc_S^2 = 10/9 E_1 $, with $ E_1 $ the energy per particle [Patel et al. 2020], the change in $ E_1 $, and hence in $ \theta = T/T_F $, is negligible. ### 5.2.3 Long Wavelength Limit Our hydrodynamic linear response model is based on an application of the fluid dynamics in many-body quantum system, which requires some validity considerations. Despite its classical history, fluid dynamics can be used as an effective theory for the long-distance, long-time properties of any material. The only requirement for the applicability of fluid dynamics is that the system relaxes to approximate local thermodynamic equilibrium on the time scale of the observation [Schäfer 2014]. According to Schäfer’s description, there are two basic time scales associated with the behavior of a many body system. The first is a microscopic time scale $ \tau_{fluid} $ that characterizes the rate at which a generic disturbance relaxes. The second time scale $ \tau_{diff} $ is associated with the relaxation of conserved charges, decaying by diffusion or collective motion. In a normal non-relativistic fluid, the conserved charges are the mass density, the momentum density, and the energy density. The gradient expansions of these conserved charges give us transport coefficients, the shear viscosity $\eta$, the bulk viscosity $\zeta$ and the thermal conductivity $\kappa_T$ [Schäfer 2014]. Fluid dynamics is based on the separation of scales $\tau_{fluid} \ll \tau_{diff}$, where the time $\tau_{diff}$ increases with the length scale $\lambda$ of the disturbance, i.e., $\tau_{diff} \propto \lambda^2$. This condition $\tau_{fluid} \ll \tau_{diff}$ can be referred as the long wavelength (LW) limit. In our case, the fastest time scale for the changes in density and temperature is set nominally by the adiabatic sound frequency $\omega_S$ of the first sound mode, i.e., $\tau_{diff} = \omega_S^{-1}$. So the LW limit requires $\omega_S \tau_{fluid} \ll 1$. With $\omega_S = c_S q$, the LW limit effectively requires that $q$ is small. Starting from our analytic solutions, there are two ways to check whether long wavelength approximation is valid. First, rewriting Eqs. 5.4 and 5.5, \begin{align} b^2 - c_S^2 q^2 &= \gamma_\eta \gamma_\kappa - 2a \Gamma - a^2 \\ a &= \frac{1}{2} (\gamma_\eta + \gamma_\kappa - \Gamma). \end{align} Note that $\gamma_\eta, \gamma_\kappa, \Gamma \propto q^2$, and from Eq. 5.27, $a$ is easily found as $\propto q^2$. $b \simeq \sqrt{\omega_S^2 - a^2}$ – the damped oscillation frequency of the first sound, $\ddot{x} + 2a \dot{x} + \omega_S^2 x = 0$ (see Sec. 2.2.3), should also be a function of $q$. In the long wavelength limit, $q$ is small. The right-hand side of Eq. 5.26, $\propto q^4$, while on the left-hand side $c_S^2 q^2$ is of course $\propto q^2$. This means the right-hand side is close to 0 for small $q$, and thus $b \simeq c_S q \equiv \omega_S$. In our experiments, where the typical $\lambda \simeq 23 \mu m$, we find that $b$ is smaller than $\omega_S$ by 2.2%, 4.3% and 5.7% for $T/T_F = 0.28, 0.46,$ and 0.63, respectively, close to the LW limit. A data-by-data comparison is provided in Table. 5.2. Second, we can rewrite Eq. 4.16 as $$\frac{A_0}{A} = \frac{a^2 + b^2 - \omega_T^2}{(\Gamma - a)^2 + b^2}.$$ For $b^2 \gg a^2, (\Gamma - a)^2$ in the LW limit, we have $$\frac{A_0}{A} \simeq \frac{b^2 - \omega_T^2}{b^2}.$$ Since $ b \simeq \omega_S $, from Eq.5.29 and $ \omega_S^2 / \omega_T^2 = c_P / c_{V_1} $, we obtain \[ \frac{A_0}{A} = 1 - \frac{\omega_T^2}{\omega_S^2} = 1 - \frac{c_{V_1}}{c_P}. \] (5.30) Here, LW limit requires $ A_0 / A = 1 - c_{V_1} / c_P $, which is $ \simeq 0.3 $ for our $ T / T_F $ range. As a cross check, we compare the $ A_0 / A $, where $ A $ is from the fit and $ A_0 = (a^2 + b^2 - \omega_T^2 / (\Gamma - a)^2 + b^2) A $, with the calculated $ 1 - c_{V_1} / c_P $ from the equation of state. We find the difference is within 5.3%, as showed in Table. 5.2. From these cross checks, we can see that all our data is close to the long wavelength limit, which suggests our hydrodynamic method is appropriate. Table 5.2: Validity of the Long Wavelength Limit \| $ T / T_F $ \| $ \omega_S $ \| $ b $ \| $ \frac{\omega_S - b}{\omega_S} $ \| $ \frac{\omega_S - \sqrt{a^2 + b^2}}{\omega_S} $ \| $ A_0 / A $ \| $ 1 - \frac{c_{V_1}}{c_P} $ \| \|---------------\|----------------\|--------\|---------------------------------\|---------------------------------\|-------------\|------------------\| \| 0.278 \| 3707.5 \| 3625.9 \| 2.20% \| 0.58% \| 0.265 \| 0.271 \| \| 0.343 \| 3479.3 \| 3374.6 \| 3.01% \| 0.63% \| 0.289 \| 0.292 \| \| 0.352 \| 3716.1 \| 3609.3 \| 2.87% \| 0.89% \| 0.284 \| 0.294 \| \| 0.376 \| 4825.3 \| 4646.6 \| 3.70% \| 0.30% \| 0.312 \| 0.301 \| \| 0.381 \| 2514.9 \| 2449.7 \| 2.59% \| 0.70% \| 0.297 \| 0.303 \| \| 0.398 \| 3556.7 \| 3418.4 \| 3.89% \| 0.98% \| 0.301 \| 0.307 \| \| 0.453 \| 4857.6 \| 4619.2 \| 4.91% \| 1.15% \| 0.319 \| 0.322 \| \| 0.462 \| 4034.5 \| 3862.0 \| 4.28% \| 1.45% \| 0.310 \| 0.324 \| \| 0.494 \| 3737.0 \| 3541.3 \| 5.24% \| 1.29% \| 0.328 \| 0.332 \| \| 0.521 \| 4101.1 \| 3902.9 \| 4.83% \| 0.81% \| 0.347 \| 0.338 \| \| 0.557 \| 2123.5 \| 2074.3 \| 2.32% \| 0.60% \| 0.345 \| 0.346 \| \| 0.634 \| 4538.1 \| 4279.6 \| 5.70% \| 0.81% \| 0.380 \| 0.361 \| Here, $ a, b, A, A_0 $ are fit parameters to Eq. 5.3, $ \omega_S $ is the calculated adiabatic sound frequency, $ c_{V_1}, c_P $ are heat capacity per particle at constant volume and pressure, respectively, calculated by the equation of state with fitted reduced temperature $ \theta $. ### 5.3 Breakdown of Hydrodynamics In our hydrodynamic linear response model, we apply a long wavelength (LW) approximation which assumes instantaneous relaxation to local equilibration, or in other words, a zero relaxation time $\tau \simeq 0$. However, the relaxation rate $\tau^{-1}$ is not infinity even in our strongly interacting system. For a finite relaxation time, it is interesting to take a glance at microscopic theories that provides second order corrections to the transport coefficients. The simplest microscopic description of a fluid is kinetic theory, which describes the long distance behavior of an underlying classical or quantum many-body system [Schäfer 2014]. Kinetic theory can be used to relate properties of long-lived quasi-particles, such as masses and scattering cross sections, to the equation of state and the transport coefficients. The basic concept of kinetic theory applies to solve the Boltzmann equation of the quasi-particle distribution function $f(\mathbf{r}, \mathbf{p}, t)$, i.e., $$\left( \frac{\partial}{\partial t} + \mathbf{v} \cdot \frac{\partial}{\partial \mathbf{r}} - \frac{\partial V}{\partial \mathbf{r}} \cdot \frac{\partial}{\partial \mathbf{p}} \right) f = -I[f],$$ where $V$ is the trapping potential and $I[f]$ is the collision term. In the relaxation-time approximation [Bhatnagar et al. 1954], the collision integral of the Boltzmann equation becomes $I[f] = \delta f / \tau$, where $\delta f = f - f_0$ is the deviation of the distribution function from local equilibrium and $\tau$ is the relaxation time. Solving the Boltzmann equation gives us connections between the static transport coefficients with the finite relaxation time. In kinetic theory, the static shear viscosity takes the form $\eta = \tau_\eta p$ [Chapman et al. 1990], where $p$ is the pressure and $\tau_\eta$ is a collisional relaxation time. Similarly, the static thermal conductivity is $\kappa_T = (5/2)(k_B/m)\tau_\kappa p$. For a unitary Fermi gas, the pressure is $p = \frac{2}{3} n \epsilon_F(n) f_E(\theta)$, so for the shear viscosity we have $$\tau_\eta = \frac{5}{2} \frac{\hbar}{\epsilon_F(n)} \frac{\alpha_\eta(\theta)}{f_E(\theta)}.$$ Similarly, for the thermal conductivity, we have $$\tau_\kappa = \frac{\hbar}{\epsilon_F(n)} \frac{\alpha_\kappa(\theta)}{f_E(\theta)}.$$ From above, we can see the relaxation times are characterized by the transport scattering times, which are functions of density and temperature. In our experiments, the relaxation times are $\sim 100 \mu s$, which are listed in Table 5.3. In the long wave length (LW) limit, these relaxation times need to be small compared to the time scale for density and temperature changes, set nominally by the adiabatic sound frequency $\omega_S$ of the first sound mode. So, for a given $\omega_S$, the LW limit generally requires a sufficiently high density and a low temperature of the gas. Hence, we would expect that a relaxation time correction is significant for the data taken at the lowest densities and the highest temperatures in our experiments, where the shallow box potential prevents measurements at both high temperature and high density. We can relate the desired static transport properties to those measured at finite frequency by using a simple Drude model. Before we use this model, it is important to point out this is not a rigorous way to correct our measurements. First, the Drude model is only a crude estimate for the second order hydrodynamic effects, and it has not been proven to be true in the strongly interacting normal fluid regime where we working. Second, as mentioned before, we actually measure the thermal conductivity $\kappa_T$ from the thermal diffusion mode, and obtain the shear viscosity $\eta$ from $D_\eta$, which is by subtracting the contribution of $D_\kappa$ from the first sound diffusivity $D_1 = D_\eta + D_\kappa$. So a direct correction by Drude model to $\eta$ and $\kappa_T$ may not be appropriate. However, the purpose of giving an example of Drude model here is to demonstrate how breakdown of first order hydrodynamics could effect our measured results, and also to estimate the extreme cases of possible corrections to our measurement. More rigorous studies are expected in the future. In the Drude approximation Braby et al. [2011]; Enss [2012], the viscosity measured at finite frequency $\eta(\omega)$ is related to the static viscosity $\eta(0)$ by $$\eta(\omega) = \frac{\eta(0)}{1 + (\omega \tau_\eta)^2}$$ \hspace{1cm} (5.34) and similarly for $\kappa_T(\omega)$. We take $\omega \simeq \omega_S$, the adiabatic frequency for data taken with a spatial period $\lambda$, is just $\omega_S = (2\pi/\lambda) c_S(\theta)$. Here, the adiabatic sound speed $c_S(\theta) = v_F \sqrt{f_E(\theta)/3}$ from Eq. 2.18, where $f_E(\theta)$ is determined by the measured equation of state Ku et al. [2012], and $v_F = \sqrt{2e_F(n)/m}$ is the Fermi speed, with $n$ the total density. Using these results, we find $$\omega_S \tau_\eta \simeq 5\pi \sqrt{\frac{2\hbar^2}{3m\lambda^2 e_F(n)}} \frac{\alpha_\eta(0)}{\sqrt{f_E(\theta)}}$$ \hspace{1cm} (5.35) and $$\omega_S \tau_\kappa \simeq 2\pi \sqrt{\frac{2\hbar^2}{3m\lambda^2 e_F(n)}} \frac{\alpha_\kappa(0)}{\sqrt{f_E(\theta)}},$$ \hspace{1cm} (5.36) where the static viscosity coefficient $\alpha_\eta(0)$ and the static thermal conductivity coefficient $ \alpha_\eta(0) $ are defined by Eqs. 2.43 and 2.44. Letting $ \alpha_\eta(\omega_S) $ be the measured shear viscosity coefficient, we estimate the static viscosity coefficient, \[ \alpha_\eta(0) = [1 + (\omega_S \tau_\eta)^2] \alpha_\eta(\omega_S), \] where we can approximate $ \alpha_\eta(0) $ on the right hand side of eq. 5.35 by the measured value $ \alpha_\eta(\omega_S) $ for simplicity, when the correction is not too large. Similarly, we estimate the static thermal conductivity coefficient from the measured value, \[ \alpha_k(0) = [1 + (\omega_S \tau_k)^2] \alpha_k(\omega_S), \] replacing $ \alpha_k(0) $ on the right hand side of eq. 5.36 by the measured value $ \alpha_k(\omega_S) $. Eqs. 5.37 and 5.38 give us a crude estimation on what corrections could be made for the measured transport coefficients. In this Drude model, our measured shear viscosity and measured thermal conductivity is shifted upward, depending on the different relaxation rates, densities and perturbing wavelengths, as listed in Table.5.3. For data taken with high density or long perturbing wavelength, the Drude shift is small. The shift is more significant for data taken with both a low density and a short wavelength. We also list the decay rates $ \gamma_\eta, \gamma_k $ and the adiabatic sound frequency $ \omega_S $ in Table.5.3, giving a direct comparison of all the time scales in our experiments for readers of interests. Although these results suggest that the static transport coefficients need to be shifted up compared to what we measured, we do not expect large changes to our conclusion since most of our data is taken at relatively low temperature and higher density, as shown in Table. 5.3. Again, the Drude model is a crude way to evaluate second order behavior. In the strongly interacting normal fluid region, the gas is not simply Boltzmann quasi-particles. The appropriate relaxation times and the characteristic time scale of disturbance also need to be more carefully defined. In the analysis provided above, we chose the fastest time scale $ \omega_S $ to estimate the extreme cases, while the exponential decay rate $ \Gamma $ can also be considered as the characteristic time scale. Using this slower frequency would result in less upward shifts compared to those in Table.5.3. Based on the above discussion, a more rigorous second order hydrodynamic description is expected to shed additional light on our measured results. Meanwhile, it illustrates the ideal condition for future studies for the first order hydrodynamics, i.e., a perturbation of very long wavelength in a gas of very high density$^5$. Also, it is instructive to design $^5$The high density setup is already accomplished based on current method, e.g., the USTC group of Ref. Li et al. [2022] achieved a density of $ n \simeq 1.6 \times 10^{13} \text{ cm}^{-3} $. Table 5.3: Comparison of Time Scales and Drude Corrections \| $T/T_F$ \| $\gamma_\eta$ \| $\gamma_\kappa$ \| $\omega_S$ \| $\tau_\eta$ \| $\tau_\kappa$ \| $\Delta\eta$ \| $\Delta\kappa_T$ \| $\lambda[\mu m]$ \| $n_0[c\,m^{-3}]$ \| \|---------\|---------------\|-----------------\|------------\|-------------\|--------------\|-------------\|-----------------\|-----------------\|------------------\| \| 0.278 \| 881.96 \| 1831.17 \| 3707.5 \| 80.54 \| 88.96 \| 8% \| 10% \| 23.53 \| 6.20E+11 \| \| 0.343 \| 994.29 \| 1970.86 \| 3479.3 \| 102.7 \| 108.6 \| 12% \| 14% \| 23.53 \| 4.13E+11 \| \| 0.352 \| 925.65 \| 2101.79 \| 3716.1 \| 83.72 \| 101.4 \| 9% \| 14% \| 24.10 \| 5.24E+11 \| \| 0.376 \| 1697.62 \| 2936.47 \| 4825.3 \| 90.88 \| 83.84 \| 19% \| 16% \| 18.18 \| 4.59E+11 \| \| 0.381 \| 613.71 \| 1341.10 \| 2514.9 \| 121.3 \| 141.3 \| 9% \| 12% \| 32.26 \| 3.58E+11 \| \| 0.398 \| 1078.02 \| 2316.61 \| 3556.7 \| 106.39 \| 121.9 \| 14% \| 18% \| 22.99 \| 3.49E+11 \| \| 0.453 \| 1650.24 \| 3563.71 \| 4857.6 \| 87.39 \| 100.7 \| 18% \| 23% \| 18.87 \| 4.22E+11 \| \| 0.462 \| 1129.95 \| 2790.10 \| 4034.5 \| 87.18 \| 114.8 \| 12% \| 21% \| 22.73 \| 4.11E+11 \| \| 0.494 \| 1272.99 \| 2861.71 \| 3737.0 \| 114.2 \| 137 \| 18% \| 26% \| 22.99 \| 3.13E+11 \| \| 0.521 \| 1438.09 \| 2995.67 \| 4101.1 \| 107.1 \| 119 \| 19% \| 23% \| 22.99 \| 3.86E+11 \| \| 0.557 \| 460.87 \| 1103.35 \| 2123.5 \| 128 \| 163.5 \| 7% \| 12% \| 41.67 \| 2.94E+11 \| \| 0.634 \| 1704.56 \| 3709.63 \| 4538.1 \| 103.6 \| 120.2 \| 22% \| 29% \| 23.26 \| 4.20E+11 \| Here, $\gamma_\eta = (4\hbar q^2/3m) \alpha_\eta$, $\gamma_\kappa = (k_B \hbar q^2/c_V \nu_m) \alpha_\kappa$ are the decay rates as we defined in Sec. 5.1, $\omega_S$ is the adiabatic sound frequency. These three are all in units of inverse second in the table. $\tau_\eta$ and $\tau_\kappa$ are relaxation times for $\eta$ and $\kappa_T$, respectively, in units of microsecond. $\Delta\eta$ and $\Delta\kappa_T$ are upward shift percentage by the Drude model for $\eta$ and $\kappa_T$, respectively. $\lambda$ is the perturbing wavelength and $n_0$ is the total density for both spin states. experiments studying higher order behavior by gradually reducing the wavelength and density, with independent controls. 6.1 Summary This dissertation has presented new time-domain, free evolution methods for measuring hydrodynamic transport coefficients in a normal fluid unitary Fermi gas. The thermal conductivity and the shear viscosity in a universal normal fluid have been measured independently for the first time. I have demonstrated the theoretical basis and experimental setup for measuring the free decay of a sinusoidal density profile in a normal fluid strongly interacting Fermi gas. In the experiment, the gas was confined in a box potential, creating a near-homogeneous sample before being perturbed. The spatial profile was initially created in thermal equilibrium by a perturbing potential. After the perturbation was abruptly extinguished, the dominant spatial Fourier component exhibited an exponentially decaying (thermally diffusive) mode and a decaying oscillatory (first sound) mode, enabling independent measurement of the thermal conductivity $\kappa_T$ and the shear viscosity $\eta$ directly from the time-dependent evolution. This dissertation has also shown that the oscillatory decay of a spatially periodic density perturbation well distinguishes these two modes. For the isothermal static initial conditions employed in the experiments, the thermally diffusive exponentially decaying mode comprises $\simeq 32\%$ of the initial total amplitude of the dominant Fourier component, which is readily apparent in the free hydrodynamic relaxation. This mode enables independent measurement of the thermal conductivity $\kappa_T$. The oscillatory decaying first sound mode determines the sound diffusivity $D_1 = D_\eta + D_k$, yielding independent measurement of the shear viscosity $\eta$. For our results, we find that the shear viscosity measured by this free hydrodynamic relaxation in the box is consistent with that extracted from data on expanding cloud by Bluhm and Schäfer [2016]; Bluhm et al. [2017], which includes a significant density-dependent contribution, for reduced temperatures $T/T_F > 0.45$. At lower temperatures, $T/T_F < 0.4$, the shear viscosity measured in this relaxation experiment is consistently larger than that extracted from the expanding cloud. The thermal conductivity for $T/T_F > 0.45$ is close to the high temperature limit. In contrast to the shear viscosity, the pure density dependent contribution to the high temperature thermal conductivity appears to be quite small. The measured sound diffusivity can be compared to that of Patel et al. [2020], which is shifted upward relative to ours, but exhibits nearly identical scaling with $T/T_F$ and appears to converge at low temperatures. These results emphasize the need for rigorous calculations of the leading density-dependent corrections to the two-body high temperature limits. The method in this dissertation is complementary to frequency domain techniques, where transport properties of quantum fluids have been determined by measuring the hydrodynamic linear susceptibility Hohenberg and Martin [1965]; Hu et al. [2018]; Zhang and Yu [2018]; Mukherjee et al. [2019]. However, this method has several advantages over traditional frequency domain techniques. First, the freedom of designing proper initial conditions in the time domain allows decoupling of physical properties. In our case, the contribution of the thermal diffusion mode and the first sound mode are in phase for the density perturbation $\delta n(q,0)$, but $180^\circ$ out of phase for the temperature perturbation $\delta T(q,0)$, allowing separation of the thermal conductivity and the sound diffusivity. Second, frequency domain techniques usually require driving the system to a steady state, during which additional uncertainties could be added, such as extra energy exchanges or an uncertain driving sufficiency. In contrast, free evolution methods start from the steady state, making measurements simple. In conclusion, I believe the new time-domain free evolution methods presented in this dissertation will shed new light on measuring in ultracold quantum gases, or even other few-body or many-body quantum systems. 6.2 Outlook Prior to our work, it was not obvious that simply measuring the hydrodynamic decay of a periodic density perturbation, created in a box potential, would enable a clear separation of the contributions of a zero frequency, thermally diffusive mode and an oscillating first sound mode in a normal fluid unitary Fermi gas. It can be expected that this idea can be applied to many other experiments. For the next generation experiments in our laboratory, one would expect to explore in the superfluid regime, where the exponentially decaying mode will evolve into an oscillating second sound mode. It is also interesting to change the interaction strength across the BEC-BCS crossover, and from strong to weak interactions, to study the breakdown of fluid dynamics and other novel phenomenon. Also, trapping a spin-imbalanced mixture to study transport properties is another interesting topic. As discussed in chapter 5, our experiments were not performed in a perfect hydrodynamic regime due to systematic limits. We hope to build a system with higher atom density and longer perturbing wavelength to measure those first order transport properties one level better. In contrast, lowering the density and reducing the wavelength would move the system away from first order hydrodynamic regime, proving a platform to study higher order transport properties. Also, we hope to use the DMD to flatten the potential inside the box, making density uniform in all directions. Furthermore, since our data emphasize the need for rigorous calculations of the leading purely density-dependent corrections to the two-body high temperature limits of the transport coefficients, related theoretical studies are expected. We expect that for the general application of arbitrary optical beam modulating techniques, including the DMDs and diffractive beam shapers, great prosperity in future experiments on cold atoms and molecules in all dimensionalites and geometries can be foreseen. DLP7000 DLP 0.7 XGA 2x LVDS Type A DMD datasheet. See https://www.ti.com/product/DLP7000. A new method for directly measuring temperature waves has been reported recently, accessing second sound and thermal diffusion in a unitary Fermi gas. See Z. Yan, P. B. Patel, B. Mukherjee, R. Fletcher, and M. W. Zwierlein, DAMOP21/Session/U07.2. Application notes for the HOLO/OR Top-Hat beam shaper. See https://www.holoor.co.il/application/beam-shaper-top-hat/. A. Adams, L. D. Carr, T. Schäfer, P. 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APPENDICES This code is found online by the author below for performing Jarvis Halftoning. %Program for Image Halftoning by Jarvis Method %Program Description % The input gray image will be converted into halftone image % of same size using Jarvis’s Error Diffusion Method. % %Parameters % inImg — Input Gray Image % outImg — Output Halftoned Image %Author : Athi Narayanan S %Student, M.E, EST, %K.S.R College of Engineering %Erode, Tamil Nadu, India. %email@example.com function outImg = jarvisHalftone(inImg) % inImg = flipud(inImg); inImg = double(inImg); [M,N] = size(inImg); % 255/2 % T = 127.5; T = .5; y = inImg; error = 0; y= [127.5ones(M,2) y 127.5ones(M,2) ; 127.5ones(2,N+4)]; z = y; for rows = 1:M for cols = 3:N+2 % round up or down to be binary z(rows,cols) = T2(y(rows,cols)>=T); % error of the rounding calculated error = -z(rows,cols) + y(rows,cols); % error is distributed among neighboring pixels y(rows,cols+2) = 5/48 error + y(rows,cols+2); y(rows,cols+1) = 7/48 * error + y(rows,cols+1); y(rows+1,cols+2) = 3/48 * error + y(rows+1,cols+2); y(rows+1,cols+1) = 5/48 * error + y(rows+1,cols+1); y(rows+1,cols+0) = 7/48 * error + y(rows+1,cols+0); y(rows+1,cols-1) = 5/48 * error + y(rows+1,cols-1); y(rows+1,cols-2) = 3/48 * error + y(rows+1,cols-2); y(rows+2,cols+2) = 1/48 * error + y(rows+2,cols+2); y(rows+2,cols+1) = 3/48 * error + y(rows+2,cols+1); y(rows+2,cols+0) = 5/48 * error + y(rows+2,cols+0); y(rows+2,cols-1) = 3/48 * error + y(rows+2,cols-1); y(rows+2,cols-2) = 1/48 * error + y(rows+2,cols-2); end end outImg = z(1:M,3:N+2); % outImg = im2bw(uint8(outImg)); Use this code for the numerical integration method in Sec. 4.2.1, based on the hydrodynamic linear response model. ```matlab function [ f, faxl, faxlerr, faxNl, dn, ndata, ndataerr, nbgdata, bigax, bigaN ] = ... XinLinearHydroNI(n0peak2use, axnormbg2use, axihat1, axnorml, axerrnorml, camera, timestep, t1, t4, lower, upper, cT, SDiff, eta, CR, FEtheta, n) % input ID density as delta n % axnorml and axerrnorml are the points exclude 2 sigma away tn=t4-t1+1; sft = 0; startpoint = 1; endpoint = length(axnormbg2use); axcrl = axnorml(startpoint:endpoint-sft,:) - axnormbg2use( startpoint+sft:endpoint); ``` axerrcrtl = axerrnorml(startpoint:endpoint-sft,:); % bg error is small axcrt=zeros(length(axcrtl),tn); axcrt(:,1)=axihat1; axcrt(:,2:tn)=axcrtl(:,6:tn+4); axerrcrt=zeros(length(axerrcrtl),tn); axerrcrt(:,1)=mean(axerrcrtl(:,1:5),2)./sqrt(5); axerrcrt(:,2:tn)=axerrcrtl(:,6:tn+4); [nfit,densityOffset] = PolyTanhAnalyticFunction(axnormbg2use(startpoint+sft:endpoint)); % rescale the data from pixels to microns ntwid = abs(nfit-(max(nfit)-1))./max(nfit-(max(nfit)-1)); x = linspace(1,length(ntwid),length(ntwid)).camera.psize; numzpoints = floor(max(x)); z = linspace(1,numzpoints,numzpoints); dz = z(2) - z(1); nscale = max(interp1(x,ntwid,z,'spline'),0.0001); nfitz = interp1(x,nfit,z,'spline'); ndatainit = interp1(x,axcrt(:,1),z,'spline'); ndata = interp1(x,axcrt,z,'spline'); ndataerr = interp1(x,axerrcrt,z,'spline'); nbgdata = interp1(x,axnormbg2use(startpoint+sft:endpoint),z,'spline'); % load Martin's fE data and interpolate load('MartinEOS.mat'); dtheta = 0.001; theta0steps = 0:dtheta:1.5; fE = interp1(FEtheta(:,1),FEtheta(:,2),theta0steps,'pchip'); fEprime = gradient(fE,dtheta); % find theta0 from sound velocity and average density % boxvol = (167e-4)(43e-4)(54e-4); % box size in microns % for cylindrical gaussian box % boxvol = (160e-4)(43.5e-4)(51e-4); % box size in microns % for TH box % boxvol = (107e-4)(43.5e-4)(51e-4); % box size for center % of Smaller TH box % n0 = 2Nctrbg2use/boxvol; % use this for data taken after % spin balance fix n0 = 2n0peak2use; % use this for max density in the % center kB = 1.3806504E-16; hbar = 1.0545716E-27; mLi6 = 9.9883414E-24; eF0 = hbar^2/(2mLi6)(3pi^2n0)^(2/3)/kB; %cgs vF0 = sqrt(2eF0kB/mLi6); cTInterp = vF0sqrt(fE/3-(2/15).fEprime.theta0steps); theta0 = interp1(cTInterp,theta0steps,cT,'pchip'); fE0 = interp1(theta0steps,fE,theta0,'pchip'); fE0prime = interp1(theta0steps,fEprime,theta0,'pchip'); thetaZ = theta0 ./ (nscale.^(2/3)); fEthetaZ = interp1(FEtheta(:,1),FEtheta(:,2),thetaZ,'spchip'); grad_fEthetaZ = gradient(fEthetaZ,dz); % hydro-thermal properties CV1 = (3/5) * fE0prime; CP1 = CV1 * fE0 / (fE0 - (2/5) * theta0 * fE0prime); alfa = (hbar/mLi6) * eta; C1 = CR - 1; C2 = SDiff * (hbar/mLi6); % gradient method dU0dz = (-2/3) .* (fEthetaZ - (2/5) .* thetaZ .... grad_fEthetaZ) . (gradient(nfitz, dz) ./ (nscale .^ (1/3))); % figure; plot(dU0dz); U0 = zeros(size(dU0dz)); for i = 1:length(dU0dz) U0(i) = sum(dU0dz(1:i)); end dt = 1e-6; tend = timestep(t4-t1)+1; % for ending time in simulation t = linspace(0, tend, tend+1) dt; dn = zeros(length(t), length(z)); dn(1,:) = ndatainit; dn(2,:) = ndatainit; dndot = zeros(length(t), length(z)); dUdz = ones(length(t) - 1, length(z)) .* dU0dz * 1e4; V0force = zeros(length(t) - 1, length(z)); dT = zeros(length(t), length(z)); for i = 3:(length(t)) dndot(i-1,:) = 1/dt .* (dn(i-1,:) - dn(i-2,:)); dndotdz = gradient(dndot(i - 1,:), dz1e-4); d2ndotdz2 = gradient(dndotdz, dz1e-4); dndz = gradient(dn(i - 1,:), dz1e-4); d2ndz2 = gradient(dndz, dz1e-4); dTdz = gradient(dT(i - 1,:), dz1e-4); d2Tdz2 = gradient(dTdZ, dz1e-4); V0force(i - 1,:) = 0.5 .* vF0.^2 .* gradient(dn(i - 1,:)) .* dUdz(i - 1,:), dz1e-4); dn(i,:) = 2 . dn(i - 1,:) - dn(i - 2,:) + dt.^2 .* (cT^2 .* (d2ndz2 + d2Tdz2) ... + (4/3) .* alfa .* d2ndotdz2 + V0force(i - 1,:)); supress = dn(i,:); old = dn(i - 1,:); supress(nscale < 0.0003) = old(nscale < 0.0003); dn(i,:) = supress; dT(i,:) = dT(i - 1,:) + C1.(dn(i,:) - dn(i-1,:)) + dt . C2 .* d2Tdz2; end dn=dn'; % reshape to agree with ndata dn=dn(:,((t1:t4)-t1)timestep+1); % reduce num of dn to the same as data %% Fourier transform % n=2000; ax=ndata(lower:upper,:); axerr=ndataerr(lower:upper,:); bigax=zeros(n, size(ax,2)); bigaxerr=zeros(n, size(axerr,2)); bigax(n/2+1-round(length(ax)/2):n/2+round((length(ax)-1)/2),:)=ax; bigaxerr(n/2+1-round(length(ax)/2):n/2+round((length(ax)-1)/2),:)=axerr; axN=dn(lower:upper,:); bigaxN=zeros(n, size(axN,2)); bigaxN(n/2+1-round(length(ax)/2):n/2+round((length(ax)-1)/2),:)=axN; fax=zeros(size(bigax,1), size(bigax,2)); faxerr=zeros(size(bigaxerr,1), size(bigaxerr,2)); Fs=n; % sampling frequency for i=1:size(bigax,2) fax(:,i)=real(fft(bigax(:,i))); % method of direct FFT faxerr(:,i)=abs(real(fft(bigaxerr(:,i)))); end faxl=fax(1:n/2+1,:); faxlerr=faxerr(1:n/2+1,:); faxl(2:end-1,:)=2faxl(2:end-1,:); faxlerr(2:end-1,:)=2faxlerr(2:end-1,:); faxN = zeros(size(bigaxN,1),size(bigaxN,2)); for i = 1:size(bigaxN,2) faxN(:,i) = real(fft(bigaxN(:,i))); % faxN(:,i) = abs(fft(bigaxN(:,i))); end faxN1 = faxN(1:n/2+1,:); faxN1(2:end-1,:) = 2faxN1(2:end-1,:); f = Fs(0:(n/2))/n; Use this code to get the Fourier transform of $\delta n(z,t)$. The filter applied on the initial condition $\delta n(z,0)$ is only for the purpose of choosing region of interest. function [axihat1, axOrig1, f, mfax1, mfax2, sfax1, sfax2] = ... XinFourierAndFilter(camera, MyData1, CDIndArray1, NormPoint, Nctrbg2use, axnorm1, axnormbg2use, ctr, lower, upper, n, wd) % Get the FFT of each single shots and calculate the error [nfiles1,-] = size(MyData1); ff = ones(nfiles1,1); PSummary = unique(MyData1.Parameter); Nparams = length(PSummary); x = linspace(1,length(axnormbg2use),length(axnormbg2use)) . camera.psize; numzpoints = floor(max(x)); z = linspace(1,numzpoints,numzpoints); % n=2000; f = 0:n/2; mfax1 = zeros(n/2+1,Nparams-4); mfax2 = zeros(n/2+1,Nparams-4); sfax1 = zeros(n/2+1,Nparams-4); sfax2 = zeros(n/2+1,Nparams-4); % For initial condition, which is average of first 5 shots for i=1:5 fparam=logical((MyData1.Parameter==PSummary(i+0).* ff); CDsum=sum(CDIndArray1(:,ctr-wd:ctr+wd,fparam),2); Nctrl=sum(sum(CDIndArray1(:,ctr-wd:ctr+wd,fparam)))camera.psize^2; axn = CDsum./reshape(Nctrl,1,1,[])Nctrbg2use/NormPoint - axnormbg2use; fax2F(:,i) = mean(fft(axn),3); % for the initial goes to filter ax = interp1(x,axn,z,'spline'); bigax=zeros(n,1,size(ax,3)); bigax(n/2+1-round(length(ax(lower:upper,:,:))/2):n/2+round((length(ax(lower:upper,:,:))-1)/2),:)=ax(lower:upper,:,:); fax=fft(bigax); fax1=fax(1:n/2+1,:,:); fax1(2:end-1,:,:)=2fax1(2:end-1,:,:); sfax1(:,i)=std(real(fax1),0,3)/sqrt(sum(fparam)); end fax2Filter=mean(fax2F,2); % apply the filter for initial condition here figure(107); plot(abs(fax2Filter(:,1))); dlg_title='Cutoff Input'; num_lines=[1 30]; defaultans={'0.5'}; promptl='enter the cutoff value:'; answer1=str2double(inputdlg(prompt1,dlg_title,num_lines,defaultans)); indices=abs(fax2Filter(:,1))>answer1; % only apply filter to initial condition close figure 107; axhat1=fax2Filter(:,1).indices; axihat1=ifft(axhat1); % FFT of the new initial condition axl=(interpl(x,axihat1,z,'spline'))'; bigaxl=zeros(n,1); bigaxl(n/2+1-round(length(axl(lower:upper,1))/2):n/2+round((length(axl(lower:upper,1))-1)/2),1)=axl(lower:upper,1); fax=fft(bigaxl); faxl=fax(1:n/2+1,:); faxl(2:end-1,:)=2faxl(2:end-1,:); mfaxl(:,1)=real(faxl); % mfaxl(:,1)=abs(faxl); sfaxl(:,1)=mean(sfaxl(:,1:5),2)/sqrt(5); % mfax2(:,1)=imag(faxl); mfax2(:,1)=abs(faxl); % campare with non-filted one axOrig = mean(axnorml(:,1:5) - axnormbg2use,2); axOrigl=(interpl(x,axOrig,z,'spline'))'; figure(120); plot(axOrigl); hold on; plot(axl); hold off; for i=6:Nparams fparam = logical((MyData1.Parameter==PSummary(i+0)).ff); CDsum = sum(CDIndArray1(:,ctr-wd:ctr+wd,fparam),2); Nctrl = sum(sum(CDIndArray1(:,ctr-wd:ctr+wd,fparam)))camera.psize^2; axn = CDsum./reshape(Nctrl,1,1,[])Nctrbg2use/NormPoint-axnormbg2use; ax = interp1(x,axn,z,'spline'); bigax=zeros(n,1,size(ax,3)); bigax(n/2+1-round(length(ax(lower:upper,:,:))/2):n/2+round((length(ax(lower:upper,:,:))-1)/2),:)=ax(lower:upper,:,:); fax=fft(bigax); faxl=fax(1:n/2+1,:,:); faxl(2:end-1,:,:)=2faxl(2:end-1,:,:); mfaxl(:,i-4)=real(mean(faxl,3)); % mfaxl(:,i-4)=abs(mean(faxl,3)); % mfax2(:,i-4)=imag(mean(faxl,3)); % use mfax2 as imaginary part mfax2(:,i-4)=abs(mean(faxl,3)); % use mfax2 as absolute value sfaxl(:,i-4)=std(real(faxl),0,3)/sqrt(sum(fparam)); % sfaxl(:,i-4)=std(abs(faxl),0,3)/sqrt(sum(fparam)); sfax2(:,i-4)=std(imag(faxl),0,3)/sqrt(sum(fparam)); % sfax2(:,i-4)=sqrt(var(real(faxl),0,3)+var(imag(faxl),0,3))/sqrt(sum(fparam)); end end This code is used for the “exact analytic fit function” method in Sec. 4.2.4. It provides both the 4-parameter fit (floating A) and the 3-parameter fit (fixing A for measured $\delta n(q,0)$. ```matlab function EAnFit = fitExactAnalytic(x,t,dnQ0,q,density) if length(x)==4 A = x(1); wT = x(2); Geta = x(3); Gkappa = x(4); else A = dnQ0; wT = x(1); Geta = x(2); Gkappa = x(3); end cT = wT/q; syms('S','real') Cub_eq = S^3 - S^2(Gkappa+Geta) + S(wT^2GetCPowerCV(density,cT) + GkappaGeta) - GkappawT^2 == 0; ``` Gamma = double(solve(Cub_eq)); a = (Gkappa+Geta-Gamma)/2; % wS = wT * sqrt(GetCPowerCV(density,cT)); b = sqrt((wT^2GetCPowerCV(density,cT)+(Gamma-Gkappa)(Gamma-Geta)-0.25(Gkappa+Geta-Gamma)^2)); A0 = A(a^2+b^2-wT^2)/((Gamma-a)^2+b^2); EAnFit = A0.exp(-Gamma.t) + exp(-a.t).((A-A0).cos(b.t)+((Gamma-a)A0+aA)./b.sin(b.t));
of the California Code of Regulations (CCR). MAJOR PROJECTS: Regulatory Changes. On November 16, BBSE submitted to the Office of Administrative Law (OAL) its final rulemaking package on several proposed regulatory changes which implement SB 2658 (Watson) (Chapter 1091, Statutes of 1988), which substantially changed the licensure requirements for LCSWs. Specifically, the Board adopted new section 1874 and amended existing sections 1876 and 1873. (See CRLR Vol. 9, No. 4 (Fall 1989) p. 47 and Vol. 9, No. 3 (Summer 1989) p. 42 for background information.) OAL approved these regulations on December 18. At this writing, Board staff is still preparing the final rulemaking record on three other packages of regulatory changes which were adopted as far back as March 1989. Included in these regulatory changes are new provisions to implement the Permit Reform Act of 1982; regulations implementing AB 3657 (Vasconcellos) (Chapter 1365, Statutes of 1986), which rewrote the laws governing the experience requirements for MFCC licensure; and amendments to several existing regulations regarding abandonment of applications and conduct substantially related to the qualifications and duties of BBSE licensees for purposes of license denial, revocation, or suspension. (See CRLR Vol. 9, No. 3 (Summer 1989) pp. 41-42 and Vol. 8, No. 4 (Fall 1988) p. 46 for extensive background information on these regulatory changes.) LEGISLATION: The following is a status update on bills reported in CRLR Vol. 9, No. 4 (Fall 1989) at page 47: AB 1174 (Klehs) would permit BBSE to develop a diversion program for the rehabilitation of its licensees who are impaired due to abuse of drugs or alcohol. This bill would require BBSE to contract with one or more employee assistance programs to administer such a program for impaired practitioners and would specify the duties and responsibilities of the program. It would also require BBSE to contract with professional associations to coordinate participation in the program, to recruit volunteers to assist in the program, and to promote the program. Finally, this bill would provide that the program is to be operative only until January 1, 1994. AB 1174 is pending in the Senate Business and Professions Committee. AB 2422 (Polanco) would assess a 10% surcharge on the licensing fees of a number of health professions, including MFCCs, LCSWs, and LEPs, in order to fund a student financial assistance project to assist bilingual and bicultural students considering the mental health professions and to encourage currently employed bilingual and bicultural mental health paraprofessionals to pursue advanced degrees in the mental health field. The bill would require that 60% of the funds obtained pursuant to this surcharge will be used to support the training of students selected from professional fields in proportion to the contributions received from each professional group, and 40% will be used to support training of mental health professionals with other underrepresented areas of expertise, and to attract individuals to the mental health profession. This surcharge would remain in effect only until January 1, 1994. AB 2422 is pending in the Assembly Ways and Means Committee. AB 1266 (Tucker), concerning the licensing of alcohol and drug counselors, is pending in the Assembly Health Committee. California. SB 1004 (Boatwright) (Chapter 795, Statutes of 1989), effective January 1, makes it a misdemeanor or a felony offense for any psychotherapist to commit specified acts of sexual exploitation with a current patient or client, or with a former patient or client when the relationship was terminated primarily for the purpose of engaging in these acts, unless the psychotherapist has referred the patient or client to an independent psychotherapist. The new law is the result of a large number of alleged sexual misdeeds by therapists licensed by BBSE, the Board of Psychology, and the Medical Board of California. FUTURE MEETINGS: April 20 in San Francisco. July 13 in San Diego. September 14 in Sacramento. CEMETERY BOARD Executive Officer: John Gill (916) 920-6078 The Cemetery Board's enabling statute is the Cemetery Act, Business and Professions Code section 9600 et seq. The Board's regulations appear in Chapter 23, Title 16 of the California Code of Regulations (CCR). In addition to cemeteries, the Cemetery Board licenses cemetery brokers, salespersons, and crematories. Religious cemeteries, public cemeteries, and private cemeteries established before 1939 which are less than ten acres in size are all exempt from Board regulation. Because of these broad exemptions, the Cemetery Board licenses only about 185 cemeteries. It also licenses approximately 45 crematories, 200 brokers, and 1,200 salespersons. A license as a broker or salesperson is issued if the candidate passes an examination testing knowledge of the English language and elementary arithmetic, and demonstrates a fair understanding of the cemetery business. MAJOR PROJECTS: Regulatory Changes Approved. Following a public hearing at its December 5 meeting in Los Angeles, the Board adopted several proposed changes to its regulations regarding crematory recordkeeping. (See CRLR Vol. 9, No. 4 (Fall 1989) p. 48 and Vol. 9, No. 3 (Summer 1989) p. 43 for background information.) The Board amended existing section 2340(a) to require that holders of a cemetery certificate of authority who operate a crematory maintain specified records. The Board also amended section 2340(a)(8), which requires licensees to keep records regarding the exact date, time, place, and type of disposition of cremated remains. The proposed change adds the option of recording only the name of the person or entity to whom the cremated remains were released. Finally, the Board added subsection (c) to section 2340 to read as follows: "This section shall not be interpreted to require the holder of a certificate of authority to maintain a separate set of records pertaining to cremation." At this writing, these regulatory changes are being prepared for submission to the Office of Administrative Law (OAL) for review. The Board also authorized Executive Director John Gill to make any nonsubstantive changes required by OAL. Endowment Care Fund Rates. At the Board's December meeting, the Board's Endowment Care Fund Subcommittee made a proposal to the Board regarding a proposed increase in endowment care fund contributions. (See CRLR Vol. 9, No. 4 (Fall 1989) p. 48 for background information.) The Subcommittee recommended graduated increases over a three-year period in the following areas: grave space—from the current level of $1.75 per square foot up to $2.50 in 1993; crypts—from the current level of $75 each to $120 each in 1993; additional crypts—from the current level of $40 each to $60 each in 1993; and niches—from the current level of $25 each to $40 each in 1993. The Board approved the Subcommittee's recommendations, and plans to have this proposal introduced as legislation in the near future. Salesperson Licensing. The Board discussed the issue of salesperson licensing at its December meeting. (See CRLR Vol. 9, No. 4 (Fall 1989) p. 48 for background information.) Executive Officer John Gill suggested that the temporary licensing fee of $20 and the original cemetery salesperson license fee of $20 could be combined into a one-time $30 fee. The Board is also considering reducing the effective period of a temporary license from the current ninety days to thirty days. These changes would require legislative action. In conjunction with these changes, the Board would offer two exams per month rather than one. Also, instead of requiring potential licensees to sign up for a particular exam, they would be issued a ticket that they could use at any exam within the temporary licensure period. These changes in exam procedure would reduce paperwork and could be accomplished administratively, according to Mr. Gill. This matter was continued until the March meeting. RECENT MEETINGS: At its December 5 meeting, the Board considered a number of licensing applications: one application for a certificate of authority; four applications for crematory licenses; nine applications for corporate cemetery broker licenses; and one application for an individual cemetery broker license. FUTURE MEETINGS: To be announced. BUREAU OF COLLECTION AND INVESTIGATIVE SERVICES Chief: Alonzo Hall (916) 739-3028 The Bureau of Collection and Investigative Services (BCIS) is one of over forty separate regulatory agencies within the Department of Consumer Affairs (DCA). The Chief of the Bureau is directly responsible to the director of the Department. Pursuant to the Collection Agency Act, Business and Professions Code section 6850 et seq., the Bureau regulates the practices of collection agencies in California. Collection agencies are businesses that collect debts owed to others. The responsibility of the Bureau in regulating collection agencies is two-fold: (1) to protect the consumer/debtor from false, deceptive, and abusive practices and (2) to protect businesses which refer accounts for collection from financial loss. The Bureau also plays an important role in protecting collection agencies from unlawful competition by the detection and prohibition of unlicensed activity within the industry. In addition, eight other industries are regulated by the Bureau, including private security services (security guards and private patrol operators), repossessioners, private investigators, alarm company operators, protection dog operators, medical provider consultants, security guard training facilities, and locksmiths. Private Security Services. Regulated by the Bureau pursuant to Business and Professions Code section 7544 et seq., private security services encompass those who provide protection for persons and/or property in accordance with a contractual agreement. The types of services provided include private street patrols, security guards, watchpeople, body guards, store detectives, and escort services. Any individual employed for these services is required to register with the Bureau as a security guard. Any security guard who carries a firearm on the job must possess a firearm permit issued by the Bureau. The Bureau operates to protect consumers from guards who unlawfully detain, conduct illegal searches, exert undue force, and use their authority to intimidate and harass. Repossessioners. Repossession agencies repossess personal property on behalf of a credit grantor when a consumer defaults on a conditional sales contract which contains a repossession clause. Pursuant to the Repossessors Act, Business and Professions Code section 7500 et seq., the Bureau functions to protect consumers from unethical methods of repossessing personal property, such as physical abuse resulting in bodily harm, threats of violence, illegal entry onto private property, and misrepresentation in order to obtain property or information about property. Private Investigators. Private investigators conduct investigations for private individuals, businesses, attorneys, insurance companies, and public agencies. The scope of their job generally falls within the areas of civil, criminal, and domestic investigations. Pursuant to Business and Professions Code section 7540 et seq., the Bureau oversees private investigators to protect consumers and clients against investigators who misrepresent, impersonate, or make threats in order to obtain desired information; perform inadequate or incompetent investigations; fail to substantiate charges or charge more than the amount agreed upon; and alter, falsify, or create evidence. Alarm Industry. Alarm company operators install, service, maintain, monitor, and respond to burglar alarms. These services are provided to private individuals, businesses, and public entities. Pursuant to the Alarm Company Act, Business and Professions Code section 7590 et seq., the Bureau regulates
HYDRAULIC MODEL TESTS OF ROCK MATERIAL IN CANYON FERRY DAM SPILLWAY STILLING BASIN BY EUGENE ZEIGLER 510. Memorandum To: Regional Director, Billings, Montana Attention: UM-200 From: Chief, Hydraulics Branch Subject: Hydraulic Model Tests of Rock Material in the Canyon Ferry Dam Spillway Basin The problem of rocks in the stilling basin was investigated in a previous hydraulic model study (REC-ERC-74-27, December 1974). The model showed rocks were drawn into the basin by outlet works flows and could be flushed from the basin by spillway flows. Also, criteria were developed by model tests for flow releases to minimize rocks being drawn into the basin. Flow releases were made from the prototype spillway to flush rocks from the basin and thereafter the prototype operated under the developed criteria. However, rocks again entered the basin. Prototype experience shows the model gave a good indication about method of rock entry and removal, but the model appears inaccurate for the threshold of rock entry. Additional hydraulic model tests were made in an effort to determine anything different about the threshold of rock entry. A finer sand (which tended to move somewhat more easily in the model) was used. These model tests were made for somewhat limited flow conditions and did not indicate a difference from the earlier model study. Evidently at the lower discharges the model does not duplicate prototype action. Thus, field observations are important to determine threshold flow conditions that move rock into the basin. Enclosed is a memorandum report of the additional model tests. One portion of the memorandum deals with "Considerations Concerning Rock in the Stilling Basin." These considerations are given as ideas, and the people directly involved may judge whether or not the considerations have merit. Our work with the Canyon Ferry model is completed. The floor space was needed for another model study, and the Canyon Ferry model was removed. D. L. King Enclosure Copy to: Chief, Division of O&M Technical Services, E&R Center (with copy of enclosure) Blind to: D-220 D-1530 D-1533 D-221 D-1531 (with copy of enclosure to each) BACKGROUND The Canyon Ferry Dam stilling basin experienced abrasion damage from rocks in the basin. A hydraulic model study was made to determine how rocks entered the stilling basin and to develop a method of removing the rocks (REC-ERC-74-27, December 1974). Model tests showed that the river outlets caused currents which carried rocks into the basin, and that sufficient spillway flows could flush rocks from the basin. The prototype spillway was operated during 1974, and an underwater diver inspection verified that 690 m$^3$ (900 yd$^3$) of rock material had been removed from the basin. Thereafter the river outlets' discharge was restricted to prevent rock from being drawn into the basin. Model tests indicated the outlet discharge should be 85 m$^3$/s (3000 ft$^3$/s) or less, and equally divided between the four gates. However, an inspection in 1977 showed that 1030 m$^3$ (1350 yd$^3$) of rock material had again entered the basin. Thus a 56.6 m$^3$/s (2000-ft$^3$/s) limitation was recommended for the outlets' discharge. At the Upper Missouri Region's request, model tests were made to investigate movement of large debris in the basin (memorandum to Regional Director, Billings, Montana, from Chief, Hydraulics Branch, February 1980). After rock was flushed from the basin in 1974, the prototype was operated under criteria developed by the model study. However, the 1977 entry of rock into the prototype basin indicated that the model might not have duplicated prototype rock movement at low discharges. Another possibility was that material may have entered the basin when the prototype operated for 6 days (June 24-30, 1976) with 67.9 m$^3$/s (2400 ft$^3$/s) each from river outlets No. 1 and 4, and 66.8 m$^3$/s (2360 ft$^3$/s) each from spillway gates 2 and 3. The June 1976 flow condition and others were tested in the model. This memorandum documents and reports results of the model tests and gives some considerations concerning the problems of rock material in the Canyon Ferry Dam stilling basin. CONCLUSIONS Model tests indicated the June 24-30, 1976 flow condition was not responsible for drawing rock material into the stilling basin. The evidence is strong that at low discharges the model does not represent prototype action. Possibly rocks will again be drawn into the basin, even with the lower outlet works discharge limitation of 56.6 m$^3$/s (2000 ft$^3$/s). (The basin was cleaned again with a spillway flow in June 1980.) The project should continue their close surveillance of rock in the stilling basin and also maintain an operating record to determine what flow conditions draw rock into the basin. HYDRAULIC MODEL TESTS Because field results were different than the model tests results, additional consideration was given to the model bed material. During previous tests, fines were washed from the sand bed and before another test the sand would be mixed to return it to its initial mixture. However, for the tests reported in this memorandum, the sand in the erodible area downstream from the stilling basin was replaced before each test. Also a finer sand was used for some tests in case it would be susceptible to erosion. Sieve analysis of the two sands is given in figure 1. The primary flow condition for the tests was simultaneous operation of the two outside outlets and the two inside spillway gates. However, other flow conditions were tested so a comparison could be made of one test series with the original model sand and a second test series with finer sand in the model. Also, the method of operating the model influenced flow conditions. Previous tests showed that the best method was to set all model gate openings, slowly bring water into the head box, gradually fill the stilling basin and downstream channel without eroding the sand, and then quickly bring the water level in the head box to the desired reservoir water surface elevation. Another method was to establish the reservoir water surface elevation in the head box after the correct tailwater had been set and then set the model gate openings. However, the first one or two gates opened created eddies which carried sand into the model basin before true flow conditions were established with the remaining gates. Thus, for ease of model operation, flow conditions tested were some gate combinations with the initial test method. Seven tests were made in the 1:48 scale model, table 1. For each test the reservoir water surface elevation was 1156 m (3794 ft), the tailwater elevation 1113 m (3650 ft), and the model operated about 6 hours or approximately 40 hours prototype time. Test No. 1 The discharge was 67.9 m$^3$/s (2400 ft$^3$/s) from each of outlets No. 1 and 4 and 66.8 m$^3$/s (2360 ft$^3$/s) from each of spillway gates 2 and 3. No sand entered the basin, and only minor sand erosion occurred downstream from the basin. Test No. 2 Only river outlets No. 1 and 4 operated, each with a 67.9-m$^3$/s (2400-ft$^3$/s) discharge. Sand was carried into the basin. Most sand entered during the first hour of model operation, a very slight amount the next 2 hours, and no sand appeared to enter during the remaining 3 hours. Sand in the basin and erosion downstream from the basin is shown on figure 2. Test No. 3 All four river outlets operated, each with a 67.9-m$^3$/s (2400-ft$^3$/s) discharge. Sand was immediately carried into the basin at the start of the test and more sand entered the basin than in the previous test (fig. 3a). Similar to the previous test, most of the sand entered at the beginning of the test and none was detected entering the basin during the latter part of the test. The eroded areas downstream from the basin showed a tendency for fines to be removed and some coarser particles (fig. 3b). Thus armoring appeared to develop and stop the erosion process. Test No. 4 For this test the finer sand was used, and model flow was the same as test No. 1. Only slight erosion occurred downstream from the basin and no appreciable amount of sand entered the basin (fig. 4). At the left side of the photograph a few sand grains can be seen next to the basin wall and just upstream from the end sill, but not enough to measure. Test No. 5 Model flow conditions were the same as for test No. 2 with the finer sand. Some sand was carried into the basin and erosion occurred downstream from the basin (fig. 5). Test No. 6 Model test conditions were the same as for test No. 3 except the finer sand was used. The sand carried into the basin is shown in figure 6a. Also some rocks were carried into the left bay of the stilling basin (fig. 6b). The rocks came from the downstream left corner of the model stilling basin. Rocks were used in the model to represent remnants of the cofferdam from construction of the pumping plant. Test No. 7 All four river outlets operated, each with a 21.2-m$^3$/s (750-ft$^3$/s) discharge. A slight amount of sand was drawn into the stilling basin, figure 7. DISCUSSION OF TESTS After each test the volume of sand deposited in the left and right bays of the model stilling basin was measured and converted to prototype units (table 1). For comparable tests, more fine sand was carried into the stilling basin, providing more downstream erosion. Even with the fine (more erodible) sand in the model and for the flow condition of primary interest; sand was not carried into the stilling basin (test No. 4). Therefore, entry of rock material in the prototype basin apparently was not caused by this flow condition. Each of the three flow conditions (tests No. 4, 5, and 6) had a different erosion pattern downstream from the end sill (figs. 4, 5, and 6). For test No. 4, erosion downstream from the end sill was slight. The erosion had a general distribution across the basin width with a maximum at the center and decreasing toward the sides (fig. 4). For test No. 5, erosion was more localized and there was an erosion hole on each side of the basin (fig. 5). The difference in erosion between tests No. 4 and 5 showed that operating the two inside spillway gates effectively decreased erosion forces in the downstream channel. For test No. 6, the erosion was again localized but with three erosion holes. A smaller hole was located at the middle of the basin (fig. 6). The various erosion patterns that developed for the different flow conditions indicate that the prototype is susceptible to movement and changing patterns of rock material downstream from the end sill. Observation of sand movement in the model stilling basin was difficult. Air bubbles in the turbulent water covered the water surface immediately downstream from the basin. However, by placing an empty glass jar partly in the water, some of the air bubble interference was eliminated when looking downward through the bottom of the jar. Sand movement into the basin and downstream from the basin could be observed. Numerous observations were made during test No. 6. At the beginning of the test there was a continuous movement of sand into the basin. After 1 hour of operation much of the erosion shown in figure 6 had already occurred and sand movement was not as prevalent. Near the end of the test, only occasional sand movement occurred downstream from the basin. No movement could be seen for a period of 30 seconds, then a burst of turbulence would move a few sand grains 25 to 75 mm (1 to 3 in). However, sand did not move into the basin. Evidently erosion equilibrium is approached after a sufficient large erosion hole has developed downstream from the basin. Location of the large rocks that moved into the stilling basin during test No. 6 was coincidental to location of the large debris of the previous model study. Note in figure 6b the two squares marked on the floor just left of the rocks. These two squares note the location of two 1- by 1-m (3.5- by 3.5-ft) concrete slabs found in the prototype stilling basin. These rocks in the model stilling basin indicate the possibility of erosion from the cofferdam remnant. Previous model tests indicated outlet flows of 84.9 m$^3$/s (3000 ft$^3$/s) or less brought very little sand into the model stilling basin, figure 8 of REC-ERC-74-27. Test No. 7 was made with the 84.9-m$^3$/s outlet works discharge and with finer model sand. Again, very little sand was drawn into the basin, figure 7 and table 1. The amount of sand drawn into the basin did not appear much different when using the finer sand, and test No. 7 did not refute the earlier model tests with somewhat coarser sand. Thus model test results do not explain how rock material was drawn into the prototype stilling basin at outlet works discharge of 84.9 m$^3$/s (3000 ft$^3$/s) or less. CONSIDERATIONS CONCERNING ROCK IN THE STILLING BASIN After the prototype operated 3 years under criteria developed by the model study, approximately 1020 m$^3$ (1350 yd$^3$) of rock material had been drawn into the stilling basin. This volume was greater than the 690 m$^3$ (900 yd$^3$) which had previously entered the basin without any restrictions upon prototype operation. This prototype experience indicates the model is not duplicating rock movement at low discharges. Sediment modeling is not an exact science and it is not unreasonable that the model could be somewhat off. Thus the project should closely monitor the presence of rock in the stilling basin in order to accurately determine what discharges will and will not cause rock entry. Could rock material be drawn into the prototype basin when establishing a new and different set of gate openings? For the model tests, erosion was strongest at the beginning of the test. Also, earlier model experience showed some sand could be drawn into the model basin when opening the first one or two gates. If field policy is to open one gate to the desired gate opening before proceeding to the next gate then possibly a large return flow may form and draw rock material into the basin. Model test No. 6 had some large rocks from the cofferdam remnant carried into the stilling basin. Possibly in a future underwater inspection the divers should look at the integrity of the grouted rock area at the downstream left corner of the stilling basin and also the steep channel side (if its structural stability depends upon grouted concrete) between the end of the basin and the pumping plant. The prototype experience, related to information gained from the model tests, provides a consideration should future cleaning of the stilling basin be required. In 1972, 13 000 m$^3$ (17 000 yd$^3$) of rock material were taken from the basin with a clamshell bucket mounted on a platform barge and the equipment was removed. Subsequently, 690 m$^3$ (900 yd$^3$) of rock material entered the basin, considerably less than the previous rock entry. For future cleaning with equipment, movement of rock downstream from the end sill should be considered. The basin should be cleaned and the barge taken to a safe location away from the basin. The river outlet works should be operated to draw downstream rock material into the basin. The equipment can again remove rock from the basin. Hopefully most rock material downstream from the basin which is susceptible to being drawn into the basin will have been removed. Eugene Zeigler Table 1. - Log of model tests \| Test No. \| Operating units \| Discharge per unit \| Material carried into model stilling basin \| \|----------\|-----------------\|--------------------\|-------------------------------------------\| \| \| \| m³/s ft³/s \| L m³ yd³ R m³ yd³ \| \| Test series 1 - original model sand \| \| \| \| \| 1 \| ROW 1,4 S 2,3 \| 67.9 2400 \| None \| \| 2 \| ROW 1,4 \| 67.9 2400 \| L 5 7 R 28 37 \| \| 3 \| ROW 1,2,3,4 \| 67.9 2400 \| L 316 413 R 349 457 \| \| Test series 2 - finer sand in model \| \| \| \| \| 4 \| ROW 1,4 S 2,3 \| 67.9 2400 \| None \| \| 5 \| ROW 1,4 \| 67.9 2400 \| L 61 80 R 190 249 \| \| 6 \| ROW 1,2,3,4 \| 67.9 2400 \| L 742 970 R 1109 1450 \| \| 7 \| ROW 1,2,3,4 \| 21.2 750 \| L 5 7 R 8 11 \| Operating units: ROW - units of the river outlet works operated for the test. S - units of the spillway operated for the test. Material carried into model stilling basin: L - designates the left bay. R - designates the right bay. Figure 1. - Sieve analysis of model sands. Figure 2. - Sand in basin after test No. 2. a. Sand in basin after test. b. Armoring effect at eroded areas. Figure 3. - Test No. 3. Figure 4. - Practically no sand in basin after test No. 4. Figure 5. - Sand in basin after test No. 5. a. Sand in basin after test. b. Rock drawn into the left bay of the stilling basin. Figure 6. - Test No. 6. Figure 7. - Very slight amount of sand in the basin after test No. 7.
HORMONAL REGULATION OF SEED DEVELOPMENT AND GERMINATION IN TOMATO. STUDIES ON ABSCISIC ACID- AND GIBBERELLIN-DEFICIENT MUTANTS HORMONALE REGULATIE VAN DE ZAADONTWIKKELING EN KIEMING BIJ TOMAAT. ONDERZOEK AAN ABSCISINEZUUR- EN GIBBERELLINE-DEFICIËNTE MUTANTEN Promotoren: Dr. C. M. Karssen persoonlijk hoogleraar bij de vakgroep Plantenfysiologie Dr. J. Bruinsma hoogleraar in de fysiologie der planten Steven P. C. Groot HORMONAL REGULATION OF SEED DEVELOPMENT AND GERMINATION IN TOMATO STUDIES ON ABSCISIC ACID- AND GIBBERELLIN-DEFICIENT MUTANTS PROEFSCHRIFT TER VERKRUGING VAN DE GRAAD VAN DOCTOR IN DE LANDBOUWWEETENSCHAPPEN, OP GEZAG VAN DE RECTOR MAGNIFICUS, DR. C. C. OOSTERLEE. IN HET OPENBAAR TE VERDEDIGEN OP WOENSDAG 20 MEI 1987 DES NAMIDDAGS TE VIER UUR IN DE AULA VAN DE LANDBOUWUNIVERSITEIT TE WAGENINGEN The investigations were supported by the Foundation for Fundamental Biological Research (BION), financed by the Netherlands Organization for the Advancement of Pure Research (ZWO) and performed at the Department of Plant Physiology, Agricultural University Wageningen, The Netherlands. STELLINGEN I Hormoon-deficiente mutanten zijn ideale blanco's bij het vaststellen van de regulerende rol van hormonen. C.M. Karsen en E. Łącka, 1986. A revision of the hormone balance theory of seed dormancy: studies on gibberellin and/or abscisic acid deficient mutants of Arabidopsis thaliana. In: Plant growth substances 1985 (M. Bopp, ed.), pp. 315-323. Springer-Verlag, Berlin-Heidelberg. Dit proefschrift. II De door endogene gibberellinen geïnduceerde hydrolyse van de endospermcelwanden is essentieel voor de kieming van tomatezaden. Dit proefschrift. III De door ontwikkelende zaden geproduceerde gibberelline(n) stimuleren bij tomaat de vruchtgroei en vertragen de vruchtrijsing. Dit proefschrift. IV De op grond van experimenten met geïsoleerde embryo's gepostuleerde hypothese dat abscisinezuur in ontwikkelende zaden de synthese van reserve-eiwitten stimuleert en de voortijdige kieming remt, wordt tegengesproken door het ongewijzigd verloop van deze processen in ontwikkelende abscisinezuurdeficiente zaden. R.C. Ackerson, 1984. Regulation of soybean embryogenesis by abscisic acid. J. Exp. Bot. 35: 403-413. R.C. Ackerson, 1984. Abscisic acid and precocious germination in soybeans. J. Exp. Bot. 35: 414-421. Dit proefschrift. V Bij het interpreteren van splitsingsverhoudingen in een koppelingssanalyse dient rekening gehouden te worden met mogelijke pleiotrope effecten op de pollen en/of zaadkieming. Dit proefschrift. VI De argumenten die De Lacaze-Duthiers en Kükenthal gebruiken ter afscheiding van de koraalsoort coralloides van het genus Alcyonium zijn onterecht. H. De Lacaze Duthiers, 1900. Les coralliaires de Golf de Lion, Alcyonaires. W. Kükenthal, 1916. Die gorgonarien Westindien. Kap. 1 Die Scleraxonier. S.P.C. Groot en S. Weinberg, 1982. Biogeography, taxonomical status and ecologie of Alcyonium (Parerythropodium) coralloides (Pallas, 1766). Marine ecology 3: 293-312. VII Verbetering van het wortelstelsel door middel van veredeling kan een bijdrage leveren aan een grotere stresstolerantie van het bovengrondse deel van het gewas. S. Zijlstra en A.P.M. den Nijss, 1987. Effects of rootsystems of tomato genotypes on growth and earliness, studied in grafting experiments at low temperature. Euphytica 36: in druk. VIII Aantasting van klassiek genetisch onderzoek is een vorm van genetische erosie. IX Kruisbestuiving tussen klassiek-genetisch en plantenfysiologisch onderzoek levert ongedachte 'hybrid vigour'. X Afschaffing van het zevenvoudig brevettenssysteem en de daaraan gekoppelde hiërarchie in de Nederlandse Onderwatersportbond (NOB) verbetert zowel de motivatie als de veiligheid van de beginnende sportduik(st)er. XI Bij handhaving van het huidige regeringsbeleid ten aanzien van verlaging van de budgetten voor wetenschappelijke onderzoeksinstiuten en verhoging van de subsidies aan het bedrijfsleven, lijkt het voortbestaan van wetenschappelijk onderzoek gebaat te zijn bij een onmiddellijke privatisering. XII Roken in een restaurant getuigt van smakeloosheid. Stellingen behorende bij het proefschrift: "Hormonal regulation of seed and fruit development and germination in tomato. Studies on abscisic acid- and gibberellin-deficient mutants." door Steven P.C. Groot. Wageningen, 20 mei 1987 in herinnering aan mijn grootvader, B. Boeve VOORWOORD Het voor u liggende proefschrift beschrijft het grootste deel van de resultaten van een driejarig onderzoeksproject dat is uitgevoerd op de vakgroep Plantenfysiologie van de Landbouwuniversiteit. Een groot aantal mensen heeft direct of indirect een bijdrage geleverd aan het project en aan de totstandkoming van dit proefschrift. Het is ondoenlijk om op deze plaats iedereen persoonlijk te bedanken, toch wil ik een aantal mensen met name noemen. Allereerst Professor Dr. C.M. Karsen, begeleider bij het onderzoek en een van mijn twee promotoren. Beste Cees, jouw voorbereiding van het project maakte het welhaast onmogelijk om geen resultaten te verkrijgen, het bespaarde mij in ieder geval de frustraties van menige promovendus. Dat je jezelf weleens 'vader' van de zaadclub noemt, tekent je belangstelling voor ons, binnen en buiten het Botanisch Laboratorium. Ingrid van Yperen verrichtte een groot deel van de biochemische analyses. Ingrid, dankzij jouw grote inzet en nauwkeurige wijze van werken was het mogelijk om uit de lastige problematiek van de reserve-eiwitten te komen. Het vaak intensief meedenken van de overige leden van de zaadclub leverde waardevolle suggesties. Met Roelf Weges bracht ik 3 jaar op dezelfde kamer door. De knetterende discussies die ik met hem en Cees voerde over godsdienst en politiek heb ook ik zeer gewaardeerd. De praktische ervaring van Henk Hilhorst en zijn kennis van de Engelse taal waren een welkome steun; aan de zwempartijen met Harro Boumeester bewaar ik meer dan één prettige herinnering. De resultaten kwamen mede tot stand door de grote inzet en betrokkenheid van de studenten en HBO-stagiaires (in chronologische volgorde): Henriëtte Schmierrmann, Mien van der Ven, Joska Buitendijk, Robert Dijkman, Arjan Stolte en Theo Heimgartner. Het aanstekelijke enthousiasme van Robert ging zelfs zover dat hij zowel zijn stage als zijn afstudeeropdracht bij mij uitgevoerd heeft. The enzymological studies were carried out in cooperation with the Polish scientist Barbara Kieliszewska-Rokicka, whom I would like to join once on a trip in the Tatra mountains. Zonder de mutanten zou het onderzoek niet mogelijk geweest zijn. Zij werden beschikbaar gesteld door Professor Dr. J. van der Veen en Maarten Koornneef van de vakgroep Erfelijkheidsleer. Professor Dr. J.A.D. Zeevaart, Michigan State University USA, demonstrated the gibberellin deficiency of the ga-1 and the ga-2 mutants. De opkweek van planten voor de proeven en de productie van de vele zaden die nodig waren in de kiemingsexperimenten vond plaats dankzij de inzet van Gerrit van Geerenstein, Aart van Ommeren, Jan Verburg, Wilbert Alkemade, Willem van Blijderveen, Tia Bosma, Henk Kuipers en verscheidene vakantiehulpers. Professor Dr. J. Bruinsma, mijn tweede promotor, dank ik voor de gastvrijheid die ik bij de vakgroep Plantenfysiologie genoten heb en tevens voor de waardevolle opmerkingen bij de jaarlijkse onderzoeksbesprekingen en bij het doornemen van de manuscripten. Dat er uiteindelijk toch nog een bruikbare bepalingsmethode voor uiterst geringe hoeveelheden abscisinezuur tot stand kwam was te danken aan het koppige doorzettingsvermogen van Evert Vermeer en zijn grote vakkennis op het gebied van de gaschromatografie. Toch kom je zonder goed functionerende apparatuur ook in de plantenfysiologie niet ver. Gelukkig waren Ruth van der Laan en Ben van der Swaluw altijd bereid te helpen. Alle andere leden van de vakgroep Plantenfysiologie dank ik voor hun collegialiteit, de prettige sfeer en de medewerking op allerlei terreinen. De endospermweerstandsmetingen zijn uitgevoerd bij het TNO Instituut voor Graan Meel en Brood. Met name Herman van der Haar, Jerry van Maanen en John Wokke van de afdeling Physica wil ik bedanken voor de gastvrijheid en voor de interesse die ze me bijbrachten voor het gebruik van de PC. Allex Haasdiijk en Paul van Snippenburg verzorgden de tekeningen, Sybout Massalt het fotowerk en Koos Keizer maakte de SEM-opname voor de omslag van het proefschrift. Frank Dumoulin hielp, met groot enthousiasme en vingervlugheid op de PC, bij de lay-out en het camera-gereed maken van de tekst. Ten slotte wil ik vooral mijn ouders bedanken voor de mogelijkheden en de stimulans die ze me gaven om verder te leren en Marelle voor de steun bij het schrijven van het proefschrift. # CONTENTS \| Chapter \| Title \| Page \| \|---------\|----------------------------------------------------------------------\|------\| \| Abstract\| \| IX \| \| Abbreviations \| \| X \| \| Chapter 1 \| General introduction \| 1 \| \| Chapter 2 \| Gibberellins regulate seed germination in tomato by endosperm weakening: a study with gibberellin-deficient mutants. \| 17 \| \| Chapter 3 \| Gibberellins-induced hydrolysis of endosperm cell walls in gibberellin-deficient tomato prior to radicle protrusion. \| 21 \| \| Chapter 4 \| The role of endogenous gibberellin in seed and fruit development of tomato: studies with a gibberellin-deficient mutant. \| 33 \| \| Chapter 5 \| The role of endogenous abscisic acid in seed development of tomato: Studies with an abscisic acid-deficient mutant. \| 49 \| \| Chapter 6 \| Differences in dormancy and germination between seeds of wild-type and abscisic acid-deficient mutants in tomato. \| 69 \| \| Chapter 7 \| General discussion \| 81 \| \| Samenvatting \| \| 89 \| \| References \| \| 95 \| \| Curriculum vitae \| \| 107 \| VIII ABSTRACT The role of endogenous gibberellins (GAs) and abscisic acid (ABA) in seed development and germination of tomato, was studied with the use of GA- and/or ABA-deficient mutants. GAs are indispensable for the development of fertile flowers. Fertility of GA-deficient flowers is restored by application of exogenous GAs. Fruits and seeds develop without GA, with a possible exception for the initial stage of seed growth. However, seed-produced GA delays maturation of the seeds and ripening of the fruit by one week and increases final seed and fruit weights. ABA levels in developing ABA-deficient mutant seeds are strongly reduced compared to wild-type seeds. Despite the strong reduction of endogenous ABA levels neither dry matter accumulation nor storage protein synthesis are affected. In wild-type seeds embryo-produced ABA is responsible for the development of dormancy during seed development. ABA-deficient seeds germinate viviparously in over-ripe fruits. Germination of wild-type seeds is also inhibited after harvest. Dormancy is relieved during a short period of dry storage. Stored wild-type seeds are much more sensitive to osmotic inhibition of radicle growth and germination than ABA-deficient seeds. Both types of seeds are equally sensitive to inhibition by exogenous ABA. GA is indispensable for tomato seed germination. GA produced by the embryo and excreted to the endosperm, induces hydrolysis of the galactomannan-rich endosperm cell walls. The hydrolysis causes weakening of the mechanical restraint of the endosperm layers that oppose the radicle tip, thereby permitting the radicle to protrude. The separation of ABA- and GA-action in time and in site is a strong argument against the existence of a hormone balance for the regulation of seed dormancy. Abbreviations: ABA abscisic acid dap days after pollination GA gibberellin GAa gibberellins GA4+7 mixture of the gibberellins GA4 and GA7 PAGE polyacrylamide gel electrophoresis SD standard deviation SDS sodium dodecyl sulphate Chapter 1 General introduction Seeds Seeds have an essential function in the reproduction of higher plants and often facilitates dispersal of the species. They are also a main food source and are therefore indispensable for the survival of mankind. Seeds are the origin and produce of many agricultural crops and supply raw material for several technologies. Therefore, considerable efforts have been made to improve seed quality by breeding programs. Studies of seed development and germination may also contribute to the improvement of seed quality. In particular plant hormones are suggested to play an important role in the regulation of seed quality. A regulatory role in food storage and mobilization and in dormancy and germination has often been suggested (See Khan 1982, King 1982, Van Staden et al. 1982, Pharis and King 1985, for recent reviews). The role of hormones in seed development Cytokinins, auxins, gibberellins (GAs) and abscisic acid (ABA) have been chemically identified in extracts of immature seeds of a variety of species. In developing seeds they reach the highest levels known in plant organs. Nevertheless, definite proof for a regulatory role of endogenous hormones during seed development is still scanty (Karssen 1982a). In the majority of studies on hormonal control of seed development conclusions are based on the simultaneous occurrence of peak values in hormone content and certain morphological and biochemical changes. It is obvious that such correlations do not prove that hormones are causally involved in specific aspects of seed growth and development. Therefore, attempts have been made to test the causality of correlative evidence by environmental, chemical, or genetic manipulation of endogenous hormone levels. Environmental manipulation. In other plant organs endogenous hormone levels are often sensitive to subtle changes in the physical environment. Such induced changes are hardly known from studies of seed development, however. The levels of cytokinins and ABA in developing seeds can be manipulated by influencing their synthesis in roots and leaves, respectively. For instance, exposure of roots to water-logging conditions increased the cytokinin content of barley grains (Michael and Seiler-Kelbitsch 1972), while application of water stress to leaves increased the transport of ABA to seeds (Goldbach and Goldbach 1977, Dewdney and McWha 1979). In developing seeds of tomato cytokinin levels also increased when partial removal of leaves augmented the competitive force of the seeds (Varga and Bruinsma 1974, Monaelise et al. 1978). Chemical manipulation. The synthesis of GAs in developing seeds has been successfully inhibited by such growth retardants as ACPC and chloromequat (Baldev et al. 1965, Zeevaart 1966). Genetic manipulation. The use of isogenic lines differing in endogenous hormone content, or hormone sensitivity, offers a decisive means of elucidating the regulatory functions of plant growth substances. The method has been successfully applied in studies on the role of endogenous GAs in elongation growth and of ABA in stomatal closure (Phinney 1985, Tal and Nevo 1973). ABA-deficient mutants of Arabidopsis thaliana proved to be useful tools in studies on the role of this hormone in dormancy induction (Karssen and Taça 1986). Cytokinins. A role of cytokinins in seed development has been suggested in a few studies. In tomato partial defoliation increased cytokinin levels in seeds, which was accompanied by an enhanced rate of seed development (Monaelise et al. 1978). A comparison of near-isogenic lines of barley with different grain weights showed that large-grain lines contained a significantly higher cytokinin content during early seed growth than small-grain lines (Seiler-Kelbitsch et al. 1975). Auxins. In the same barley mutants high grain weight correlated also with a significant higher auxin level (Mounla et al. 1980). Gibberellins. Spraying of plants during seed development with inhibitors of GA-biosynthesis, such as ACPC and chloromequat strongly reduced GA levels in seeds but hardly reduced seed fresh weight in Phaseolus nil (Zeevaart 1966) and pea (Baldev et al. 1965). Barendse et al. (1986) studied the effect of GA on seed development in Arabidopsis thaliana by comparing seeds of wild-type and the GA-deficient ga-1 line. The lack of endogenous GA in developing seeds did not affect any aspect of seed growth, but fruit growth was clearly inhibited. Abscisic acid. Studies with ABA-deficient mutants of Arabidopsis thaliana unequivocally proved that in this species endogenous ABA is responsible for the induction of dormancy during seed development (Karssen et al. 1983). A stimulatory role of endogenous ABA in the synthesis of storage proteins was suggested in studies on the cultivation of immature seeds or seed parts in vitro in the presence or absence of exogenous ABA (Triplett and Quatrano 1982, Schroeder 1984, Bray and Beachy 1985). Crouch et al. (1985) showed that a similar stimulatory effect could be obtained, even more rapidly, by cultivation in an osmoticum. This stimulatory effect was not mediated by an increase in the endogenous ABA level (Finkelstein and Chrouch 1986). The role of hormones in the maintenance and relief of dormancy. After development and maturation, most seeds enter a period of developmental arrest that is characterized by dehydration and cessation of growth and results in either quiescent or dormant seeds. Quiescent seeds only require rehydration for germination, whereas dormant seeds do not germinate at any set of environmental conditions (true dormancy) or at a more or less limited range only (relative dormancy). Breaking of dormancy results in a widening of the range of suitable conditions for germination, making seeds more sensitive to stimulatory factors such as light, nitrate and growth regulators (Karssen 1982b). Under natural conditions dormancy prevents germination under circumstances that are unfavourable for the survival of the seedling, such as burial in soil, shade or extreme temperatures. Modern agriculture demands full germination at broad range of environmental conditions. Therefore, studies on the mechanisms and regulation of dormancy and germination form an essential basis for agricultural practice. It has often been suggested that dormancy and germination depend on the interaction between the growth-inhibiting hormone ABA and the growth-promotive hormones GA and, possibly, cytokinins (Khan 1977). The effects of environmental factors such as light and temperature on the maintenance and relief of dormancy are thought to be mediated by changes in the balance between growth-promotive and -inhibitory hormones. The hormone-balance theory of seed dormancy is mainly based on the effects of applied growth regulators. Doubts on the validity of the hypothesis have been expressed (Black 1980/81, Bewley and Black 1982, Wareing 1982). Mutants which lack the capacity to synthesize specific hormone(s), or are insensitive to hormone(s), provide unique tools to test the theory. The germination of GA-deficient seeds of Arabidopsis thaliana is absolutely dependent on the application of exogenous GA (Koornneef and Van der Veen 1980). The requirement for GA is influenced by the action of ABA during seed development; seeds that are deficient for both GA and ABA require much lower GA levels for germination than GA-deficient seeds (Karssen and Taçka 1986). Based on these observations Karssen and Łącka (1986) formulated a revision of the hormone-balance theory of seed dormancy. In their opinion endogenous ABA and GA never act simultaneously on dormancy in Arabidopsis thaliana. The role of ABA is restricted to the induction of dormancy during seed development, whereas GA is only active in the stimulation of germination. The intermediate state between the action of both (classes of) hormones is that of dormancy: low ABA-levels mean a low level of dormancy that requires low GA-levels during germination, high ABA-levels induce deep-dormant seeds that require relatively high GA-levels to germinate. Present study In the present thesis the role of endogenous GA and ABA in the regulation of seed development, dormancy and germination in tomato is studied by means of GA- and/or ABA-deficient mutants. Compared to the tiny seeds of Arabidopsis thaliana the large size of tomato seeds enables a study of the localization of hormone action in the different seed parts during development and germination. Fig. 1. GA-deficient tomato plants after 4 month cultivation. Plants were raised from ga-l seeds from which endosperm and testa were removed in the area opposing the radicle. Plants grew without any application of exogenous GAs (H₂O) or with one single spray with 10 µM GA₄+7 one week before the picture was taken. Bar represents 10 cm. Fig. 2. Response in maize-d-5-bioassay to extracts of immature wild-type Moneymaker, ga-1 and ga-2 fruits. For each genotype 20 g dry weight (lyophilized) of immature fruits up to 3 cm in diameter were extracted and the acidic phase was subjected to reverse phase HPLC. The fraction number represents the gradient from 20% to 100% methanol. Each fraction was applied to four d-5 maize plants. The first + second leaf sheaths were measured after one week. The data are expressed as percentage of control (untreated 1st + 2nd leaf sheath = 41 mm). (Original graph courtesy of Professor J.A.D. Zeevaart, reproduced with permission). The two GA-deficient lines and the ABA-deficient line, used in the present study, were isolated in a background of the cv. Moneymaker by Professor Van der Veen and Mrs Bosma of the Department of Genetics, Agricultural University, Wageningen (Koornneef et al. 1981, 1985). The mutations were induced by treatment of seeds with ethylmethanesulfonate. GA-deficient mutants. Mutants of the genotypes ga-1/ga-1 and ga-2/ga-2 were selected in the $M_2$ population as non-germinating, GA$_{4+7}$-responsive seeds (Koornneef et al. 1981). The plants that develop from ga-1 or ga-2 seeds after GA-stimulated germination are extreme dwarfs with dark-green leaves and short internodes. Spraying the plants with 10 µM GA$_{4+7}$ reverts the dwarfs phenotypically to wild-type plants (Fig. 1). The lack of endogenous GA in the ga-1 and ga-2 mutant has been demonstrated by Professor J.A.D. Zeevaart, Michigan State University, USA (Fig. 2). ABA-deficient mutant. The ABA-deficient mutant, genotype sitW/sitW, was selected for wilting in the $M_2$ generation. The ABA level in the turgid leaves of sitW plants is about 10% of that in turgid leaves of wild-type plants, water-stressed mutant leaflets do not accumulate ABA, in contrast to wild-type (Cornish and Zeevaart 1985). In this thesis the role of endogenous GA during tomato seed germination was studied by comparing the germination of GA-deficient and wild-type seeds (Chapter 2). Special attention was paid to the weakening of the endosperm layers opposing the radicle tip. An analysis of the enzymatic hydrolysis of the endosperms is presented in Chapter 3. The role of endogenous GA in seed and fruit development was studied by comparison of seeds and fruits developing on ga-1 plants after pollination with either ga-1 or wild-type pollen (Chapter 4). A similar study was conducted on the role of endogenous ABA in seed development (Chapter 5). The influence of endogenous ABA on seed germination was studied in relation to GA-production and GA-deficiency (Chapter 6). A model for the role of endogenous ABA and GA in tomato seed germination is presented in Chapter 7, followed by a summary of the thesis in Chapter 8. Chapter 2 Gibberellins regulate seed germination in tomato by endosperm weakening: a study with gibberellin-deficient mutants. In collaboration with C.M. Karssen. The text of this chapter is accepted for publication in Planta. Abstract. Germination of tomato seeds c.v. Moneymaker is compared to the germination of seeds of the gibberellin-deficient dwarf mutant line ga-1, induced in the same genetic background. Germination of tomato seeds is absolutely dependent on the presence of either endogenous or exogenous gibberellins (GAs). GA4+7 is 1000-fold more active than commercial GA3 in inducing germination of the ga-1 seeds. Red light, a pre-incubation at 2 °C, and ethylene do not stimulate germination of ga-1 seeds in the absence of GA4+7. Fusicoccin stimulates independently, however. Removal of the endosperm and testa layers opposing the radicle tip causes germination of ga-1 seeds in water. The seedlings and plants that develop from the detipped ga-1 seeds exhibit the extreme dwarfy phenotype that is normal to this genotype. Measurements of the mechanical resistance of the surrounding layers show that the major action of GAs is directed to the weakening of the endosperm cells around the radicle tip. In wild-type seeds this weakening occurs in water before radicle protrusion. In ga-1 seeds a similar event is dependent on GA4+7, while fusicoccin also has some activity. Simultaneous incubation of de-embryonated endosperms and isolated axes shows that wild-type embryos produce an endosperm-weakening factor that is absent in ga-1 axes and is probably a GA. Thus, an endogenous GA facilitates germination in tomato seeds by weakening the mechanical restraint of the endosperm cells to permit radicle protrusion. Introduction Since the first report on the stimulative effect of gibberellic acid (GA₃) on lettuce seed germination (Lona 1956), similar results have been described for a large number of species. Nevertheless, definite proof that the promotive effect of GA₃ and other GAs on germination reflects the action of endogenous GAs within the seed is still absent. The well documented GA-induced mobilization of reserves in gramineous seeds is a post-germination event (e.g. Ashford and Gubler 1984). In a few species a causal relationship has been shown between the effect of chilling on the release of dormancy and the increase of GA-like activity (Pinfield and Davies 1978, Taylor and Wareing 1979). An alternative approach involves manipulation of endogenous GA levels by chemical or genetic means and observation of the resulting changes in germination and dormancy. Inhibition of seed germination by inhibitors of GA biosynthesis like diethylene glycol disulfide (Gafni and Shechter 1981) or 2-chloroethyltrimethylammonium chloride (chloromequat) (Hepher and Roberts 1985) have been reported. However, caution is required in interpreting results of inhibitor studies since secondary effects on e.g. sterol biosynthesis and cell division have been demonstrated (Douglas and Paleg 1974; Nitsche et al. 1985). GA-deficient dwarf mutants have been isolated in rice (Murakami 1972), barley (Hopp et al. 1981) and maize (Phinney and Spray 1982). Effects of the GA deficiency on the germination behaviour of their seeds have not been reported, however. Recently, GA-deficient mutants were isolated in Arabidopsis thaliana (Koornneef and Van der Veen 1980) and tomato (Koornneef et al. 1981, 1985). Germination of the Arabidopsis ga-1 mutant absolutely depends on the application of exogenous GAs (Kerssen and Taagk 1986). The monogenic dwarf tomato mutants of the genotypes ga-1/ga-1 (line W335 = V335 = Ve335) and ga-2/ga-2 (line W270 = Ve270), were obtained after treatment of seeds of the cultivar 'Moneymaker' with ethylmethanesulfonate, followed by selection for non-germinating GA₄+₇-responsive seeds in the M₂ population (Koornneef et al. 1981). The plants that develop after GA-stimulated germination of the mutant seeds are extreme dwarfs with dark-green leaves and very short internodes (Zeevaart 1984). In the mutant flower, the corolla and stamens do not elongate and the style is misshapen, both microsporocytes and macrosporocytes are initiated but they degenerate (Koornneef et al. 1985, Nester and Zeevaart 1986). Spraying the plants with 10 µM GA₄+₇ reverts the dwarfs phenotypically to wild-type plants, that develop flowers and produce fruits and seeds. Feeding studies with various GAs and precursors suggest that the GA-biosynthetic pathway in the ga-1 mutant is blocked prior to ent-kaurene and in the ga-2 mutant between kaurenoic acid and GA₁₂ (Zeevaart 1984). The present study analyzes the role of endogenous GAs in tomato seed germination with the use of the ga-1 mutant. Seeds of the cultivar 'Moneymaker' served as GA-producing controls. In particular, the influence of GA-deficiency on the weakening of the endosperm opposing the tip of the radicle was examined. This process has been reported to be stimulated by exogenous GA\textsubscript{4+7} in structurally related pepper seeds (Watkins and Cantliffe 1983). The stimulative actions of ethephon, fusicoccin (Nelson and Sharples 1980) and red light on germination was also studied in the presence or absence of endogenous GAs. Material and methods Seed material. Wild-type tomato, Lycopersicon esculentum Mill., cv. Moneymaker and the GA-deficient genotypes ga-1/ga-1 and ga-2/ga-2 were obtained from Professor J.H. van der Veen of the Department of Genetics, Agricultural University Wageningen. Plants for seed production were raised in a greenhouse during the summers of 1983 and 1985. GA-mutant plants were sprayed once a week with a solution of 10 µM GA\textsubscript{4+7} (Berelex, ICI, U.K.) on the top and flowerbud regions to stimulate shoot growth and development of petals and anthers. Seeds were isolated from mature fruits and incubated in 1% HCl for 1 h to remove the remnants of the mucilagenous locular tissue. Thereafter, the seeds were rinsed with tap water, dried at room temperature, and stored in closed plastic containers in a refrigerator at 7 °C until use. Comparison between wild type and mutant were always made with seed lots from the same harvest date. Germination conditions. Triplicates of 50 seeds were sown in 5 cm glass Petri dishes on one layer of filter paper (Schleicher & Schüll no. 595) moistened with 1.5 ml of distilled water or test solution. GA\textsubscript{3} (Sigma, USA) and GA\textsubscript{4+7} (a gift of ICI, UK), were dissolved in 1 M KOH and diluted with distilled water; the pH of the stock solutions was adjusted to 7.0 with 1 M HCl. Thiomersal (BDH, UK), in a concentration of 0.25 mg/1-l was added to prevent fungal growth. The Petri dishes with seeds were placed in closed plastic boxes and incubated at 26 °C in the dark unless mentioned otherwise. Visible radicle protrusion was used as a criterion for germination; it was normally counted after 7 days. Red light (620–700 nm, 2.6 W.m\textsuperscript{-2}) was obtained by filtering irradiation from 6 red fluorescent tubes (Philips TL 20 W/15) by 3 mm plexiglas (Red 501, Röhm & Haas). Illuminated seeds were irradiated intermittently for 10 min per hour during the first 24 h after the start of imbibition. Incubation of seed parts. Aseptical isolation of de-embryonated seed parts was performed in a laminar flow cabinet under white fluorescent light. The surface of dry seeds was sterilized by a 1 min incubation in 1% sodium hypochlorite, followed by a rinse with sterile tap water. The sterilized seeds were transferred to sterile Petri dishes with sterile distilled water or test solution. Solutions were sterilized with a Millex-GV filter unit (Millipore S.A., France). After 2 to 3 hours of dark imbibition the seeds were cut in halves. From the placental seed half (Fig. 1) all embryo parts were carefully removed with tweezers. In studies on the behaviour of isolated axes, we used the radicle with adjacent part of the hypocotyl that was removed from the placental seed half (Fig. 1). Duplicates of 10 or 11 de-embryonated placental seed halves or isolated axes were further incubated in sterile Petri dishes with one layer of sterile filter paper and 1.5 ml sterile test solution. The Petri dishes were closed with parafilm and placed in the dark at 26 °C. Puncture force determination. To measure the mechanical restraint of the layers opposing the radicle tip, seeds were cut in halves after 2 h of imbibition and the axes were removed from the placental seed halves. In one experiment also the testa was carefully removed, using tweezers. The seed halves were placed on a steel needle of 0.4 mm diameter with the tip ground in the shape of the radicle tip (Fig. 1). The needle was attached to the cross-head of an Instron 1122 universal testing instrument (Instron Ltd., U.K.). The needle with the seed half moved downwards with a speed of 5 mm.min⁻¹ to a hole in a PVC block, placed on a 20 N load cell. The diameter of the hole was such that the needle could pass, whereas needle plus seedhalf were obstructed. In all experiments reported, the same needle and counterhole were used. The puncture force needed to break through the layers opposing the radicle was recorded and taken as a measure for the mechanical restraint of the seed layers. Statistics of the puncture force data. In the first two experiments, the puncture force was determined after incubation of intact seeds for different periods. Incubation periods of 20 h or more led in some cases to germination of part of the seeds. For the puncture force measurements only non-germinated seeds were used. To correct for this partly selective sampling and taking into account the number of germinated seeds, a median was calculated using the following procedure: The $ n $ seeds that had already germinated were removed from the Petri dish which had a total number of 50 seeds. From the 50-$ n $ non-germinated seeds, 10 seeds were tested for their puncture force. The observed values were ordered Fig. 1. Schematic presentation of (A) a section through a tomato seed and (B) the measurement of the puncture force. In A the curled embryo is shown with cotyledons (c), axis (a) and radicle (r) surrounded by endosperm (e), testa (t) and remnants of placental tissue (p). In B the placental seed half is shown, which is attached to the crosshead of an Instron 1122 Universal testing instrument, the radicle is replaced by a needle (n). Needle plus seedhalf move downwards to a block (b) with counterhole. See text for further description of the measurement. by size, whereafter their rank number $i$ ($1 - 10$) in the censored sample was replaced by a plotting position $p$ for the complete sample. This $p$ was calculated by the formula $p = \frac{51^{-1}}{[n+1(51-n)]}^{1-1}$ and plotted with the corresponding observed puncture force values on normal probability paper, from which the median was read. The experiments with de-embryonated seed halves were performed with two duplicates of 10 or 11 seed halves per treatment. The similarity of the duplicate samplings was calculated using the Student-T-test, with a confidence level of 2.5% on both sides. In the absence of significant differences, the duplicates were combined and the mean with standard deviation was calculated. A possible significant difference between two treatments was also calculated using the Student-T-test, but then with a confidence level of 5% at one side. Ethyl acetate extraction. In one experiment 100 isolated axes were incubated in water under intermittent (10 min h$^{-1}$) red irradiation for 24 hours, followed by 2 days dark incubation. Thereafter, the incubation liquid was collected, and axes and filter paper were washed twice with distilled water. The incubation liquid was adjusted to pH 2.5 with 1 M HCl and extracted twice with equal volumes of water-saturated ethyl acetate. The water fraction was neutralized with 1 M KOH and sterilized through a Millex-GV filter. The two ethyl acetate fractions were pooled, evaporated to dryness at 25 °C and the residue was dissolved in 2 ml methanol. This methanol extract was transferred to two sterile Petri dishes with filter paper and allowed to evaporate till dryness. Thereafter 1.5 ml sterile water was added. Results Wild-type seeds germinated in water, but germination of ga-1 and ga-2 seeds was absolutely dependent on application of either GA$_{4+7}$ or GA$_3$, the latter being 1000-fold less effective, however (Fig. 2). The ga-1 and ga-2 lines showed no difference in sensitivity to the exogenous GAs, therefore further experiments were restricted to ga-1 seeds only. The GA requirement of ga-1 seeds could not be replaced by a pre-incubation at 2 °C, an irradiation with red light, or the application of ethylene in the atmosphere (Table 1). However, fusicoccin stimulated the ga-1 seeds in the absence of endogenous GAs. Application of GA$_{4+7}$ could be replaced by removal of endosperm and testa layers opposing the radicle (detipping). From detipped ga-1 seeds, seedlings grew out to the dwarfy ga-1 phenotype. The germination of detipped ga-1 seeds in water suggested that the action of GAs was located in the layers surrounding the tip of the radicle. The Fig. 2. The effect of GA\textsubscript{4+7} and GA\textsubscript{3} on the germination of wild-type (Δ), ga-1 (○, ●) and ga-2 (□, ■) seeds; GA\textsubscript{4+7}: open symbols, GA\textsubscript{3}: closed symbols. Germination was recorded after 7 days incubation at 26 °C in darkness. The puncture force needed to break through these layers after different incubation periods is shown in Fig. 3. In wild-type seeds the puncture force decreased from the 12\textsuperscript{th} h of incubation onwards, which is well in advance of radicle protrusion that started around 20 h. During the early hours of incubation the puncture force required by the ga-1 and wild-type seeds was equal. In water the mechanical restraint of the ga-1 seed layers did not decrease; but in 10 μM GA\textsubscript{4+7} ga-1 seeds behaved like wild-type seeds. The weakening and germination of wild-type seeds, incubated in GA\textsubscript{4+7}, started earlier compared to that of the ga-1 seeds (Fig. 3), which might be due to endogenous GA production in the wild-type seeds. In ga-1 seeds the decrease of the mechanical resistance of endosperm plus testa was compared to that of endosperm alone. In the presence of the testa and remnants of the placenta, the required force had to be about 0.1 N higher. Therefore, the weakening was restricted to the endosperm (Fig. 4). Similar observations were made with wild-type seeds in water or GA\textsubscript{4+7} (data not Table 1. Effects of pretreatments with red light or chilling and of treatments with GA\textsubscript{4+7}, ethylene or fusicoccin, or detipping on the germination of \textit{ga-1} seeds at 26 °C. In detipped seeds, the testa plus endosperm layers opposing the radicle were removed after 2 h of imbibition. Germination was scored after 7 days of incubation. \| Incubation medium \| Condition \| Germination, % \| \|-------------------\|----------------------------\|----------------\| \| water \| dark \| 0 \| \| water \| red 24 h 10 min.h\textsuperscript{-1} \| 0 \| \| water \| dark, 2 °C 7 d \| 0 \| \| GA\textsubscript{4+7} 10 µM \| dark \| 99 \| \| ethylene 8 µl.l\textsuperscript{-1} \| red 24 h 10 min.h\textsuperscript{-1} \| 0 \| \| fusicoccin 10 µM \| dark \| 65 \| \| water \| dark, detipped \| 100 \| Fig. 3. Changes with time of the median force required to puncture the layers opposing the radicle tip (solid lines) and of germination (broken lines) of wild-type ($\Delta, \triangle$) and \textit{ga-1} ($\bullet, O$) seeds incubated in water (closed symbols) or 10 µM GA\textsubscript{4+7} (open symbols). See Material and Methods for the calculation of the puncture force. Fig. 4. Changes with time of the puncture force required to disrupt the ge-1 endosperm (□) or the ge-1 endosperm plus testa (○) in the region opposing the radicle tip during incubation in 10 μM GA_{4+7} at 26 °C. With the testa also remnants of the placental tissue were removed. Endosperms were isolated immediately before the measurements. shown). In the previous time-course experiments puncture forces were measured directly after isolation of the layers from intact seeds. In order to investigate whether the weakening of the endosperm depended on the presence of the embryo, all further isolations were performed at around the 3rd h of imbibition and the isolated de-embryonated seed halves (placental ends) and embryonic axes were further incubated separately. The experiments with de-embryonated seed halves clearly showed that the two genotypes only differed in the embryo. During incubation of embryoless seed halves the weakening of the endosperm resistance depended both in wild type and ge-1 absolutely on exogenous GA_{4+7} (Fig. 5), whereas in intact seeds such dependency only occurred in ge-1 (Fig. 3). The sensitivity of the embryoless seed halves of both genotypes was similar (Fig. 5). In the absence of the embryo the endosperm weakening occurred much slower than in intact seeds. The puncture force decreased to the minimal value of 0.2 N in 72 instead of 32 Fig. 5. Changes with time of the puncture force required to disrupt in de-embryonated seed halves the layers that opposed in the intact state the tip of the radicle. The seed halves of wild type (▲, Δ) and ga-l (●, ○) were isolated after 2 h of incubation in water and thereafter incubated in water (closed symbols) or 10 μM GA₄+7 (open symbols) at 26 °C in darkness. hours (Figs. 3, 5). Fusicoocin was inactive when the seeds were first sterilized with hypochlorite, but it could mimic GA₄+7 to some extent in non-sterilized de-embryonated seed halves. In a concentration of 100 μM fusicoocin the puncture force declined to 0.42 N in 48 hours (data not shown). The previous experiment demonstrated that only wild-type embryos produce a factor that induces weakening of the endosperm, whereas that factor is missing in ga-l embryos. Additional evidence was found when de-embryonated seed halves and isolated axes were incubated together, in different combinations, in a small volume of water (Table 2). Weakening of both wild-type and ga-l endosperms only occurred when wild-type axes were present, it failed in the presence of ga-l axes. Table 2. Mean puncture force (± SD) of 11 de-embryonated seed halves of the ga-1 mutant or wild type, incubated for 7 d with 50 axes of ga-1 mutant or wild type in 1.5 ml water at 26 °C in the dark. The experiment was carried out in duplicate. \| axes \| Mean puncture force ± SD (N) \| \|------\|-----------------------------\| \| \| de-embryonated seed halves \| \| \| Ga-1/Ga-1 \| ga-1/ga-1 \| \| Ga-1/Ga-1 \| 0.28 ± 0.08 \| 0.22 ± 0.08 \| \| ga-1/ga-1 \| 0.56 ± 0.06 \| 0.58 ± 0.07 \| SD = standard deviation Preliminary experiments were directed to the nature of the weakening factor. The incubation medium of 100 wild-type axes was acidified and mixed with ethyl acetate. Tests of the acidic water phase and the ethyl acetate phase on the endosperm weakening in de-embryonated ga-1 seed halves showed that the factor was ethyl acetate soluble (data not shown). Discussion The present experiments with wild-type and GA-deficient seeds clearly show that the germination of tomato seeds absolutely depends on the presence of either endogenous or exogenous GAs. A similar conclusion was reported from studies with the GA-deficient lines of Arabidopsis thaliana (Koornneef and van der Veen 1980, Karssen and Taoka 1986). Thus, in these species the stimulative action of exogenous GAs reflects the action of naturally occurring hormones. Our experiments do not provide information about the nature of the endogenous GAs. Zeevaart (1984) has shown that GA biosynthesis in tomato shoots follows the early-13-hydroxylation pathway leading from GA5 to GA1 and GA8. GA1 is probably the only endogenous GA that is biologically active per se in the control of elongation growth in many higher plants (Phinney 1985). In immature tomato fruits the GA biosynthesis may also follow a presumptive pathway of non-13-hydroxylated GAs (Zeevaart 1985) leading to GA9 and GA4. It is shown in Fig. 2 that exogenous GA4+7 is much more active than GA3. This might indicate that GA\textsubscript{4} and or GA\textsubscript{7} are either biologically active or are easily converted to an active GA in the endosperm. Conversion of GA\textsubscript{4} to GA\textsubscript{1} and GA\textsubscript{34} has been reported for seedlings of dwarf rice (Durley and Pharis 1973) and germinating pine pollen (Kamienska et al. 1976). However, Durley et al. (1976) showed that lettuce seeds cv. Grand Rapids did not convert [3H]GA\textsubscript{4} to other GAs prior to, or immediately following, visible germination. They concluded that GA\textsubscript{4} alone can promote radicle expansion. However, substantial conversion of [3H]GA\textsubscript{4} to [3H]GA\textsubscript{1} occurred during the extension of the lettuce hypocotyl. The activity of the commercial GA\textsubscript{3} may be due to the presence of minor quantities of another active GA. The stimulation of tomato seed germination by red light or ethylene, as reported by Nelson and Sharples (1980), is probably dependent on the presence of endogenous GAs, since both treatments failed to stimulate the germination of GA-deficient seeds (Table 1). Fusicoccin, however, stimulated the germination of tomato seeds independently of endogenous GAs. This observation is in contrast to the results obtained with celery seeds where fusicoccin only stimulated germination in the presence of exogenous GA\textsubscript{4+7} (Thomas and Sambrooks 1985). It has been postulated that fusicoccin stimulates cell growth by promotion of cell wall loosening, mediated by an induced decline of the extracellular pH (Marré 1979). Therefore, the failure of fusicoccin to stimulate tomato seed germination after sterilization with hypochlorite might be explained by an antagonistic effect of some residual hypochlorite on the fusicoccin-induced proton extrusion. The present data make clear that the main action of GAs during germination is directed to the weakening of the endosperm cells surrounding the radicle tip. Endosperm weakening never occurred in ge-1, neither in intact nor in deembryonated seed halves, without addition of GA\textsubscript{4+7} (Figs. 3, 5). Since in wild type weakening was only independent of exogenous GA in intact seeds, it is strongly suggested that an endogenous GA is produced in the embryo of wild-type seeds and diffuses from embryo to endosperm. The results of the reciprocal combination of isolated seed parts support this suggestion (Table 2). Unequivocal evidence that the diffusible factor is a GA is not presented. But the factor is ethyl acetate-soluble and is thus certainly not an endosperm-hydrolysing enzyme. Since fusicoccin is not a natural occurring factor in tomato seeds, the weakening stimulative action of this compound certainly does not mimic an endogenous event. Although the embryo most likely produces a GA, growth of the embryo itself seems not absolutely dependent on GA. When endosperm and testa were removed in the area opposing the radicle tip, embryo elongation occurred in ge-1 without addition of GA\textsubscript{4+7} (Table 1), albeit at a reduced rate. Probably, the rate of cell elongation is reduced in the growing radicle as is generally observed in the area opposing the radicle tip, embryo elongation occurred in ga-l without addition of GA\textsubscript{4+7} (Table 1), albeit at a reduced rate. Probably, the rate of cell elongation is reduced in the growing radicle as is generally observed in mature dwarf mutant plants. It cannot be excluded that the growth of ga-l embryos and plants in the absence of exogenous GAs is the result of endogenous GAs at concentrations below the detection level of the bioassay. However, such a small leakyness of the ga-l allele is not likely since mature ga-l plants maintained their extreme dwarf habitus during at least one year, while all plant parts were still sensitive to application of GA\textsubscript{4+7} (non published results). Evidently, endogenous GAs are not required for the development of the mechanical restraint of the endosperm during seed formation since the resistance during the early hours of incubation was similar in seeds of both genotypes (Fig. 3). An effect of embryonic GAs on endosperm cells has been shown in different seed systems. Well documented is the transport of GAs from embryo tissues to aleurone cells in barley and other cereal seeds (e.g. Ashford and Gubler 1984). In seeds of dicotyledons, e.g., celery, indirect evidence suggests that embryo GA also acts on endosperm tissue (Jacobsen et al. 1976, Jacobsen and Pressman 1979). In these systems, the action of GA is either a post-germination event (barley) or it is required for the pre-emergence growth of embryos at the expense of endosperm breakdown (celery). It is proven here for the first time that endogenous GAs regulate seed germination by weakening of the mechanical restraint of the layers that surround the radicle. Previously Watkins and Cantiliffe (1983) suggested such a role of GA in pepper seeds, because incubation of intact seeds in GA\textsubscript{4+7} enhanced the weakening of the endosperm layers. In lettuce seeds hydrolysis of the endosperm cell walls was also stimulated by exogenous GA, but required the presence of the cotyledons (Halmer and Bewley 1979). The hydrolysis occurred exclusively as a post-germinative phenomenon (Bewley et al. 1983) and thus pointed to a function in mobilization of storage carbohydrates. Obviously, endosperm weakening in tomato will involve a certain degradation of the cell walls, but this occurs prior to germination. Total degradation of the cell walls is probably not required for germination, the process might be limited to a specific loosening of cell wall rigidity, causing sufficient weakening to permit protrusion of the radicle. Therefore, the promotive effect of GAs on the weakening of endosperm cell walls opposing the radicle might be different from the total post-germination hydrolysis of the cell walls in the rest of the endosperm. In lettuce seeds, Georgiou et al. (1983) observed structural modifications in a restricted area of the endosperm opposite the radicle tip, prior to emergence of the radicle. Chapter 3 Gibberellin-induced hydrolysis of endosperm cell walls in gibberellin-deficient tomato seeds prior to radicle protrusion. In collaboration with B. Kieliszewska-Rokicka and C.M. Karssen. The text of this chapter is submitted for publication in Planta. Abstract The weakening of the mechanical restraint of the endosperm layer in tomato seeds, a prerequisite for germination, is studied with the use of seeds of the GA-deficient ga-1 mutant. Incubation of ga-1 endosperms, including part of the testa, in 10 µM GA4+7, results within 12 h in the release of fructose, glucose, galactose and mannose into the incubation medium. Only small amounts of sugars diffuse out of the endosperms during incubation in water. Chemical hydrolysis of endosperm cell walls of ga-1 seeds reveals that they are mainly composed of mannose, and smaller quantities of glucose and galactose. GA4+7 induces in the endosperms the production of endo-β-mannanase activity, that is not detectable during incubation in water. It also induces an increase of mannohydrolase and α-galactosidase activities compared to the water controls. No cellulase activity is found. It is concluded that in tomato seeds the weakening of endosperms prior to radicle protrusion is mediated by a GA-induced enzymatic degradation of the mannan-rich cell walls. Introduction The embryo in tomato seeds is completely surrounded by a rigid endosperm layer. In a previous study it was shown that weakening of the mechanical restraint of the endosperm cells opposing the top of the radicle is a prerequisite for germination (Chapter 2). The study of the seeds of the GA-deficient ga-1 mutant proved that the weakening absolutely depended on gibberellins (GA). In wild-type seeds endosperm weakening is induced by a diffusible embryo factor being most likely a GA. It was hypothesized that GA induces enzymatic hydrolysis of the relatively thick cell walls of the endosperm. The mutants are used in present chapter to study the cell-wall composition of tomato endosperms and the effect of exogenous GA on the weakening process in the absence of endogenous GA. The release of sugars from isolated endosperms and the activity of cellulose- or (galacto-)mannan-degrading enzymes in GA-deficient endosperms: cellulase (EC 126.96.36.199), endo-β-mannanase (EC 188.8.131.52), α-galactosidase (EC 184.108.40.206) and a mannohydrolase is studied. The term mannohydrolase will be used since it has not been determined whether this enzyme is a β-mannosidase or an exo-β-mannanase (Reese 1977). Mannans or galacto-mannans are the major components of endosperm cell walls and function as reserve carbohydrates in seeds of lettuce, fenugreek, date and many other species (see Matheson 1984 and Halmer 1985 for recent reviews). Material and methods Seed material Seeds of the GA-deficient ga-1 mutant of tomato, Lycopersicon esculentum Mill., cv. Moneymaker, were obtained from Professor J.H. van der Veen of the Department of Genetics, Agricultural University Wageningen. Isolation and incubation of endosperms De-embryonated ga-1 seed halves, for short indicated as half endosperms although they also contained part of the testa, were aseptically isolated in a laminar-flow cabinet under white fluorescent light. The surface of dry seeds was sterilized by a 1 min incubation in 1% sodium hypochlorite, followed by a rinse with sterile tap water. After 2 to 3 h of incubation in sterile distilled water, the seeds were cut in halves. The placental seed halves, from which all embryo parts were carefully removed with tweezers, were used in the experiments. Samples of 50 half endosperms were rinsed three times with sterile water and aseptically incubated in closed erlenmeyer flasks with 2 ml of either distilled water or 10 µM GA\textsubscript{4+7}, sterilized with a Millex-GV filter unit (Millipore S.A., France). After incubation for different periods of time in a slowly shaking waterbath at 26 °C, the incubation liquid was analyzed for sugars released and the endosperms were used for enzyme determinations. Derivatization and analysis of the sugars After addition of 50 µg 2-deoxy-D-glucose as an internal standard, the samples were evaporated to dryness at 60 °C. To the dry samples 100 µl water-free pyridine and 50 µl 'Deriva 5il' (Chrompack, NL) were added, thereafter the tubes were sealed and left for 30 min at room temperature to permit derivatization of the sugars. The resulting trimethylsilyl-derivates (TMS-derivates) were analyzed either directly or after a period of storage at -80 °C. The method used resulted for most sugars in at least two derivates, due to α- and β-anomeric forms. The derivatized samples were analyzed by gas chromatography, performed on a Perkin Elmer 8320 gas chromatograph equipped with a flame ionization detector and an internal integrator. A CP Sil 5CB fused silica column, length 50 m, inner diameter 0.32 mm and film thickness 0.13 µm was used. The split ratio of the sample was 1:50. After an initial temperature of 175 °C, the oven temperature was heated to 185 °C at a rate of 0.4 °C.min\textsuperscript{-1}. The injector temperature was 275 °C and the inlet pressure of the carrier gas helium 85 kPa, resulting in a linear gas velocity of 270 mm.s\textsuperscript{-1}. The detector temperature was 300 °C. Isolation and hydrolysis of endosperm cell walls After removal of testa and embryo, batches of 10 endosperms were ground with water in a mortar and passed through a french pressure cell at 100 kN to disrupt the endosperm cells. After centrifugation the pellet was washed twice with 5 ml 70% ethanol and twice with chloroform-methanol (2:1 v/v). The remaining cell-wall material was dried and dissolved in 75 µl sulphuric acid (72% w/v) during 3h at room temperature. Thereafter it was diluted with 1.0 ml distilled water and hydrolyzed in vials closed with teflon-coated caps for 1 h at 120 °C. The hydrolysate was neutralized with bariumcarbonate, centrifuged, filtered and analyzed for sugars. Enzyme extraction Endosperms that had been incubated in water or in GA\textsubscript{4+7} for different periods of time, were homogenized in 1.5 ml 0.2 M phosphate/0.1 M citrate buffer pH 5.0, for extraction of endo-β-mannanase, mannohydrolase and α-galactosidase activities. For extraction of cellulase activity, endosperms that had been incubated 24 h in 10 μM GA$_{4+7}$ were homogenized in water. The homogenates were centrifuged in a microfuge (Eppendorf, FRG) at 15,600 x g for 15 min. The supernatant was used as enzyme preparation and assayed either immediately or after storage at -20 °C. Enzyme assays Endo-β-mannanase activity was assayed viscosimetrically. Locust-bean galactomannan (Sigma Chemical Co, USA) was purified according to Halmer et al. (1975) and dissolved in distilled water. The assay mixture consisted of 10.0 ml galacto-mannan substrate, 5.0 ml phosphate/citrate buffer (pH 5.0; 0.2/0.1 M) and 200 μl enzyme preparation. Decrease of viscosity of the assay mixture in a glass Oswald viscosimeter at 35 °C, was monitored by measuring the decrease in time of flow of the viscosimeter-graduated volume (10 ml) during 30 min. Initial flow time of the assay mixture was about 185 seconds, flow time of distilled water was 30 seconds. Control incubation was performed with boiled enzyme preparation. To assay mannohydrolase activity, 250 μl phosphate/citrate buffer (pH 5.0; 0.2/0.1 M), 50 μl 10 mM p-nitrophenyl-β-D-mannopyranoside (Boehringer Mannheim GmbH, FRG) and 200 μl enzyme preparation were mixed and incubated for 2 h at 35 °C. The reaction was stopped by addition of 2.5 ml 0.1 M Na$_2$CO$_3$. Extinctions were read at 400 nm. Activities were calculated on the basis of p-nitrophenol released. In control incubations extraction buffer was used instead of enzym preparation. To assay α-galactosidase activity, 250 μl phosphate/citrate buffer (pH 5.0; 0.2/0.1 M), 50 μl 10 mM p-nitrophenyl-α-D-galactopyranoside (Sigma Chemical Co, USA) and 200 μl enzyme preparation were mixed and incubated for 10 min at 35°C. The reaction was stopped by addition of 2.5 ml 0.1 M Na$_2$CO$_3$. Extinctions were read at 400 nm. Activities were calculated on the basis of p-nitrophenol released. Enzyme preparation was replaced by extraction buffer in controls. Cellulase activity was also assayed viscosimetrically. The assay mixture consisted of 10 ml 0.5 % (w/v) carboxy methyl cellulose (BDH, UK) dissolved in 25 mM citrate buffer (pH 4.8) and 200 μl enzyme preparation (water-extracted). Decrease in viscosity of the assay mixture in a glass Oswald viscometer at 45 °C, was monitored by measuring the decrease in time of flow of the viscometer-graduated volume during 150 min. Results Release of sugars from incubated endosperms De-embryonated ga-l seed halves, for short indicated as endosperms, were incubated in water or 10 µM GA4+7. During 12 h of incubation in water only low amounts of sugars diffused from the endosperms (Tab. 1). On the contrary, incubation in 10 µM GA4+7 strongly stimulated the release of mannose, fructose, glucose, and galactose into the incubation liquid. The release started between 6 and 12 h of incubation and after 12 h mannose was the most abundant sugar in the diffusate. Release of oligosaccharides into the incubation medium could not be detected by the applied method of analysis. Table 1. Amounts of monosaccharides detected in diffugates from 50 de-embryonated seed halves of ga-l tomato seeds, dissected after 3 h of imbibition in distilled water, rinsed, and incubated in distilled water or 10 µM GA4+7 for different periods of time. \| incubation medium \| time \| released sugars, µg.(50 half endosperms)-1 ± SD \| \|-------------------\|------\|-----------------------------------------------\| \| \| \| mannose \| fructose \| glucose \| galactose \| \| H₂O \| 2 h (n=2) \| trace \| trace \| 2.4 ± 1.4 \| 0.6 ± 0.2 \| \| \| 12 h (n=3) \| 0.5 ± 0.2 \| 1.5 ± 0.3 \| 1.6 ± 1.4 \| 2.1 ± 1.4 \| \| \| 24 h (n=4) \| 0.4 ± 0.1 \| 2.8 ± 2.1 \| 4.5 ± 3.8 \| 2.8 ± 1.9 \| \| GA4+7 \| 6 h (n=5) \| 0.4 ± 0.2 \| 0.6 ± 0.1 \| 1.7 ± 0.2 \| 3.7 ± 0.6 \| \| \| 12 h (n=5) \| 32 ± 5 \| 11 ± 3 \| 10 ± 3 \| 15 ± 3 \| \| \| 24 h (n=6) \| 141 ± 51 \| 59 ± 25 \| 39 ± 14 \| 16 ± 4 \| SD = standard deviation Cell wall hydrolyzates Endosperm cell walls of ga-1 seeds were isolated and chemically hydrolyzed to study the origin of the released sugars. A typical profile of the gas-chromatographic analysis of the derivatized hydrolysate is presented in Fig. 1, and quantitative calculations of the identified sugars are presented in Tab. 2. The polysaccharides of the endosperm cell walls consist mainly of mannose, glucose and galactose. Minor quantities of arabinose, rhamnose, ribose, fructose and two unidentified components were also present in the hydrolysate. Fig. 1. Gas-chromatographic profile of TMS-derivates of sugars produced on chemical hydrolysis of ga-1 endosperm cell walls. 2-Deoxy-D-glucose was added as an internal standard. According to the retention times, these unidentified peaks were not derived from xylose. Mannose represented about two thirds of the amount of sugar units in the endosperm cell walls. Table 2. Sugar composition of hydrolyzates of endosperm cell walls of ga-1 tomato seeds. The values represent the mean ± SD of 4 samples, in μg·endosperm⁻¹. \| Sugar \| Value \| \|-----------\|---------\| \| mannose \| 40.6 ± 2.6 \| \| glucose \| 12.4 ± 1.1 \| \| galactose \| 2.9 ± 0.4 \| \| arabinose \| 1.2 ± 0.3 \| \| ribose \| 1.1 ± 0.2 \| \| fructose \| 0.8 ± 0.2 \| \| rhamnose \| 0.6 ± 0.1 \| SD = standard deviation Enzyme activity in incubated endosperms The activities of three galacto-mannan-hydrolyzing enzymes were analyzed in extracts of half endosperms incubated for different periods of time in water or 10 μM GA₄⁺⁷. Endo-β-mannanase activity could not be detected in half endosperms at the start of incubation, or during further incubation in water (Fig. 2). Incubation in GA₄⁺⁷ induced activity of the enzyme from 6 h onwards. Activity of mannohydrolase was present in low levels at the start of the incubation and doubled during 24 h incubation in water (Fig. 3). Incubation of the endosperms in GA₄⁺⁷ induced an about 4-fold stronger increase of the activity than in the water control. The activity of α-galactosidase was already high at the start of the incubation and hardly changed during further incubation in water (Fig. 4). Incubation in GA₄⁺⁷ increased the activity with about 20%. Water extracts of endosperms incubated 24 h in 10 μM GA₄⁺⁷, contained no cellulase activity. A commercial cellulase (Yakult Hansha Co., Ltd.) preparation, incubated under the same conditions, was highly active (data not shown). Fig. 2. Endo-β-mannanase activity extracted from endosperms after incubation in water (○) or 10 μM GA4+7 (●). Each point represents the mean of at least three independent samples. Error bars = SD. The incubation time was preceded by 3 h of incubation in water. Activity is expressed as a decrease in flow time of the assay mixture in the viscosimeter after 30 min. Fig. 3. Mannohydrolase activity extracted from endosperms after incubation in water (○) or 10 μM GA4+7 (●). Each point represents the mean of at least three independent samples. Error bars = SD. The incubation time was preceded by 3 h of incubation in water. Fig. 4. $\alpha$-Galactosidase activity extracted from endosperms after incubation in water (○) or 10 µM GA$_{4+7}$ (●). Each point represents the mean of at least three independent samples. Error bars = SD. The incubation time was preceded by 3 h of incubation in water. Discussion The occurrence of relatively large quantities of mannose and of smaller quantities of galactose in the hydrolysate of cell walls of tomato endosperm (Fig. 1, Tab. 2), indicates that mannans, possibly galacto-mannans, are the main components of these cell walls. Glucose, that is also present in considerable quantities in the hydrolysate, will originate from cellulose and possibly also from glucose units in the mannan chains. Galacto-glucan-mannans have been found in the endosperms of species of Liliaceae and Iridaceae (Dea and Morrison 1975). Fructose is only a minor component of the cell walls (Tab. 2). The substantial quantities of fructose that diffused out of the endosperms upon incubation in GA$_{4+7}$ (Tab. 1), originated probably from sucrose, or its galactolyzed derivatives such as raffinose, stored in the cytoplasm of the endosperm cells. Hydrolysis of the cytoplasmatic carbohydrates seems also GA-induced since they do not diffuse from water-incubated endosperms. Part of the glucose and galactose in the diffusate may also originate from this cytoplasmic source. Lack of cellulase activity after 24 h incubation means that the glucose in the diffusate does not originate from cellulose hydrolysis. The glucose units did not originate from starch hydrolysis, since tomato seeds do not contain starch, as was confirmed by the absence of a blue staining reaction with I$_2$KI reagent (data not shown). Thus, all mannose, part of the galactose, and possibly also a part of the glucose, that is present in the diffusate 12 h after the start of the incubation, is the result of enzymatic hydrolysis of the cell walls. Hydrolysis of galacto-mannans to mannose and galactose requires activity of the enzymes endo-$\beta$-mannanase, mannohydrolase and $\alpha$-galactosidase (Reese and Shibata 1965). In tomato an active $\alpha$-galactosidase could be isolated from the endosperms directly from the start of incubation in water (Fig. 4). In water also mannohydrolase showed some activity which slightly increased during incubation (Fig.3). Nevertheless, a significant release of mannose into the incubation liquid did not occur (Tab. 1). Apparently for \textit{in situ} action the enzymes require either GA and/or the availability of proper substrates resulting from endo-$\beta$-mannanase activity. The last explanation was shown valid for lettuce seeds, where mannohydrolase and $\alpha$-galactosidase are incapable of releasing mannose or galactose from native cell walls without prior cleavage by endo-$\beta$-mannanase (Bewley et al. 1983). In tomato endosperms endo-$\beta$-mannanase activity was only detected after incubation in GA$_{4+7}$ (Fig. 2). Application of GA$_{4+7}$ also resulted in release of galactose and glucose (Tab. 1). Therefore, the increase in mannohydrolase and $\alpha$-galactosidase activities in endosperms incubated in GA$_{4+7}$ may be either due to a direct GA-induced de-novo synthesis or activation, or - indirectly - to the presence of substrates released by endo-$\beta$-mannanase. The GA$_{4+7}$-induced endo-$\beta$-mannanase activity occurred in isolated endosperms between 6 and 12 h after the start of incubation (Fig. 2). The first signs of endosperm weakening were observed in the same period of time (Chapter 2). Both endo-$\beta$-mannanase activity and endosperm weakening were absent during incubation of the endosperms in water (Fig. 2, Chapter 2). It is concluded that the GA-induced endosperm weakening in tomato is mediated by the induction of endo-$\beta$-mannanase activity, resulting in a partial digestion of the endosperm cell walls. In tomato seeds the cell walls of the endosperm not only serve as storage food, they also play an essential role in the regulation of dormancy and germination. Hydrolysis of the endosperm cell walls starts prior to germination, resulting in sufficient weakening to permit radicle protrusion. A relation between cell wall-hydrolytic activity (cellulase) and endosperm weakening was also shown in seeds of \textit{Datura ferox} (Sanchez et al. 1986). In \textit{Datura ferox} far-red irradiation inhibits both cellulase activity and germination, comparable to the inhibition by far-red of endosperm weakening in tomato (Groot, S.P.C., unpublished results). The regulation of starch mobilization in graminaceous seeds is well documented (see for a recent review Halmer 1985). However, the hydrolysis of starch is a post-germination event (Upadhyaya et al. 1982). Also the hydrolysis of galacto-mannans and mannanas in the endosperm of fenugreek and lettuce starts after radicle protrusion (Meier and Reid 1982, Bewley et al. 1983). In fenugreek galacto-mannan breakdown can occur in the absence of the embryo, but hydrolysis is strongly stimulated by the presence of the embryonic axis or exogenous GA$_{4+7}$ (Reid and Meier 1972, Spyropoulos and Reid 1985). The post-germinative stimulation of Endo-β-mannanase production in lettuce endosperms requires the presence of both the embryonal axis, or exogenous GA, and the cotyledons (Halmer and Bewley 1979). The present experiments with the GA-deficient tomato mutant demonstrate the induction and increase, by GA of cell wall-hydrolyzing enzyme activities in endosperm cells as a requirement for radicle protrusion. Chapter 4 The role of endogenous gibberellin in seed and fruit development of tomato: studies with a gibberellin-deficient mutant. In collaboration with J. Bruinsma and C.M. Karssen. The text of this chapter is submitted as a paper to Physiologia Plantarum. Abstract The role of endogenous gibberellin (GA) in seed and fruit development was studied with the use of the GA-deficient ga-1 mutant of tomato. Flowers of the ga-1 mutant are abnormal and sterile, but parthenocarpic fruit development is observed occasionally on the dwarf plants. A single application of GA\textsubscript{A+7} restores the fertility of the mutant flowers and results in seed set. Development of GA-producing and GA-deficient seeds in GA-deficient fruits was compared by pollination of ga-1/ga-1 flowers with wild-type or ga-1 pollen, respectively. In ga-1/ga-1 seeds dehydration starts about one week earlier than in Ga-1/ga-1 seeds. Ultimate fresh and dry weights of mature Ga-1/ga-1 seeds are higher than those of ga-1/ga-1 seeds and show negative correlations with the total number of seeds per fruit. Total content and composition of seed proteins are not influenced by the GA-deficiency. Germination of the mature seeds depends on embryonal GA synthesis and is not influenced by maternal GA production. Final fresh weight of the ga-1/ga-1 fruits is positively correlated with the number of seeds per fruit. In these fruits, the minimum number of seeds for growth above the parthenocarpic level is about 10 or 35 in the presence of Ga-1/ga-1 or ga-1/ga-1 seeds, respectively. Fruits containing GA-producing seeds reach a higher fresh weight than those containing GA--deficient seeds, and their ripening is delayed by one week. It is concluded that gibberellin is indispensable for the development of fertile flowers and for seed germination, but only promoting in later stages of fruit and seed development. Introduction Immature seeds are rich sources of gibberellins (GAs) and have been used in many studies concerning quantification and characterization of endogenous GAs (see Khan 1982, MacMillan 1984, Pharis and King 1985 for recent reviews). In fact, a great deal of our knowledge about GA-biosynthesis and metabolism is derived from studies with immature seeds (e.g., Sponsel 1985) or cell-free systems derived from them (e.g., Graebe et al. 1980). Various suggestions have been made about the role of endogenous GAs during seed development: (1) GAs are required for growth and development of the seed, (2) fruit growth and development is controlled by GAs derived from seeds, (3) GAs interact with other plant hormones to regulate seed growth and development, and (4) GAs or GA-conjugates produced during development serve as storage forms to be utilized during germination and growth (Karssem 1982a, Khan 1982). These suggestions are mainly based on correlations between changes in GA-like activity, mostly determined by bio-assay, and certain phases of seed development (e.g., Sponsel 1980, Barendse et al. 1968). Care must be taken, however, since not all GAs that are active in certain bioassays are also physiologically active in seeds. Moreover, the molecular forms of the GAs that are present in the seeds vary considerably, even between related species (Sponsel 1980). It has also to be taken into account that almost all quantitative and qualitative determinations were performed with whole seeds, neglecting possible differences in concentration and sensitivity between seed parts. A regulatory role of endogenous GAs in seed development was doubted by Zeevaart (1966). He sprayed plants of Pharbitis nil at anthesis with chlor-merquat, which resulted in a decrease of GA-like activity to almost undetectable levels. Nevertheless, no effect on seed growth was observed. An alternative approach is the modification of endogenous GA levels by genetic means. Mostly, GA deficiency is looked for among mutants with dwarfed shoot growth. Complete phenotypic reversion by GA applications and the demonstration of lesions for all or for certain specific GAs are essential additional criteria to identify dwarfs as GA-deficient mutants (Hedden and Pinney 1979, Potts and Reid 1983). In tomato and Arabidopsis thaliana, GA-deficient mutants have been isolated by selecting for seeds that do not germinate without an application of GA (Koornneef and Van der Veen 1980, Koornneef et al. 1981, Karssem et al. 1987). The seedlings that develop from GA-treated mutant seeds show dwarf growth which can be reverted to normal growth by GA sprays. Recently Barendse et al. (1986) used GA-deficient Arabidopsis mutants to study the role of endogenous GAs during fruit and seed development. They found no influence of the GA-deficiency on seed growth. The rate of fruit growth, however, was clearly influenced by GAs originating from both maternal and embryonic tissues. In this paper the role of GAs during seed development was studied using the GA-deficient ga-1 mutant of tomato (Koornneef et al. 1981, Groot and Karssen in press). The GA-biosynthetic pathway in this mutant is blocked prior to ent-kaurene and GAs could not be detected by the maize-d5 bioassay in either shoots or immature fruits (Zeevaart 1984, see fig. 2 in Chapter 1). Material and methods Plant material Seeds of wild-type tomato, Lycopersicon esculentum Mill., cv. Moneymaker, and of the GA-deficient mutant ga-1/ga-1 in this genetic background, were supplied by Professor J.H. Van der Veen, Department of Genetics, Agricultural University Wageningen. Mutant seeds were germinated in a Petri dish with 10 µM GA$_{4+7}$ (mixture of GA$_4$ and GA$_7$, a gift of ICI, UK). After germination, the seedlings were planted in pot soil and cultivated in the greenhouse at a minimum temperature of 21 °C during the photoperiod and 19 °C at night. The photoperiod was maintained at 16 h by additional illumination from high-pressure mercury halide lamps (Philips HPI/T) at 18 W.m$^{-2}$. Seedlings and plants were sprayed once a week with about 2 ml 10 µM GA$_{4+7}$ on the top of each plant, to stimulate development of normal flowers. Self-pollination of the flowers was stimulated by vibration. Crosses were made by emasculation of the flowers before opening of the corolla, immediately followed by pollination with Ga-1 or ga-1 pollen. Self-pollinations and crosses were performed at the same plants, pollinated flowers being tagged. Fruits and seeds were sampled at different moments after pollination. Fresh and dry weight determinations Seed fresh weight was determined on samples of 20 seeds that were removed from the fruits and briefly blotted with filter paper. Dry weight was determined after drying the seeds during 1 h at 130 °C. Protein determinations For determination of total protein content, samples of 10 developing seeds were ground in a cold mortar with 4 ml 50 mM KH$_2$PO$_4$, pH 7.5, containing 1.5 mM NaCl. After 1 h at 4 °C, the extract was centrifuged in a microfuge (EppenThe protein content in the supernatant was determined according to Bradford (1976), using bovine gamma globulin (Biorad laboratories, FRG) as a standard. Also for qualitative protein determinations samples of 10 seeds were ground in a cold mortar with 4 ml extraction buffer. This buffer consisted of 65 mM Tris-HCl, pH 6.8, 2% SDS, 10% glycine, and 2.5% 2-mercaptoethanol (v/v). After 4 h at 4 °C, the extract was centrifuged in the microfuge. The resulting supernatant was mixed with an equal volume of sample buffer, 62.5 mM Tris, pH 6.8, 2% SDS, 10% 2-mercaptoethanol, 5% glycerol (v/v) and some bromophenol blue. The samples were heated and analyzed in 13% polyacrylamide gels containing 0.1% SDS (SDS-PAGE) (Laemmli 1970). After electrophoresis, gels were stained with 0.25% (w/v) Coomassie Brilliant Blue in methanol:acetic acid:water (5:1:4, v/v) and destained in methanol:acetic acid:water (5:7:88, v/v). Germination experiment Seeds were imbibed in water, irradiated for 1 day with intermittent red light, followed by an incubation at 2 °C for a period of 5 days. After this dormancy-breaking treatment, seeds were incubated in water at 26 °C in the dark for 7 days. Seeds that had not germinated in water were further treated with 10 µM GA\textsubscript{4+7}. Results On dwarf \textit{ga-1} plants no normal flowers were formed. Flower buds developed, but flower development stagnated, particularly in the corolla and stamen, and buds finally aborted. A single spray with 10 µM GA\textsubscript{4+7}, applied on the newly formed buds, was sufficient to complete flower development; fruits and seeds developed upon fertilization without requiring an additional GA spray. Occasionally, fruit development was observed on dwarf \textit{ga-1} plants without application of GAs (Fig. 1). These fruits were parthenocarpic, due to the sterility of the \textit{ga-1} flowers. In wild-type tomato GAs are produced in different plant parts. In this study, we concentrated on the role of seed-produced GA with regard to fruit and seed development. Therefore the development of GA-producing \textit{Ga-1/ga-1} seeds and GA-deficient \textit{ga-1/ga-1} seeds was compared in \textit{ga-1/ga-1} fruits. The seeds were raised by pollination of \textit{ga-1/ga-1} flowers with \textit{Ga-1} and \textit{ga-1} pollen, respectively. Since both types of seeds developed simultaneously on the same mother plant, differences of environmental factors were excluded. Fig. 1. Mature ga-1/ga-1 fruit which had developed on a dwarf GA-deficient plant of about 1 year old, without application of exogenous GAs. The parthenocarpic fruit had ripened normally. Ruler is in cm. Fruit development Ripening of the ga-1/ge-1 fruit was delayed by the presence of Ge-1/ge-1 seeds. The orange-red colour appeared after eight weeks, one week later than with the fruits without GA-producing seeds (data not shown). The seed genotype also influenced the ultimate fresh weight of the ga-1/ge-1 fruits (Fig. 2). Fruit weight depended on the number of seeds per fruit. When Ge-1/ge-1 seeds were present fruit weight strongly increased from a number of about 10 seeds per fruit. With ga-1/ge-1 seeds this critical number was about 35 seeds; moreover, the increase in fruit weight was smaller. ![Graph showing fruit fresh weight in relation to the logarithm of the number of seeds per fruit](image) Fig. 2. Fresh weight of ripe fruits in relation to the logarithm of the number of seeds per fruit. The fruits developed on ga-1/ge-1 plants and contained either GA-deficient ga-1/ge-1 (Δ) or GA-synthesizing Ge-1/ge-1 (▲) seeds. Seed development The number of seeds that developed in ga-1/ga-1 fruits was low following pollination of emasculated flowers with either ga-1 or Ga-1 pollen, 50 to 60% of the fruits contained less than 40 seeds. When ga-1/ga-1 flowers were self-pollinated, about 50% of the fruits contained 75 seeds or more. Evidently, emasculation and/or artificial pollination reduced seed set. The development of ga-1/ga-1 fruits and seeds resulting from either self-pollination or artificial pollination with ga-1 pollen was equal in every respect. Fresh and dry weights were compared during seed development of both genotypes (Fig. 3). The seeds were collected at random from fruits containing different numbers of seeds. Fresh weight was clearly influenced by the genetic constitution of the seeds, ga-1/ga-1 seeds reached a lower maximum fresh weight than Ga-1/ga-1 seeds and started to dehydrate earlier. Dry weight of ![Graph showing courses of fresh (▲, Δ) and dry (●, ○) weights during development of Ga-1/ga-1 (▲, ●) and ga-1/ga-1 (Δ, ○) seeds on GA-deficient ga-1/ga-1 motherplants.](image) Fig. 3. Courses of fresh (▲, Δ) and dry (●, ○) weights during development of Ga-1/ga-1 (▲, ●) and ga-1/ga-1 (Δ, ○) seeds on GA-deficient ga-1/ga-1 motherplants. these randomly collected seeds of both genotypes, developed at a similar rate and dry matter accumulation continued during dehydration of the seeds (Fig. 3). The earlier dehydration of ga-1/ga-1 seeds was reflected in an earlier firmness of endosperm cells and an earlier collapse of testa cells (Table 1). Table 1. Morphological characteristics of ga-1/ga-1 and Ga-1/ga-1 seeds, developing in ga-1/ga-1 fruits. \| age in dap \| ga-1/ga-1 \| Ga-1/ga-1 \| \|------------\|-----------\|-----------\| \| \| testa \| endosperm \| embryo \| testa \| endosperm \| embryo \| \| 21 \| thick \| milky \| torpedo \| thick \| milky \| torpedo \| \| 28 \| thick \| mucous \| curved \| thick \| mucous \| curved \| \| 35 \| partly thin \| soft-dough \| curled \| partly thin \| soft-dough \| curled \| \| 42 \| thin \| firm \| curled \| partly thin \| soft-dough \| curled \| \| 49 \| thin \| firm \| curled \| thin \| firm \| curled \| \| 56 \| thin \| firm \| curled \| thin \| firm \| curled \| The endosperm cells developed from a milky appearance via a mucous and a soft-dough constituency to a firm and relative dehydrated stage. This final stage was reached in ga-1/ga-1 seeds at 42 dap and in Ga-1/ga-1 seeds at 49 dap. The testa develops from maternal integument cell layers and, therefore, lacked the capacity to produce GAs in both genotypes. At 21 dap the cells of the outer epidermis of the outer integument were elongated and the testa formed a thick layer around endosperm and embryo. Gradually the testa cells collapsed because their cell walls disappeared and only secondary thickenings on the walls remained as hairs. The collapse of the testa cells started at the placental base of the seeds at 35 dap and was completed at 42 and 49 dap in ga-1/ga-1 and Ga-1/ga-1 seeds, respectively. Embryo development was not visibly affected by the lack of GA production. In both genotypes embryos developed from a torpedo shape at 21 dap via a U-shaped (curved) form to the final, curled appearance. Final fresh and dry weights of mature seeds of both genotypes were compared in relation to the number of seeds per fruit (Fig. 4). Dry and fresh weights of Ga-1/ga-1 seeds were higher than those of ga-1/ga-1 seeds. The weight of mature seeds showed a negative correlation with the number of seeds per fruit. Fig. 4. Fresh weights (▲, △) and dry weights (●, ○) of mature seeds in relation to the logarithm of the number of seeds per fruit. The Ga-1/ga-1 (▲, ●) and ga-1/ga-1 (△, ○) seeds developed on GA-deficient ga-1/ga-1 motherplants. Table 2. Changes in protein content during development of ga-1/ga-1 and Ga-1/ga-1 seeds in ga-1/ga-1 fruits (n=3). Protein content is expressed as equivalents of bovine gamma globuline standard. \| developmental stage, dap \| ga-1/ga-1 \| Ga-1/ga-1 \| \|--------------------------\|-----------\|-----------\| \| 21 \| 319 ± 6 \| 320 ± 31 \| \| 28 \| 349 ± 11 \| 377 ± 8 \| \| 35 \| 437 ± 5 \| 465 ± 4 \| \| 42 \| 494 ± 20 \| 502 ± 17 \| \| 49 \| 501 ± 20 \| 536 ± 37 \| \| 56 \| \| 499 ± 14 \| SD = standard deviation Ga-1/ga-1 and ga-1/ga-1 seeds showed no difference in total protein content during seed development (Tab. 2). Extracts of mature seeds of both genotypes showed also no qualitative difference in the major protein bands on SDS-PAGE (Fig. 5). Germination Germination of GA-deficient ga-1/ga-1 seeds depends on the application of GAs, whereas wild-type seeds germinate in water (Groot and Karsseboom in press). It was studied whether the germination characteristics of the seeds depended on the genotype of the embryo and endosperm, or were influenced by the maternal tissues. GA-deficient and GA-producing seeds were raised in fruits of both genotypes, by self-pollination of Ga-1/Ga-1, ga-1/ga-1 and Ga-1/ga-1 plants and by the cross ga-1/ga-1 x Ga-1/Ga-1 (Table 3). Ga-1/ga-1 seeds always germinated in water, also when the mother plant was GA-deficient. Germination of seeds with a GA-deficient embryo absolutely depended on the application of GA_{4+7}, irrespective of the genotype of the mother plant. Thus, germination characteristics are exclusively determined by the genotype of the embryo. Fig. 5. SDS-PAGE pattern of polypeptides extracted from mature ga-1/ga-1 (ga-1) or wild-type (Ga-1) seeds, developing in ga-1/ga-1 fruits. The segregation between normal and dwarf seedlings in the offspring of self-pollinated Ga-1/ga-1 plants approached a 3:1 ratio. It shows that ga-1 pollen and ovules are completely fertile upon development in GA-producing flowers, without the need for application of GA4+7. Table 3. Germination of seeds derived from self-pollination of either homozygous wildtype (Ga-1/Ga-1), mutant (ga-1/ga-1) or heterozygous (Ga-1/ga-1) plants, or from the cross ga-1/ga-1 (♀) x Ga-1/ga-1 (♂). Seeds were imbibed in water, irradiated for 1 day under intermittent red light, followed by an incubation at 2 °C for a period of 5 days. After this dormancy-breaking treatment, seeds were incubated in water at 26 °C in the dark for 7 days. Seeds that had not germinated in water were further treated with 10 μM GA4+7. \| parent(s) \| progeny \| phenotype seedling \| germination in water \| GA4+7 \| not germinated \| total \| \|--------------------\|-------------\|--------------------\|----------------------\|-------\|----------------\|-------\| \| Ga-1/Ga-1 Selfing \| Ga-1/Ga-1 \| normal \| 145 \| 0 \| 5 \| 150 \| \| ga-1/ga-1 Selfing \| ga-1/ga-1 \| dwarf \| 0 \| 150 \| 0 \| 150 \| \| ga-1/ga-1 x Ga-1/Ga-1 \| Ga-1/ga-1 \| normal \| 144 \| 0 \| 6 \| 150 \| \| Ga-1/ga-1 Selfing \| Ga-1/Ga-1 \| normal \| 185 \| 0 \| \| 185 \| \| \| Ga-1/ga-1 \| normal \| 0 \| 53 \| \| 53 \| \| \| ga-1/ga-1 \| dwarf \| 0 \| 53 \| \| 53 \| \| \| unknown (died) \| \| 8 \| 2 \| 2 \| 12 \| a χ²(normal:dwarf = 3:1) = 0.947, df = 1, p = 0.33. Discussion The present study clearly shows that the effect of GA-deficiency strongly differs during the subsequent phases of the generative development in tomato. Whereas flower fertility and seed germination were completely blocked in the absence of endogenous GA, the growth of seeds and fruits still proceeded. Occasionally, spontaneous parthenocarpic fruit development occurred on ga-1 plants (Fig. 1). The poor development of corolla and stamen in GA-less flowers was also observed in GA-deficient Arabidopsis plants (Koornneef and Van der Veen 1980). Nester and Zeevaart (1986) recently reported a similar inhibition of flower development in the GA-deficient ga-2 mutant of tomato. They observed aberrations during pollen and ovule development, resulting in both male and female sterility. GAs have been associated with the development of both female and male reproductive structures. Applied GA₃ stimulates pistil development in, e.g., castor bean, maize and Hyoscyamus, and promotes stamen development in flowers of Bryophyllum, Cannabis, Cucumis and tomato (Pharis and King 1985). Association of abnormal stamen development with reduced levels of endogenous GAs was also found with the stamenless-2 tomato mutant (Shawney 1974). Normal stamen development in the stamenless-2 mutant can be achieved by application of GA\textsubscript{3} to the mutant flowers (Sawney and Greyson 1973). Our observations show that either maternal GA production or a single spray with GA\textsubscript{4+7} resulted in the development of fertile \textit{ga-1} pollen and ovules in \textit{ga-1/ga-1} and \textit{ga-1/ga-1} flowers, respectively (Tab. 3). GA-dependent development of the corolla, observed in the \textit{ga-1} mutant, has also been shown for flowers of Lamium amplexicaule. The corollas of these flowers failed to grow when immature buds were cultivated in the absence of GA (Lord and Mayers 1982). Development of GA-deficient seeds and fruits occurred after a single spray on the flower bud with GA\textsubscript{4+7}. The observed development of small parthenocarpic fruits on \textit{ga-1} plants without a GA spray (Fig. 1) proves that GAs are not absolutely required for tomato fruit development. Because of the sterility of the flowers, seed set could not occur without a spray of GA\textsubscript{4+7}. The present experiments do not exclude that the very early phase of seed development occurred with the aid of residual amounts of GAs, which remained after the flower-inducing spray with GA\textsubscript{4+7}. A requirement for GAs during the very early phase of embryo development was reported for Phaseolus coccineus (Cionini et al. 1976). In vitro culture of young embryo's of P. coccineus, excised at the heart-shape or early cotyledonary stages, needed the presence of either the GA-rich suspensor or of exogenous GA\textsubscript{3}, whereas in later stages application of GA\textsubscript{3} could be omitted. An effect of residual GA\textsubscript{4+7} on the later stages of \textit{ga-1} seed development is most unlikely, the stimulation of elongation growth by a GA\textsubscript{4+7} spray in the \textit{ga-1} mutant lasts about one week. Complete seed development occurred after a single spray. If the same plant was sprayed with GA\textsubscript{4+7} at subsequent occasions to initiate normal development of the younger flower buds, the developing fruits were shielded. Moreover, we observed no differences between seeds and fruits developing due to the first or the last spray in a sequence of weekly applications of GA\textsubscript{4+7}. If exogenous GAs accidentally should have entered the developing fruits, it is expected that they primarily should replace maternal GAs. An effect of maternal GA is seen when the growth of seedless fruits in wild-type Moneymaker, as studied by Varga and Bruinsma (1976), is compared with the GA-deficient fruits in the present study (Fig. 2). Average fresh weights of parthenocarpic fruits were 40 and 10 g, respectively. It can therefore be excluded that exogenous GAs accidentally influenced the growth of the GA-deficient fruits in our experiments. Although tomato fruits and seeds grew in the absence of endogenous GAs, they developed better when GAs were produced. This was not only true for the stimulation of parthenocarpic fruit growth by maternal GA, but also for fruit and seed development under influence of seed-produced GA. Halfway development, the GA-containing seeds reached a considerably higher fresh weight than the deficient seeds (Fig. 3). Only when the final fresh and dry weights of the seeds were expressed in relation to number of seeds per fruit it was seen that Ga-1/ga-1 seeds became heavier than ga-1/ga-1 seeds (Fig. 4). These ultimately higher dry and fresh weights may be connected with the extended developmental period (Tab. 1), allowing prolonged dry-matter accumulation and retarded dehydration. At higher numbers of seed per fruit, the weight per seed decreases (Fig. 4), apparently by increasing competition for the limited supply of nutrients. Berendsen et al. (1986) studied seed development in Arabidopsis thaliana using GA-deficient lines. They observed no effect of maternal or embryonal GA on the weight of mature seeds. However, in their experiments seeds were collected at random from fruits with different numbers of seeds per fruit, as in our Fig. 2. Endogenous GAs had no influence on total protein content per g dry weight during seed development (Tab. 2). Also no qualitative differences in the most abundant proteins were observed (Fig. 5). These major protein bands most likely represent storage proteins since they disappear after germination of the seeds (unpublished results). The method used was not sufficiently discriminating to elucidate possible influences of endogenous GA on the occurrence of less abundant proteins. Fruit ripening occurred in the absence of both maternal and embryonal GA (Fig. 1). But in the presence of Ga-1/ga-1 seeds development of ga-1/ga-1 fruits lasted about one week longer than with GA-deficient seeds. Inhibition of ripening by applied GAs has been described for fruits of several species (review by McClasson et al. 1978). Treatment of tomato fruits with GA₃ delayed both the loss of chlorophyll and the increase of carotenoids (Abdal-kader et al. 1966, Dostal and Leopold 1967, Khudari 1972). We report here for the first time a role of endogenous GA in fruit ripening. Our results indicate that the effect of applied GAs on tomato fruit ripening reflects the role of endogenous, seed-produced GA during the last period of fruit development. Varga and Bruinsma (1976) reported that in tomato cv. Moneymaker the ultimate fresh weight of the fruits show a logarithmic relationship with the number of seeds per fruit, provided the fruits contained more than 8 seeds. With fewer seeds per fruit, fruit weight hardly surpassed the 40 g of the average parthenocarpic fruit. A similar relationship was found in the ga-1/ga-1 fruits containing Ga-1/ga-1 seeds (Fig. 2), albeit that fruit weight was on the average 30 g lower than in wild-type fruits. Varga and Bruinsma concluded that fruit growth profited indirectly from the sink activity exerted by its developing seeds. The present data suggest that the sink activity is related to the ability of the seeds to produce GA. In GA-deficient seeds the sink activity is much lower, therefore fruit growth is only stimulated above the parthenocarpic level with more than 35 seeds per fruit (Fig. 2). Germination of ga-1/ga-1 seeds completely depended on application of GAs, irrespective whether the seeds had developed in GA-deficient or GA-producing fruits (Table 3). Thus maternal GA had neither directly, by accumulating in free or bound form in the seeds, nor indirectly an effect on the germination capacity of the seeds. Germination apparently requires embryo-synthesized GA. In conclusion, endogenous GA stimulates the development of fruits and seeds of tomato, but their presence is not indispensable except, perhaps, immediately after fertilization. In contrast, the development of fertile flowers and the germination of seeds are absolutely dependent on the presence of endogenous GA. Chapter 5 The role of endogenous abscisic acid in seed development of tomato: Studies with an abscisic acid-deficient mutant. In collaboration with R. Dijkman, E. Vermeer, I.I. van Yperen and C.M. Karssen. Abstract The role of endogenous abscisic acid (ABA) in seed development was studied with the use of the ABA-deficient sitW mutant of tomato. The sitW mutation causes a strong reduction of the endogenous ABA level in the developing seed. Reciprocal crosses of wild type and the sitW mutant show a dual origin of ABA. The genotype of the mother plant regulates the ABA content present in the testa which shows a peak half-way seed development. The genotype of the embryo and endosperm is responsible for a second ABA fraction, present in these tissues. This second fraction reaches its peak during the second half of seed development. The strong reduction of endogenous ABA level in the developing sitW/sitW seed does not change the final fresh and dry weights of the seed nor the accumulation and composition of storage proteins. The onset of dormancy depends on endogenous ABA, particularly on the fraction in embryo plus endosperm, the influence of maternal ABA is minor. Non-dormant sitW/sitW seeds do not germinate precociously within the fruit, but viviparous germination of sitW/sitW seeds is observed when ripe fruits remain attached to the mother plant. The absence of vivipary in wild-type seeds is primarily a function of osmotic control by the fruit. Introduction Developing seeds accumulate ABA in large quantities, but temporary. Upon maturation of the seeds the ABA content generally decreases (Bewley and Black 1978, King 1982). It has been suggested that endogenous ABA plays a role in the increase of the sink activity of the developing seeds (Dewdney and Mcwha 1979, Tietz et al. 1981, Ackerson 1984a), in the stimulation of synthesis of specific storage proteins (Triplett and Quatrano 1982, Schroeder 1984, Bray and Beachy 1985), in the dehydration at the end of development (King 1976) and in the prevention of precocious germination (Ackerson 1984b). All these suggestions were based on correlations between changes in the endogenous ABA level and certain developmental or physiological events, or on the effect of applications of ABA to developing seeds. However, such correlations may not be causal and the responses to externally applied ABA may not imitate those elicited by changes in endogenous levels. Moreover, most of these studies were carried out in vitro with isolated seeds or seed parts. In a limited number of species endogenous ABA levels have been manipulated by genetic means. It has been shown in Arabidopsis thaliana with the use of mutants with strongly reduced levels of endogenous ABA or with a reduced sensitivity to exogenous ABA, that seed dormancy is induced during seed development by embryonal ABA (Karssen et al. 1983, 1987, Karssen and Taçka 1986). ABA deficiency is always accompanied by severe water loss of the mutant plant in reaction to water stress (Koornneef 1986). This is probably the reason why mutants totally devoid of ABA have not been described so far, they would be so seriously impaired that the mutation probably would be lethal. Mutants with reduced ABA levels were induced and isolated in Arabidopsis thaliana (Koornneef et al. 1982), maize (Smith et al. 1983), potato (Quarrie 1982) and pea (Wang et al. 1984). Three different ABA-deficient tomato mutants, notabilis (not), fiacca (flc) and sitiens (sit), were isolated by Stubbe (1957, 1958, 1959). Another tomato mutant at the sitiens locus (sit<sup>W</sup>), was isolated by Van der Veen and Bosma (Koornneef et al. 1985). The sit<sup>W</sup> mutation was obtained by selecting for wiltiness among the offspring of ethylmethanesulphonate-treated seeds of the tomato cv. Moneymaker (Koornneef et al. 1985). The ABA level in turgid leaves of sit<sup>W</sup> plants is about 10% of that in turgid leaves of the wild type cv. Rheinlands Ruhm; water-stressed mutant leaflets do not accumulate ABA, in contrast to wild type (Cornish and Zeevaart 1985). As a result stomata do not close and the plants wilt rapidly under water stress. Since sit<sup>W</sup> is a recessive mutation, heterozygous plants are phenotypically similar to wild-type plants. So far the tomato mutants have been mainly used in studies on ABA biosynthesis and on the relationship between ABA and stomatal behaviour and water stress (Bowman et al. 1984; Tal and Nevo 1973; Neil and Horgan 1985; Cornish and Zeevaart 1985). In the present experiments the ABA-deficient sitW mutant was used to study the presence and the role of ABA in the development of tomato seeds. The development of homozygous ABA-deficient seeds was compared with heterozygous ABA-producing Sit/sitW seeds, both developing in sitW fruits. The seeds were obtained by pollination of sitW flowers with sitW or wild-type pollen, respectively. Material and Methods Plant material and culture Seeds of wild-type tomato Lycopersicon esculentum Mill., cv. Moneymaker (Sit) and the ABA-mutant sitW were supplied by prof. Van der Veen, Department of Genetics, Agricultural University, Wageningen. Plants for seed production were cultivated under two different conditions. For developmental studies, plants were cultivated in a heated greenhouse on hydroponic culture. The nutrient solution was based on the universal nutrient solution of Steiner (1969), and consisted of tap water with 882 mg Ca(NO₃)₂·4H₂O, 444 mg KNO₃, 134 mg KH₂PO₄, 473 mg MgSO₄·7H₂O, 154 mg K₂SO₄ and 30 µl concentrated H₂SO₄ per liter. The solution was supplemented with iron chelate and micro elements: 19.2 mg Fe-EDTA, 2.69 mg H₃BO₃, 506 µg ZnSO₄·7H₂O, 78 µg CuSO₄·5H₂O, 126 µg Na₂MoO₄·2H₂O per liter. The nutrient solution was changed about every 3 weeks. Minimum temperature in the greenhouse was 21 °C during the day and 19 °C during the night. The photoperiod was maintained at 16 h by additional illumination from high-pressure mercury halide lamps (Philips HPI/T) at 18 W.m⁻². Self-pollination of the flowers was stimulated by vibration. Crosses were made by emasculation of the flowers before opening of the corolla, immediately followed by pollination with Sit or sitW pollen. Self-pollinations and crosses were performed on the same plants, pollinated flowers being tagged. Seeds were sampled at different moments after pollination. Seeds used in germination experiments were produced either under conditions described above (condition 1), or from plants cultivated on soil in a non-heated greenhouse under natural summer conditions, whereby the older leaves below the clusters with ripe fruits were removed regularly (condition 2). Under this latter condition sitW plants were sprayed once or twice a week with about 2 ml 10 µM ABA to reduce wilting. Seeds used for germination experiments were isolated from ripe fruits and incubated in 1% HCl for 1 h to remove the remnants of the mucilagenous locular tissue. Thereafter the seeds were rinsed with tap water, dried at room temperature and stored in closed plastic containers in a refrigerator at 7 °C until use. Comparison between wild type and mutant always occurred with seed lots from the same harvest date. Gas chromatographic ABA determination Triplicate samples of seeds or seed parts were weighed and frozen in liquid nitrogen. The seeds were ground in a mortar and extracted overnight in 1 ml 80% methanol containing 10 mg.l$^{-1}$ 2,6-di-t-4-butylnethylphenol (BHT). The extract was centrifuged and the pellet washed twice with 80% methanol. The combined supernatants were passed through a Millipore AP 25 prefilter and a Sep Pak C18 cartridge (Waters Ass.) to remove insoluble and apolar components. The filtrate was evaporated to dryness at 40 °C under a stream of charcoal-washed air. The residue was taken up in 200 µl ethylacetate and mixed with 200 µl 0.1 M phosphate buffer (pH 3). After centrifugation the ethylacetate phase was transferred to a 1 ml glass vial. The remaining buffer was again partitioned against 200 µl ethylacetate. The second ethylacetate phase was combined with the first one. The ethylacetate was removed by a stream of air at room temperature and the residue dissolved in 100 µl methanol containing 2,3,5-tri-iodobenzoic acid (100 µg.l$^{-1}$) as an internal standard for the gas-chromatographic determination. The sample was methylated by adding 200 µl diethylether with diazomethane. After methylation the sample was dried again under a stream of air and redissolved in 100 µl ethylacetate. From this sample 2.5 µl was injected in a Perkin Elmer 8320 gas chromatograph equipped with an electron capture detector and an internal integrator. A CP Sil 5CB fused silica WCOT column was used, length 50 m, inner diameter 0.32 mm, film thickness 0.13 µm. The split valve was opened after 0.75 min and after 3 min at 80 °C the oven was heated to 140 °C with a rate of 30 °C.min$^{-1}$, after 4 min at 140 °C the oven temperature was increased to 200 °C with a rate of 5 °C.min$^{-1}$ and kept at that temperature for 19 min. The injector temperature was 275 °C and the inlet pressure of the carrier gas, helium, was 85 kPa, resulting in a linear gas velocity of 0.27 m.s$^{-1}$. The detector temperature was 350 °C. Recovery was determined with the use of $^{14}\text{C}-\text{ABA}$ that was added to the first extraction medium. It was shown to be at least 95%. Fresh and dry weight determinations From individual, mature fruits 20 seeds were removed and briefly blotted on filter paper. Fresh and dry weights of the samples were determined by weighing, to 0.1 mg, the seeds in little vials before and after oven-drying at 130 °C during 1 h. Protein determinations For determination of total protein content samples of 10 developing seeds were ground in a cold mortar with 4 ml buffer of 50 mM KH₂PO₄, pH 7.5, containing 1.5 mM NaCl. After 1 h at 4 °C, the extract was centrifuged in a microfuge (Eppendorf, FRG) at 15,600 x g. The protein content in the supernatant was determined according to Bradford (1976), using bovine gamma globulin (Biorad laboratories, FRG) as a standard. Also for qualitative protein determinations samples of 10 seeds or seed parts were ground in a mortar with 4 or 2 ml extraction buffer, respectively. This buffer consisted of 65 mM Tris-HCl pH 6.8, 2% SDS, 10% glycine and 2.5% 2-mercaptoethanol (v/v). After 4 h at 4 °C, the extract was centrifuged in the microfuge. The resulting supernatant was mixed with an equal volume of sample buffer, 62.5 mM Tris pH 6.8, 2% SDS, 10% 2-mercaptoethanol, 5% glycerol (v/v) and some bromophenol blue. The samples were heated and analyzed in 13% polyacrylamide gels containing 0.1% SDS (Laemmli 1970). Gels were stained with 0.25% (w/v) Coomassie Brilliant Blue in methanol:acetic acid:water (5:1:4, v/v) and destained in methanol:acetic acid:water (5:7:88, v/v). Osmotic potential of the fruit juice Fruit juice was collected from ripe fruits, 10 days after they had turned from orange to red. The juice was filtered and the osmotic potential of the juice was determined with an osmometer (Knauer, FRG), calibrated with mannitol solutions, calculated according to Michel et al. (1983). Germination experiments Triplicates of 50 seeds were sown in 5 cm glass Petri dishes on one layer of filter paper (Schleicher & Schüll no. 595) moistened with 1.5 ml of distilled water or test solution. GA₄+₇ (a gift of ICI, UK), was dissolved in 1 M KOH and diluted with distilled water, the pH of the stock solutions was adjusted to 7.0 with 1 M HCl. Thiomersal (BDH, UK), in a concentration of 0.25 mg.l⁻¹, was added to prevent fungal growth. The Petri dishes with seeds were placed in closed plastic boxes and incubated at 26 °C in the dark. Visible radicle protrusion was used as a criterion for germination, it was normally counted after 7 days. Red light (620–700 nm, 2.6 W.m⁻²) was obtained by filtering irradiation from 6 red-fluorescent tubes (Philips TL 20 W/15) by 3 mm plexiglas (Red 501, Illuminated seeds were irradiated intermittently for 10 min.h$^{-1}$ during the first 24 h after the start of imbibition. Results ABA levels in developing seeds Cultivation on hydroponic culture and protection against direct sunlight prevented wilting, but did not reverse the other characteristics of the ABA deficiency. Flower buds of the sit$^W$ mutant developed normally like wild-type flowers. The production of pollen was reduced, however. Developing wild-type seeds showed a peak in ABA content of 36 ng.seed$^{-1}$ about 30 days after pollination (dap) (Fig. 1). In mature seeds only 1.8 ng.seed$^{-1}$ remained. The amount of ABA in developing sit$^W$/sit$^W$ seeds was strongly reduced during all phases of development, it reached only 1 ng at 30 dap and 0.2 ng at maturity. The Sit/sit$^W$ seeds contained an intermediate amount of ABA, reaching a maximum value of 10 ng around 40 dap. A comparison of ABA content (Fig. 2A) and fresh weight (Fig. 2B) in intact seeds and in seed parts of wild-type during seed development showed that the early peak in both parameters roughly coincided. It was also demonstrated that both peaks depended for the greater part on the integuments. From half-way development the fresh weight of the integuments, now becoming testa, decreased sharply and so did their ABA content. In the intact seed the loss of both fresh weight and ABA was partly compensated at first by the increase of both parameters in embryo and endosperm, which reached a peak around 40 dap. Thereafter, the ABA content of all seed parts was strongly reduced, whereas some water was left in the seeds (Fig. 2, 3). The ABA content of embryo plus endosperm from sit$^W$/sit$^W$ seeds at 35 dap was compared to that of the same parts of seeds developing on Sit/sit$^W$ plants after pollination with sit$^W$ pollen. In the latter case all fruits and other maternal tissues will be heterozygous and thus contain ABA, whereas half of the seeds will be sit$^M$/sit$^W$ and half Sit/sit$^W$. However, the genotype of developing seeds could not be recognized. Individual seeds of the cross contained at 35 dap between 3.1 and 11.1 ng ABA per embryo plus endosperm, without a sharp distinction into two groups. Moreover, the ABA content always surpassed that of seeds from self-pollinated sit$^W$/sit$^W$ plants, which ranged from 0.8 to 2.9 ng per embryo plus endosperm (cf. Fig. 1). Fig. 1. ABA content in seeds developing on self-pollinated Sit/Sit (▲) or sit^W/sit^W (■) plants or on sit^W/sit^W plants pollinated with Sit pollen leading to Sit/sit^W seeds (●). Vertical bars indicate SD (n=3). Fresh and dry weights It has been shown before (Chapter 3) that the fresh and dry weights of mature tomato seeds were influenced by the number of seeds per fruit because of competition. Therefore, fresh and dry weights of mature seeds of different genotypes were plotted against the number of seeds per fruit (Fig. 3). The results show that the ABA deficiency did not affect fresh and dry weights of mature seeds. Fresh weight of wild-type, sit^W/sit^W and Sit/sit^W seeds was about 7 mg per seed. Fruits with low seed numbers contained somewhat heavier seeds on the average. Dry weight of seeds of all genotypes was 3.5 mg per seed on the average. The number of seeds per fruit only slightly influenced seed dry weight. Fig. 2. ABA content (A) and fresh weight (B) of developing Sit/Sit seeds or seed parts. A. ABA content determined in intact seeds (O) and isolated testa (Δ) was used to calculate the amount in embryo plus endosperm (▽). B. Fresh weights were determined of intact seeds (O), isolated testa (Δ) and embryo plus endosperm (▽). The asterix (★) represents the calculated sum of isolated testa and embryo plus endosperm, indicating loss during isolation. Fig. 3. Dry weight (open symbols) and fresh weight (closed symbols) of mature seeds in relation to the number of seeds per fruit. The sitW/sitW (□, ■) and Sit/sitW (○, ●) seeds developed on sitW/sitW mother plants after self-pollination or pollination with Sit pollen, respectively. The Sit/Sit (△, ▲) seeds derived from self-pollination of Sit/Sit plants. Proteins Mature, wild-type seeds were separated in embryo, endosperm and testa. The seed parts were extracted with SDS and analyzed by gel electrophoresis. The gel, presented in Fig. 4A, shows that embryo and endosperm exhibited similar patterns with regard to the major protein bands. The 6 pronounced protein bands most likely represent storage proteins, since they were less present in extracts of germinated seeds (data not shown). In extracts of the testa only one unique protein band with a low molecular weight was visible (Fig. 4A). Light-microscopical examination of the testa revealed that most of the Coomassie Brilliant Blue-stainable material of the testa was located in the inner integumental layer. Gelelectrophoretic patterns of proteins in mature Sit/Sit and sitW/sitW seeds are presented in Fig. 4B. No qualitative differences in protein pattern could be observed by this method. SDS-extracts of Sit/Sit, Sit/sitW and sitW/sitW seeds of different developmental stages showed also no differences. Fig. 4. SDS-polyacrylamide gelelectrophoretic pattern of polypeptides extracted from A: mature wild type seedparts (em = embryo, en = endosperm, te = testa); or from B: mature Sit/Sit (Sit) or sitW/sitW (sitW) seeds derived after self-pollination. in the pattern of the major protein bands (data not shown). Wild type, Sit/sit\textsuperscript{W} and sit\textsuperscript{W}/sit\textsuperscript{W} seeds from different developmental stages were also extracted with buffer plus salt, for quantitative determinations of protein content. The results indicate that lower levels of maternal ABA initially depressed protein accumulation, but the effect disappeared in the course of development (Fig. 5). Developing Sit/sit\textsuperscript{W} and sit\textsuperscript{W}/sit\textsuperscript{W} seeds did not differ in protein content. ![Graph showing total protein content over days after pollination](image) Fig. 5. Courses of protein content in seeds developing on self-pollinated Sit/Sit ($\Delta$) or sit\textsuperscript{W}/sit\textsuperscript{W} ($\square$) plants or on sit\textsuperscript{W}/sit\textsuperscript{W} plants pollinated with Sit pollen leading to Sit/sit\textsuperscript{W} seeds (O). Protein weight is expressed as equivalents of bovine gamma globuline. Vertical bars represent SD $(n=3)$. In a second experiment, performed with seeds harvested 2 months later, extracts were made from mature seeds of all three genotypes (Tab. 1). The amount of proteins was somewhat less compared to the levels found in mature seeds of the previous experiment. Again, there was no difference between the three genotypes. Table 1. Total protein content extractable with phosphate buffer plus salt from mature seeds of different genotypes. Data represent the mean of 3 samples per genotype, collected from individual fruits. \| genotype \| proteincontent ± SD \| \|--------------\|----------------------\| \| \| mg.seed⁻¹ \| mg.(g fresh weight)⁻¹ \| \| motherplant \| seed \| \| \| Sit/Sit \| Sit/Sit \| 1.21 ± 0.11 \| 189 ± 11 \| \| sitʷ/sitʷ \| Sit/sitʷ \| 1.19 ± 0.23 \| 176 ± 20 \| \| sitʷ/sitʷ \| sitʷ/sitʷ \| 1.28 ± 0.11 \| 166 ± 1 \| Viviparous germination Despite strongly reduced ABA levels, sitʷ/sitʷ seeds did not germinate prematurely in the fruits. However, when ripe sitʷ/sitʷ fruits remained attached to the plant for at least 2 weeks after ripening, viviparous germination of the mutant seeds was observed (Fig. 6,7), it did not occur in wild-type seeds (Fig. 7). An attempt to study vivipary of heterozygous seeds in ABA-deficient fruits by crossing sitʷ/sitʷ x Sit/Sit was not successful because an insufficient number of fruits was produced. In fruits of self-pollinated Sit/sitʷ plants about one quarter of the seeds germinated viviparously when the fruits remained attached to the mother plant (Fig. 7). A test of the seedlings that developed from the viviparous seeds, revealed that they all had the wilty phenotype and therefore the sitʷ/sitʷ genotype. The osmotic potential and the ABA content of the locular tissue of the ripe fruit of Sit and sitʷ are shown in Tab. 2. The ABA content of the sitʷ/sitʷ fruits was about 10 % of the level found in wild-type fruits. The osmotic potential of the fruit juice was similar for both genotypes. Fig. 6. Viviparous germinating mature sit\textsuperscript{W}/sit\textsuperscript{W} seeds in a ripe sit\textsuperscript{W}/sit\textsuperscript{W} fruit. Fig. 7. Percentage of seeds germinated within ripe fruits derived from self-pollination of Sit/Sit (Δ), sit\textsuperscript{W}/sit\textsuperscript{W} (□) and Sit/sit\textsuperscript{W} (▽) plants. Table 2. ABA content and osmotic potential of the juice of ripe Sit/Sit and Sit/sit\textsuperscript{W} fruits. \| genotype of the fruit \| Sit/Sit (n=2) \| sit\textsuperscript{W}/sit\textsuperscript{W} (n=2) \| \|-----------------------\|---------------\|---------------------------------\| \| ABA content, µM \| 0.84 ± 0.18 \| 0.08 ± 0.01 \| \| Osmotic potential, MPa\| -0.85 ± 0.11 \| -0.93 ± 0.07 \| Development of dormancy The development of dormancy in wild-type seeds was strongly influenced by cultivation conditions and plant handling. Seeds used in the previous experiments were produced on plants raised in pots or on hydroponic culture in a heated greenhouse with 16 h daylength without defoliation (condition 1 in Tab. 3). Under those conditions wild-type plants produced seeds that germinated directly after harvest for 15% at 26 °C in darkness. Cultivated on soil in a Table 3. Germination of freshly harvested seeds produced under different conditions. See text for the description of the conditions of cultivation. \| production \| genotype \| germination, % \| \|------------\|---------------------------------\|----------------\| \| condition 1\| Sit/Sit seeds on Sit/Sit plants \| 15 \| \| \| Sit/sit\textsuperscript{W} seeds on sit\textsuperscript{W}/sit\textsuperscript{W} plants \| 57 \| \| \| sit\textsuperscript{W}/sit\textsuperscript{W} seeds on sit\textsuperscript{W}/sit\textsuperscript{W} plants \| 97 \| \| condition 2\| Sit/Sit seeds on Sit/Sit plants \| 82 \| \| \| sit\textsuperscript{W}/sit\textsuperscript{W} seeds on sit\textsuperscript{W}/sit\textsuperscript{W} plants \| 96 \| non-heated greenhouse at natural summer conditions, whereby the older leaves were routinely removed (condition 2 in Tab. 3), wild-type seeds germinated for 82% directly after harvest. These latter conditions come close to commercial seed productions in tomato. A first result of a further analysis of these data points to defoliation as an important factor. When wild-type plants at condition 1 were defoliated halfway the development of certain fruits, seeds from those fruits germinated directly after harvest for 75% (data not shown). Freshly harvested sit\textsuperscript{W}/sit\textsuperscript{W} seeds from both cultivation conditions germinated to a high percentage, while Sit/sit\textsuperscript{W} seeds, that had been formed in a sit\textsuperscript{W}/sit\textsuperscript{W} fruit, took an intermediate position (Tab. 3). We also studied the germination characteristics of the seeds developing after self-pollination of Sit/sit\textsuperscript{W} (Fig. 8). All seeds that gave rise to wilting seedlings had ger- ![Graph showing germination of seeds over incubation period](image) Fig. 8. The influence of the genotype of the embryo on the germination of freshly harvested mature seeds from self-pollinated Sit/sit\textsuperscript{W} plants. Seeds were collected from ripe fruits and incubated in water the next day. All seeds that had not germinated on the 6\textsuperscript{th} day were subsequently treated with 10 µM GA\textsubscript{4+7}. Germinated seeds (●) were removed from from the Petri dishes, transplanted in soil and checked for rapid wilting of seedlings under water stress: wilting (□) or non-wilting (▽) seedlings. The phenotype of some seedlings (7%) could not be classified (○), since they did not survive the transplantation. minated within 3 days. The seeds that formed normal seedlings germinated for about 45% in water, the remainder of the seeds required GA\textsubscript{4+7} to germinate. Thus, \textit{sit}\textsuperscript{W}/\textit{sit}\textsuperscript{W} seeds also showed a lack of dormancy after development in ABA-rich maternal tissues. The segregation of 59 wilting versus 173 non-wilting seedlings in the offspring of self-pollinated \textit{Sit}/\textit{sit}\textsuperscript{W} plants (Fig. 8) is very close to a 1:3 ratio and indicates an equal contribution of \textit{Sit} and \textit{sit}\textsuperscript{W} pollen and ovules to the fertilization. Germination of dormant wild-type seeds was stimulated by a low temperature pretreatment, particularly in combination with red light, by GA\textsubscript{4+7}, and by several weeks of dry storage (Tab. 4). Table 4. Influence of a cold pretreatment, after-ripening and different incubation conditions on the germination of freshly harvested, wild-type seeds, produced at condition I (see text for description). Seeds were incubated at 26 °C in water or 10 µM GA\textsubscript{4+7}, and 7 days in darkness (dark) or 1 day under intermittent red followed by 6 days darkness (red). nt = not tested. \| pretreatment \| incubation conditions \| \|-----------------------\|-----------------------\| \| \| H\textsubscript{2}O, dark \| H\textsubscript{2}O, red \| GA\textsubscript{4+7}, dark \| \| none \| 11 \| 35 \| 100 \| \| 6 d 2 °C, imbibed \| 31 \| 95 \| nt \| \| 7 weeks 7 °C, dry \| 77 \| nt \| 100 \| Discussion Two sources of ABA The present data clearly demonstrate that in developing tomato seeds endogenous ABA originates both from zygotic and maternal tissues. They are in accordance with previous studies on seeds of \textit{Arabidopsis thaliana} (Karssen et The ABA that occurs in Sit/sitW seeds developing in sitW/sitW fruits (Fig. 1) can only originate from embryo and endosperm since the fruit and the integuments are ABA-deficient. This conclusion is strongly supported by the resemblance between the courses of ABA content in intact Sit/sitW seeds, developing in sitW/sitW fruits (Fig. 1) and in embryo plus endosperm of wild-type seeds (Fig. 2A). The high rise in ABA content around 30 dap only occurred in Sit/Sit seeds, i.e., when both zygotic and maternal tissues had the capacity to produce ABA. Therefore, this rise has to be of maternal origin. The analysis of seed parts in Sit/Sit showed indeed that the rise around 30 dap was mainly present in the (maternal) integuments (Fig. 2A). Smith (1955) described that in tomato seeds the cell walls of the outer integument collapse half-way development, leaving only the secondary thickening on the radial cell walls which develop into hairs. This collapse most probably causes the dramatic reduction in fresh weight which occurs in tomato much earlier than in seeds of most other species. The loss of water is accompanied by a reduction of maternal ABA (Fig. 2). Therefore, the ABA rather dissipates into the fruit tissue than that it is metabolically removed. It cannot be excluded that maternal ABA entered the zygotic endosperm and embryo in the course of development. Although a comparison between total ABA in Sit/sitW seeds developing in ABA-deficient maternal tissues (Fig. 1) and the ABA content of developing Sit/Sit endosperms and embryos (Fig. 2A) does not support this, the measurements of ABA in embryo plus endosperm of individual seeds demonstrated that at 35 dap maternal ABA from Sit/sitW fruits and integuments increased the ABA content of sitW/sitW embryo and endosperm. Role of ABA in seed development Application of exogenous ABA to developing intact seeds of wheat and barley stimulated the import of assimilates and the growth of the seeds (Dewdney and McWha 1978, Tietz et al. 1981, Ackerson 1984a). King and Patrick (1982) expressed some doubt about the reliability of the applied techniques, however. Exogenous ABA has also often been applied during in vitro cultures of isolated embryos. In cultivation medium without ABA embryos germinate precociously. Addition of ABA not only prevented growth but, according to some studies, also stimulated the synthesis of certain specific proteins such as legumin in field-bean cotyledons (Barrat 1986), the β-subunit of β-conglycinin in soybean embryos (Bray and Beachy 1985), or agglutinin in wheat embryos (Triplett and Quatrano 1982). ABA also caused continuation of the transcription of mRNAs for storage proteins (Eisenberg and Mascarenhas 1985). The effect of ABA is not specific, however. During in vitro cultures of developing rapeseed embryos high osmotic concentrations of mannitol could replace ABA in the inhibition of germination and the stimulation of storage-protein synthesis (Crouch et al. 1985). Barrat (1986) obtained similar results with field-bean cotyledons. In rapeseed embryos the osmotic effect is more rapid than ABA and is not mediated by an increase of ABA levels in the cultivated embryos (Finkelstein and Crouch 1986). In the present experiments ABA-deficient tomato seeds do not exhibit any of these changes. Neither fresh and dry weights (Fig. 3), nor the content and composition of reserve proteins (Fig. 4, 5) were affected. The relatively higher protein content early in development of Sit/Sit seeds is more likely due to the better condition of the wild-type mother plant than to endogenous ABA, since there is no difference in protein content between sitW/sitW and Sit/sitW seeds that developed on the same mother plants. Moreover, sitW/sitW seeds did not germinate precociously in any experiment. Therefore, our experiments with tomato present serious doubts whether a role of endogenous ABA in seed development was simulated in studies with exogenous ABA. Role of ABA in induction of dormancy The present experiments clearly prove that endogenous ABA plays an important role in the induction of dormancy during seed development. The results are in good agreement with the studies on the role of ABA in dormancy induction in Arabidopsis thaliana (Karssen et al. 1983). Particularly the ABA fraction that is produced in embryo and endosperm is decisive: Sit/sitW seeds from sitW/sitW fruits showed inhibited germination whereas sitW/sitW seeds from the same fruits as well as from ABA-rich Sit/sitW fruits (Fig. 8) germinated directly after harvest. However, maternal ABA may add to the action of zygotic ABA because Sit/Sit seeds were more dormant than Sit/sitW seeds from sitW/sitW fruits. Translocation of maternal ABA from the foliage to the seeds might explain the dormancy-antagonizing effect of defoliation indicated in the present study. It is well-known that leaves produce large amounts of ABA, particularly during water stress. Hoad (1978) found in lupin that the level of ABA in the phloem sap increased with water stress and, concomitantly, the ABA content of the developing seeds. A small increase of the ABA levels in both testa and cotyledons, in reaction to water stress, was also reported for developing soybean seeds (Brenner et al. 1986). Vivipary The capacity of mature seeds to germinate viviparously in ripe fruits, that were still attached to the mother plant, is primarily a function of the degree of dormancy of the seeds (Fig. 7). The ABA-induced dormancy of tomato seeds will be analysed in the next chapter. It will be shown that sit\textsuperscript{W}/sit\textsuperscript{W} seeds have the capacity to germinate in a solution of 0.5 MPa more negative osmotic potential than Sit/Sit seeds, whereas seeds of both genotypes have the same sensitivity to exogenous ABA. The different sensitivity to osmotic stress is the most likely explanation why mature sit\textsuperscript{W}/sit\textsuperscript{W} seeds do germinate readily, in both sit\textsuperscript{W}/sit\textsuperscript{W} and heterozygous fruits, whereas wild-type seeds in wild-type fruits do not germinate (Fig. 6, 7). The osmotic potential of the fruit tissues is about -0.9 MPa in both types of fruits (Tab. 2), a potential that only inhibits the germination of wild-type seeds (Chapter 6). Ripe Sit/Sit fruits contain a 10-fold higher ABA concentration than sit\textsuperscript{W}/sit\textsuperscript{W} fruits (Tab. 2), a level that is in itself, however, not inhibitory to seeds of both genotypes (Chapter 5). Thus the primary control of viviparous germination is of an osmotic nature. The conclusions are in accordance with those of Dörrfling (1970), who also postulated a secondary role of ABA in the prevention of vivipary in tomato. Reduced dormancy and viviparous germination have also been reported for seeds of the ABA-deficient flacca tomato mutant (Weyers 1985). In sit\textsuperscript{W}/sit\textsuperscript{W} fruits germination of immature seeds was never observed (Fig. 7). In Arabidopsis similar observations were explained by lack of water due to dehydration of fruits and seeds (Karssen et al. 1983). In tomato, such an explanation is unlikely, since even mature seeds still contain considerable quantities of water (Fig. 2, 3). Therefore, some other ABA-independent factor must prevent precocious germination. In tomato seeds germination depends on a GA-stimulated weakening of the endosperm layer opposing the radicle tip (Chapter 2, 5). We presume that precocious germination is prevented by either a limitation of synthesis or transport of the essential GA, or by reduced sensitivity of the responding endosperm cells to this hormone. In conclusion, the present study has shown that the action of endogenous ABA during seed development of tomato is limited to the induction of dormancy. All other aspects of seed growth, such as fresh and dry weight and accumulation of reserve proteins are not influenced by the reduction of endogenous ABA. Although the effects of exogenous ABA on cultivated embryos of many species do not imitate the action of endogenous ABA, they clearly show that immature seeds have the potency to react to ABA. Chapter 6 Differences in dormancy and germination between seeds of wild-type and abscisic acid-deficient mutants in tomato. In collaboration with W.P.J.M. van Ham, A.J. Stolte and C.M. Karssen. Abstract The ABA-induced seed dormancy in tomato is studied by comparing seeds of the ABA-deficient sit\textsuperscript{W} seeds with wild-type seeds cv. Moneymaker. Wild-type seeds that were raised on plants in a heated greenhouse without regular defoliation of the older leaves develop dormancy in contrast to sit\textsuperscript{W} seeds. In dormant wild-type seeds the necessary weakening of the endosperm resistance in front of the radicle does not occur and germination is inhibited. A few weeks of afterripening at dry storage relieves this difference between wild-type and sit\textsuperscript{W} seeds. Stored seeds of both lines do still differ in the sensitivity of germination and embryo elongation to osmotic inhibition. The critical osmotic potential for 50% inhibition in sit\textsuperscript{W} seeds is -0.5 MPa more negative than in wild-type seeds. Seeds of the GA-deficient ga-1 mutant, that absolutely require GA for endosperm weakening and germination, germinate in water after removal of the endosperm and testa layers in front of the radicle (detipping). In osmotic solutions the radicle elongation of detipped seeds of different lines is increasingly inhibited in the order sit\textsuperscript{W}, wild-type, ga-1 sit\textsuperscript{W}, and ga-1. Freshly harvested wild-type seeds contain about 10-fold higher levels of endogenous ABA than sit\textsuperscript{W} seeds. Dry storage reduced the levels by half and imbibition in water caused a further reduction. Comparison with the minimal levels of penetrated ABA that are required for inhibition of germination made it unlikely that the different behaviour of wild type and sit\textsuperscript{W} depend on the actual levels in mature seeds. It is concluded that the about 30-fold higher ABA levels of wild-type seeds during seed development has caused profound differences in the seeds that are still noticeable during germination. At harvest the action of developmental ABA interferes with the stimulation of endosperm hydrolysis, in stored seeds it inhibits the cell elongation capacity. Introduction Previous studies with ABA-deficient mutants of Arabidopsis thaliana and tomato provided clear evidence that the induction of dormancy during the development of seeds on the mother plant depends on a rise of endogenous ABA (Karssen et al. 1983, Chapter 5). Upon maturation of the seeds the ABA levels strongly decreased. Therefore, it was doubted whether endogenous ABA was also responsible for the maintenance of dormancy in the mature seed (Karssen et al. 1983). Bonamy and Dennis (1977) expressed similar doubts. They showed that in peach seeds the ABA level diminished much more rapidly during incubation at 20 °C than at 5 °C, whereas dormancy was only relieved at 5 °C. Therefore, it was hypothesized that the inhibitory effect of ABA on germination is somehow fixed during seed development and does not depend on the actual presence of ABA for its expression in the mature seed (Karssen and Łącka 1986). It is the aim of the present study to localize and analyse this ABA-induced dormancy in tomato seeds by comparing seeds of the ABA-deficient sit<sup>W</sup> mutant with wild-type cv. Moneymaker seeds. The isolation and phenotypic characterization of the sit<sup>W</sup> mutant have been described in Chapter 5. In the present analysis special attention is given to the cell-expansion force of the embryo because recent studies with rapeseed have shown that application of ABA inhibits cell expansion by interfering with the process of cell-wall loosening (Schopfer and Plachy 1985). The present paper also studies whether the ABA-deficiency interferes with GA-induced processes in the seeds. Studies with GA-deficient ga-1 mutants have shown that the germination of tomato seeds absolutely depends on GA (Chapter 2). This hormone induces a weakening of the mechanical restraint of the endosperm cells, thereby permitting radicle protrusion. The study of the interaction between the two hormones in the control of germination is enabled by the availability of the recombinant of the sit<sup>W</sup> and the ga-1 mutants. Material and methods Seed material Wild-type tomato (Lycopersicon esculentum Mill. cv. Moneymaker), and the ABA-deficient line sit<sup>W</sup>; the GA-deficient line ga-1, and the recombinant ga-1 sit<sup>W</sup> were obtained from Professor J.W. van der Veen of the Department of Genetics, Agricultural University, Wageningen. Plants for seed production were raised at two locations. At small scale, seeds were produced year-round in a heated greenhouse with minimum temperatures of 21 °C (day) and 19 °C (night) and a photoperiod of 16 h was maintained by additional illumination from high-pressure mercury halide lamps (Philips HPI/T) at 18 W.m$^{-2}$. The plants were cultivated in pot soil. The sit$^W$ plants were protected against direct sunlight and sprayed regularly with tap water to prevent wilting. At a larger scale seeds were produced in a non-heated greenhouse during summer and autumn, without additional illumination. The plants were cultivated in soil and shielded against direct sunlight. At this location the older leaves below the clusters with ripe fruits were removed regularly. The sit$^W$ and ga-1 sit$^W$ plants were sprayed once or twice a week with about 2 ml 10 $ \mu M $ ABA (Fluka, FRG) to reduce wilting. Of the ga-1 plants, the top and flower-bud regions were sprayed once a week with a solution of 10 $ \mu M $ GA$_{4+7}$ (Berelex, ICI, UK) to stimulate shoot growth and development of fertile flowers. Seeds were isolated from ripe fruits and incubated in 1% HCl for 1 h to remove the remnants of the mucilagenous locular tissue. Thereafter the seeds were rinsed with tap water, dried at room temperature and stored in closed plastic containers in a refrigerator at 7 °C until use. Comparison between wild type and mutant always occurred with seed lots from the same harvest date. Germination conditions Triplicates of 50 seeds were sown in 5 cm glass Petri dishes on one layer of filter paper (Schleicher and Schüll No. 595) moistened with 1.5 ml of 0.25 mg.l$^{-1}$ thiomersal (BDH, UK) to prevent fungal growth, with or without growth regulators or osmotic material. ABA (Fluka, FRG) and GA$_{4+7}$ (a gift of ICI, UK), were dissolved in 1 M KOH and diluted with distilled water, the pH of the stock solutions was adjusted to 7.0 with 1 N HCl. The osmotic potential of the polyethylene glycol (PEG) (Serva, FRG) (mol mass 6,000) solutions was calculated according to the formula of Michel (1983). The PEG solutions were refreshed every two days. The Petri dishes with seeds were placed in closed plastic boxes and incubated at 26 + 1 °C in the dark unless mentioned otherwise. In experiments with intact seeds visible radicle protrusion was used as the criterion for germination, unless mentioned otherwise. When the layers opposing the radicle tip were removed (detipped seeds) a certain minimum protrusion was taken as criterion. ABA determinations The isolation of ABA and its determination by gaschromatography are described in Chapter 5. Puncture force determinations The force needed to puncture the endosperm plus testa layers opposing the radicle tip was determined and taken as a measure for the mechanical restraint of these seed layers. The puncture force determinations and statistical calculations of the data were performed according to the previous description (Chapter 2). Results Alleviation of dormancy During incubation in water the force required to puncture the layers opposing the tip of the radicle and the percentage germination were followed in wild-type and sitW seeds produced in the heated greenhouse (Fig.1). ![Graph showing changes with incubation time of the median force required to puncture the layers opposing the radicle tip (broken lines) and of germination (solid lines) of wild-type (Δ, ▲) and sitW (□, ■) seeds. Seeds were incubated either 1 day after harvest (open symbols) or after 8 weeks of dry storage at 7 °C (closed symbols).] Fig. 1. Changes with incubation time of the median force required to puncture the layers opposing the radicle tip (broken lines) and of germination (solid lines) of wild-type (Δ, ▲) and sitW (□, ■) seeds. Seeds were incubated either 1 day after harvest (open symbols) or after 8 weeks of dry storage at 7 °C (closed symbols). It was shown before that at that location wild-type seeds develop dormancy (Chapter 5). The seeds were tested directly after harvest or after 8 weeks of dry storage at 7 °C. At the start of incubation the endosperm resistance of both genotypes was similar, it was not affected by dry storage. When wild-type seeds were incubated directly after harvest only a few seeds germinated and the puncture force did not decrease during incubation. Apparently, the dormant state of these seeds also prevented endosperm weakening. In wild-type seeds dry storage induced the capacity to weaken the endosperm which was followed by full germination. Both processes occurred at the same rate as in the non-dormant sitW seeds before and after dry storage. ABA levels The levels of endogenous ABA were determined in seeds of both genotypes that had been raised in the heated greenhouse (Tab. 1). Freshly harvested seeds of wild type contained about 10-fold higher ABA levels than fresh sitW seeds. Dry storage reduced the levels by half and imbibition in water caused a further strong reduction in the wild-type seeds. Table 1. ABA content of wild-type and sitW seeds. The seeds were extracted at harvest (non-dried), after 1 year dry storage at 7 °C, or after 1 year storage followed by 18 h imbibition of 50 seeds in 1.5 ml water. Data represent the mean ± standard deviation of duplicate samples of 50 seeds. \| line \| extraction \| ABA content, ng.seed-¹ \| \|---------------\|-----------------------------\|------------------------\| \| wild type \| - at harvest \| 1.8 ± 0.2 \| \| \| - after 1 year storage \| 0.8 ± 0.1 \| \| \| - after 1 year storage plus 18 h imbibition \| 0.1 ± 0.0 \| \| sitWsitW \| - at harvest \| 0.2 ± 0.0 \| \| \| - after 1 year storage \| 0.1 ± 0.0 \| Inhibition of germination of stored seeds Since the dormancy of wild-type seeds was rapidly relieved during dry storage (Fig. 1), the main part of our experiments could only be performed with stored non-dormant seeds that fully germinated in water and darkness at 26 °C for both genotypes. Therefore, it was tested whether seeds of wild type and sitW differed in their response to less favourable conditions, such as incubation in ABA or osmotic inhibition. In these experiments seeds were used that were produced on large scale in the non-heated greenhouse, wild-type seeds raised at that location developed less dormancy compared to seeds from the heated greenhouse (Chapter 5). ![Graph showing effect of exogenous ABA on germination of seeds](image) Fig. 2. Effect of exogenous ABA on the germination, or growth, of intact (solid line) or detipped (broken lines) seeds of wild type (Δ, ▲) and sitW (□, ■). In detipped seeds endosperm plus testa layers opposing the radicle tip were removed in the dry state. The criterion for germination was either visible radicle protrusion (open symbols) or radicle growth surpassing 2 mm (closed symbols). Effect of exogenous ABA. Exogenous ABA inhibited the germination of after-ripened seeds of both genotypes to the same extent (Fig. 2). The same was true for the ABA inhibition of embryo growth studied in detipped seeds, where the interfering mechanical restraint of endosperm and testa was removed in the area opposing the radicle. Following detipping the radicle protruded in all seeds to a limited extent of about 1 mm. This early protrusion was not affected by ABA that only inhibited the further extension of the radicle (Fig. 2). The inhibition of radicle growth required higher ABA concentrations than the prevention of germination, 50% inhibition occurred in both genotypes at about 2 µM and 5 µM, respectively. Exogenous ABA also inhibited endosperm weakening in de-embryonated ga-l seed-halves which was induced by incubation in 0.1-0.2 µM GA4+7 (Tab. 2). Complete inhibition was achieved by simultaneous incubation in 1 µM ABA. Table 2. Influence of incubation of de-embryonated, placental half of seeds in distilled water or GA4+7 with or without ABA on the required force to puncture these layers. The seed parts were isolated in daylight from intact seeds after 3 h incubation in distilled water. The puncture force was determined either directly or after additional incubation for 21 h in 1.5 ml test solution at 26 °C in darkness. The puncture force is expressed as the mean of two duplicate samples of 10 de-embryonated seed parts. \| Incubation period (h) \| Incubation medium \| Puncture force ± SD \| \|-----------------------\|-------------------\|---------------------\| \| \| GA4+7 (µM) \| ABA (µM) \| (N) (n=20) \| \| 3 \| 0 \| 0 \| 0.57 ± 0.07 \| \| 24 \| 0 \| 0 \| 0.58 ± 0.06 \| \| 24 \| 0.2 \| 0 \| 0.40 ± 0.08 \| \| 24 \| 0.2 \| 0.3 \| 0.53 ± 0.08 \| \| 24 \| 0.2 \| 1.0 \| 0.57 ± 0.05 \| \| 24 \| 0.2 \| 3.0 \| 0.57 ± 0.06 \| \| 24 \| 0 \| 3.0 \| 0.56 ± 0.06 \| SD = standard deviation Fig. 3. Effect of osmotic potential of the incubation medium on the germination of intact (A) or detipped (B) seeds of wild type (Δ), sitW (□), ga-l sitW (▼) and ga-l (○). In detipped seeds endosperm plus testa layers opposing the radicle tip were removed in the dry state. The criterion for germination was radicle growth surpassing 1 mm, which was scored after 12 days. Fig. 4. Rate of germination of intact (A) or detipped (B) seeds of wild type (Δ, Δ), sitW (■, □), ga-l sitW (▼, ▼) and ga-l (●, ○) in water (closed symbols) or -0.5 MPa PEG (open symbols). In detipped seeds endosperm plus testa layers opposing the radicle tip were removed in the dry state. The criterion for germination was radicle growth surpassing 1 mm. Effect of osmotic inhibition. Osmotic inhibition of the germination of after-ripened intact seeds and of the radicle extension from detipped seeds was studied in relation to both ABA- and GA-deficiencies. To prevent interference with the early protrusion that immediately followed detipping, a minimal extension of 1 mm was taken as criterion for both germination and radicle extension. In contrast to ABA, PEG also inhibited the early protrusion. Seeds of sitW germinated in PEG solutions of 0.5 MPa lower osmotic potential than wild-type seeds (Fig. 3A). In water sitW germinated a few hours earlier than wild-type seeds, in -0.5 MPa PEG the germination of sitW seeds was less delayed than wild-type seeds (Fig. 4A). Intact seeds of the GA-deficient ga-l line and of the recombinant ga-l sitW did not germinate in water or PEG (Fig. 3A, 4A). In wild type, protrusion of the radicles occurred from detipped seeds at about 0.3 MPa lower PEG concentrations than from intact seeds (Fig. 3A,B). Unfortunately, seed-born infections prevented prolonged incubation of detipped sitW seeds. After detipping also the radicles of GA-deficient seeds extended, their resistance to osmotic stress was about 0.6 MPa less than in wild type, the recombinant took an intermediate position (Fig. 3B). In water radicles of all genotypes extended at the same high rate (Fig. 4B). In -0.5 MPa PEG radicle protrusion from detipped seeds of GA-producing genotypes (sitW, wild type) started earlier and occurred at a higher rate than that of GA-deficient genotypes (ga-l sitW, ga-l), whereas radicles of ABA-producing genotypes (wild type, ga-l) protruded later and at a slower rate than those of ABA-deficient genotypes (sitW, ga-l sitW). Discussion The present data show that dormancy and germination of ABA-deficient tomato seeds differ from those of wild-type seeds, both directly after harvest and after a certain period of dry storage. It has to be discussed whether these differences are merely the result of strong dissimilarities in ABA levels during seed development or depend on the actual differences in ABA levels in the mature seeds (Tab. 1). During seed development wild-type seeds reached a peak of 36 ng.seed$^{-1}$, in contrast to 1 ng.seed$^{-1}$ in sitW (Chapter 5). Germination of non-dormant seeds of both lines was equally sensitive to exogenous ABA, 50% inhibition occurred at about 2 $\mu$M ABA (Fig. 2). At the end of imbibition tomato seeds have taken up about 4 $\mu$l water.seed$^{-1}$ (unpublished data). In case of unobstructed diffusion each seed should have absorbed about 2 ng ABA from the 2 μM solution. However, Velasco and Stoner (1983) showed that in tomato seeds diffusion barriers exist that reduce the penetration of ABA to about 50%. Thus the absorption from a 2 μM ABA will be about 1 ng.seed$^{-1}$. That amount approaches the 0.8 ng.seed$^{-1}$ of endogenous ABA in dry non-dormant seeds of the wild-type (Tab. 1). However, those seeds fully germinated in water at 26 °C. The lack of an inhibiting effect of endogenous ABA is most likely due to the considerable reduction of the ABA level during imbibition. It was shown in lettuce seeds that absorbed ABA, at a level comparable to the endogenous amount in dry seeds, was only inhibitory to germination if it was maintained throughout incubation (Karssen 1982c). We suppose that also in freshly harvested tomato seeds the endogenous ABA level will be reduced during imbibition, the inhibition of endosperm weakening continued, however, during at least 50 h (Fig. 1). Therefore, it is unlikely that actual ABA levels in mature seeds are responsible for the observed differences in dormancy and germination between wild-type and sit$^W$ seeds. Dormancy at harvest It was shown before that the weakening of endosperm resistance absolutely depended on embryo-produced endogenous GA or on application of GA (Chapter 2). Therefore, the absence of endosperm weakening in freshly harvested wild-type seeds indicates that endogenous ABA influenced in some way the action of embryonal GA. This can be thought to be either an inhibition of GA-biosynthesis, a reduction of the sensitivity to GA or a direct inhibition of GA-induced endosperm hydrolysis. The first supposition is not likely, direct effects of ABA on GA production have not been reported. The second presumption is supported by experiments on Arabidopsis thaliana; seed of ABA-deficient lines were 100-fold more sensitive to GA$_{4+7}$ than ABA-producing lines (Karssen and Laćka 1986). As we argued above, a direct inhibition by endogenous ABA of GA action during germination is not likely. Different inhibition of nondormant seeds During incubation in water after a period of dry storage at 7 °C, wild-type seeds showed similar endosperm weakening and germination as sit$^W$ seeds (Fig. 1). They only differed in the moment that radicle protrusion from intact seeds started (Figs. 1, 4A). The differences were strongly enlarged when the seeds were submitted to osmotic stress. Seeds of the ABA-deficient line showed much higher resistance, germination occurred at more negative osmotic potentials (Fig. 3A), and at −0.5 MPa radicle protrusion occurred much earlier than in wild-type seeds (Fig. 4A). It is hypothesized that the high ABA levels that occur during seed development in wild-type seeds cause an inhibition of cell elongation that can still be observed after long periods of dry storage. In seeds of Brassica napus applied ABA inhibited cell elongation at the site of cell-wall loosening without affecting the osmotic potential of the seeds (Schopfer and Plachy 1985). It cannot be decided yet whether endogenous ABA similarly affected tomato seeds. Separation of the actions of ABA and GA The present data support the revision of the hormone balance theory of seed dormancy that was based on studies in Arabidopsis thaliana (Karssen and Lačka 1986). Also in tomato seed germination endogenous ABA and GA do not act simultaneously, the action of ABA being restricted to seed development, whereas GA is only required during germination. It was reported before that the absence of endogenous GA does not essentially interfere with seed growth and development (Chapter 4). The actions of ABA and GA are only related through the intermittent state of dormancy. ABA-induced dormancy resulted in a lower resistance to osmotic stress, which in intact seeds only became visible when seeds could produce GA (Figs 3A, 4A). In water radicle growth of GA-deficient genotypes could only occur in detipped seeds. GA-deficiency further decreased the resistance to osmotic inhibition (compare ga-1 to wild type in Figs 3B, 4B). The difference caused by ABA during development was maintained, however be it at less negative osmotic potentials (compare sitW to wild type and ga-1 sitW to ga-1 in Fig. 4B). Apart from the separation of ABA and GA action in time, during development and during germination, respectively, the site of action of the two hormones is also partly separated. Endogenous ABA induces a difference in the growth potential of the embryo, whereas the main effect of endogenous GA is on the weakening of the endosperm resistance. Chapter 7 General discussion The present study forms a new demonstration of the usefulness of hormone mutants in the analysis of hormone action in growth and development of plants. In previous studies, for instance, a role of gibberellins in elongation growth and of abscisic acid in stomatal closure was proven by comparing plants of wild types and GA- or ABA-deficient mutants, respectively (Phinney 1985, Tal and Imber 1971). Our experiments were concentrated on the generative part of the life cycle of higher plants. In addition to parallel studies on Arabidopsis thaliana the role of GA and ABA was studied in the development of flowers, fruits and seeds and in seed germination of tomato. In tomato, like in Arabidopsis, GA- and ABA-deficient mutant lines were available for the experiments. Tomato seeds have the advantage of a much bigger size, therefore, the location of hormone synthesis and action in the different seed parts could be studied. This Chapter summarizes the main results of the thesis and discusses its contribution to the understanding of the role of hormones in seed development, dormancy and germination. Flower development It was shown in previous studies that application of GAs stimulates the development of pistils and stamen in flowers of many species (Pharis and King 1985). A regulatory role for GA in flower development was also suggested in experiments with the stamenless-2 tomato mutant that contains reduced levels of endogenous GA (Shawney 1974). The experiments with the GA-deficient mutants of tomato provided definite proof that GA is absolutely required for normal flower development. The ga-1 plants produce flower buds that do not develop into normal flowers, particularly the development of corolla and stamen is stagnated. A single spray with GA$_{4+7}$ applied to newly formed buds is sufficient to complete flower development. Nester and Zeevaart (1986) recently observed in ga-2 mutants of tomato aberrations in pollen and ovule development resulting in both male and female sterility. ABA-deficient plants develop normal flowers (Chapter 5). Poor production of pollen, that is observed in these plants was associated with the weak condition of the sitW plants. Fruit development Perthenocarpic fruit development was occasionally observed on dwarf ga-1 plants and fruit maturation occurs normally (Chapter 4). It was concluded that endogenous GA is not essential for fruit development and maturation in tomato. Nevertheless, GA production by seeds has a clear stimulative effect on fruit-growth. The development of GA-producing and GA-deficient seeds in GA-deficient fruits was compared by pollination of ga-1/ga-1 flowers with wild-type or ga-1 pollen, respectively. Fruits containing GA-producing seeds reach a higher fresh weight than those containing GA-deficient seeds and their ripening is delayed by one week. A role of endogenous GA in fruit growth was also demonstrated by parallel studies in Arabidopsis thaliana. Barendse et al. (1986) showed that the rate of fruit growth was clearly increased by GAs originating from both maternal and embryonic tissues. Apart from these studies with hormone mutants no firm information had been gathered about a role of endogenous GA in fruit growth and development. Previous studies with applied GAs had only suggested a retarding effect of endogenous GA on tomato fruit maturation (McGlasson 1978). Seed development GA. Development of flowers, seeds and fruit on ga-1 dwarfs occurs after a single spray on the flower-bud with GA\textsubscript{4+7} (Chapter 4). It can not be excluded that the very early phase of seed development occurs with the aid of residual amounts of GA\textsubscript{4+7}. An effect on the later stages of seed development in ga-1 is most unlikely, because, the stimulation of elongation growth by a GA\textsubscript{4+7} spray lasts only for one week. Therefore, it was concluded that GA is not essential for seed development in tomato, with a possible exception for initial stages. Endogenous GA has no influence on total protein content during seed development. Also no quantitative differences are observed in the most abundant proteins. Nevertheless, seeds grow better in the presence of endogenous GA, seed maturation is delayed by one week and fresh and dry weight are increased. The present results raise serious doubts about the several roles that were suggested for endogenous GA during seed development (Karsen 1982a, Khan 1982). These suggestions were all based on correlations between the peak in GA-like activity, determined by bio-assay, and certain events during seed development. A role of GA was doubted before in studies on inhibitors of GA-biosynthesis (Zeevaart 1966) and in studies with GA-deficient mutants of Arabidopsis thaliana (Barendse et al. 1986). ABA. Increases in dry-matter accumulation and stimulations of storage protein synthesis during seed development have often been associated with ABA. These conclusions were mainly based on the effect of applications of ABA to developing seeds (Dewdney and McWha 1979, Tietz et al. 1981, Triplett and Quatrano 1982, Ackerson 1984a, Schroeder 1984, Bray and Beachy 1985). Our experiments with the ABA-deficient tomato mutant show that despite strong reductions of ABA content in the developing seeds, neither fresh and dry weight, nor the composition and content of reserve proteins are affected (Chapter 5). Also suggestions about a role of ABA in the prevention of precocious germination were not confirmed. ABA-deficient seeds did not germinate precociously in any experiment (Chapter 5). Therefore, also a role of endogenous ABA on seed growth and development is seriously doubted. Simulations of the action of endogenous ABA by application of ABA to isolated seeds or seed parts provide no reliable information on its regulatory role in vivo. The large variation of suggested functions of ABA based on that type of studies were not confirmed by the present data. Dormancy induction The present experiments clearly prove that seed-produced-ABA plays a decisive role in the induction of dormancy during seed development (Chapter 5). The onset of dormancy depends particularly on the ABA fraction produced in embryo and endosperm, the influence of maternal ABA is minor. The dual origin of ABA was shown by reciprocal crosses of wild-type and sit<sup>W</sup> mutant. The genotype of the mother plant regulates the ABA content present in the testa which shows a peak half-way seed development. The genotype of the embryo and endosperm is responsible for a second ABA fraction, present in these tissues. This second fraction reaches its peak during the second half of seed development. The results on dormancy induction are in good agreement with similar studies on dormancy induction in seeds of Arabidopsis thaliana (Karssen et al. 1983). Vivipary Non-dormant sit<sup>W</sup> seeds did not germinate precociously within the fruit but viviparous germination was observed when ripe fruits remained attached to the mother plant. The absence of vivipary in wild-type seeds is primarily a function of osmotic control by the seeds. The ABA level in wild-type fruits is not inhibitory to seeds of both genotypes. The osmotic potential of fruit tissue of both wild type and sit<sup>W</sup> is -0.9 MPa (Chapter 5). Germination experiments with mature seeds showed that sit<sup>W</sup> seeds do germinate in that potential and wild-type seeds do not (Chapter 6). Thus, the different level of ABA during seed development induces a different sensitivity to osmotic stress that in turn causes vivipary in ABA-deficient seeds. A similar correlation between reduced ABA levels and viviparous germination was found in the flacca mutant. of tomato (Weyers 1985) and in 5 out of 6 viviparous maize mutants (Neill et al. 1986). Seed germination The present experiments with GA-deficient tomato seeds prove that seed germination in this species is absolutely dependent on the presence of GA (Chapter 2). Studies on Arabidopsis reached a similar conclusion. Studies on tomato seeds also enabled an analysis of the location of GA action in the different seed parts. It was shown that the major action of GA is directed to the weakening of the endosperm cells around the radicle tip which facilitates protrusion of the radicle (Chapter 2). In ga-1 seeds a similar event is dependent on exogenous GA$_{4+7}$. Simultaneous incubation of de-embryonated endosperms and isolated axes shows that wild-type embryos produce an endosperm-weakening factor that is absent in ga-1 axes and thus probably is a GA. GA-induced weakening of isolated ga-1 endosperms is accompanied by the simultaneous induction of endo-$\beta$-mannosidase activity, the increase of $\alpha$-galactosidase and mannohydrolase and the release of mannose, glucose, fructose and galactose into the incubation medium (Chapter 3). Chemical hydrolysis of endosperm cell walls reveals a composition of mainly mannose, and smaller quantities of galactose and glucose. It is concluded that in tomato seeds weakening of the endosperm is mediated by GA-induced enzymatic degradation of the mannan-rich cell walls. GAs are stimulatory, but not essential for radicle growth (Chapter 6). Removal of the layers opposite the radicle tip causes germination of ga-1 seeds in water (Chapter 2). Seedlings and plants that develop from the detipped ga-1 seeds exhibit the extreme dwarfy phenotype that is normal to this genotype. Maintenance and relief of dormancy The endosperm resistance of freshly harvested wild-type seeds was not reduced during incubation in water and germination was blocked (Chapter 6). Seeds from sit$^m$ did not show this form of dormancy. It is concluded that endogenous ABA interferes in some way with the action of GA. The first form of dormancy was quickly relieved during low temperature incubation or dry storage. After dry storage seeds of wild-type and sit$^m$ still showed considerable difference in the resistance to osmotic inhibition (Chapter 6). Determination of endogenous ABA levels in mature seeds revealed Fig. 1. A model of the action of ABA and GA in dormancy and germination of tomato seeds. that dormancy and inhibition of germination of ripe seeds does not depend on actual ABA levels but reflects an effect of ABA action during seed development. Model The action of endogenous ABA and GA on dormancy and germination of tomato seeds is presented schematically in Fig. 1. The scheme visualises the separation in time and place of the action of the two hormones. ABA acts during seed development and induces an inhibition of the GA-induced endosperm weakening and a reduction of the growth potential of the embryo. The first effects diminishes rather soon during dry storage, but the latter effect of ABA is still visible after long periods of dry storage. The absence of GA during seed development does not afford a change in germination or dormancy of mature seeds. GA is only active during germination, it acts primarily on the hydrolysis of the galactomannan-rich cell walls in the endosperm which results in a weakening of the mechanical restraint of those cell layers. GA is produced in the embryo and excreted to the endosperm cells. The resistance of the testa, in contrast to the endosperm, is not changed. A second effect of GA is the stimulation of the growth potential of the embryo. The separation in time and place of ABA and GA action is a strong argument against the existence of a hormone balance for the regulation of seed dormancy. Samenvatting Zaden hebben een essentiële functie in de reproductie van hogere planten en dienen vaak voor de verspreiding van de soort. Voor de mens zijn ze van belang als bron van voedsel of grondstoffen. Vandaar dat veel aandacht besteed wordt aan de verbetering van de kwaliteit van zaden door middel van veredelingsonderzoek. Onderzoek aan de zaadontwikkeling en de zaadkieming kan een bijdrage leveren aan de verbetering van zaadkwaliteit. Met name plantehormonen worden een belangrijke rol toegedacht in de regulatie van de zaadkwaliteit. Men vermoedt dat ze van invloed zijn op de opslag en mobilisatie van reservestoffen en op de inductie en verbreking van kiemrust. Deze studie is gericht op de rol van gibberellinen (GAs) en van abscisinezuur (ABA) bij de ontwikkeling en kieming van zaden van tomaat. Het onderzoek is uitgevoerd met behulp van tomatemutanten die niet of maar zeer gedeeltelijk in staat zijn deze hormonen te produceren en daarom met de termen GA-deficiënt of ABA-deficiënt aangeduid worden. Deze mutanten zijn geïnduceerd in de genetische achtergrond van de cultivar Moneymaker, welke in dit proefschrift met 'wild-type' wordt aangeduid. De ontwikkeling en kieming van zaden van deze mutanten is vergeleken met die van wild-type zaden. Zijdelings is ook naar de bloem- en vruchtontwikkeling gekeken. Bloem ontwikkeling Gibberelline (GA) blijkt essentieel te zijn voor de ontwikkeling van fertiele bloemen. GA-deficiënte planten vormen wel bloemknoppen, maar die ontwikkelen zich niet tot normale bloemen, met name de ontwikkeling van de bloemkroon en de meeldraden is duidelijk onderdrukt. Een enkele bespuiting met GA4+7 op nieuwe knoppen is genoeg om een normale ontwikkeling te verkrijgen (hoofdstuk 2). Aan tomatenplanten die deficiënt zijn voor ABA is de bloemontwikkeling normaal. De geringere stuifmeelproductie die in deze bloemen plaatsvindt, is waarschijnlijk een indirect gevolg van de zwakke conditie van deze planten. Door gebrek aan ABA kunnen deze planten namelijk hun huidmondjes niet sluiten, waardoor de planten voortdurend staan te verdampen en snel last krijgen van watertekort (hoofdstuk 5). Vrucht ontwikkeling Een enkele keer ontstaan er parthenocarpe vruchten (dit zijn vruchten zonder zaden) aan GA-deficiënte planten, deze vruchten rijpen normaal. Hieruit kan geconcludeerd worden dat GA niet onmisbaar is voor de ontwikkeling en de rijping van de tomatevruchten. Productie van GA door de zaden heeft echter wel rijping van de tomatevruchten. Productie van GA door de zaden heeft echter wel een stimulerend effect op de groei van de vruchten en het vertraagt het moment van vruchtrijping met een week (hoofdstuk 4). Zaadontwikkeling GA. De ontwikkeling van GA-producerende en GA-deficiënte zaden is vergeleken door bloemen van GA-deficiënte planten te bestuiven met respectievelijk wild-type of eigen stuifmeel. De experimenten hebben aangetoond dat ook voor de ontwikkeling van zaden GA-productie niet noodzakelijk is. Een uitzondering daarop is mogelijk de allereerste fase van de ontwikkeling, want een nagelaten effect van de GA-bespuiting die nodig is om de fertilititeit van de bloemen te herstellen, kan niet geheel uitgesloten worden. Het is echter onwaarschijnlijk dat die bespuitingen effect hebben op de latere ontwikkelingsstadia, aangezien het effect van een GA-bespuiting op de strekkingsgroei niet langer dan een week duurt. Al is GA-productie voor de zaadontwikkeling niet essentieel, het heeft wel degelijk invloed: de zaadontwikkeling duurt een week langer en de uiteindelijk verse- en drooggewichten van de zaden worden hoger. De productie van reserve-eiwitten in het zaad wordt niet beïnvloed door GA (hoofdstuk 4). ABA. In de literatuur worden de toename van het drooggewicht en de stimulatie van de synthese van reserve-eiwit gedurende de zaadontwikkeling vaak geassocieerd met een stijging van het ABA-gehalte. Die associaties zijn voor een groot deel gebaseerd op experimenten waarbij ABA werd toegediend aan geïsoleerde zaden of zaadonderdelen. Met behulp van de mutanten kon in onze experimenten gekeken worden naar de rol van het endogene ABA in een intacte situatie. Daarbij bleek dat noch de verse- en drooggewichten, noch de samenstelling en de hoeveelheid reserve-eiwitten beïnvloed worden door de ABA-deficiëntie (hoofdstuk 5). Ook de suggestie dat ABA een rol zou spelen in het verhinderen van de vroegtijdige kieming van onrijpe zaden werd niet bevestigd. ABA-deficiënte zaden kiemen namelijk niet in de vrucht voor ze rijp zijn (hoofdstuk 5). Het is daarom zeer de vraag of ABA wel een rol speelt bij de groei en ontwikkeling van zaden. De experimenten waarbij ABA wordt toegevoegd aan geïsoleerde zaden of zaadonderdelen, leveren zeer waarschijnlijk geen betrouwbare informatie over een rol van endogene ABA in vivo. Inductie van kiemrust De in dit proefschrift gepresenteerde experimenten laten duidelijk zien dat ABA gedurende de zaadontwikkeling wel een rol speelt bij de inductie van kiemrust. Met name de ABA-fractie in het embryo en endosperm is hier verantwoordelijk voor, de invloed van maternaal ABA is van een geringere betekenis. De aanwezigheid van deze twee bronnen in de zaden van tomaten is aangetoond met behulp van reciproke kruisingen tussen wild-type en de ABA-deficiënte mutant. Het genotype van de moederplant bepaalt het ABA-gehalte in de integumenten welke zich ontwikkelen tot zaadhuid. Een tweede fractie is aanwezig in embryo en endosperm en wordt door die weefsels zelf geproduceerd (hoofdstuk 5). Vivipary Onrijpe, ABA-deficiënte zaden kiemen niet in de vrucht voor ze rijp zijn. Indien de rijpe mutant-vruchten echter enkele weken aan de plant blijven hangen, treedt er vivipary op: de rijpe zaden kiemen in de vrucht (Fig. 6, hoofdstuk 5). Deze vivipary treedt niet op bij wild-type zaden. Het ABA-gehalte van het embryo en endosperm tijdens de ontwikkeling is hier hoogstwaarschijnlijk verantwoordelijk voor (hoofdstuk 5). Kieming Een tomatenzea is opgebouwd uit een gebogen liggend embryo omgeven door endospermweefsel en een zaadhuid. Om te kiemen zal het kiemwortelpuntje door deze weefsels heen moeten breken. De experimenten hebben ondubbelzinnig aangetoond dat de kieming van tomatenzeaden afhankelijk is van GA-synthese. GA induceert vooral een verzwakking van het endosperm tegenover het kiemwortelpuntje. Met behulp van gezamelijke incubatie van losse endospermen en embryonale assen van het wild-type of van de GA-deficiënte mutant, is aangetoond dat de wild-type embryos een factor produceren die de verzwakking van zowel wild-type endospermen als van GA-deficiënte endospermen induceert. Deze factor wordt niet door GA-deficiënte embryonale assen geproduceerd. Het is daarom zeer waarschijnlijk dat deze factor een GA is (hoofdstuk 2). De door GA geïnduceerde verzwakking van geïsoleerde endospermen gaat gepaard met een gelijktijdige inductie van het celwand afbrekende enzym endo-β-mannosidase, terwijl de activiteit van twee andere celwand afbrekende enzymen, α-galactosidase en mannohydrolase onder invloed van GA toeneemt. Ook gelijktijdig met de endospermverzwakking komen bij de incubatie van geïsoleerde endospermen in een GA-oplossing de suikers mannose, glucose, fructose en galactose vrij. Met behulp van chemische hydrolyse is aangetoond dat de celwanden van de endospermcellen bij tomaat voor een groot deel uit mannose bestaan en uit geringere hoeveelheden galactose en glucose. Op grond van deze informatie werd de conclusie getrokken dat de endospermverzwakking veroorzaakt wordt door een GA-geïnduceerde enzymatische afbraak van galactoglucos-mannaan ketens in de celwanden (hoofdstuk 3). Wanneer de endosperm- en testalagen tegenover het kiemwortelpuntje worden weggesneden, kunnen GA-deficiënte zaden ook kiemen, uiteindelijk kan dan zelfs een volledige dwergplant ontstaan (Fig 1, hoofdstuk 1). De groeisnelheid van het kiemworteltje is echter wel beperkt. Blijkbaar is GA niet essentieel voor de groei van het kiemworteltje, maar werkt het wel stimulerend (hoofdstuk 6). Kiemrust Zoals eerder genoemd, bezitten wild-type zaden kiemrust, ze kiemen slecht direct na de oogst. In hoofdstuk 6 is aangetoond dat in deze zaden de noodzakelijke verzwakking van het endosperm geblokkeerd is. ABA-deficiënte zaden bezitten deze vorm van kiemrust niet. Dus op de een of andere manier beïnvloedt het endogene ABA de GA-werking. Na een paar maanden droge bewaring verdwijnt deze vorm van kiemrust in de wild-type zaden. Ze kiemen dan volledig in water. Toch blijft er een verschil met ABA-deficiënte zaden: de wild-type zaden zijn veel gevoeliger voor remming van de kieming met behulp van een osmoticum. De bepaling van de ABA-gehaltes in rijpe en geïncubeerde zaden toonde aan dat de kiemrust niet veroorzaakt wordt door verschillen in actuele ABA gehaltes, maar veel eerder een effect is van de werking van ABA tijdens de zaadontwikkeling (hoofdstuk 6). Model Op basis van de gevonden resultaten kan een model gepostuleerd worden over de werking van endogene ABA en GA met betrekking tot kiemrust en kieming van tomatezaden. Een schema van dit model is weergegeven in figuur 1 van hoofdstuk 7, het toont een scheiding in tijd en plaats van de werking van beide hormonen. ABA oefent haar werking uit tijdens de zaadontwikkeling, het veroorzaakt dan een remming van de later door GA-geïnduceerde endospermverzwaking en het veroorzaakt een reductie van de groeikracht van het embryo in een osmoticum. 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Reduction of the gibberellin content of Pharbitis seeds by CCC and after-effects in the progeny. - Plant Physiol. 41: 856-862. Zeevaart, J.A.D. 1984. Environmental control of plant development and its relation to hormones. - In: Plant Research 1983, 18th Annual Report D.O.E., Plant Research Laboratory, pp. 155-169. Michigan State University, East Lansing, USA. Zeevaart, J.A.D. 1985. Environmental control of plant development and its relation to hormones. - In: Plant Research 1984, 19th Annual Report D.O.E., Plant Research Laboratory, pp. 138-146. Michigan State University, East Lansing, USA. Curriculum vitae Op 31 juli 1956 ben ik in Oude Niedorp geboren. Na het behalen van het diploma VWO in 1974 werd aansluitend met de studie biologie aan de Universiteit van Amsterdam begonnen. In 1978/79 ben ik tijdelijk beleidsadviseur geweest van het College van Bestuur van die universiteit, op het gebied van studentenhuisvesting. Het doktoraaldiploma biologie werd met lof behaald in 1982, met als doktoraalvakken genetica, bijzondere dierkunde, plantenfysiologie en didaktiek der biologie. Hierna ben ik op pro deo basis een klein jaar werkzaam geweest bij de vakgroep Genetica aan de Universiteit van Amsterdam. Van oktober 1983 tot oktober 1986 was ik in dienst van de Nederlandse organisatie voor zuiver-wetenschappelijk onderzoek (ZWO) in het kader van een onderzoeksproject gesteund door de Stichting voor Biologisch Onderzoek in Nederland (BION). Het onderzoek werd uitgevoerd aan de vakgroep Plantenfysiologie van de Landbouwuniversiteit Wageningen. Sinds januari 1987 ben ik werkzaam bij het Instituut voor de Veredeling van Tuinbouwwassen (IVT) te Wageningen. Steven Groot
Increased daily activity in cystic fibrosis: time to break out the prescription pad? Dominic A. Fitzgerald Affiliations: Dept of Respiratory Medicine, The Children’s Hospital at Westmead, Sydney, and Discipline of Paediatrics and Child Health, Sydney Medical School, University of Sydney, Sydney, Australia. Correspondence: D.A. Fitzgerald, Dept of Respiratory Medicine, The Children’s Hospital at Westmead, Locked Bag 4001, Westmead, Sydney, New South Wales, 2145 Australia. E-mail: email@example.com @ERSpublications Increased physical activity from the start, now surely that can’t be too hard to prescribe? http://ow.ly/qMgY1 After more than 30 years, the medical world has come to accept the virtues of newborn screening for the diagnosis of cystic fibrosis (CF). Evidence from Europe, Australia and the USA has demonstrated benefits in terms of nutrition, lung function and survival into adulthood [1, 2]. Similarly, evidence exists that children who present with meconium ileus do worse from the respiratory viewpoint than those diagnosed on newborn screening, supporting the argument that genotypic–phenotypic differences remain incompletely understood [3]. Such observations have been further reinforced by work from the AREST CF (Australian Respiratory Early Surveillance Team for Cystic Fibrosis) group from Australia, demonstrating the early onset of structural lung disease [4, 5], and the London CF consortium [6] and American researchers [7] who have recently shown the benefits on lung function in young children with CF diagnosed by newborn screening compared with those diagnosed at a later stage when symptomatic. The complementary nature of structural and functional lung assessment in providing a broader assessment of the status of young people with CF [8] highlights additional concerns for clinicians managing the routine care of “well” infants and young children with CF. The accumulated evidence argues that the lungs of young children with CF are vulnerable from birth and, whilst newborn screening is clearly beneficial, it is routine practice in many centres to place an emphasis on airway clearance [9] from the start with a view to improving short-term and long-term outcomes. However, this is not necessarily the case, according to a recent Cochrane Review which found evidence to support the role of airway clearance techniques in increasing mucus transport with short-term benefits only [10]. Whilst proof-of-concept medications such as ivacaftor are life changing for a 5% subset of CF patients [11], the reality for the remaining 95% of people living with CF is that beyond the use of standard treatments, including dornase alfa, mannitol, hypertonic saline, daily airway clearance therapy, antibiotics and pancreatic enzyme replacement therapy, further therapies in the near future will not offer a “magic bullet”. Realistically, it is by optimising routine care that we, as clinicians, will bring incremental benefits in terms of quality of life and longevity [12]. Perhaps the beneficial effects of doing the basic things better can be overlooked in anticipation of successful and effective gene therapy which remains elusive, 25 years after the discovery of the first and most ubiquitous CF gene p.delF508? Much to the relief of clinicians who are ‘true believers’ in the sustained benefits of airway clearance techniques, some evidence has emerged in an article by SCHNEIDERMAN et al. [13], in this issue of the European Respiratory Journal, on the longitudinal beneficial aspects of increased habitual activity in relation to lung function. Supporting the concept that increased activity improves mucociliary clearance through improved ion channel function with improved hydration of airway mucus [14], SCHNEIDERMAN et al. [13] have demonstrated the value of increasing regular activity in terms of slowing the rate of decline in forced... expiratory volume in 1 s (FEV1) % predicted during the adolescent years. At the start of the study, the subjects from two Canadian centres were early adolescents (mean age 12 years) with mild lung disease (mean FEV1 85% pred) and were followed for a median of 5.2 years (range 1–9 years). They were diagnosed clinically. Habitual activity increased with age, but more importantly, those with higher activity levels at baseline fared better. When divided into those above and below the mean rate of change in habitual activity, a modest increase in daily habitual activity of as little as 17 min slowed the decline in FEV1 % pred by 0.58% per year, or about one third to a half of the annualised rate of decline identified in longitudinal studies of 1–2% per year. The aerobic capacity of children has been shown to be a useful predictor of outcomes such as lung function and potentially may be helpful in predicting survival [15–17]. In the current study, Schneiderman et al. [13] found the peak oxygen consumption ($V'_{O_2}$peak) and peak work rate declined longitudinally commensurate with the rate of decline in FEV1 % pred, extending similar observations made after a 2 year follow-up by Klijn et al. [18] who studied children with CF from Holland. Maximal exercise testing, a dynamic test as opposed to static spirometry, provides a useful method for assessing and tracking respiratory limitation [19] and maximal exercise capacity $V'_{O_2}$peak. However, it has limitations as it requires subjects to be of a certain height and be cooperative with the testing regime. To circumvent this, investigators have used field tests of sub-maximal exercise tests to estimate peak exercise capacity with shuttle tests [20]. Nonetheless, other investigators have questioned whether even a maximal exercise test in paediatric subjects with CF, using traditional criteria to verify maximal efforts, is as good as a subsequent exhaustive supramaximal exercise test [21, 22]. Other investigators have used body size [23] and diffusing capacity of the lung for carbon monoxide [24] to predict $V'_{O_2}$peak, highlighting that estimated $V'_{O_2}$peak may be useful across the spectrum school-aged children for longitudinal evaluation if there is reasonable concordance between methods of calculating the figure. A simple estimate of $V'_{O_2}$peak, matched with questionnaire derived habitual activity data, as carried out by Schneiderman et al. [13], would offer a potentially useful and simple test that could be applied broadly across countries with limited resources for exercise testing in order to obtain potentially useful international data on outcomes. Lest one get too carried away with the simplicity of advocating the benefits of increased habitual activity from the cradle to the grave, it would be remiss not to consider “the elephant in the room” when considering any added impost on the “burden” of care for children and families living with chronic illness. Adherence to daily therapies is challenging for some families who tend to be selective and inconsistent about the therapies that they embrace, despite a desire to comfort and reassure the most sympathetic of clinicians [12]. This begins in childhood and becomes entrenched by adolescence [25, 26]. Convincing an adolescent, with or without CF, to undertake additional responsibilities requires patience and perseverance in establishing the importance of undertaking these additional responsibilities. In fact, it involves art as well as science in selling the increased treatment options. In this setting, a touch of vaudeville may prove an eighth alternative to evidence based medicine [27]! Regardless of how the message is delivered, it must be delivered and reinforced regularly in an analogous manner to which we emphasise the need for pancreatic insufficient patients to embrace the “High fat high energy” CF diet and take their enzymes from the start to maintain their growth and general health [28]. For paediatricians, the virtue of increased habitual activity should not be restricted to young people with CF, but should form part of a generic prescription for all children in the broader population as society attempts to combat the tsunami of obesity that confronts us today [29]. From a societal viewpoint, increased habitual activity is inexpensive and easy to implement without the challenges of formalised exercise training programmes. Therefore, as physicians advocating for the care of people living with CF, we must encourage optimal management strategies in tailoring care in a time of “personalised medicine” for our CF patients. Optimal care begins with achievable care. Ideally, the message must be simple, practical, consistent and inexpensive for our healthcare systems. Increased physical activity from the start, now surely that can’t be too hard to prescribe? References 1 Dijk FN, Fitzgerald DA. The impact of newborn screening and earlier intervention on the clinical course of cystic fibrosis. Paediatr Respir Rev 2012; 13: 220–225. 2 Dijk FN, McKay K, Bazzi F, et al. Improved survival in cystic fibrosis patients diagnosed by newborn screening compared to a historical cohort from the same centre. Arch Dis Child 2011; 96: 1118–1123. 3 Evans AK, Fitzgerald DA, McKay KO. The impact of meconium ileus on the clinical course of children with cystic fibrosis. Eur Respir J 2001; 18: 784–789. 4 Mott LS, Park J, Murray CP, et al. Progression of early structural lung disease in young children with cystic fibrosis assessed using CT. Thorax 2012; 67: 509–516. 5 Sly PD, Gangell CL, Chen L, et al. Risk factors for bronchiectasis in children with cystic fibrosis. N Engl J Med 2013; 368: 1963–1970. Hoo AF, Thia LP, Nguyen TT, et al. Lung function is abnormal in 3-month-old infants with cystic fibrosis diagnosed by newborn screening. Thorax 2012; 67: 874–881. Rosenfeld M, Farley PM, Hunter M, et al. Association of lung function, chest radiographs and clinical features in infants with cystic fibrosis. Eur Respir J 2013; 41: 159–167. Tiddens HA, Stick SM, Davis S. Multi-modality monitoring of cystic fibrosis lung disease: the role of chest computed tomography. Paediatr Respir Rev 2013 [In press DOI: 10.1016/j.prrv.2013.05.003]. Rand S, Hill L, Prasad SA. Physiotherapy in cystic fibrosis: optimising techniques to improve outcomes. Paediatr Respir Rev 2013; 14: 263–269. Wijnsbroek J, Gates A, van der Schans CP. Chest physiotherapy compared to no chest physiotherapy for cystic fibrosis. Cochrane Database Syst Rev 2013; 9: CD001401. Accurso FJ, Rowe SM, Clancy JP, et al. Effect of VX-770 in persons with cystic fibrosis and the G551D-CFTR mutation. N Engl J Med 2010; 363: 1991–2003. Sawicki GS, Ren CL, Konstan MW, et al. Treatment complexity in cystic fibrosis: trends over time and associations with site specific outcomes. J Cyst Fibros 2013; 12: 46–53. Schroeder DR, Wilkes DL, Kelleher EG, et al. Longitudinal relationship between physical activity and lung health in patients with cystic fibrosis. Eur Respir J 2014; 43: 817–823. Hebestreit A, Kersting U, Basler B, et al. Exercise inhibits epithelial sodium channels in patients with cystic fibrosis. Am J Respir Crit Care Med 2001; 164: 443–446. Kerem E, Viviani M, Collin A, et al. Factors associated with FEV₁ decline in cystic fibrosis: analysis of the ECFS patient registry. Eur Respir J 2008; 38: 132–133. Nixon PA, Orenstein DM, Kelsey SF, et al. The prognostic value of exercise testing in patients with cystic fibrosis. N Engl J Med 1992; 327: 1785–1788. Pianosi P, LeBlanc J, Alumurudevi A. Peak oxygen uptake and mortality in children with cystic fibrosis. Thorax 2005; 60: 50–54. Klijn JG, van der Net J, Kampen JL, et al. Longitudinal determinants of peak aerobic performance in children with cystic fibrosis. Chest 2003; 124: 2215–2219. Werkanan MS, Hulzebos EHH, Helders PJM, et al. Estimating peak oxygen uptake in adolescents with cystic fibrosis. Arch Dis Child 2014; 99: 21–25. Teoh OH, Trachsel D, Mei-Zahav M, et al. Exercise testing in children with lung diseases. Paediatr Respir Rev 2009; 10: 99–107. Schofield HC, Cooper PJ, Meyers N, et al. Validation of shuttle tests in children with cystic fibrosis. Pediatr Pulmonol 2003; 35: 133–138. Saynor ZL, Barker AR, Oades PJ, et al. A protocol to determine valid $V'_{O_2\text{max}}$ in young cystic fibrosis patients. J Sci Med Sport 2013; 16: 539–544. Cooper JM, Weller-Rauch D, Whipp BJ. Aerobic parameters of body size during growth in children. J Appl Physiol Respir Environ Exerc Physiol 1984; 56: 628–634. Fitzgerald NM, Fitzgerald DA, Lands L, et al. Diffusion capacity in children: what happens with exercise? Paediatr Respir Rev 2013; 14: 190–194. Sheehan J, Massie J, Hay M, et al. The natural history and predictors of persistent problem behaviours in cystic fibrosis: a multicentre prospective study. Arch Dis Child 2012; 97: 625–631. Edkins MN, Birksbarch A, Brokstad KA, et al. Longitudinal association between medication adherence and lung health in people with cystic fibrosis. J Cyst Fibros 2011; 10: 258–261. Isaacs D, Fitzgerald D. Seven alternatives to evidence based medicine. BMJ 1999; 319: 1618. Gaskin KJ. Nutritional care in children with cystic fibrosis: are our patients becoming better? Eur J Clin Nutr 2013; 67: 558–564. Wang Y, Lobstein TM. Worldwide trends in childhood overweight and obesity. Int J Pediatr Obes 2006; 1: 11–25.
FCC NPRM Proposes To Drop Morse Code Requirement For All License Classes NEWINGTON, CT, July 20, 2005 — The FCC has proposed dropping the 5 WPM Morse code element as a requirement to obtain an Amateur Radio license of any class. The Commission recommended the change to its Part 97 Amateur Service rules in a Notice of Proposed Rule Making (NPRM) in WT Docket 05-235. Any rule changes proposed in the NPRM would not become final until the FCC gathers additional public comments, formally adopts any changes to its rules and concludes the proceeding by issuing a Report and Order (R&O) spelling out the changes and specifying an effective date. That’s not likely to happen for several months. The FCC declined in its NPRM to go forward with any other suggested changes to Amateur Service licensing rules or operating privileges beyond elimination of the Morse requirement. “Based upon the petitions and comments, we propose to amend our amateur service rules to eliminate the requirement that individuals pass a telegraphy examination in order to qualify for any amateur radio operator license,” the FCC said in its NPRM, released July 19. This week’s NPRM consolidated 18 petitions for rule making from the amateur community — including one from the ARRL — that proposed a wide range of additional changes to the amateur rules. The FCC said the various petitions had attracted 6200 comments from the amateur community, which soon will have the opportunity to comment again — this time on the FCC’s proposals in response to those petitions. The Commission said it believes dropping Element 1 — the 5 WPM Morse (FCC Continued on page 5) Duquesne Light Bringing BPL to Monroeville August 8th Duquesne Broadband, a joint venture of Duquesne Light and million-dollar startup BPL Global, will launch BPL service in a “pilot service area” of Monroeville starting August 8. According to the front-page article in the Pittsburgh Tribune-Review, the two neighborhoods affected are the Saunders Station Road area between Bucknell and Foxwood Drives, and Harvard and Old Concord Roads, and the Stroschein Road area, south of Monroeville Boulevard, bordered by Wyngate Drive and Boston Court Lane. A map of the affected area was shown in the smaller Pittsburgh Post-Gazette article and can be downloaded from the PG web site. The target area, allegedly a cross-section representing the Pittsburgh region, contains about 2800 residences and several businesses. It is not known how (BPL Continued on page 5) Next Meeting: August 11th, 2005 The next monthly meeting of the Wireless Association of South Hills, Inc. will be Thursday, August 11th, at the Peters Township Library, 616 East McMurray Road, McMurray, starting at 7:00 PM. September Picnic plans, 2005 Pennsylvania QSO Party operating, and other plans for the remainder of the year are on the agenda. Talk-in on the 146.955(-) N3RNX/R and 443.650(+) KB3FZU/R Repeaters (131.8 PL). All members, guests and interested parties invited! August 2005 \| Sun \| Mon \| Tue \| Wed \| Thu \| Fri \| Sat \| \|-----\|-----\|-----\|-----\|-----\|-----\|-----\| \| \| \| \| \| \| \| \| \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| \| Breazhshooters Net 2 Rivers ARC Net Triple 'A' ARC Net Beaver Co Public Service Net \| Butler Co ARES Meeting Skyview RS Meeting WACOM Net North Hills ARC Net SATERN Net GPVHFS Swap n' Shop Net \| Uniontown ARES Meeting Steel City ARC Social Night Allegheny Co SKYWarn Net Allegheny Co ARES Net Westmoreland Co ARES Net \| WACOM Meeting RA Erie Meeting Uniontown ARES Net \| Elco ARS Meeting \| WACOM Picnic Somerset Co ARC Breakfast Nittany ARC Coffee Call North Hills ARC Elmer Net \| \| 8 \| 9 \| 10 \| 11 \| 12 \| 13 \| 14 \| \| Day of the Month Lunch ARL Lawrence Co Meeting Breazhshooters Net 2 Rivers ARC Net Triple 'A' ARC Net Beaver Co Public Service Net \| Fortitude ARES Meeting Lake County ARC Meeting Nittany ARC Meeting Monessen Area ARES Mtg North Hills ARC Net WACOM Net GPVHFS Swap n' Shop Net \| Butler Co P50 Meeting Laurel Highlands VHF/S Mtg Steel City ARC Social Night Allegheny Co ARES Net Westmoreland Co ARES Net \| Horseshoe ARC Meeting Beaver Valley ARA Meeting Uniontown ARES Net \| Better Co AR VE Test 2 Rivers ARC Breakfast 2 Rivers ARC Family Picnic Beaver Co AR VE Test North Hills ARC Breakfast Quad Co/ARC Breakfast North Hills ARC Elmer Net \| \| 15 \| 16 \| 17 \| 18 \| 19 \| 20 \| 21 \| \| Monessen ARC Meeting Breazhshooters Net Steel City ARC VE Test 2 Rivers ARC Net Triple 'A' ARC Net Beaver Co Public Service Net \| Steel City ARC Meeting Skyview RS Meeting SH P & M Meeting Tri-County CW ARC Meeting Uniontown ARES Meeting Dunbarton Ridge ARC Meeting \| Huntington Co ARC Meeting Allegheny Co SKYWarn Net Allegheny Co ARES Net Westmoreland Co ARES Net \| Triple "A" ARA Meeting Somerset Co ARC Meeting Greene Co ARC Meeting Uniontown ARES Net \| Quad Co ARC Meeting \| Foothills ARC VE Test Nittany ARC VE Test North Hills ARC Elmer Net \| \| 22 \| 23 \| 24 \| 25 \| 26 \| 27 \| 28 \| \| Breazhshooters Net 2 Rivers ARC Net Triple 'A' ARC Net Beaver Co Public Service Net \| WACOM Net North Hills ARC Net WACOM Net SATERN Net GPVHFS Swap n' Shop Net \| Ft. Armstrong WA Meeting Steel City ARC Social Night Allegheny Co ARES Net Westmoreland Co ARES Net \| WACOM Board of Directors Meeting Uniontown ARES Net \| \| \| \| \| 29 \| 30 \| 31 \| 9/1 \| 9/2 \| 9/3 \| \| \| Breazhshooters Net 2 Rivers ARC Net Triple 'A' ARC Net Beaver Co Public Service Net \| Skyview RS Elmer Night WACOM Net North Hills ARC Net WACOM Net SATERN Net GPVHFS Swap n' Shop Net \| Steel City ARC Social Night Allegheny Co ARES Net Westmoreland Co ARES Net \| WACOM Meeting RA Erie Meeting Uniontown ARES Net \| Elco ARS Meeting \| RA Erie VE Test Nittany ARC Coffee Call North Hills ARC Elmer Net \| WASH 2005 Officers Executive Committee: President: Kevin Smith N3HKQ VP / Secretary (vacant) VP / Treasurer: Mark Stabryla N3RDV And We Couldn't Do It Without: N3SH / WA3SH Trustee: Steve Lane W3SRL NP2SH Trustee: Paul Jordan NP2JF N3SH / WA3SH QSL Manager: Paul Lusardi N0VLR NP2SH QSL Manager: Ed Oelschlager N3ZNI VE Team Liaison: Jacqué Gosselin N3ZEL Webmaster: Bob Sanford AA3FI Quartermaster: Harold Rosenberger KB3CPI WASH FM Net Manager: Kevin Smith N3HKQ WASHFest 2006 Committee: Steve Lane W3SRL, Chairman Carol Danko KB3GMN Bill Hill W3WH Kevin Smith N3HKQ Larry Comden K3VX Ted Huf W4ZE Carol Danko KB3GMN Kevin DeRose N3KFD Ben Williams KB3ERQ Club-Affiliated Repeaters & Beacons: Mt. Lebanon N3RX/R 146.955 MHz (-) PL 131.8 Mt. Lebanon W3SRL/R 442.550 MHz (+) PL 131.8 Echo Link #26861 (courtesy W3SRL) Canonsburg KB3FZU/R 443.650 MHz (+) PL 131.8 St. Johns, VI NP2SH/B 28.276 MHz N3SH/WA3SH WASHNet, the weekly on-air net of WASH, meets every Sunday Night, 9:00 PM ET, on the 146.955 & 443.650 repeaters. All radio amateurs, WASH members or not, are welcome to join in! The WASHRag™ (formerly "The Mariner™") is the Official Newsletter of the Wireless Association of South Hills, Inc. (WASH) Published Monthly with occasional Special Editions as warranted. This issue is © Copyright 2005 by the Wireless Association of South Hills, Inc. Editor & Publisher: Ron Notarius WN3VAW Permission is granted to other Amateur Radio publications to reprint articles in this issue, provided the original author and "The WASHRag™" are given credit. Comments, articles, and requests for copies of or information about "The WASHRag™" should be mailed to the editor: Ron Notarius WN3VAW 946 Sleepy Hollow Road Castle Shannon, PA 15234-2222 e-mail: wn3vaw @ njdx . org or wn3vaw @ yahoo . com "The WASHRag", "The Mariner", SHARCfest, South Hills Hamfest, WASHfest, WASHfest 2005, N3SH Net, WA3SH Net and WASHNet are ™ trademarks of the Wireless Association of South Hills, Inc. The Wireless Association of South Hills, Inc. was founded on August 23rd, 1993, as the original South Hills Amateur Radio Club, and operated under that name through 1998. WASH was also known briefly in late 1998 as the N3SH Amateur Radio Club. It is not in any way affiliated with the "South Hills Amateur Radio Club, Inc." and is not responsible for that group, its members, or it's actions in any way, shape, or form. As always, special thanks to the owners of both the N3RXN/X Repeater System and the KB3FZU/R Repeater System for permitting the Wireless Association of South Hills, Inc. and it's members to use their repeaters for club purposes. Special thanks also to our webmaster, Bob Sanford AA3FI, and to Shawn Djernes NOPEU for providing space on-line for back issues of "The WASHRag™" which can be found at www.washarc.org or www.djernes.org/washrag. Next WASH VE Test October 20th The Next WASH VE exam sessions will be Thursday, October 20th, 2005, 6:30 PM, at the Peters Township Library, 616 East McMurray Road, McMurray, PA. Talk-in on the 146.955 MHz and 443.650 MHz repeaters. All examiners are ARRL VEC affiliated. Walk-ins are always welcome, but if you plan on attending the test session, please contact VE Team Liaison Jacqué Gosselin N3ZEL: Telephone (724) 746-9235 or E-Mail: firstname.lastname@example.org Please bring the following to your test session: Picture ID or other suitable identification (2 forms of ID required) Pen / Pencil / Calculator Original FCC license plus a copy of license (if upgrading) Original CSCE plus a copy of CSCE (if upgrading) Check or Cash in the amount of $14.00 (payable to: ARRL VEC) Thursday, January 19th, 2006 Future test dates: Thursday, April 20th, 2006 (tentative) Thursday, July 20th, 2006 Thursday, October 19th, 2005 July 21st VE Test Results We had three candidates at our July 21st VEC test session, held at the Peters Township Library in McMurray. One of the candidates successfully earned new licenses, the other two successfully earned upgrades! According to the FCC ULS database, the following licenses were issued in late July: General: George Randall KB3KGP Charles Bell KD8BWZ (ex KB4SBQ) Amateur Extra: Lori Bobro KB3FZU WASH VE Team: Jacqué Gosselin N3ZEL Paul Lusardi NØVLR Ron Notarius WN3VAW Ed Oelschlager N3ZNI Also present, but unable to participate (as per FCC R&R §97.509 (d)), was WASH VE Frank Bobro KB3FZU. Of course, many, many thanks to all of the VE's for coming out and lending a hand at this test session. And Congratulations to all our amateurs and looking forward to hearing them on the air! 73, Jacqué Gosselin N3ZEL WASHNet 2005 NCS Schedule \| Date \| Name \| Call Sign \| \|--------\|------------\|---------------\| \| 08/07 \| Bill \| W3WH \| \| 08/14 \| Hank \| KB3FNM \| \| 08/21 \| Paul \| NØVLR \| \| 08/28 \| Carol \| KB3GMN \| \| 09/04 \| Kevin \| N3HKQ \| \| 09/11 \| Harold \| KB3CPI \| \| 09/18 \| Bell Family\| \| \| 09/25 \| Bill \| W3WH \| \| 10/02 \| Michael \| KB3HFP \| \| 10/09 \| Hank \| KB3FNM \| \| 10/16 \| Paul \| NØVLR \| \| 10/23 \| Kevin \| N3HKQ \| \| 10/30 \| Frank \| KB3FZU \| \| 11/06 \| Carol \| KB3GMN \| \| 11/13 \| Kevin \| N3HKQ \| \| 11/19 \| Richie \| N3SBF \| \| 11/20 \| Harold \| KB3CPI \| \| 11/27 \| Bell Family\| \| \| 12/04 \| Michael \| KB3HFP \| \| 12/11 \| Bill \| W3WH \| \| 12/18 \| Ron \| WN3VAW \| \| 12/25 \| Frank \| KB3FZU \| \| 01/01 \| Paul \| NØVLR \| WASH Apparel Updates! Dan KB3HVN & OGS Distributing are continuing to work on the upcoming web page link to permit WASH club members to order shirts, jackets, hats, and whatever direct from the club web page. For more information, contact Dan & OGS Distributing at 412-655-8787 Join WASH or Renew your Membership for 2005 Today! Membership Application on Page 11! Minutes, July 14th Meeting Ron Notarius WN3VAW, Acting Secretary, WASH The meeting was called to order by President Kevin Smith at 19:10 hours. There was a moment of silence observed for Silent Keys. Introductions were made all around, as is our custom. KB3FZU moved to dispense with the reading of the minutes from last month, second by WN3VAW, carried. Treasurer (N3RDV): No Report. Secretary (Vacant): No Report. VE (N3ZEL): Session next week, two candidates pre-registered, VE's needed! Repeaters (KB3FZU): They're still repeating. Electric bill for last month submitted. FM Net (N3HKQ): Revised schedule sent to NCS's. Public service: PVGP this weekend. WN3VAW, KB3HVN, K3VX, N2QIV will be there, more help needed. There will be an ARES drill this weekend, see N3IDH for details. (see article page 6) Contests (W4ZE & K3VX): Field Day: A big success. 7—8 more FD pins needed. General discussion on FD followed; location was great; we need more CW ops next year; visit from Amateur Astronomers group a hit. Biggest disappointment was a "no show" from the Scout troop camped out down the road. WB4GCS announced that "this club throws a good Field Day!" CQ VHF Contest this weekend Pa QSO Party: W4ZE offered to host N3SH m/m, offer accepted. WA3SH team will again be at Heritage BSA Reservation in Fayette. W3WH & K3VX are thinking of a portable operation somewhere. Activities: Discussion on club picnic. Picnic will again be hosted by the Sanfords (WB4GCS & KC4WTT) at their house. Due to scheduling problems, the date will be moved to September 18th at 2 PM. A sign-up sheet will be sent around. E-mail Carol if you are bringing anything. Quartermaster (KB3CPI): All club items present & accounted for. K3VX has the club MFJ antenna analyzer. Newsletter (WN3VAW): It's out. Ways & Means (KB3GMN): 50/50 after the meeting, show her the money! President: Club needs a new VP/Secretary. Received a card from the ARRL to update club information. Old Business: None. New Business: The Amateur Astronomers have asked for help getting involved with Radio Astronomy (see June 2005 QST). More information is needed. A discussion on a portable/mobile tower was begun. KB3FZU discussed the availability of two retired ENG trucks from WPXI and their condition. W3WH discussed small towers available from Force 12. NØVLR asked if we could apply for a grant to help purchase one. KB3GOT appointed to chair a committee to look into this, with W3WH, WN3VAW, NØVLR & N3BSQ volunteering to help. N3HKQ has offered to relocate his "digi" to a better spot for APRS use under the N3SH call. KB3GOT and N2QIV to look into this. W4ZE discussed W3SRL's note to discontinue the Echolink node; does anyone else want to put it back on the air? WB4GCS has asked if someone can host it as "it has value to the amateur community." N3HKQ will get more information from W3SRL. Good of the order: KB3GMN asked for more participation on the Sunday net. Motion to adjourn by KB3GMN, second by KC4WTT, carried. Adjourned at 8:05 followed by an APRS demonstration by N3BSQ and KB3GOT Back Issues of the WASHRag can be found on the web at: www.djernes.org/washrag Thanks Again to Shawn NØPEU for providing the site! WASH Spotlight: Windom A "line up of the usual suspects" at the raising of NØVLR's 160 meter Windom antenna. Guilty parties are Ted W4ZE, Paul NØVLR, Bill W3WH, Anthony Lusardi, and Dave N3DFK. No pictures of Annette NØWPV's famed blue berry crisp ala mode desert were taken to protect them from N3KFD. The antenna was christened the next day by Paul with a long QSO on 40 meters with his sister, Diane KB1KRJ Photo courtesy of and ©Copyright 2005 Kevin Smith N3HKQ Every month we're going to feature a WASH club member, something about them, something they're involved in or a club-related activity that we're involved in, in the WASH Spotlight. Submissions for the Spotlight should be sent to Ron WN3VAW at email@example.com Monthly WASH Breakfast Please join us for the next WASH Breakfast! We usually get together on the LAST Saturday of every month for a chance to informally sit down, shoot the breeze, compare notes, drink lots of coffee, and just have a good time! We alternate our breakfast locations every month to make it easier for club members to get to at least one of them: Join us in August at Duke's Station on Baptist Road in Bethel Park, and in September at The Country Fixin's on Route 980 in Cecil, just on the other side of Canonsburg. Start time is about 8 AM until ???? Monitor 146.955 & 443.650 for talk-in or any last minute changes. All are welcome, WASH members or not, amateurs or not! Wireless Association of South Hills Membership \| AA3FI \| KB3IVW \| N3RDV \| WA3JPP \| WASH MM \| Silent Keys \| \|-------\|--------\|-------\|--------\|---------\|-------------\| \| AA3JS \| KB3IVX \| N3RHT \| WA3RYD \| KA3UPY \| K3EED \| \| K3JDS \| KB3KGP \| N3RNX \| WB4GCS \| WASH GA \| K3ENX \| \| K3LGM \| KB3KOT \| N3SBF \| WN3VAW \| K3OL \| KB3IUX \| \| K3VX \| KB3LJX \| N3TBK \| WO3Z \| KB3IUX \| K3EED \| \| KA3NMG\| KC4WTT \| N3VEH \| \| \| \| \| KA3TWI\| KE7FD \| N3XI \| WASH NE\| N3FQT \| \| \| KB3CPI\| KE8RN \| N3ZCG \| NØPEU \| N3KEH \| \| \| KB3DCO\| NØPEU \| N3ZEL \| WASH NY\| N3SKR \| \| \| KB3EPI\| NØVLR \| N3ZNI \| KE3XB \| N3SRC \| \| \| KB3FNM\| NØWPV \| W3GEL \| N3YPB \| W3ZLK \| \| \| KB3FZU\| N2QIV \| W3HND \| \| \| \| \| KB3GMN\| N3AWF \| W3JAF \| WASH OH\| N8DPW \| \| \| KB3GMP\| N3BSQ \| W3RJM \| \| \| \| \| KB3GMU\| N3DFK \| W3RWS \| WASH TX\| K3LGM \| \| \| KB3GUZ\| N3HKQ \| W3VFA \| \| \| \| \| KB3HVN\| N3IDH \| W3WH \| \| \| \| \| KB3IAC\| N3PN \| W4ZE \| WASH VI\| NP2JF \| \| \| KB3IRQ\| N3QMV \| W8LEV \| \| \| \| Through July 30th, 2005 List compiled by Mark Stabryla N3RDV, Vice President/Treasurer FCC Proposes To Drop Morse Code For All License Classes examination—would "encourage individuals who are interested in communications technology, or who are able to contribute to the advancement of the radio art, to become amateur radio operators." The FCC said it also would eliminate a requirement it believes "is now unnecessary and that may discourage" current licensees from advancing their skills, and that it would "promote more efficient use" of current Amateur Radio spectrum. The FCC cited changes in Article 25 of the international Radio Regulations adopted at World Radiocommunication Conference 2003 as the primary reason to go forward with eliminating Morse code as an Amateur Radio licensing requirement in the future. Among other changes, WRC-03 deleted the Morse testing requirement for amateur applicants seeking HF privileges, leaving it up to individual countries to determine whether or not they want to mandate Morse testing. Several countries already have dropped their Morse requirements. ARRL CEO David Sumner, K1ZZ, said he was not surprised that the FCC proposed altogether scrapping the Morse code requirement. The League and others had called for retaining the 5 WPM requirement only for Amateur Extra class applicants. Sumner expressed dismay, however, that the FCC turned away proposals from the League and other petitioners to create a new entry-level Amateur Radio license class. "We're disappointed that the Commission prefers to deny an opportunity to give Amateur Radio the restructuring it needs for the 21st century," he said. "It appears that the Commission is taking the easy road, but the easy road is seldom the right road." Sumner said ARRL officials and the Board of Directors would closely study the 30-page NPRM and plan to comment further after they've had the opportunity to consider the Commission's stated rationales for its proposals. In 2004, the ARRL filed a Petition for Rule Making asking the FCC to amend Part 97 to complete the Amateur Service restructuring begun in 1999 but "left unfinished." The League called on the FCC to create a new entry-level license, reduce the number of actual license classes to three and drop the Morse code testing requirement for all classes except for Amateur Extra. Among other recommendations, the League asked the FCC to automatically upgrade Technician licensees to General and Advanced licensees to Amateur Extra. In this week's NPRM, the FCC said it was not persuaded such automatic upgrades were in the public interest. The FCC said it did not believe a new entry-level license class was warranted because current Novice and Tech Plus licensees already can easily upgrade to General. "We also note that, if our proposal to eliminate telegraphy testing in the amateur service is adopted," the FCC continued, "a person who is not a licensee will be able to qualify for a General Class operator license by passing two written examinations, and that a person who is a Technician Class licensee will be able to qualify for a General Class operator license by passing one written examination." The FCC said it does not believe either path to be unreasonable. The FCC also said that it's already addressed some of the other issues petitioners raised in its "Phone Band Expansion" (or "Omnibus") NPRM in WT Docket 04-140. In that proceeding, the Commission proposed to go along with the ARRL's Novice refarming proposal aimed at reallocating the current Novice/Tech Plus subbands to provide additional phone spectrum. Under the plan, Novice/Tech Plus licensees would be granted CW privileges in the current General CW subbands. A 60-day period for members of the public to comment on the FCC's NPRM in WT 05-235 will begin once the NPRM appears in the Federal Register. Reply comments will be due within 75 days of the NPRM's publication in the Federal Register. —Courtesy of the American Radio Relay League Make Your Voice Heard with the FCC Anyone, even non-licensed individuals can comment on FCC Docket WT 05-235. All you need is a standard web browser! - Go to [http://gullfoss2.fcc.gov/prod/ecfs/upload_v2.cgi](http://gullfoss2.fcc.gov/prod/ecfs/upload_v2.cgi) - Under "Proceeding" (item 1), type 05-235 - For "Mail Correspondence to" (item 2), click the circle by Name - For "Name of Applicant/Petitioner" (item 3) type your full name - Items 4-6 [Leave Blank] - "Mailing Address..." (item 7) type your address e.g. 123 Easy St. - "City" (item 8) type your city e.g. Chicago - "State" (item 9) select your state e.g. Illinois - "Zip Code" (item 10) type your zip, e.g. 15234 - Item 11 [Leave Blank] - "Document Type" (item 12) select Comment - Item 13 [Leave Blank] - Scroll down to the bottom of the page - Under "Send a Brief Comment to FCC (typed-in)" type your BRIEF message — no polemics, just a line or two of text stating clearly whether you support or oppose removing the Morse Code requirement for licensing. - Click "Send Brief Comments to FCC" - After a few seconds, a new prompt says "Go to the next step." - Click "Finish Transaction and Receive Confirmation" - After a few seconds, a new prompt says "The FCC Acknowledges..." You're done! Thanks for contributing YOUR voice to this important issue! Duquesne Light Bringing BPL to Monroeville (Continued from page 1) many Amateurs are located within or adjacent to the test area. At least one amateur who works within about 10 minutes of the test area, Jim Sanford WB4GCS, has indicated that he will begin monitoring the amateur bands to see what affects the new BPL service has. The news articles and press release do not make clear what form of BPL will be in use. However, all indications are that customers will access the system via Wi-Fi or similar wireless technology. The implication is that this system will be closer to Motorola's proposed BPL system rather than the Access BPL system that has been tested in much of the country and proven (except to the lawyers) to cause unacceptable levels of interference to the Amateur Radio and other communication services. Interestingly enough, a spokesman for Allegheny Power of Greensburg is quoted in the articles as indicating that their Allegheny Communications Connect unit has explored BPL but decided, for now, not to deploy the service due to "some technical and regulatory issues that would have to be resolved." Duquesne Broadband is up playing the alleged benefits of their new service, and downplaying the problems. They plan to offer a "standard" service at $19.95/month and a "premium" service at $29.95/month, making BPL cost competitive with DSL and cable broadband services. They also desires input from "potential customers outside the pilot area, in order to target other communities for expansion. The news articles mentioned can be read online at: [http://www.post-gazette.com/pg/05183/531994.stm](http://www.post-gazette.com/pg/05183/531994.stm) [http://www.post-gazette.com/pg/05203/541823.stm](http://www.post-gazette.com/pg/05203/541823.stm) [http://www.pittsburghlive.com/x/tribune-review/trib/regional/_s_355993.html](http://www.pittsburghlive.com/x/tribune-review/trib/regional/_s_355993.html) [http://www.duquesnelight.com/News/NewsReleases/2005/nr050721.pdf](http://www.duquesnelight.com/News/NewsReleases/2005/nr050721.pdf) [http://www.dslreports.com/shownews/65719](http://www.dslreports.com/shownews/65719) A Simple And Portable 20 Meter Antenna Project Joe Caldwell N3XE All accompanying photos & diagrams courtesy of and Copyright ©2005 Joe Caldwell N3XE Most hams are familiar with the quarter wavelength ground-plane antenna design. It is often the first antenna they buy or build for use on 2 meters after receiving their technician license. It is a well performing design that exhibits low input impedance, making it ideal for use with ham equipment without the need for special matching techniques. The antenna is easy to construct and due this simplicity is also highly economical. When considering the type of antenna to build for this year’s Field Day to use with my PSK-31 setup this design was the obvious choice. It provides both low take-off angle and omni-directional radiation, allowing me to maximize my operating capability from a simple station. The antenna is made up of a single pole which supports the radiating vertical element and is guyed in place with nylon rope. The two radial elements are spread out and held in place by rope. The layout for the antenna and the support pole is shown in Figure 1 and a photo of the completed support pole guyed in place is shown in Figure 2. The base of the support pole is made of a ten foot piece of 1.25” Schedule 40 PVC pipe that was cut in half for easier transport in my car. It is joined in the center by a 1.25” PVC coupler. Mounted on top of the PVC pipe is a 13’ extendable fiberglass fishing rod which I purchased at Gander Mountain for about $15.00. I had originally planned on using a 16’ rod but none were available when I went to the store, with additional height the radials can be lowered at a steeper angle which in turn raises the input impedance closer to the desired 50 ohms. I joined the fishing rod to the pipe by first removing some of the plastic at the base of the fishing rod so that it could slip inside the pipe. Next I drilled a single hole through the pipe and rod so that I could secure the two pieces together using a small bolt and nut to prevent the rod from sliding further into the pipe. This method for joining the pipe and rod is shown in Figure 3. I also wrapped the fishing rod with some electrical tape to compensate for the difference in diameter of the rod itself and its plastic base. This allows the rod to fit snugly inside the PVC pipe, stiffening the rod and pipe connection. The radiating element and both radials are 16’ 6” long #14 AWG insulated stranded copper wire. For ease of assembly I soldered the radiating element to the center of a SO-239 connector and attached solder lugs to the radials. This allows me to attach the radials to the SO-239 with two small bolts passed through the holes on the connector, simplifying construction in the field. I taped the radiating element to the pole prior to raising the antenna. The radials were attached after the antenna was erected and securely guyed since the feed point is only 5 feet off the ground providing easy access for mounting. A photo of the feed point assembly is shown in Figure 4. From start to finish assembling the antenna and guying it in place took about 30 minutes for me to do by myself (with more people it could easily be erected in 5-10 minutes). The performance of this antenna was better than expected. It matched perfectly on the lower end of 20 meters despite being cut for the center of the band. This was due to my use of insulated wire which adds capacitive loading to the antenna, electrically lengthening it. I made 66 of my 97 PSK-31 contacts using this antenna and the club’s ICOM IC-706MKIIg, at 50 Watts or less. Whether you’re looking for a solid performing base antenna or a light, compact, portable antenna this may be the project for you. Waterproofing Connectors John Owens N7SEJ courtesy of the NJDXA DX-Chat Reflector I learned the proper materials and methods for watertight connections while working for over 20 years in underwater acoustics. When you put transducer arrays and other electrical devices underwater at depths of greater than 600 feet, and for long periods of time, you learn how to do it right. The materials we used on electrical cable connections were to first cover it with the pliable material that we called Monkey Dung. I have seen a similar material used by hams over the years (“Coax Seal” — editor) and I am sure it is adequate. It is a pliable, tacky, putty like material that can be hand molded to completely cover the connectors. It is very similar to the material they use on RV’s to seal panel and exterior skin materials. You can buy it by the roll at an RV parts supplier. I’ll bet it works just fine. This material completely encases the connector, and then is covered with a self vulcanizing tape which creates an impervious seal. The partial roll I have remaining in my shack was made by Bishop Electric of Cedar Grove, NJ. I tried to locate them recently to try and buy some more, and couldn’t find them. I have recently purchased a Scotch 3m product called 130C Linerless Rubber Splicing Tape. This is very similar to the Bishop Electric tape, but I have no long term, or underwater experience with it. It just looks very much like the same thing. You can then cover the self vulcanizing tape with conventional vinyl electrical tape if you wish to eliminate the tacky exterior you will be left with from the self vulcanizing tape, but it contributes little to the watertight covering. For ham radio coax connections, I think you can eliminate the monkey dung and just use the self vulcanizing tape covered over with vinyl electrical tape. That should get the job done for the long term. “Doggone” Calls courtesy of www.ac6v.com \| Generic Dog: \| K9DOG \| \| Original Hot Dog: \| K9HOT \| \| Russian Dog: \| R0VER \| \| Untamed Dog: \| WOLF \| \| Hungarian Dog: \| H0UND \| \| French Dog: \| F1DO \| \| Polish Dog: \| SP0T \| \| Pedigreed Dog: \| N0CUR \| \| Argentinian Dog: \| L0BOS \| \| Original Dog: \| W1ENR \| \| Hollywood Dog: \| G0OFY \| CQ Field Day! It was my first Field Day, and I was not sure what to expect. When I arrived at the top of a hill in Washington County, PA (near the Fairgrounds), I first saw vehicles with call signs on their personalized plates. Then I recognized several members of my Amateur Radio Club. I soon noticed a huge antenna on a trailer, and a collection of radio equipment set up on tables on a broad porch outside our host’s (a gun club) headquarters. There was also a camping tent! Ed N3ZNI and Jacque N3ZEL invited me to sit down at one of the radios, where I immediately heard, “CQ Field Day! CQ Field Day!” Within the next hours, I personally heard or talked to people from 23 different states. The different voices and accents were so much fun to hear, from Southern drawls to Texas twangs to hints of Canadian and clipped military (Maritime) voices. It was an exciting and unforgettable experience. WACOM, my club, had three official radios set up for the entire 24 hour period, 2:00 PM local time Saturday through 2:00 PM Sunday. The equipment was powered by a row of big batteries, some of which required recharging while I was there. Cars and solar panels supplied extra juice when needed. Once I got my bearings, I noticed a collection of different antenna heights and types, which I learned were shared among the radios depending on the frequency being used. Other hams used their own equipment at times. Although I had never tried it, club members let me operate the microphone, answering with the club’s call sign, “WA3COM; Whisky Alpha 3 Charlie Oscar Mike” and then listening to find out if the caller heard. If the caller responded, I would reply with our Field Day information, “3A WPA”. If the caller acknowledged that information, I would confirm by saying “QSL”. If we hadn’t already heard the caller’s information, I might ask for clarification so we could log the contact. We noticed that some contacts could tell we had already exchanged information, possibly because they were using a computer logging program. We talked about trying that next year. During the time I was working the mike, Jim KC3HW was tuning the frequencies (20 Meters) and logging our contacts. He used the time displayed on a 24 hour digital GMT clock. The radio we used belonged to another club member, Bill KB3LIX, who helped us identify call signs and provided technical advice. Later I took a turn logging as Jim or Ed tuned and worked the mike. While I was there, Ken AA3GM was working CW at another radio and Joe N3XE was working PSK-31 on his computer station. Some of our club members stayed the entire 24 hours, plus the time required to set up and tear down the equipment. Others, like me, dropped in at various times during Field Day (some more than once). Some worked the radios and others were content to listen. Of course, there was a grill going most of the time and there was plenty of other food too. I had so much fun, I barely noticed the oppressive heat. I can’t wait until next year, when I hope to be more involved. Maybe I will be one of the club members with a tent!!! 33s! Operation Twisted Rail Operation Twisted Rail was a mock emergency drill conducted on July 18th in West Newton, PA, by about 20 regional law-enforcement and emergency-response agencies of Region 13 Joint Terrorism Task Force and the Pennsylvania Emergency Management Agency. The scenario involved 5 terrorists hijacking a passenger train en route from Washington DC and West Newton is apparently where things went wrong for passengers. Amateur radio operators from Westmoreland, Washington, Fayette, Green, and Allegheny counties were assigned to all the major agencies involved with assisting injured passengers like fire, paramedics, ambulances, and hospitals. Dave Demotte N3IDH and I were assigned to assist personnel representing Mon-Valley and Allegheny General Hospitals. One thing was clear; Amateur Radio operators were the only common communications link between the various agencies we were assigned to assist. I realized this when the hospital received patients that they did not know were coming because I mistakenly assumed what I heard on my radio was known to the hospital over other channels. I did not make that mistake again. An unexpected treat for those of us at the “hospital” was to see both Stat Medevac and Angel One helicopters land and take off from our location. The crews actually spent about an hour with us which I learned was very unusual. That shows how seriously everyone took this drill. Dave and I learned a lot from this drill and you can be sure that Amateur Radio is expected to be an integral part of an actual emergency if one should happen in the Western Pennsylvania area. (Some information in this article courtesy of the Pittsburgh Tribune Review. See http://www.pittsburghlive.com/x/search/s_354389.html.) Pictures courtesy of and Copyright ©2005 Dave DeMotte N3IDH and Kevin Smith N3HKQ. N3SH Field Day Score Summary: \| \| CW \| Digital \| Phone \| Total \| \|----------------\|----\|---------\|-------\|-------\| \| Total QSOs \| 380\| 27 \| 259 \| 666 \| \| Total Points \| 760\| 54 \| 259 \| 1073 \| Bonus Points: - 100% Emergency power 300 - Media Publicity 100 - Set-up in Public Place 100 - Information Booth 100 - NTS message to ARRL SM/SEC 100 - W1AW Field Day Message 100 - Satellite QSO completed 100 - Youth participation 20 - Youth operators 1 - Youth participants 1 - Submitted via the Web 50 - Non traditional mode: APRS 100 Total Bonus Points 1,070 Claimed Score 2,146 Score compiled by Ted Huf W4ZE (thanks Ted!) N3SH FD Station Photo (left) courtesy of and Copyright ©2005 Kevin Smith N3HKQ. Numbers of Licensed US Amateurs Statistics courtesy of George McCouch K3UD As of May 14, 2000: - Novice - 49,329 - Tech/+ - 334,254 - General - 112,677 - Advanced - 99,782 - Extra - 78,750 Total all classes - 674,792 As of July 31, 2005 - Novice - 27,975 - Tech/+ - 317,655 - General - 136,435 - Advanced - 75,812 - Extra - 106,900 Total All Classes - 664,040 The Krassy Fund Jim McCobb W1LLU courtesy of the Yankee Clipper Contest Club Krassy K1LZ took a fall with a 50 foot tower while on the CY9SS DXpedition. He severely injured bones in his upper leg. He continues to be in a lot of pain, but he is now resting at home. At the request of Mark K1RX, I have set up a Krassy Fund to collect contributions to help defray Krassy's expenses that are not covered by insurance, such as the cost of his return from Canada. You may make contributions to the fund by sending me a check payable to the Krassy Fund which will be deposited to the account set up for this purpose at the Institution for Savings in Newburyport, MA. My mailing address is Jim McCobb, 65 Coffin Street, West Newbury, MA 01985. Or, you may send the money to me via PayPal (in cash, no Credit Card payments please) and I will of course transfer it to the Krassy Fund account. My address in this case is firstname.lastname@example.org. We have decided to place a time limit on this; that being, August 21, 2005. So please send along your contribution as soon as you can. We will not by the way be posting/publishing the names of the contributors on any web site or in the YCCC Scuttlebutt or anywhere else for that matter, but I do intend to confirm to you the receipt of your contribution. Since Krassy is known far and wide, please don't hesitate to pass the word on this. And if there any questions, likewise don't hesitate to contact me. Vlad UA4WHX reports that the Minister of Telecommunications for Yemen said that "that there has never been a single amateur radio operation from Yemen, if he receives an official inquiry from ARRL or any other AM. Radio Club. One - only! - authorization has been given to a sultan of Kuwait but he never operated. All others according to his and a few other officials words are pirates and illegal. No matter what documents they present and what they say." "I can remember, some 40+ years ago, tapping out a "dah di dah dit — dah dah dit dah" on your car's horn when noticing another car with amateur plates. You usually got that drivers attention and a wave and a smile. Try that today. They either ignore you or look at you like you're some kind of nut. A sign of the times?" — Ken Bjorklund KK4BH DX News Briefs Dr. David Borenstein, KA2HTV, will be traveling to Pyongyang, Democratic People's Republic of Korea during the month of August. He has received written permission from the "North Korean" government to operate as P5/KA2HTV during his stay. While radio operating is not the primary reason for his visit, Dr. Borenstein hopes to be able to operate 1-2 hours a day and will stay an additional three days devoted entirely to radio operation. For security reasons, he will only operate SSB and primarily 20 meters. Dr. Borenstein will arrive on August 9th and depart on the 23rd. QSL requests should be sent to KK5DO. Operation from P5 is at the pleasure of the host country so the DX community should keep their collective fingers crossed that all goes well and they do not change their minds. The ARRL has reviewed the Dr. Borenstein's plan and if and when P5/KA2HTV occurs, it will likely count. Dr. Borenstein notes that while his operating time will be limited, the success of this operation will lead to further P5 operations in the near future. Much of the equipment being taken will remain there, pre-positioned for subsequent operations. QSL Manager KK5DO asks "Please limit your contacts to one. Many hams were not able to work Ed P5/4L4FN. Please allow those that did not get P5 before a chance to work P5 now." — NA5UJ via KF2TI, KK5DO, Lone Star DX Association IN3VZE will be active "holiday style" as 7Q7CE 28 August through 16 September., QSL via home call — IN3VZE WOYG will be QRV as VK9XG from Christmas Island 23 October - 7 November, and VK9CG from Cocos Keeling 7 - 21 November. QSL direct (only) via home call — WOYG EA1CNF, EA1DGZ, EC1KW, EA1DBC and EA1AAW will be QRV as 8Q7EA for the CQ WW DX SSB Contest in October. QSL via EC1KW — EA1CNF ON5SY will be QRV as A52SY 3 - 10 October. He plans to concentrate operating during European evening and weekend times. QSL via ON4ON — ON4ON Special event station EN40EKR will be QRV 8 - 14 August to celebrate the 40th anniversary of the Krvy Rig ARC. QSL via UT4EK — UT4EK Look for E20EHQ/7 from 10 - 15 August from the Art for All Foundation camp. QSL via E20EHQ — E20EHQ New Prefixes: The Federal Republic of Germany has now begun issuing DQ and DR prefix call signs. They have also begun issuing 2x1 calls to club stations. Only the DP0 - DP2 prefixes will still be used exclusively for extra-territorial areas (such as Antarctica). There are no DI prefix call signs at present — DL1ELY QSL Routes 3DA0NN via AA4NN — AA4NN 4K5D via K2PF — W9OL 4L7O via DL7BO — W0MM 5W0HR via AI5P — AI5P 6W7RV via F8CMT — DE1DXX 9G5FD via G3XTT — NF4A 9G5OO via DL4WK — W2IRT 9J2CA via G3SWH — G3SWH A35PX via AI5P — AI5P A61AR via EA7FTR — W4UBC AP2NK via W3HNK — 9K2HN C21DL via DJ2EH — W3UR C91F via AA4NN — AA4NN C91NN via AA4NN — AA4NN CO3VK4 via I2BEPI — DE1DXX ET3TK via OK1CU — W2IRT DX0K via K7ACZ — K7ACZ H4UM via JA1UMN — K7VC J39AH via WA4WTG — DE1DXX J68RI via K4RG — KQRI, N0VD J88DR via G3TBK — W9OL OH0Z via W0MM — W0MM S21AR via JA1UT — K7ACZ S79GG via DL2AWG — W2IRT S9BB via OH2TA — DE1DXX S9SS via NA4JR — W2IRT SU9NC via OM2SA — KZ2I T49C via K8SIX — K8SIX TA3DD via K3PD — W2IRT T18DBT via EA7FTR — W2IRT TS3A via YT1AD — W2IRT TT8AMO via PA7FM — NF4A V29TBK via G3TBK — W9OL XU7AAT via JA2EZD — W0MM XU7ABU via JA2ELY — W0MM XW0X via JA2EZD — W0MM YE3K via I2BCOW — DE1DXX YI9OM via OM6TX — KZ2I ZD7F via DL4QFB — W9OL ZF2NE via W6ASP — W2IRT ZK1APX via AI5P — AI5P ZW8DX via PS8HF — DE1DXX Thanks to the NJDXA DX News & DX Chat Reflectors, the DX-QSL Reflector, 425 DX News, OPDX News, Diamond DX Club News, ICQPU Bulletin, & ARRL DX Bulletin for our DX News information. Thanks also to Bill Moore NC1L / ARRL DXCC Desk, & Bernie McClenny W3UR / The Daily DX for confirmations & additional information. WASH Classifieds Information shown here is as supplied to the WASH/Rag. Condition as stated, and all sales should be considered "as-is" unless otherwise noted. All subject to prior sale or withdrawal from sale at the owner's discretion. All responsibility for this information lies with the source and not the WASH/Rag or the Wireless Association of South Hills, Inc. HAM RADIO INSURANCE ASSOCIATES, INC. P.O. Box 201 Canonsburg, PA 15317-0201 Toll-Free 1-800-545-8831 Fax: (412) 746-5944 email@example.com "All-Risk" Amateur Radio Equipment Insurance Plan for: Radio Equipment Computer Equipment Antennas Rotors & Towers Computer Media & Software Cellular Telephones Mechanical Breakdown & Electrical Damage Coverage DeRose Marketing International "Healthy Living Technologies" Featuring Living Air, Living Water, & the soon to be released WindTree. Suffering from Allergies, Asthma, Headaches, Pet Odors, Smoke, or Bad Tasting Tap Water? Call for a FREE in-home demo and 3-day trial of Living Air and Living Water. Kevin F. DeRose N3KFD 1-866-754-1331 Toll Free Overview 1-724-348-6892 Office firstname.lastname@example.org www.ecoquestintl.com/kfderose OGS Distributing — Embroidered Apparel, Printed Apparel, Dash Plaques, Award Plaques, Vinyl Graphics, Cyclo Polisher, Car Detailing Supplies. Dan KB3HVN, 6571 Zupancic Drive, Pittsburgh PA 15236; Phone (412) 655-8787, Fax (503) 218-1441, or visit the on-line catalog at http://www.onlygoodstuff.com Precision Reproductions & Supply Company — Reprographics, Equipment & Supplies for the Architect, Draftsman, Engineer, Contractor & Surveyor. Hank Marzina KB3FNM, 339 Regis Avenue, Pittsburgh PA 15236, Phone (412) 655-3700, Fax (412) 655-3702 NELSON NEMES Realtor Office (724) 941-9400 x121 Fax (724) 941-4969 Cell (412) 443-7010 email@example.com www.southwestpahomes.com KELLER WILLIAMS REAL ESTATE PROFESSIONALS 190 Gallery Drive McMurray, PA 15317 An Independent Member Broker FCC News ARRL Web Extra & ARRL Letter, courtesy American Radio Relay League NEWINGTON, CT, August 2nd, 2005 — Hundreds already have filed comments via the FCC's Electronic Comment Filing System (ECFS) on the Commission's recent proposal to eliminate the Morse code requirement for all license classes. A formal 60-day comment period starts once the FCC's Notice of Proposed Rule Making and Order (NPRM&O) in WT Docket 05-235 appears in the Federal Register, but all comments filed now are valid nonetheless. Issued in response to 18 petitions for rule making — including one from the ARRL — the FCC's NPRM&O, released July 19, dealt only with the Morse requirement and turned away all other proposed rule changes. A random sampling of the more than 360 comments filed at this point suggests the tide is running firmly in favor of the FCC's stance. Some even praised the Commission. "The FCC has finally come through," commented Doug Durrett, KC7DJI, a Technician class licensee. "Hats off and thumbs up to the 05-235 proposal. Get it done ASAP." Others, such as Jesse T. Franklin, K9GO, were just as adamant that Morse code should remain a licensing requirement for those desiring HF access. "Morse code has been the foundation of the Amateur Radio Service since the very beginning," he asserted in his posting. "I feel doing away with the Morse code testing would only weaken the service." A few suggested that eliminating Morse testing would be "the beginning of the end for Amateur Radio." As one commenter put it, dropping Element 1 would mean "continuing down the slippery slope of 'dumbing down' the Amateur Radio Service." Another asserted that passing a Morse code examination contributes to better on-the-air discipline. Still others speaking in favor of retaining the Morse requirement called it an "important tradition," a "universal language," a "vital tool" that's useful in emergencies and — in the words of Jan Smoller, KC2CT — "the one sacred bastion left to preserve the history and continuance of the Amateur Radio Service." Many pro-Morse postings raised the specter of impending chaos on the Amateur Radio bands if the requirement goes away. William R. Ogden, W2WO, suggested in his remarks that Morse code serves to enhance "the internal discipline of the Amateur Radio community" and is "a key element in its success." It also is a common bond among radio amateurs, he said. "Having passed a Morse code test is one of the elements creating this sense of community and dedication." Keeping the 5 WPM code test at least for Amateur Extra, he said, "means that newcomers must dedicate a little effort and discipline to the subject and will probably carry forward a little more dedication and discipline into the rest of their radio activities." A relative handful of commenters appear to favor keeping the 5 WPM Morse examination for Amateur Extra applicants only. Others asked the FCC to revisit the notion of creating a new entry-level license class — something else the ARRL and others sought — and the recommendation to stop making question pools public. But the tenor of those who would like to see Morse code dropped for General or Extra applicants was that the requirement was "antiquated" or "anachronistic," and that CW is "just another mode." Even several licensees who'd gone through the old three-tiered system of Morse examination elements indicated they'd like to see the requirement disappear. The comment of Brent Crier, N9BC, was fairly typical of that group. "I support the removal of the Morse code requirement, even though I had to pass the 5, 13 and 20 WPM," he wrote. "CW is not going to go away like some think. If new operators want to use that mode they will learn it." Robert A. Johnson, K3MQ, was among those characterizing Morse code as obsolete, even though he says he operates CW. "Requiring amateurs to learn a system which is antiquated meets no public service need," he remarked. "I personally use and enjoy Morse code but feel it should be an option for those interested — not a requirement." Many, like Thomas J. Miller, W2HVK, said eliminating the Morse requirement would breathe new life into the Amateur Service. "The US could certainly use more trained radio operators considering the post 9/11 world we live in," he said. "Additional roadblocks (like CW) to upgrading to HF make no sense today." Advanced class operator Marvin B. Smith, WA5PSA, said he "generally" favors dropping the code requirement. "I love Morse code. However, it is time for Morse code to stand or fall of its own accord as a mode," he remarked. Based on a random sample of 135 comments, approximately 60 percent favor the elimination of the Morse code requirement for all license classes, while approximately 30 percent have asked the FCC to retain the requirement. Another 10 percent endorse keeping the Morse code as a requirement to obtain an Amateur Extra class license. The ARRL random sampling was not scientific. SV Voyager — Under Way At Last! Off The Atlantic Coast, July 17th, 2005— Well we finally did it! Only 13.5 months, and 2 hurricanes after our initial drop dead date, we left the dock in West Palm Beach. Our condo is only about 60% finished but with 5 named storms already this year, we couldn't wait any longer. Our cat, Precious, caused a 1 month delay when we found a lump that turned out to be breast cancer. She had major surgery and is finally her old self, until we took her to sea. We left West Palm Beach on 7/12 for Ft. Pierce, only the second time we had the boat on the ocean, about 60 mi north. All went well. We anchored and watched our first sun set. Carol was so happy she started crying. The next leg was to Amelia Is., FL., just north of Jacksonville and 220 nm, and 36 hours from Ft Pierce. We went about 25 nm offshore to make the run. Precious was seasick for 24 hours straight. Carol, thankfully, had one of those new electronic relief bands. FYI, they work! Overnights are not one of Carol's favorite things to do. We only saw 2 ships through the night. It's amazing what you see in the ocean. Dolphins feeding and playing and sea turtles basking in the sun made the trip exciting. Going offshore is interesting. You really feel small in the vastness of the ocean and sky. The stars are brilliant, plentiful, and absolutely wondrous. Even Tommy was looking at them. The cats are still trying to figure out what's going on and can't believe all the water around them. We arrived at Fernandina Beach about 5 PM 7/14 and dropped anchor just before a violent storm blew through. It was comforting to know Allen hasn't lost his anchoring skills as the anchor held. The wind was blowing so hard we were actually heeled over. Fernandina Beach is a quaint historic town on the National Registry. We stopped here 18 years ago on our last cruise. You would love it here! We enjoyed the beautiful homes with their gorgeous gardens and shady nooks. The tree-lined streets, grass parking lots and vignettes of trees, shrubs and benches to sit and enjoy the shade. It reminds us of home. After walking around awhile and knowing that Emily was not going to be a threat, we decided to stay another day. Our next leg will be a 24 hour offshore hop to Charleston, SC. We'll leave Sunday 7/17 am and then spend a couple of days recuperating and sight-seeing before we head to Cape Fear in NC. Thankfully the weather has been cooperating. Cruising life is not all fun. Today we trekked 5 mi round trip, in 90 + heat and over 100 heat index, to Wal-Mart (the closest place) to get some seasick medication for Precious. Quaint doesn't equate to convenient. Life without a car can be grueling. If the exercise and heat doesn't kill us, it will cure us. Our initial goal is to get safely to the Chesapeake, meet up with friends and family, regroup and head for New England. We don't think we'll make it to ME but we'll have fun trying. We have quickly learned that our bodies' ability to handle this life has changed considerably. We have to use our brains more! Sometimes even that's a problem. Interestingly enough, most of the people living this life are our age or older. Many have sailed around the world, some a few times and some up and down the coast and all of them love it. It's too early for us to tell, the jury is still out. Fair winds and calm seas Photos courtesy of and Copyright ©2005 Al Herrel KA3UPY 28th Annual Butler Co ARA Hamfest 5th Annual WPA ARRL Section Convention Sponsored by the Butler County Amateur Radio Association, Inc. Sunday, September 11th 8:00 AM to 3:00 PM Butler Farm Show Grounds at Roe Airport, State Route 68, Butler PA Talk-in on W3UDX/3 147.39 MHz $5 Donation for Admission (Children Under 12 Admitted Free!) — Free Parking! Outdoor Flea Market $5 per Vehicle/Set-Up — Indoor Flea Market $15 per 8 Foot Table First Prize: Yaesu FT-897D 100 W HF/VHF/UHF Transceiver w/60 Meters Second Prize: MFJ-259 Antenna Analyzer Third Prize: Yaesu VX-7R 6 Meter, 2 Meter & 70 CM HT Fourth Prize: ICOM T-90A 6 Meter, 2 Meter & 70 CM HT Fifth Prize: Kenwood TH-K2AT 2 Meter HT Mobile Check-In Until Noon on 146.52 (Mobile Check-In Prize!) Special Events: ARRL Representatives from Headquarters Staff., Atlantic Division & WPA Section! Forums on a wide range of Amateur Radio Topics! QSL Card Checking for DXCC, Worked All States, VHF & UHF Awards! Check the web site for more information at http://www.qsl.net/w3udx Hamfest Coordinator Rich Deal WB3BFC, 110 Fortman Road, Butler PA 16002 (724) 712-3770 To Reserve Indoor Vendor Tables contact Keven Berry KF4RMA, 380 Three Degree Road, Renfrew PA 16053 (724) 586-1182 firstname.lastname@example.org I would like to join WASH! I am interested in the following type of membership: □ New Membership □ Membership Renewal (check quarter) ▶ (check one) □ (F1) Full Membership: $20.00 □ 1st Qtr Jan-Mar □ 2nd Qtr Apr-Jun □ 3rd Qtr Jul-Sept □ 4th Qtr Oct-Dec □ (F2) Full Membership < 18 or > 65 yrs of age: $10.00 $7.50 $5.00 $2.50 □ (A1) Associate Membership: $10.00 $7.50 $5.00 $2.50 □ (FM1) Family Membership (F1 or F2 or A1 dues x 20% x No. of household family members): $__________________________ Name(s): _______________________________________________________________ Name: ________________________________ Call Sign: _________________________ Address: _______________________________________________________________ City, State: _____________________________________________________________ Home Phone: ___________________________________________________________ Email Address: __________________________________________________________ New Members Only: □ I do NOT want to be added to the Club E-Mail Reflector □ I do NOT want to be added to the Electronic Newsletter Mailing List [If you have an Email address, you will be added to both lists UNLESS you choose to Opt-Out] Signature: _______________________________________________________________ Please make your check or money order payable to the club treasurer, Mark Stabryla. The Wireless Association of South Hills, Inc. reserves the right to accept or reject new memberships or renewals. Please return completed membership form along with check/money order to the club treasurer or mail to: WIRELESS ASSOCIATION OF SOUTH HILLS, INC. c/o Mark Stabryla N3RDV, VP/Treasurer 1120 McKnight Drive Bethel Park, PA 15102-2456 Join the American Radio Relay League or Renew Your Membership through the WIRELESS ASSOCIATION OF SOUTH HILLS, INC. Members of the WIRELESS ASSOCIATION OF SOUTH HILLS can start a new membership or renew an existing membership in the American Radio Relay League, the National Organization of Radio Amateurs, through the club. Benefits for you: Joining and participating in everything the League has to offer, including a QST subscription. Benefits for the club: A few more shekels for our coffers. Just fill out the form below, include a check or money order made out to WASH/ARRL, and return all to the club treasurer or mail to: WIRELESS ASSOCIATION OF SOUTH HILLS, INC. c/o Mark Stabryla N3RDV, VP/Treasurer 1120 McKnight Drive Bethel Park, PA 15102-2456 Name: _________________________________________________________________ Call Sign: ______________________________________________________________ Address: _______________________________________________________________ Date of Birth: ___________________________________________________________ City, State, ZIP: _________________________________________________________ Total Enclosed: $________________________________________________________ Please Check the Appropriate One-Year Rate: □ $39 in US □ Age 65 or older, $36 in US □ Age 21 or younger, $20 in US (only if you are the oldest licensed amateur in your household) □ Canada $49 □ Elsewhere $62 □ Other (including Blind, Life, QST by First Class Postage — please contact ARRL for rate Dues subject to change without notice Additional Family Members at the same address ($8 per family member) Name & Call Sign: ________________________________________________________ Name & Call Sign: ________________________________________________________ Name & Call Sign: ________________________________________________________ Inside This Issue: - The FCC issues, finally, the NPRM to cease testing for Morse Code - Want to know how to respond? - Has Duquesne Light have a surprise for you, if you live in Monroeville! - A simple 20 Meter Antenna Project! - Impressions of a first Field Day! - N3SH Field Day Score! All this & more... waiting for your right inside these pages!!! Ah Dave, They Shoot Horses, Don’t They? “One day a few weeks ago Jane called me outside saying that my antenna ‘may be broken’. It seems some of her miniature horses took a liking to my guy wires for rubbing against. Here is the result:” Photo courtesy of & Copyright ©2005 Dave Wagner K3LGM The WASHRag Wireless Association of South Hills, Inc. Ron Notarius WN3VAW, Editor 946 Sleepy Hollow Road Castle Shannon, PA 15234-2222 N3SH / WA3SH NP2SH/B www.washarc.org
STEVIA IMPROVES THE ANTIHYPERGLYCEMIC EFFECT OF METFORMIN IN STREPTOZOTOCIN-INDUCED DIABETIC RATS: A NOVEL STRATEGY IN TYPE 2 DIABETES MELLITUS Raafat A. Abdel-Aal\textsuperscript{1}, Mahran S. Abdel-Rahman\textsuperscript{1} and Laila A. Ali\textsuperscript{2} \textsuperscript{1}Department of Pharmacology, Faculty of Medicine, Assiut University, Egypt \textsuperscript{2}Department of Pharmacology, Faculty of Pharmacy, Assiut University, Egypt Diabetes mellitus is a major health problem that threatens the whole world. According to WHO reports, the prevalence of diabetic patients in egypt is expected to increase from 2,623,000 in 2000 to be 6,726,000 in 2030. Metformin is the first line drug for type 2 diabetes mellitus, which can be used alone or in combination with other drugs. However, the concomitant use of metformin with stevia needs more investigation to clarify the role of this combination as a new strategy in type 2 diabetes mellitus. Type 2 diabetes mellitus was induced in rats by i.p. injection of STZ and NA. Animals were divided into five groups, each contains 8 rats. Group I: negative control, group II: diabetic control received saline, group III: diabetic rats received 400 mg/kg/day stevia aqueous extract, group IV: diabetic rats received metformin 250 mg/kg/day, group V: diabetic rats received stevia 400 mg/kg/day + metformin 250 mg/kg/day. After 3 weeks blood samples were collected, animals were sacrificed and tissue samples were collected. Biochemical parameters including FBG, serum insulin, serum DPP-4, TC, TG, LDL, HDL, GSH and MDA were measured by colorimetric and ELISA methods. Both stevia and metformin significantly reduced FBG level. While serum insulin significantly increased. Serum DPP-4 was significantly reduced in all treated groups, concerning lipid profile, stevia and metformin significantly lowered TC, TG, LDL and increased HDL. Both stevia and metformin significantly decreased MDA and increased GSH compared to diabetic rats. In addition, stevia significantly improved the antidiabetic effects of metformin. Stevia has an antihyperglycemic effect and could increase the antidiabetic activity of metformin. DPP-4 attenuation, antioxidant and insulin-sensitizing effects may be involved in the antidiabetic action of stevia. Regarding lipid profile stevia showed hypolipidemic effect. INTRODUCTION Diabetic patients are increasing in number all over the world due to population growth, aging, urbanization, and increasing prevalence of obesity and physical inactivity. Therefore, the number of people with diabetes in the world is expected to approximately double between 2000 and 2030\textsuperscript{1}. According to WHO reports, the prevalence of diabetic patients in egypt is expected to increase from 2,623,000 in 2000 to be 6,726,000 in 2030\textsuperscript{2}. Metformine is the most commonly prescribed drug for type 2 diabetes mellitus\textsuperscript{3}. In recent years, in addition to glucose lowering, several studies have presented evidence suggesting some potential role of metformin, such as antitumor effect, antiaging effect, cardiovascular protective effect, neuroprotective effect or an optional treatment for polycystic ovary syndrome\textsuperscript{4}. Stevia rebaudiana Bertoni is a perennial herb belonging to the Asteraceae family. It is a natural sweetener plant known as “Sweet Weed”, “Sweet Leaf”, “Sweet Herbs” and “Honey Leaf”, which is estimated to be 300 times more sweeting than sugar can\textsuperscript{5}. The leaves of Stevia contain a natural complex... mixture of eight sweet diterpene glycosides, including isosteviol, steviosid, rebaudiosides (A, B, C, D, E, F), steviolbioside and dulcoside A\textsuperscript{6&7}. Stevia leaf extracts have been used traditionally by folks in the treatment of diabetes mellitus\textsuperscript{8}. Their ingestion causes a slight decrease in plasma glucose levels and significantly increase glucose tolerance in normal adult humans\textsuperscript{9}. However, the beneficial effects from using combination of stevia and metformin so far not well documented. Therefore, this study was planned to clarify the role of stevia-metformin combination in type 2 diabetes in diabetic rats. MATERIALS AND METHODS* Chemicals Streptozotocin (STZ), nicotinamide (NA) obtained from cornal lab company, metformin gifted by said factory, stevia aqueous extract supplied by pharmacognosy department faculty of pharmacy assiut university. Animals Male albino rats were used in this study. They weighed 200 to 250g and were maintained in 12- hrs light/dark cycle. The animals had free access to food and water was given through drinking bottles. Induction of diabetes Diabetes was induced in the overnight-fasted rats by a single intraperitoneal injection of STZ (60 mg/kg), fifteen minutes after the I.P. administration of nicotinamide (120 mg/kg). Their blood glucose levels were measured 3 days after the STZ injection. Only rats with fasting blood glucose levels greater than 220 mg/dL were considered to be diabetic and were used in the experiment\textsuperscript{10}. Preparation of plant extract 5 kg of the air-dried powdered leaves of Stevia rebaudiana Bertoni were extracted by maceration in 70% EtOH (10 L x 3). The alcoholic extract was concentrated and the solvent free residue (835 g). Part of the alcoholic extract (425 g) was mixed with 500 mL of distilled H\textsubscript{2}O, and subjected to successive solvent fractionation with dichloromethane till complete exhaustion. The Dichloromethane fraction was concentrated and the solvent free residue was (87 g). The aqueous fraction was concentrated and the solvent free residue was (336 g)\textsuperscript{11}. Experimental design Animals were divided into 5 groups each group contained 8 rats as follow: 1- Negative control group included non-diabetic rats. 2- Diabetic control group included 3-diabetic rats received normal saline 3- Diabetic rats received stevia extract 400mg/kg. 4- Diabetic rats received metformin 250 mg /kg. 5- Diabetic rats received stevia extract 400mg/kg + metformin 250 mg /kg. All drugs administered orally by stomach tube. After 21 days blood samples were collected from retro orbital sinus\textsuperscript{12}, animals were sacrificed under light ether anesthesia and parts of liver and kidney collected for biochemical measurement. Preparation of tissue homogenate Liver and kidney were excised immediately after sacrificed, cleaned in saline, homogenized in 10% (w/v) ice cold 100 mM phosphate buffer (pH 7.4) and centrifuged at 10,000 rpm for 15 min at 4°C, and then the supernatant was obtained and used for oxidative stress biomarkers studies\textsuperscript{13}. Measurements The serum glucose was estimated by enzymatic colorimetric method\textsuperscript{14}. Both serum insulin and DPP-4 were estimated by using (ELISA) technique. Serum total cholesterol is estimated by enzymatic colorimetric method\textsuperscript{15}. Serum high density lipoprotein cholesterol was estimated by enzymatic colorimetric method precipitating reagent\textsuperscript{16}. The serum low density lipoprotein cholesterol was estimated by enzymatic colorimetric method precipitating reagent\textsuperscript{17}. The serum triglycerides was estimated by enzymatic colorimetric method\textsuperscript{18}. The level of reduced glutathione in liver and kidney tissues was estimated by colorimetric method\textsuperscript{19}. The level of malodialdehyde in liver and kidney tissues was estimated by colorimetric method\textsuperscript{20}. In order to detect insulin resistance we evaluated HOMA-IR (homeostatic model assessment of insulin resistance) using the following formula: (fasting plasma insulin in mU/l x FPG in mmol/l) / 22.5$^{21}$. For evaluation of insulin sensitivity used the formula, IS = 1/HOMA-IR$^{22}$. RESULTS AND DISCUSSION Results Effect of stevia, metformin, and their combination on fasting blood glucose level (FBG) Treatment of diabetic rats with stevia aqueous extract or metformin showed a significant decrease in FBG (p< 0.001) compared to positive control rats. Combined administration of stevia aqueous extract plus metformin produced a significant decrease in FBG (p< 0.001) compared to the positive control, stevia and metformin treated rats (Fig. 1). ![Fig. 1: Effect of 400 mg/ kg stevia aqueous extract, metformin 250 mg/ kg and their combination on FBG mg / dl.](image) NC: negative control, PC: positive control, S: stevia and M: metformin. a: significantly different from the mean value of the negative control rats, b: significantly different from the mean value of the positive control rats, c: significantly different from the mean value of the stevia-treated rats, d: significantly different from the mean value of the metformin-treated rats. P (< 0.05, < 0.01, < 0.001). N=8. Values are mean ± standard error of the mean (SEM) Effect of stevia, metformin, and their combination on serum insulin level** Both stevia aqueous extract and metformin produced a significant increase in serum insulin level (p< 0.001) compared to positive control rats. Additionally, co-administration stevia aqueous extract plus metformin produced a significant increase in serum insulin level (p< 0.001) compared to the positive control, stevia and metformin-treated rats (Fig. 2). ![Fig. 2: Effect of 400 mg/kg/day stevia aqueous extract, metformin 250 mg/kg and their combination on serum insulin level mU/L.](image) NC: negative control, PC: positive control, S: stevia and M: metformin, a: significantly different from the mean value of the negative control rats, b: significantly different from the mean value of the positive control rats, c: significantly different from the mean value of the stevia treated rats, d: significantly different from the mean value of the metformin treated rats. P (< 0.05, < 0.01, < 0.001). N=8. Values are mean ± SEM. Effect of stevia, metformin, and their combination on HOMA-IR and insulin sensitivity Stevia aqueous extract or metformin produced a significant decrease in HOMA-IR (p< 0.001) compared to the positive control rats. The same finding was noticed following daily oral treatment of animals with combinations of stevia aqueous extract plus metformin produced a significant decrease in HOMA-IR (p< 0.001) compared to positive control, a significant decrease in HOMA-IR (P< 0.05) compared to stevia, and a significant decrease in HOMA-IR (P< 0.01) compared to metformin-treated rats. Stevia aqueous extract or metformin produced a significant increase in insulin sensitivity (p< 0.001) compared to positive control rats. Similarly, stevia aqueous extract combined with metformin showed a significant increase in insulin sensitivity (p< 0.001) compared to positive control, stevia and metformin-treated rats (Table 1). Table 1: Effect of stevia, metformin and their combination on HOMA-IR, and Insulin sensitivity (IS). \| \| Negative control \| Diabetic control \| Stevia \| Metformin \| Stevia + Metformin \| \|----------------\|------------------\|------------------\|--------------\|-------------\|--------------------\| \| HOMA-IR \| 1.37±0.04 \| 2.54 ± 0.09<sup>a</sup> \| 1.72 ± 0.03<sup>b</sup> \| 1.78 ± 0.05<sup>b</sup> \| 1.46 ± 0.04<sup>b*,c,d</sup> \| \| IS \| 0.73±0.02 \| 0.40 ± 0.01<sup>a</sup> \| 0.58 ± 0.01<sup>b</sup> \| 0.57± 0.01<sup>b</sup> \| 0.69± 0.02<sup>(b,c,d)</sup> \| Values are mean ± SEM., N=8. a: significantly different from the mean value of the negative control rats. b: significantly different from the mean value of the diabetic control rats c: significantly different from the mean value of the stevia treated rats d: significantly different from the mean value of the metformin treated rats. P** (< 0.05, < 0.01, *< 0.001). Effect of stevia, metformin and their combination on DPP 4 level Stevia aqueous extract or metformin produced a significant decrease in DPP 4 level (p< 0.001) compared to positive control rats. It can be seen in the same figure combined administration of stevia aqueous extract orally with metformin produced a significant decrease in DPP 4 level (p< 0.001) compared to positive control, stevia and metformin treated rats (Fig. 3). ![DPP4 level ng/ml](image) Fig. 3: Effect of 400 mg/kg stevia aqueous extract, metformin 250 mg/kg and their combination on DPP 4 level ng/ml. NC: negative control, PC: positive control, S: stevia and M: metformin. a: significantly different from the mean value of the negative control rats, b: significantly different from the mean value of the positive control rats, c: significantly different from the mean value of the stevia treated rats, d: significantly different from the mean value of the metformin treated rats. P (< 0.05, < 0.01, *< 0.001). N=8. Values are mean ± SEM. Effect of stevia, metformin and their combination on lipid profile Both stevia aqueous extract and metformin produced a significant decrease in total cholesterol level (p< 0.001) compared to positive control rats. The same table showed that combined administration of stevia aqueous extract with metformin produced a significant decrease in total cholesterol level (p< 0.001) compared to positive control, stevia and metformin treated rats. Similarly, stevia aqueous extract or metformin produced a significant decrease in triglycerides level (p< 0.001) compared to positive control rats. Also, combined daily administration of stevia aqueous extract with metformin produced a significant decrease in triglycerides level (p< 0.001) compared to positive control, stevia and metformin treated rats. Stevia aqueous extract or metformin produced a significant increase in HDL level (p< 0.001) compared to positive control rats. The same table showed that combined administration of stevia aqueous extract with metformin produced a significant increase in HDL level (p< 0.001) compared to positive control, stevia and a significant increase (p< 0.01) compared to metformin treated rats. As expected both stevia aqueous extract and metformin produced a significant decrease in LDL level (p< 0.001) compared to positive control rats. The same table showed that combined administration stevia aqueous extract with metformin produced a significant decrease in LDL level (p< 0.001) compared to positive control, stevia and metformin treated rats (Table 2). Antioxidant effect of stevia, metformin and their combination 1- Effect of stevia, metformin and their combination on reduced glutathione (GSH) level in liver and kidney tissues Stevia aqueous extract or metformin produced a significant increase in GSH in liver and kidney tissues (p< 0.001) compared to positive control rats. The same finding when stevia aqueous extract combined with metformin produced a significant increase in GSH in liver and kidney tissues (p< 0.001) compared to positive control, stevia and metformin treated rats (Table 3). Table 2: Effect of stevia, metformin and their combination on serum lipid profile. \| \| Negative control \| Diabetic control \| Stevia \| Metformin \| Stevia + Metformin \| \|----------------\|------------------\|------------------\|--------------\|-------------\|--------------------\| \| TC (mg/dl) \| 105.7 ± 1.53 \| 199.9 ± 2.97<sup>a</sup><sup>*</sup> \| 155.7 ± 1.45<sup>b</sup><sup></sup> \| 139.3 ± 1.56<sup>b</sup><sup></sup> \| 125.9 ± 1.14<sup>(b,c,d)</sup><sup></sup> \| \| TGs (mg/dl) \| 98.53 ± 3.41 \| 252.6 ± 2.35<sup>a</sup><sup></sup> \| 158.6 ± 1.99<sup>b</sup><sup></sup> \| 157.5 ± 2.00<sup>b</sup><sup></sup> \| 138.0 ± 1.35<sup>(b,c,d)</sup><sup></sup> \| \| HDL (mg/dl) \| 57.21 ± 1.08 \| 24.52 ± 1.13<sup>a</sup><sup></sup> \| 36.61 ± 0.93<sup>b</sup><sup></sup> \| 39.64 ± 1.55<sup>b</sup><sup></sup> \| 45.87 ± 0.83<sup>(b,c)</sup><sup>,d</sup><sup></sup> \| \| LDL (mg/dl) \| 28.75 ± 1.89 \| 124.8 ± 3.64<sup>a</sup><sup></sup> \| 87.38 ± 2.08<sup>b</sup><sup></sup> \| 68.12 ± 2.32<sup>b</sup><sup></sup> \| 52.42 ± 1.53<sup>(b,c,d)</sup><sup></sup> \| Values are mean ± SEM., N=8. a: significantly different from the mean value of the negative control rats. b: significantly different from the mean value of the diabetic control rats. c: significantly different from the mean value of the stevia treated rats. d: significantly different from the mean value of the metformin treated rats. P* (< 0.05, < 0.01, < 0.001). Table 3: Effect of stevia, metformin and their combination on GSH and MDA levels in liver and kidney tissues. \| \| Negative control \| Diabetic control \| Stevia \| Metformin \| Stevia + Metformin \| \|------------------------\|------------------\|------------------\|--------------\|-------------\|--------------------\| \| GSH liver (mg / g) \| 21.93 ± 1.03 \| 3.17 ± 0.46<sup>a</sup><sup></sup> \| 12.33 ± 0.43<sup>b</sup><sup></sup> \| 12.32 ± 0.55<sup>b</sup><sup></sup> \| 17.20± 0.79<sup>(b,c,d)</sup><sup></sup> \| \| GSH kidney (mg/g) \| 21.63 ± 0.57 \| 6.35 ± 0.36<sup>a</sup><sup></sup> \| 17.28 ± 0.54<sup>b</sup><sup></sup> \| 15.98 ± 0.74<sup>b</sup><sup></sup> \| 21.60± 0.66<sup>(b,c,d)</sup><sup></sup> \| \| MDA liver (n mol /g) \| 207.8 ± 3.49 \| 580.5 ± 12.24<sup>a</sup><sup></sup> \| 248.8 ± 4.40<sup>b</sup><sup></sup> \| 242.7 ± 2.00<sup>b</sup><sup></sup> \| 207.8 ± 1.67<sup>(b,c)</sup><sup>,d</sup><sup></sup> \| \| MDA kidney (n mol /g) \| 209.9 ± 2.47 \| 455.0 ± 11.34<sup>a</sup><sup>*</sup> \| 240.8 ± 3.64<sup>b</sup><sup></sup> \| 264.3 ± 3.87<sup>b</sup><sup></sup> \| 226.4 ± 3.33<sup>(b,d)</sup><sup></sup> \| Values are mean ± SEM., N=8. a: significantly different from the mean value of the negative control rats. b: significantly different from the mean value of the diabetic control rats. c: significantly different from the mean value of the stevia treated rats. d: significantly different from the mean value of the metformin treated rats. P* (< 0.05, < 0.01, < 0.001). 2- Effect of stevia, metformin and their combination on malodialdehyde (MDA) level in liver and kidney tissues Stevia aqueous extract or metformin produced a significant decrease in MDA level in liver and kidney tissues (p< 0.001) compared to positive control rats. Combined administration of stevia aqueous extract with metformin produced a significant decrease in MDA level in both liver tissues (p< 0.001) compared to positive control, stevia and a significant decrease (p< 0.01) compared to metformin treated rats. While, combined administration of stevia aqueous extract with metformin produced a significant decrease in MDA level in kidney tissue (p< 0.001) compared to positive control and metformin. But, produced no significant change compared to stevia treated rats (Table 3). Discussion Present study showed that aqueous extract of stevia (400 mg/kg) significantly decreased the blood glucose levels of diabetic rats. These findings in agreement with those obtained by Misra et al., who reported that stevia can decrease the blood glucose level of diabetic rats. Similarly, but more recent study reported that the aqueous extract of stevia lowered the blood glucose levels in streptozotocin-induced diabetes in rats\textsuperscript{24}. However, these studies didn’t clarify the exact mechanism of action of stevia in diabetes. On the other side, the mechanism of antihyperglycemic effect of steviosides, the active constituent of stevia, was attributed to the inhibition of phosphoenol pyruvate carboxykinase (PEPCK) gene expression in liver which is responsible for blood glucose level regulation through inhibition of gluconeogenesis\textsuperscript{25}. More recently (in 2016), the hypoglycemic activity of the aqueous extract of stevia was explained by PPAR\textsubscript{\gamma}-dependent mechanism and antioxidant properties\textsuperscript{11}. The antioxidant property of stevia will be discussed later in this study. As expected metformin 500 mg/kg significantly lowered the FBG of diabetic rats. These findings are in agreement with results obtained by Zhou \textit{et al.}, who reported that antihyperglycemic effect of metformin may be mediated by inhibition of AMPK in rat liver and muscles with consequent inhibition of gluconeogenesis in liver and increased glucose uptake in muscles\textsuperscript{26}. Whether metformin could activate AMPK in human muscles or not, type 2 diabetic patients received metformin for 10 weeks and then biopsies were taken before treatment began and after 4 and 10 weeks of treatment and AMPK activity was measured in muscle. They found that AMPK 2 activity increased by 52% after 4 weeks and by 80% after 10 weeks of treatment with metformin\textsuperscript{27}. Very recently, in a differential study Rada \textit{et al.}, (2019) reported that metformin could activate AMPK, inhibit glucose production and increase insulin sensitivity\textsuperscript{28}. This study also documented increased insulin sensitivity by metformin but in diabetic rats. Stevia aqueous extract significantly increased the fasting serum insulin level and this finding is in the same side with Jeppesen \textit{et al.}, (2002)\textsuperscript{33} they stated that Steviosides could increase insulin secretion by direct action on beta cells. Recently, Piovan \textit{et al.}, (2018) found that ethyl acetate fraction of stevia increased insulin secretion in presence of high glucose concentration. This insulinotropic effect may be attributed to an enhancement of cholinergic and attenuation of adrenergic inhibitory effects on glucose stimulated insulin secretion with a result of an increase in insulin levels in the blood\textsuperscript{30}. In this study, type 2 model of diabetes showed hypoinsulinemia which coincided with\textsuperscript{31} study compared between four different models of type 2 diabetes and concluded that STZ and nicotinamide manifested by hyperglycemia along with hypoinsulinemia. Metformin 250 mg/kg significantly increased the serum insulin level of hypoinsulinemic diabetic rats; this finding in the same side with\textsuperscript{32&33} suggested direct effect of metformin on beta cells or indirect effect\textsuperscript{34} concluded that metformin upregulates incretin receptors on beta cells. Furthermore, this increase in serum insulin may be attributed to the antioxidant properties of metformin\textsuperscript{35}. Additionally, this increase could be related to the anti-inflammatory activities of metformin\textsuperscript{36} investigated the effect of metformin on experimental insulitis in mice and found that metformin reduced the severity of insulitis further more elevated the serum insulin level. This finding contradicts with\textsuperscript{37-39} as metformin reduces hepatic glucose production, increases peripheral glucose utilization and can reduce insulin resistance without affecting the level of circulating insulin. Our results may document the increase in insulin levels in hypoinsulinemic model of diabetes by metformin. Concerning insulin sensitivity, in an investigation of the effect of stevia on insulin sensitivity in insulin resistant rats\textsuperscript{40} induced insulin resistance in rats using high fructose diet. Chang \textit{et al.}, found that administration of Steviosides improved insulin sensitivity. Also\textsuperscript{41} reported that stevia could enhance insulin sensitivity and increase serum insulin. The present study in the same side with this as 400 mg/kg stevia aqueous extract significantly improved insulin sensitivity while insulin resistance (HOMA-IR) significantly decreased. Metformin can improve insulin sensitivity by more than one mechanism as it can increase insulin receptor tyrosine kinase activity, enhance glycogen synthesis, and an increase the recruitment and activity of GLUT4 glucose transporters. Concerning adipose tissue, metformin promotes the re-esterification of free fatty acids and inhibits lipolysis, which may indirectly improve insulin sensitivity through reduced lipotoxicity\textsuperscript{38}. Recently, in a two years trial, the effect of metformin on beta cell function in type 2 diabetic patients of early stage who received initial short-term intensive insulin induction is compared with the intermittent insulin therapy (IIT) showed that metformin is better than IIT since the beta cell functions, insulin sensitivity and glycemic control were maintained in metformin treated group over the 2 years. In this study metformin improved insulin sensitivity and decreased insulin resistance (HOMA-IR). Dipeptidyl peptidase-4 (DPP-4) plays an important role in degradation of several hormones implicated in glucose hemostasis; this opened the window for thinking about the role of DPP-4 in type 2 diabetes pathogenesis. The breakdown of peptides as GLP-1 and GIP by DPP-4 catalytic activity, these peptides are important for glucose hemostasis and insulin secretion. Another way is there is a relationship between increased DPP-4 plasma level activity and insulin resistance and impaired insulin signaling. There is a negative correlation between DPP-4 level and active GLP-1 levels in T2DM patients. High DPP-4 levels were associated with increased BMI, cholesterol, and LDL. In this study stevia aqueous extract significantly reduced the serum DPP-4 level; this finding is in the same way as reported by who used molecular modeling to study the interaction between compounds extracted from stevia and DPP-4 and found that both stevioside and rebaudioside A inhibited DPP-4 and stevioside produced more optimized inhibition. Steviosides also reported to have the ability to reduce DPP-4 level in diabetic rats. In an attempt for elucidation of DPP-4 inhibition as a possible mechanism of metformin action, metformin produced a dose-dependent inhibition of DPP-4 activity in plasma in type 2 diabetic patients. Similar results obtained in 2006 when metformin decreased the plasma DPP-4 activity in (genetically modified obese) ob/ob mice, increased the circulating level of intact GLP-1 and improved the glucose-lowering and insulin-releasing effects of exogenous GLP-1 administration. Metformin may modulates the incretin axis by PPAR-α dependent mechanism. In accordance with those in the present study daily administration of metformin showed a significant decrease in DPP-4 level. The primary genetic, environmental, and metabolic factors responsible for causing insulin resistance and pancreatic β-cell failure and the precise sequence of events leading to the development of type 2 diabetes are not yet fully understood. Elevated cholesterol and triglycerides lead to dyslipidemia one causatives of insulin resistance. Stevia extract improved the lipid profile of 20 hypercholesteremic women, total cholesterol, triglycerides and low density lipoprotein significantly decreased while the high density lipoprotein significantly increased. Recent studies also reported the antihyperlipidemic effect of stevia investigated the effect of aqueous extract of stevia on hyperglycemia and hyperlipidemia induced by stress in rabbits. Similar results obtained in diabetic rats. The present study in the same way with this as daily administration of 400 mg/kg significantly reduced TC, TGs and LDL while serum HDL significantly increased. In this study metformin significantly decreased TC, TG, LDL and significantly increased HDL; this finding agreed with previous studies reported the antihyperlipidemic activity of metformin. Metformin improved dyslipidemia in children with metabolic syndrome and suggested as a cardioprotective in risk patients. Recently concluded that metformin can improve dyslipidemia and reduce cardiac events in type 2 diabetic patients. Recently, Steviosides showed antioxidant activity and prevented the oxidative damage of DNA in liver and kidney in diabetic rats and significantly elevated the GSH level compared to diabetics. This study is agree with the previous researches as the daily administration of stevia aqueous extract produced a significant increase in the antioxidant GSH level in liver and kidney tissues furthermore the level of MDA significantly reduced. In a comparative study the antioxidant activities of metformin, repaglinide and glibenclimide were studied in diabetic rats, metformin significantly increased the antioxidant enzymes catalase (CAT) and superoxide dismutase (SOD). The level of GSH significantly improved while the level of MDA significantly reduced. The renoprotective effect of metformin was investigated in a rat model of type 2 diabetic nephropathy, metformin administered orally for 13 weeks thus produced a significant increment of SOD activity and significantly decreased levels. MDA, as compared with the model group and attenuated the morphological changes associated with type 2 diabetes in rats. Which suggesting that metformin may has a renoprotection activity\textsuperscript{58}. In agreement with this the present study showed that metformin could has a renoprotective and hepatoprotective effect in type 2 diabetes since treatment of diabetic rats produced a significant increase in GSH level in both liver and kidney tissues while the MDA level significantly decreased. Conclusion In conclusion, all the previous parameters shows that stevia has antihyperglycemic effect and significantly improves the effect of metformin in diabetic rats. 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Experimental and Therapeutic Medicine, 14 (1), 383-90 (2017). ستيفيا تحسن تأثير الميتفورمين المضاد للسكري في الجرذان المصابة بالسكري تم احداثه بالستربرتوزتونس استراتيجية جديدة لعلاج مرض السكري الثاني رافت عبدالديدع عبدالعال - مهران شاكر عبدالرحمن - ليلى عاطف على قسم الفارماكولوجي، كلية الطب، جامعة اسيوط، مصر قسم الفارماكولوجي، كلية الصيدلة، جامعة اسيوط، مصر مرض السكري هو مشكلة صحية كبيرة تهدد العالم بأسره ووفقاً لتقرير منظمة الصحة العالمية فإنه من المتوقع أن يرتفع معدل انتشار مرضى السكري في مصر من ٢٠٠٠ إلى ٢٠٢٠ في عام ٢٠٢٠. وبعد ميتفورمين أفضل دواء لبدء علاج السكري من النوع الثاني المنتشر بين مرضى السكري والذي يمكن استخدامه كدواء منفرداً أو مع أدوية أخرى. ومع ذلك فإن ما يصاحبه ذلك من استخدام ميتفورمين مع ستيفيا يحتاج إلى دراسة واستكشاف أعمق. لذلك تم إجراء هذه الدراسة لمعرفة مدى تأثير ستيفيا على نشاط ميتفورمين كعلاج مضاد لمرض السكري. تم إحداث داء السكري الثاني في الجرذان عن طريق حقن ستربرتوزتونس ونيكوتيناميد وتم تقسيم الحيوانات إلى خمس مجموعات، كل منها يحتوي على ثمانية جرذان. المجموعة الأولى: مجموعة الجرذان الضابطة، المجموعة الثانية: جرذان مصابة بداء السكري وتلقت محلول ملح، المجموعة الثالثة: جرذان مصابة بالسكري تلقي ٤٠٠ ملجم/كجم/يوم المستخلص المائي لستيفيا، المجموعة الرابعة: جرذان مصابة بالسكري تلقت ميتفورمين ٥٠٠ مجم/كجم/يوم، المجموعة الخامسة: جرذان مصابة بالسكري تلقت ستيفيا ٤٠٠ ملجم/كجم بالإضافة إلى الميتفورمين ٢٥٠ مجم/كجم. وبعد ٢١ يوماً تم جمع عينات الدم وعينات الأنسجة من الحيوانات. وتم قياس المعاني الآتي (بعضها في الدم وبعضها في الأنسجة) مستوى السكر الصائم، الأنسولين داي بيبيتيديل بيبيتيديز، الكوليستيرول الكلى، الجليسريدات الثلاثية، البروتين الدهني منخفض الكثافة، البروتين الدهني مرتفع الكثافة، والجلوتاثيون المختزل والمالون داي الدهايد باستخدام سكترفوتوتومتر والآليزا... كل من ستيفيا وميتفورمين خفض بشكل ذو دلالة إحصائية مستوى السكر الصائم في حين أن مستوى الأنسولين زاد بدرجة ملحوظة. انخفض مستوى داي بيبيتيديل بيبيتيديز بشكل كبير في جميع المجموعات المعالجة، فيما يتعلق بالدهون، كل من ستيفيا وميتفورمين خفض بشكل كبير الكوليستيرول الكلى، الجليسريدات الثلاثية، كوليستيرول البروتين الدهني المنخفض الكثافة ومن ناحية أخرى زاد كوليستيرول البروتين الدهني عالي الكثافة كل من ستيفيا وميتفورمين خفض بشكل كبير مالون داي الدهايد وزودت الجلوتاثيون المختزل مقارنة مع الجرذان المصابة السكري. بالإضافة إلى ذلك، وقد أزدادت بشكل ملحوظ تأثيرات الميتفورمين المضادة لمرض السكري عند إضافة خلاصة ستيفيا للميتفورمين. من هذه الدراسة نستنتج أن: تمتلك ستيفيا تأثير مضاد للسكري ويمكن أن تزيد من القدرة العلاجية للميتفورمين عن طريق تقليل مستوى داي بيبيتيديل بيبيتيديز والدهون في الدم وكذلك زيادة حساسية مستقبلات الأنسولين للأنسولين وزيادة الجلوتاثيون المختزل وتقليل المالون داي الدهايد.
COMMUNIST LEGAL SUBVERSION THE ROLE OF THE COMMUNIST LAWYER REPORT BY THE COMMITTEE ON UN-AMERICAN ACTIVITIES HOUSE OF REPRESENTATIVES EIGHTY-SIXTH CONGRESS FIRST SESSION FEBRUARY 16, 1959 (Including Index) (Original Release Date) FEBRUARY 23, 1959.—Committed to the Committee of the Whole House on the State of the Union and ordered to be printed UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON : 1959 COMMITTEE ON UN-AMERICAN ACTIVITIES UNITED STATES HOUSE OF REPRESENTATIVES FRANCIS E. WALTER, Pennsylvania, Chairman DONALD L. JACKSON, California MORGAN M. MOULDER, Missouri CLARENCE E. WELLS, Virginia EDWARD E. WILSON, North Carolina WILLIAM E. MILLER, New York WILLIAM M. TUCK, Virginia AUGUST E. JOHANSEN, Michigan RICHARD AYERS, Staff Director February 28, 1959.—Committed to the Committee of the Whole House on the State of the Union and ordered to be printed. Mr. WALTER, from the Committee on Un-American Activities, submitted the following: REPORT [Pursuant to H. Res. 7, 86th Cong., 1st sess.] ## CONTENTS \| Topic \| Page \| \|----------------------------------------------------------------------\|------\| \| Introduction \| 1 \| \| Lawyers identified as Communists \| 3 \| \| A Communist's loyalty versus the lawyer's oath \| 4 \| \| Communist abuse of the courts \| 6 \| \| Behavior before congressional committees \| 9 \| \| National Lawyers Guild \| 16 \| \| Services to the Communist Party by identified Communist lawyers \| 17 \| \| Recruitment of fellow lawyers into the Communist Party \| 18 \| \| Circumventing the law \| 18 \| \| Espionage and subversion in Government \| 19 \| \| Lawyers as Communist Party officials \| 19 \| \| Activities in unions \| 20 \| \| Leadership in Communist fronts \| 24 \| \| Candidates for public office \| 24 \| \| Propagandists for Communist causes \| 25 \| \| Case histories of some identified Communist lawyers \| 26 \| \| Conclusion \| 75 \| \| Index \| i \| "The proletariat must gather and organize those lawyers and learned barristers in various countries who sympathize with the liberation struggle and are prepared, together with the legal bureau of the IRA, to assist and give legal help to the victims of the class domination of the bourgeoisie * * . "To organize legal bureaus in every country where they do not yet exist and where this is possible, in particular in England, the U.S.A. and Japan * . "To strive to enlarge the number of lawyers who take part in this work by attracting more and more new cadres of lawyers and jurists who can be stimulated by their own interests and their sympathy with the revolution to gather around the IRA legal bureau." (The above directive was issued by the International Red Aid (IRA) at its Second International Conference (Moscow, 1927). The International Red Aid was established by the Comintern in 1922 for the purpose of providing organizations of lawyers for the legal defense of Communists and Communist causes in all parts of the world.) VIII Hearing American a massive of our de spiracy in On the "Commun Committee de instru to simula A sub under the efforts to hamper the and to dis J. Edgar The con evidence decades, lasses not parallel This oper The me process o spiratoris society, to our free While enjoy a f result c subversive entire Co publicity and fellow The lo Commun 1 See Com 1956 (pts. 1 36911 COMMUNIST LEGAL SUBVERSION The Role of the Communist Lawyer INTRODUCTION Hearings and investigations conducted by the Committee on Un-American Activities in the course of the last few years have produced a massive array of facts regarding efforts directed at the perversion of our democratic processes of government by the Communist conspiracy in the United States. On the basis of these facts, the committee issued the report entitled "Communist Political Subversion" on August 16, 1957. The committee described therein the Communist Party's campaign, through the instrumentality of several hundred party-created organizations, to simulate a "grass roots" pressure on Federal and local governments for the purpose of nullifying our Nation's security programs. A subsequent committee report, published on November 8, 1957, under the title "Operation Abolition," outlined additional organized efforts to undermine the security programs of our Government, to hamper the effectiveness of the Committee on Un-American Activities and to discredit the Federal Bureau of Investigation and its director, J. Edgar Hoover. The committee is issuing the present report as a result of substantial evidence that the Communists, over the course of the past several decades, have sought and are seeking to pervert our democratic processes not only by their campaign of political subversion but by a parallel operation which may be designated as "legal subversion." This operation involves subversion by Communists trained in the law. The mechanics of legal subversion extend far beyond any legitimate process of legal representation. They embrace the efforts of a conspiratorial minority, trained in the use of the legal instruments of our society, to turn those instruments into weapons for the destruction of our free society. While relatively few in number, the principals in this operation enjoy an out-of-proportionate influence in the American community as a result of a combination of legal training, schooling in Communist subversive techniques and the fact that they have behind them the entire Communist apparatus and are made the subjects of favorable publicity build-ups on the part of the Communist Party, its fronts and fellow travelers in all walks of life. The locus operandi of the Communist lawyer has ranged from the Communist Party and its myriad front groups and enterprises to the --- 1 See Communist Political Subversion, Hearings and Appendix, November and December 1956 (pts. 1 and 2), and H. Rept. No. 1182, August 16, 1957. most respected institutions of our Republic. The record will show, for example, that Communist lawyers have not only been in the forefront of the party's own organizational activities and of particular party projects such as the planning of political subversion, but that they have joined the Communist cause in the courts, the Congress and executive agencies of our Government. From the scope and nature of their activities, it is evident that Communist lawyers rank as part of an elite corps within the Communist fifth column on American soil. The Committee on Un-American Activities has never investigated the legal profession or any other professional group as such. Legislative mandates require, however, that this committee and, in turn, the Congress, be informed of the constantly changing theory and tactics of the Communist conspiracy and of the ever-increasing proportion of the nation's population which it seeks to control through the enactment of national security legislation when the exigencies of the situation so require. In keeping with these mandates, the committee has investigated the conspiracy wherever its agents have been found operating. The committee has discovered, as a result of these investigations that the Communist program of subversion in this Nation is so broad in scope that most segments of our society have been its targets. Hearings have disclosed, for example, the operations of Communist agents within our Federal Government, our trade unions and local community organizations, as well as within numerous professional groupings such as lawyers, doctors, educators, and farmers. In this report, the committee has extracted from its past investigations and hearings some of the information it has received regarding the aims and activities of Communist agents submitted to the practice of law. Despite the fact that the information was obtained incidentally in the course of investigations into broader aspects of the Communist conspiracy, the committee believes this evidence is justification for exposing these lawyers both within and without the legal profession, who would preserve our democratic institutions and processes. Therefore, it was decided to publish this report. How can a lawyer maintain his oath to uphold and defend the Constitution of the United States when he is an agent of a conspiratorial apparatus designed to destroy the Constitution? How can a lawyer maintain his duty to serve the interests of a client if he is under Communist discipline and coordinates professional loyalties to the interests of the Communist Party? How can an attorney meet the high standard of ethics and conduct historically required of members of the bar, if he exploits the knowledge and prestige of his profession in behalf of Communist propaganda, subversion, and espionage? The committee cites facts which shed light on these and other questions in the following report in the belief that reliable data on a vital problem is the first step toward its eventual solution. It is encouraging to note that many loyal members of the bar have long demonstrated concern about Communist lawyers. The American Bar Association, for example, established a Special Committee on Communist Tactics, Strategy, and Objectives in 1947. As a result of its committee's studies, the Association has adopted a number of recommendations directly relating to communism and Communist lawyers. Among the measures urged by the Association is the disbarment of lawyers who are found to be members of the Communist Party or who invoke the fifth amendment regarding party membership. The ramifications of legal subversion are such, however, that the problem demands immediate and serious consideration not only by the overwhelming majority of patriotic lawyers in our country but by the Congress and the citizenry at large. LAWYERS IDENTIFIED AS COMMUNISTS* Committee investigations and hearings over the years have stripped the cloak of secrecy from Communist conspirators operating in many diverse groupings of American society. Organized Communist activities centered in various cities of the United States, or around key Communist targets such as the government, labor unions, state industries, and educational and cultural institutions formed the scope of these investigations. In the course of these hearings, which it has held throughout the country, the committee has repeatedly received evidence that certain members of the conspiratorial Communist operation were masquerading as respected members of the legal profession. In the decade from 1947 through 1957, for example, more than 100 of the individuals identified as members of the Communist Party by former Communists testifying before this committee have also been identified as members of the bar. Most of these lawyers have appeared as witnesses before this committee or other congressional committees. Approximately a dozen of them informed this committee that they were no longer part of the conspiracy and presented verifiable testimony regarding their past activities as members of the Communist Party. Nevertheless, other lawyers have refused to answer questions of this committee or other congressional committees regarding their membership or activities in the Communist Party, despite the existence of sworn testimony regarding their affiliation with the conspiracy. All but four of these lawyers invoked the protection of the fifth amendment against self-incrimination in refusing to respond to questioning. These lawyers represent only a fraction of the total number of individuals engaged in the practice of law in the United States. The fact that a relatively small number of Communists have attained status in the legal profession should not be construed as a reflection on the overwhelming majority of the legal profession, in whose loyalty and patriotism the American people have the greatest confidence. On the other hand, the fact that more than 100 Communist lawyers have been identified in sworn public testimony before the committee must not be construed as a complete picture of Communist legal subversion. The committee emphasizes again that its information on the subject was obtained incidentally in the course of its public hearings on broad-scale Communist operations in this country. The factual material upon which this report is based does not include information on Communist lawyers who have not been publicly identified, nor on lawyers who are not actual party members for security or other reasons but who nevertheless unswervingly support the Communist Party and its program. Nor does this report attempt to exhaust information on the subject may be available as a result of hearings by other committees of the United States Congress, various State investigative committees, and governmental agencies such as the Subversive Activities Control Board, or information obtained as a result of testimony in the numerous Smith Act trials. The fact that identified Communist lawyers are very much in a minority does not alter the seriousness of the situation whereby agents of the Communist Party, by gaining entry into the legal profession, are in a unique position to serve as instruments for those who would pervert the very democratic processes a lawyer is sworn to defend. Under the mantle of the legal profession, the Communist can operate as an ostensibly respectable and influential member of the community despite his dedication and subservience to Communist doctrine and objectives. The frequency of their appearances before our most important and highly respected democratic institutions is evidence of the prominence attained by Communists who have been admitted to the bar. They appear not only before congressional committees but, because of their highly respected profession, are given free access to executive agencies, such as the Immigration and Naturalization Service, and to the State and Federal courts, including our highest tribunal—the United States Supreme Court. In the past decade alone, identified Communist lawyers appeared in person before the United States Supreme Court at least once, and in part brief in at least 32 important cases adjudicated by the Court on some vital issue affecting the operations of the Communist Party itself. This report must not be construed as a reflection on the right and privilege of legal representation for Communists. The cherished American concept of the right of counsel must never be denied even to Communist conspirators who would render such concepts meaningless if their efforts to subvert our Government were to succeed. A COMMUNIST'S LOYALTY VERSUS THE LAWYER'S OATH A Communist owes his primary loyalty to an international revolutionary conspiracy, headquartered in Moscow toward the goal of complete enslavement of the earth's people. By subordinating himself to this conspiracy, a lawyer becomes part and parcel of an operation designed to abolish our constitutional form of government and its guarantees of equal justice under the law in favor of a slave-state existence. A Communist operates under an iron discipline which places his party's subservient position above every other concern and personal loyalty. No Communist, therefore, can in good faith accept the oath administered to all members of the bar, to uphold and defend the Constitution of the United States. No Communist can qualify for the trust imposed upon a lawyer—a duty to devote his ability, skill, and diligence along ethical and professional lines to the interests of his client, and to refrain from entering into any alliance or incurring any obligation connected with the litigation in which he is engaged as counsel that would place him in a position where his personal interests would be at odds with those of his clients. A member of the bar is considered an officer of the court. In a sense, he is a public servant, and has an obligation to the public. His role is that of an independent arbiter within a system of the administration of justice, and is indispensable to the maintenance of order and decorum, and, even violence, obtains and holds membership in the legal profession, and as a result has a solemn duty to protect the integrity of the bar's substantive requirements. That a Communist lawyer's first allegiance lies to the party itself was demonstrated by the testimony of Joseph L. Gersh, a lawyer who had quit the party in disillusionment in the late 1940s, and later described their party experiences to this committee. Most of these lawyers had been recruited into the Communist Party after other lawyers already in it had induced them to attend informal "legal" discussion groups where they were gradually exposed to Marxist views. When they actually joined the party the new recruits were placed in a special lawyers' group whose membership was kept secret. There they received intensive indoctrination aimed at gaining their thinking along accepted Communist Party lines. Communist lawyers who were thus dedicated were not allowed to disagree with party theory. Further, these who did either change their minds and think right or get out, according to David Aaron, a lawyer and former Communist, since breaking with the party, has rendered outstanding service by revealing the machinations of Communist lawyers. Mr. Aaron stated that the lawyers who were "Communists in the true sense of the word" were those who "feel that the most important thing is the aims of the party." A. Marburg Verkes, another lawyer who broke with the party, related that he found his concern for high ideals was being submerged by concern for the Communist Party as such. Still another former member of the Los Angeles Communist --- 7 The Rules of Procedure of the Committee on Un-American Activities, a printed copy of which is furnished to all witnesses, require that "At every hearing, public or executive, issues which appear at committee hearings without legal representation are raised if they are not raised by the witness. If the witness indicates that he is unable to obtain the assistance of counsel, the chairman shall make inquiry of the witness as to whether he is a member of any labor or social association in order to insure that the witness has the benefit of legal advice." 8 Testimony of Joseph L. Gersh, January 23, 1962; A. Marburg Verkes, January 25, 1962; and William M. Leavelle, January 26, 1962. 9 Testimony of David Aaron, January 23, 1962; A. Marburg Verkes, January 25, 1962; and William M. Leavelle, January 26, 1962. COMMUNIST LEGAL SUBVERSION lawyers' group, William G. Jerel, testified that he quit the party group because in 1947 it became perfectly obvious that to remain a member of the Communist Party was to be an absolutely disloyal American. COMMUNIST ABUSE OF THE COURTS The Communist Party attitude toward our courts was frankly stated in a pamphlet instructing the party faithful on the behavior they were to adopt in the event of arrest and trial. The pamphlet bluntly required them to "bring the class struggle into the courtroom." The "legal" and "moral" duties of the courts, according to this pamphlet, are merely "a means of pulverizing the struggles of the workers against capitalist institutions." These instructions further declare: The class struggle goes on in the courtroom as well as it does on the picket line, in the shops, and in the mines. The worker must learn to carry into the courtroom the same determined militancy that brought him there. The worker must also understand that courts are not impartial, any more than any other agency of capitalist government is impartial. Those who drag the worker into court do so because they know that the court will serve the bosses and not the worker. In summation he points out that the workers must use the sham and deceit of the legal process to their advantage—just as a weapon in the bosses' hands—with which to subdue workers' militancy. The worker must train himself to bring the class struggle into the courtroom into which he was dragged by the bosses' servants. Another Communist pamphlet told party members that they must use trials of Communists as a means of attacking capitalism and promoting the revolution: A Communist must utilize a political trial to hold on the revolutionary struggle. Our tactics in the public proceedings of the law courts are not tactics of defense but attack. Without clinging too long to formalities, the Communist must use the trial as a means of bringing the views of the class struggle against the regime and of courageously voicing the views of his party. The application of these Communist principles to an American court trial was observed as far back as 1929 in the notorious Gastonia case. In this case, seven defendants were convicted of second-degree murder as a result of the deaths of a Gastonia, N.C., police chief during a violent Communist-directed strike of textile workers in the area. The conviction marked the conclusion of two trials held in Charlotte, N.C., between August 26 and October 21, 1929, in a blaze of nationwide publicity capitalized on by the Communist Party. Many years later, in 1948, four of the defendants who was also a Communist and a North Oak, N.C., Communist field organizer, appeared as witnesses before this committee. Both men had left the Communist Party in disillusionment. They revealed to the committee that the Communist Party had gone all-out in an effort to induce defense counsel to follow a "class struggle" line in the Gastonia trials and to utilize the courtroom for Communist propaganda purposes. Among those sent by the party to the area to accomplish this objective was Leon Josephson, a Communist lawyer from New Jersey, who operated, as the party's legal representative. Although Josephson did not take part in the actual trial proceedings, he attempted to influence the defense witnesses in interviews with the imprisoned defendants, sought to intimidate them with threats in the event they should be called to the witness stand, and was convinced by Mr. Beal stated that the Communist Party was more interested in creating a propaganda forum and making a show for Moscow than in obtaining the defendants' acquittal. The party succeeded in getting one of its representatives from New York on the witness stand. This party agent thereupon introduced into the trial Communist propaganda speeches having no relation to the defense of the case and actually prejudicial to the defendants. Such tactics, accompanied by Communist agitation in the community, hampered the case for the defense to such an extent that Mr. Beal in retrospect was convinced that the Communist Party was chiefly responsible for the defendants' conviction. A former judge who was chief counsel for the defense resigned from the case as a result of such Communist efforts to discredit the defense witnesses and to undermine the State's case for conviction on the capital charge, but would reduce the sentence of the defendants to life in the second degree if the Communists would agree to drop the death sentence and that "demands" be tried for their lives. They made no secret of the fact that they would like to see them sentenced to death, for that, the leaders said, would give them "more mass space," and enable them to push their cause with more effectiveness. During the trial of the case they tried to tamper with State witnesses, tried to get own witnesses to swear to all sorts of lies, and constantly tried to dictate to defense lawyers. By the time the case had ended the Communists hated me so much that they fired my attorneys for the prosecution, and largely because I insisted on sitting in the electric chair. The whole ugly affair seems almost like a fight between top Communist Party officials in New York in 1949 was in complete accord with the Communist Party courtroom strategy outlined above. Throughout the 7-month trial of the Communist leaders charged with conspiracy to advocate forcible overthrow of the United States Government, a group of defense lawyers indulged in a spectacular COMMUNIST LEGAL SUBVERSION display of abusive and disruptive conduct. These lawyers, it became apparent, were determined to break up the legal proceedings by any means and to introduce Communist propaganda into the opening, so long as the trial should continue to benefit their clients' case. Presiding Judge Harold Medina declared at one point in the trial that "the amount of disorder and contemptuous behavior I have witnessed here is beyond anything I could have thought possible in an American court." At the conclusion of the trial, Judge Medina meted out jail sentences for criminal contempt of court to six defense counsel. He charged them with "a deliberate and wilful attack upon the administration of justice, an attempt to sabotage the functioning of the Federal judicial system and to intimidate so grave a candidate as to make the jury's decision of a life or death gesture and a wholly insignificant punishment." Judge Jerome Frank, in a concurring opinion in the United States Court of Appeals, Second Circuit, decision which upheld the contempt sentences against the defense counsel, said: * * * We affirm the orders punishing these lawyers * * * because of the lawyers' outrageous conduct—conduct of a kind which no lawyer owes his client, which cannot ever be justified, and which was never employed by those advocates for minorities or for the unpopular, whose courage has made lawyerdom proud. The acts of the lawyers for the defendants in this trial can make men shudder and shout aloud, assaulting the pilot of an aeroplane in flight or turning out the lights during a surgical operation. To use homelier words, they tried to throw a wrench in the machinery of justice. Whatever may have been their purposes, their acts might have made a trial of their clients impossible. Among those sentenced for contemptuous conduct was Eugene Dennis, general secretary of the Communist Party, U. S. A., who was a defendant in the trial. Although not a lawyer, Dennis had served as his own counsel. Three of the remaining defense counsel sentenced by Judge Medina—Harry Sacher, Richard Gladstein, and Abraham J. Lasserre—are active practitioners of the law who have been identified by witnesses before this committee as members of the Communist Party. At the time of this contemptuous behavior by defense counsel in the New York Smith Act trial, A. Murberg Yerkes was still a member of a Communist Party lawyers' group in Los Angeles. Mr. Yerkes subsequently told this committee that he was profoundly disturbed by the conduct of the lawyers in the New York trial and that he tried to raise questions about it with other Communist lawyers in his group. Mr. Yerkes received no answer and shortly thereafter left the Communist Party in disgust with its policies and methods. The American Bar Association's Special Committee on Communist Tactics, Strategy, and Objectives expressed concern that conduct such as engaged in by defense counsel in the aforementioned Smith Act trial "would bring discredit to the wealth of the American people upon the legal profession and if permitted would tend to make the Bar generally the object of scorn, derision, and contempt of the American citizen." The Attorney General of the United States warned in 1953 that the inculcation of Americans with a contemptuous attitude toward our judicial process is exactly what the Communist Party seeks to achieve: High on their [the Communists'] list of objectives is a program designed to instill in our citizens contempt for our judicial process. They know that our court system, which is fair and impartial, is one of the strongest bulwarks of democracy. Consequently, as we expose their methods for what they are, and try them for what they are, they have used every device available in an attempt to turn our civil process into a "three-ring circus" in order to bring it into disrepute. Unfortunately, they have been partially successful in this program. * * * * BEHAVIOR BEFORE CONGRESSIONAL COMMITTEES The Communist Party's position regarding congressional committees in the existing subversion is well documented. The party has continually expressed its general hostility to the existence of such committees. It has also instructed its members who serve as witnesses to appear as witnesses before these committees to refuse to furnish any information on Communist activities. Former Communists have testified that, in order to insure complete resistance to congressional committees, Communist lawyers are often assigned to Communists who have been subpoenaed. In appearances before this committee as counsel to uncooperative witnesses, many identified Communist lawyers have furthermore violated the ethical standards of the bar by a display of contemptuous and discourteous behavior. The committee on occasion has had to have such counsel excused from its presence in order to enable a hearing to proceed. --- 20 Report of the Special Committee on Communist Tactics, Strategy, and Objectives, American Bar Association, 1953, pp. 100-101. 21 Harry Brownell, Jr., delivered before the National Conference on Citizenship, Washington, D.C., September 15, 1953. 22 See, for example, Hearings Before the Senate Committee on Government Operations, February 22, 1950, and William A. Wallace, May 23, 1956. 23 Hawthorne Davis, "Judge Medina, A Biography," New York: Wittenfeld & Funk, Inc., 1952, p. 24; idid. 24 281 F. 2d 388, and 390. 25 38911 O—58—3 The following exhibits indicate the support given by the Communist press to the disruptive tactics of Communist lawyers in appearances before congressional committees. LOS ANGELES, Oct. 2—The Hanoi Un-Americans, greeted by mass picketing on the vandam of this city Tuesday, were rebuffed with equal sharpness yesterday by nine lawyers who refused to answer questions. These were the first of 90 attorneys scheduled to appear before the House Un-American Activities Committee. Los Angeles Attorney Defies Un-Americans LOS ANGELES, Oct. 2—The Hanoi Un-Americans, greeted by mass picketing on the vandam of this city Tuesday, were rebuffed with equal sharpness yesterday by nine lawyers who refused to answer questions. These were the first of 90 attorneys scheduled to appear before the House Un-American Activities Committee. Un-Americans face rout in LA PEOPLE'S WORLD Vol. 5 No. 183 Thursday, October 2, 1941 Un-Americans face rout in LA Pickets flay lawyers defy Un-Americans Suspended lawyers plan battle 14 COMMUNIST LEGAL SUBVERSION In an appearance before this committee in Washington, D.C., on June 12, 1956, Paul Robeson bombarded its members with contemptuous speeches which contrasted strangely with his adamant refusal to answer any committee questions regarding his Communist Party activities. The Communist Daily Worker thereafter gave Robeson front-page publicity for what it called his protest against this committee's "attempt to shut up every Negro who wants to talk for his people." As the Daily Worker reported: During the tumultuous hour that the hearing lasted, Robeson condemned the subversive tactics by the committee, contrasted President Eisenhower's moves for peace with the committee's activities and declared emphatically his intention of continuing to fight for equal rights for Negro people. Although the committee chairman and other members repeatedly tried to restrict him to the rigged question routine, Robeson's voice, sometimes angry, sometimes somber, sometimes chiding, overwhelmed their heckling. Robeson's actions and expressions in behalf of international communism are always extolled by the Communists' press as representing the true position of all American Negroes. At the World Peace Conference held in Paris in April of 1954, Robeson again proclaimed to speak for all Negroes. Thomas W. Young, a prominent Negro leader of Norfolk, Virginia, and general manager of the Guide Publishing Company, Inc., had the following to say about Robeson's statement in Paris: What basis, if any, is there for believing Paul Robeson when he says that in the event of a war with Russia the Negro would not fight for his country against the Soviets? Two things can be pointed out to discredit that statement. In the first place, Mr. Robeson is now so far out of touch with the Negro's thinking and his everyday life that he has no longer spoken or thought about war for the race. His distant travels and his literary occupations with the affairs of the Soviets have broken the bond he once held with the Negro mind. He has so completely removed himself from the intimate affairs of the Negro group in America that he no longer has the opportunity to know nor the authority to speak about the aims and aspirations and resolutions of this group. The plain truth about the matter is that, in his Paris declaration, Mr. Robeson has done a great disservice to his race—far greater than that done to his country. And if Mr. Robeson does not recognize the injury he has done to the cause of the Negro in this country, then that unscrupulous little organization, the representatives of the race, if they do not recognize the injury he has done to the cause of the new cause to which he believes of his race in the interest of the new cause to which he now devotes himself. --- 16 Hearings before Committee on Un-American Activities Regarding Communist Infiltration of Minority Groups—Pt. I, pp. 458 and 459; testimony of Thomas W. Young, July 13, 1956. 17 Daily Worker, June 13, 1956, pp. 1 and 8. NATIONAL LAWYERS GUILD An important focal point in the Communist campaign of legal subversion is the National Lawyers Guild, which has been operating on the American scene for more than 20 years as an alleged nationwide organization for "liberal" lawyers concerned with human rights in general and civil liberties in particular. This committee, in a special 50-page report on the guild in 1950, found the organization was in fact an "appendage to the Communist Party." Its proclaimed "benevolent purposes" were nothing to lure non-Communist lawyers into the organization where they would become subject to Communist objectives. In its day-to-day operations, unwittingly serving Communist Party interests, the guild "carried out the guild's alleged" work of the Communist Party, intervening in legal proceedings in behalf of Communist defendants and lobbying against executive and legislative programs which would curb the effectiveness of the Communist conspiracy in this country." The first executive secretary of the guild, Mortimer Riemer, who was also a member of the Communist Party at the time, has described in sworn testimony before this committee how he and other Communist lawyers worked to organize the guild in 1936. Not only were the organizational details arranged by Communist lawyers but the first national convention of the guild in 1937 elected a slate of officers and followed a program prearranged in secret caucuses of Communist lawyers, who were formerly active in both the Communist Party and the National Lawyers Guild have informed the committee that it was a Communist Party requirement that Communist lawyers become members of the guild because, as one witness said, "The guild was supposed to be made into the legal organ, the legal instrument which would speak for and in behalf of the Communist Party." In the course of its present study of the problem of legal subversion, the committee found that most of the lawyers who have been identified before it as members of the Communist Party whose activities are discussed in more detail below have played prominent roles in the National Lawyers Guild. These lawyers have held key offices in the national guild organization such as those of executive secretary and members of the executive board and have functioned as president, executive secretary, treasurer, or board members in local chapters of the guild in such major cities as New York, Washington, D.C., Los Angeles, and San Francisco. A number of lawyers have been identified as having been members of the Communist Party as far back as their law-school days, when they were also active in student chapters of the National Lawyers Guild. For example, lawyer Norman Leiserson was president of the guild's student chapter at the University of Michigan while also active in a secret Communist Party organization on the campus. The National Lawyers Guild held a banquet in New York City on October 25, 1947, at which it paid tribute to 125 lawyers who were members of the guild. The guild's guest of honor' for this affair included 36 attorneys who have been publicly identified as Communist Party members in testimony before the committee. Activities of the guild in recent years continue to be directed toward the weakening of the security programs of Federal and local governments. The guild, for example, has been campaigning for: 1. Abolition of congressional committees assigned to the task of coping with subversion in the United States; 2. Curtailing of the investigative powers of the Federal Bureau of Investigation; 3. Passage of the recent statute which grants immunity to witnesses called before a committee or a Federal grand jury if the witness furnishes information regarding subversive activities; 4. Repeal of the Smith Act prohibiting teaching or advocacy of forceful overthrow of the United States Government; 5. Discontinuance of the Attorney General's listings of subversive organizations; 6. Repeal of the Internal Security Act and the Walter-McCarran Immigration Act; 7. Unrestricted issuance of passports to subversive individuals; 8. Repeal of the Federal employees loyalty-security program; 9. Limitations on the right of the Defense Department to discharge subversives from the Armed Forces. SERVICES TO THE COMMUNIST PARTY BY IDENTIFIED LAWYERS When David Aaron, a former member of a Communist Party lawyers' group in Los Angeles, appeared as a witness before this committee, he was asked what part Communist Party lawyers were expected to play in the promotion of the plans and purposes of the Communist Party. Mr. Aaron replied that the function of the lawyer was not to actively go out on the street and promote, but to act in an advisory capacity. In an effort to obtain a picture of some of the special services which can be performed for the Communist Party by members operating from the vantage point of the legal profession, the committee has reviewed the public record of a number of lawyers who have been identified as party members in sworn testimony. This record, which represents only publicly available information contained in the files of the committee, shows that such lawyers have: 1. Capitalized on their membership in the legal profession to recruit fellow lawyers into the Communist Party. 2. Misapplied their legal training by assisting Communist party operatives in criminal enterprises like wire tapping and intimidation of Communist Party officials aimed at gaining power and influence. 3. Shaped United States policy toward Communist objectives while holding responsible legal positions in the United States Government. 4. Carried out important duties as a functionary of the Communist Party organization itself. --- 3 See testimony of the National Lawyers Guild Committee on Non-American Activities, H. R. 3123, September 1, 1950, James Bierer before this committee, December 14, 1950. 4 See testimony of David Aaron before this committee, January 23, 1952, p. 2322. 5. Served as attorneys for both Communist-dominated trade unions and those not under Communist control. 6. Acted as legal advisers to, and accepted leadership roles in, organizations which posed as legitimate non-Communist enterprises although they were, in fact, operated under Communist control for party purposes—for example, the party front organizations built around "civil rights" and other popular themes. 7. Exploited the prestige of their profession in the course of running for public office. The Communist Party has reaped inestimable benefits as a result of these extralegal activities of identified Communist lawyers. While the activities of some of the most prominent of Communist objectives in fields far removed from the atmosphere of courts or administrative and congressional hearing rooms, nevertheless, a basic element in all of them is a deliberate Communist exploitation of the lawyer's special status as a member of the bar. Specific illustrations of each of these activities, selected from numerous examples available in the public records of identified Communist lawyers, follow: RECRUITMENT OF FELLOW LAWYERS INTO THE COMMUNIST PARTY One of the extralegal activities in which Communist lawyers engage is the recruitment of fellow lawyers into the Communist Party. Attorney A. Martign Yerkes testified before this committee that he had accepted the invitation of Ben Margolis to join the latter's Los Angeles law firm because he was impressed with Mr. Margolis' reputation in a certain prominently publicized legal case. Shortly after joining the firm, Mr. Yerkes was invited by his employer to attend an international legal conference in Stockholm, Sweden. Mr. Margolis was to represent the Soviet Union. Mrs. Schneider said in the testimony of Anita Schneider who joined the Communist Party in California in 1961 as an undercover agent for the Federal Bureau Investigation, Mrs. Schneider said the Communist Party sponsored such a conference in Stockholm, Sweden, from which it also planned she would journey on to the Soviet Union. Mrs. Schneider said she had a discussion with a Communist lawyer of Los Angeles, Richard Rykoff, on the problem of applying for a passport in view of State Department restrictions on travel behind the Iron Curtain. Attorney Rykoff advised Mrs. Schneider when she joined the Communist Party in California in 1961 not to conceal her real destination from the State Department when filling out a passport application, even though he knew that, in order to obtain a passport, she would have to swear to the truthfulness of the information contained in it. ESPIONAGE AND SUBVERSION IN GOVERNMENT This committee's investigations and hearings over the years have disclosed that a sizable group of individuals who obtained positions of trust in the United States Government due to their legal training joined Communist cells aimed at subversion in the Government. New York lawyers John J. Abt and Nathan Witt, for example, held legal posts with the Agriculture Department and the National Labor Relations Board, respectively, while serving as leaders of secret Communist cells composed of Government employees. Testimony has disclosed that such cells were formed as part of the Communist Party's strategy to get its members into high policymaking posts in our Government and to open up channels through which the Soviet Union could obtain classified Government information. A notorious illustration of subversion in Government by an identified Communist lawyer was provided by the case of Alger Hiss. His 15 years of Federal service encompassed all three branches of the Government—judicial, legislative and executive. After serving as a law clerk for a justice of the United States Supreme Court, Hiss held such posts as counsel in the Agriculture and Justice Departments and as chief counsel with a special Senate committee. Upon entering the State Department, where he attained his highest policymaking position, Hiss first assignment was assistant to an Assistant Secretary of State. He, himself, described his job as involving years of legal and other research." For further details of the activities of Ben Margolis and many of the other attorneys subsequently referred to, see separate sections devoted to each attorney on pages 26 through 74 of the report. Aubrey Grossman in 1945 was publicly advertised by the Communist Party as its new educational director for the city and county of San Francisco. In that year, he was also an alternate delegate to the important Communist Party national convention in New York City, at which party "Counter-Espionage" was urged, and the party name of the American Political Association was abandoned in response to directives from Moscow. Abraham Unger not only served as official legal representative for the Communist Party but also held the status of a "functionary" within the party organization, according to a former Communist Party official who testified before the committee. Mr. Unger had been a member of the constitution committee at the aforementioned 1945 convention. In 1936, at the height of the internal controversy within the United States Communist Party which resulted from Soviet disclosures of Stalin's crimes, Abraham Unger described authoritarianism as "the very products in the Party's official propaganda." The Daily Worker, the party's official newspaper, condemned many of these Communist Party officials as "counterrevolutionaries" and ordered them to leave the United States or abroad who were tempted to rebel against complete subservience to the Soviet Union. ACTIVITIES IN UNIONS The Communist Party since the late 1920's has made concerted efforts to infiltrate and organize unions in this country. These efforts have targeted primarily have been unions operating in basic industries, including mining, shipping communications, radio, and electrical fields. The party actually controlled a number of the Nation's most important labor unions. Identified Communist lawyers have contributed to this party objective. Sworn testimony has revealed that, while identified Communist Party members have been counsel to the CIO, the CIO in turn expelled the CIO for adhering to the Communist Party line. Richard Gladstein of San Francisco served as official attorney for the Marine Cooks & Stewards Association of the Pacific in the 1940's, when he vigorously promoted Communist control over that union. Lawyer Gladstein's efforts, under instructions from the Communist Party, included drafting a constitution, subsequent adoption by the union which would give the party free access to the union's funds. The union was expelled from the CIO in 1950 for its adherence to the Communist Party line. Another example is provided by lawyer Nathan Witt, who has admitted he had the official post of "attorney or the general counsel" for the Communist-controlled International Union of Mine, Mill and Smelter Workers since early 1941, with the exception of a short period during World War II. According to the testimony of a former Communist Party official who also headed the die-casting division of the mine-mill union, Nathan Witt was one of the Communist Party's top men who acted as liaison between the party and a number of unions controlled by the party. Witt attended key party meetings and participated in important decisions affecting the unions. These decisions, as party directives, were then put into effect by the union after being transmitted to its leaders by Witt. The same testimony revealed the party's interest in maintaining control of the mine-mill union stemmed from the union's strategic position in the non-ferrous metals industry. This union was also expelled from the CIO in 1950. In 1941 Nathan Witt was also counsel for the United Federal Workers of America. A 1944 report of the Special Committee on Un-American Activities found Communist leadership to be strongly entrenched in this union which "was formed as a result of a Communist-led strike of the American Federation of Government Employees in 1937." Witt and the union had fought tenaciously against all efforts to investigate and penalize civil-service employees for subversive activities. In the late 1940's Witt was chief counsel for the New York Teachers Union, Local 555. This union is officially known as Local 5 of the American Federation of Teachers, AFL, but was expelled from the AFL in 1941 on charges of being Communist-dominated. The New York Teachers Union later became Local 555 of the United Public Workers of America, CIO, which the CIO in turn expelled in 1960 for adhering to the Communist Party line. Harold Swersey (Sweery), another identified Communist lawyer, has been legal counsel for the International Longshoremen's and Warehousemen's Union since 1949. He served as its legal representative in Washington D.C. from 1948 until the middle of 1946. In that year Mrs. Ponolog became the legal representative in the Territory of Hawaii for this international union, which was expelled from the CIO for adhering to the Communist Party line. Frank Donner has been identified as having been a Communist Party member as far back as the early 1940's when he was a lawyer for the National Labor Relations Board. Donner, who invoked the fifth amendment when he appeared as a witness before this committee in 1959, was recently named general counsel for the United Electrical, Radio and Machine Workers of America. This Communist-controlled union, which joined the CIO in 1935, is the recognized bargaining agent for many thousands of workers in many of our vital defense industries. The IBEW in a recent pamphlet lists its new president as being "recognized as one of the foremost authorities on NLRB law." It failed to mention that Donner was published as having been a member of a conspiratorial Communist cell while employed as an attorney at the National Labor Relations Board. In addition, prior to their identification as Communists, certain lawyers succeeded in obtaining positions as counsel for unions not under the control of the Communist Party. From 1938 to 1945, when he took a leave of absence to work for the American Civil Liberties Union, Abt served as general counsel to the Clothing Workers of America, CIO. At the same time he left the Clothing Workers he also resigned as co-counsel to the CIO Political Action Committee. Frank Domien was assistant general counsel for both the National CIO and the United Steelworkers of America, CIO, from 1943 to 1947. Harry Sacher is an outstanding example of an identified Communist lawyer who represented both Communist-dominated unions and unions which were not under Communist control, and made a handsome living by doing so. It is estimated that at one time he earned $10,000 per year from his legal work in the labor-union field. Sacher was attorney for the AFL Painters Council 9 in New York City while Louis Weinstock, a member of the Communist Harry Sacher Sticks to the Fight for Labor By Mel Fiske Harry Sacher, the workers' lawyer whom the court judges and New York Bar Association are trying to disbar for defending the Communist "11" has his troubles. But last week 4,000 shoe workers acclaimed him as their attorney after he played in aiding them win a 10-cent an hour wage increase. Fedora and Manhattan Center to ratify the terms of a settlement, the 4,000 rocked the huge hall with applause for their fighting attorney. Moved by the ovation, Sacher told the standing shoe workers: "You don't know how much this means to me." The tears of many older workers, seated on the first few rows of the hall, showed that they did. Referring briefly to the lawyers having against him, Sacher said "in my 20 years as a labor lawyer, I've made many enemies among lawyers, but they are few years in the bar association. "They can put me in jail, or disbar me—but in your cause I'll always serve," he exclaimed. SINCE JUDGE Medina handed down his vindictive jail sentence against the attorney, the bar association has acted to stop Sacher from practicing law entirely. To the shoe workers, it was as if they were trying to throw one of the mighty giants of labor out of a shop for leading a fight to get better wages and working conditions. Just as spring would spring to the defense of such giants, so the shoe workers acclaimed their support of Sacher in his battle to retain his right to work in his chosen profession. Sacher is the fighting unit of the shoe workers. He is the only attorney who has defended against the Shoe Manufacturers' Guild of Trade was a "credit and example to all unions in the country." It showed, he added, that "if contracts don't answer the needs of the workers, they simply break contracts that must die and not men, women and children." The stoppage, he explained, was aimed at those who want to keep professors and those who want to get out of the blood and sweat and toil of the workers. What was needed, he declared, was a fight led by the working people, "to bring peace and quiet and prosperity in the world." That the shoe workers agreed with, too. LEADERSHIP IN COMMUNIST FRONTS Identified Communist lawyers who assume prominent roles in the party's front organizations and special propaganda campaigns furnish another important type of extralegal service to the Communist Party. West Coast lawyer Abraham Grossman, who has been an official of the Communist Party itself, served for years as West Coast director and then national organizational secretary or director of the party's legal front, the Civil Rights Congress. During this assignment, the Civil Rights Congress went into high gear in a fund-raising and propaganda campaign on behalf of the National Communist Party officials prosecuted under the Smith Act. In speeches throughout the country and in published articles, Mr. Grossman, billed as an attorney and criminology expert, spread the Communist Party line regarding the alleged unjustified persecution of Communist leaders, attacked the American jury system, and even advised members to refuse to testify or talk with representatives of the Federal Bureau of Investigation. In behind-the-scenes operations of Communist-front organizations such as the Civil Rights Congress, the identified Communist lawyer has also been known to play roles in direct contravention of the ethical standards required of a member of the bar. A former undercover agent within the Communist Party who was assigned by the party to work with the Civil Rights Congress in San Diego, described how the CRC was required to develop a propaganda campaign in defense of a San Diego man involved in legal proceedings, although the case involved no Communist issue. The witness testified that this Communist Party lawyer "was involved in the man's innocence or guilt, but he came out only with exploiting the case for propaganda purposes to benefit the party." The witness further stated: During the period when the San Diego CRC was being organized, I received personal instructions from Richard Rykoff, an identified Communist lawyer of Los Angeles, on what steps to take to conceal the real Communist purpose behind their campaign. CANDIDATES FOR PUBLIC OFFICE Political activity and the acquisition of political power are vital to Communist success in taking over any country. For this reason, the party has always encouraged its members (both open and secret) to run for public office. Their campaigns serve as sounding boards for party propaganda in the party's efforts to influence not only public opinion but also legislation and governmental policy. Communist attorneys are particularly valuable to the conspiracy in this endeavor because lawyers are so widely accepted by the public, as especially qualified for public office. The Communist Party today usually establishes "front" or cover political parties as a means of getting its candidates into public office. Since the party believes its party folks are certain that there is little chance that any of its candidates will be elected through this device, it still considers such activities vital. It has learned through experience that a political campaign is the most effective means at its disposal for reaching large numbers of people with the Communist Party line on key national and local issues. Typical of such candidates were Bertram Eshles and Charles R. Garry, of San Francisco. Mr. Eshles was a candidate for district attorney of Alameda County on an IPP ticket in 1950, and Mr. Garry aspired to a seat in the United States Congress under IPP auspices in two elections during the same period. Publicity surrounding their campaigns, omitting any reference to their connections with the Communist Party, helped to enhance their alleged prominence of these candidates as "labor" or "civil rights" types. The American Labor Party of New York, which has been cited as another "political front organization" enabling the Communist Party to present their candidates under other than a straight Communist label, has also picked identified Communist lawyers as candidates for important public office. For example, Morris Zuckerman, who has been engaged in law practice in Albany, N. Y., since the 1930's, was the American Labor Party's candidate for mayor of Albany in 1949. Mr. Zuckerman was identified as a member of the Communist Party by a number of witnesses before this committee, and he has refused to answer this committee's questions regarding his party activity on the grounds of possible self-incrimination. PROPAGANDISTS FOR COMMUNIST CAUSES Identified Communist lawyers have appeared time and time again as featured speakers at public rallies held to promote Communist objectives, and as lecturers in Communist-operated institutions such as the American School of Social Science in New York, and the California Labor School and the Pennsylvania State University. John J. Alt, the former leader of one Communist underground espionage group of United States government employees, was publiclyized as a "trusted constitutional authority" when appearing as speaker against the Walter-McCarran Act at a rally sponsored by the Communist front, the American Committee for Protection of Foreign Born. The organization before which he appeared has as one of its key aims destruction of our Government's security legislation. Such exploitation of a lawyer's prestige and speaking ability undoubtedly has aided the Communist Party in its efforts to recruit sympathizers within the vast-Non-Communist majority of our Nation. Take, for example, the activities of Maurice Braverman, a Baltimore, Md. lawyer who served on the governing body of the Communist Party organization for the State of Maryland and the District of Columbia. Mr. Braverman was indicted in 1951 under the Smith Act for conspiracy to advocate violent overthrow of the United States Government. Prior to his trial, he spoke before Yale University law students in their law-school auditorium through an "invitation" from the student chapter of the Communist front, the National Lawyers' Guild. In a subsequent interview appearing in the Daily Worker, Mr. Braverman stated that many of the prosecuting Communist leaders concern that the Government that he had impressed some students to such an extent that they offered to help him in "legal research" for his defense in the forthcoming trial. It is evident from just the few examples of Communist exploitation of the legal profession cited here that the Communist Party gains tremendously by having its members admitted to the bar. The party has obviously long been aware that a lawyer's special training and prestige can lead to positions of prominence in our society and his can wield substantial influence extending far beyond the limits of his routine professional activities. The Communists are not generally full advantage of the fact that most Communists are not unique private individuals but are members of a political organization which is ready to suspect that anyone who attains prominence in any field of law would also serve as an agent of the Communist conspiracy. CASE HISTORIES OF SOME IDENTIFIED COMMUNIST LAWYERS This report heretofore presents a more detailed description of publicly known activities engaged in by certain lawyers who have been identified as members of the Communist Party. The lawyers referred to below represent only a small percentage of the identified Communists in this report because they exemplify patterns of activity which have aroused the concern of this committee. It should be noted that their records here are limited to that information which is available in public hearings or in public material contained in this committee's files. JOHN J. ABT, NEW YORK Whittaker Chambers testified before this committee on August 3, 1947, that in the early 1930's John J. Abt was member of the so-called White-Alt-White group which was composed of Communist Party members employed by various agencies of the United States Government. Abt held legal posts with various United States Government agencies from 1933 until the summer of 1935; he was in the Legal Division of the Agricultural Adjustment Administration of the Agriculture Department when Chambers knew him. Chambers stated that this underground Communist group to which Abt belonged was organized to carry out the Communist Party's work of infiltrating all branches of our Government, of recruiting its members into high, policymaking positions in our Government, with espionage as one of its essential aims and counter between Soviet agents and Elizabeth Bentley, who worked for the Federal Government in the early 1940's. Communist employees of the Federal Government in the early 1940's described and even testified "Perlo group" of Communists in the following words: "We were a group of Communists who worked for the benefit of the Soviet Union for some years," Miss Bentley testified that "John Abt was the leader of the Perlo group before she herself took over in March 1943, and that since then Mr. Abt acted twice for the purpose of being introduced to members of the group." Abt was called before the Senate Internal Security Subcommittee on May 26, 1953, he again invoked the fifth amendment in refusing to answer questions regarding Communist activities. In 1948, John Abt became special counsel for the Progressive Party, a Communist-controlled organization through which the Communists were enabled to present their candidates for elective office under other than a Communist label. Abt was delegate to the second annual convention of the Progressive Party held in 1948 at the Kitchenerbacher Hotel, Chicago, where he was a member of the committee in charge of the program and chairman of the nominating committee in 1948. The same year he was secretary of the platform committee of the third national convention, held at the Island Auditorium in Chicago. The Progressive Party held a dinner to celebrate his 50th birthday in 1954. John Abt was active in the Civil Rights Congress, an organization formed in 1946 as a merger of two other Communist-front organizations (International Labor Defense and the National Federation for Constitutional Liberties) and dedicated to the defense of individual Communists and the Communist Party by making special appeals in behalf of civil rights cases, the Civil Rights Congress reached far beyond the scope of its own Constitution. In 1943 the Civil Rights Congress and "People's Congresses To Fight the McCarran Law Presentations and McCarthyism" the latter delivered the keynote address in which he attacked the Internal Security Act as an American kind of fascism aimed at paralyzing all opposition. "The act," he said, "is rooted in the Big Lie of our time—the lie as to the nature of communism." He declared that the Communist Party is "condemned for views which concededly may be true and good." This speech was later published by the Civil Rights Congress in booklet form, which was later published by the Communist Party in 1947. A study and analysis of the book listed some of his honor positions: "May 1946 was first vice-chairman of the Committee on Political Liberties of the Senate Committee on Education and Labor; special assistant to the United States Attorney General; and general counsel of the CIO Amalgamated Clothing Workers." In 1937, John Abt was employed by the Department of Justice as an assistant to the Attorney General in charge of the trial section of the Antitrust Division. He was at the same time a member of the Committee on civil rights and liberties of the National Lawyers Guild, cited as the foremost legal bulwark of the Communist Party, which, since its inception, has never failed to rally to the legal defense of the Communist Party and individual members thereof, including espionage agents. The November 1945 issue of the Lawyers Guild Review, organ of the National Lawyers Guild, contained an article by Abt Communist-controlled organizations as the San Francisco chapter of the Civil Rights Congress. SELM A MICHELS BACHELIS, CALIFORNIA Selma Bachelis was identified as a member of the Communist Party in Los Angeles by the following former party members in sworn testimony before this committee: David Aaron, January 23, 1952; Albert Hering, January 23, 1952; A. Marburg Yerkes, January 24, 1952; William G. Israel, January 25, 1952; Milton Tyre, December 14, 1951; and Charlotte Darling Adams, June 2, 1943. Mrs. Bachelis was described in 1950 in the Communist organ, Daily People's World, as a local Civil Rights Congress worker. She was then engaged by the C.R.C. to represent three alleged "freedom fighters" out to Lockheed aircraft plants and enlisted "what Are U.S. Troops Doing Here?" Mrs. Bachelis had signed an appeal published in 1948 by the Los Angeles chapter of the Civil Rights Congress in behalf of individuals cited for contempt for refusing to answer questions before a grand jury investigating Communist activities in Los Angeles. She was also one of the financial contributors to the publication of the Civil Rights Congress booklet entitled, "Civil Rights Congress Tells the Story." Mrs. Bachelis endorsed the candidacy of LaRue McCormick, candidate for the California State Senate on the Communist Party ticket in 1942. In the same year, she sponsored petitions for the release of Earl Browder from a Federal penitentiary, and sent greetings to the Second Soviet Anti-Fascist Congress in Moscow. In a letter to the editor of the West Coast Communist publication, the Philharmonic Worker, of February 20, 1952, Mrs. Bachelis noted that the trial of three then defendants in Smith Act proceedings by the Government had been "a great victory for Communism." She urged your countrymen who value the precious tradition of free press: Harriet Bouslog, Hawaii Harriet Bouslog (Mrs. Harold Sawyer) was identified as a member of the Communist Party in Hawaii by a former party member, Jack Kwanino, who testified before this committee on July 6, 1951. She was also identified as a Communist Party member by former Communist Dorothy Funn, who appeared as a witness before the committee on May 4, 1952. Mrs. Bouslog appeared as a witness before the Senate Internal Security Subcommittee at hearings held in Hawaii on December 5, 1950, and invoked the fifth amendment in refusing to answer questions regarding Communist affiliations. Since the mid-1940s, Mrs. Bouslog has served as secretary for the International Longshoremen and Warehousemen's Union, which was expelled from the CIO in 1947 for administering the Communist Party line. Mrs. Bouslog was legal counsel for the ILWU in Washington, D.C., from approximately 1943 until the middle of 1944. During this period, she testified that Mrs. Funn testified she had associated with Mrs. Bouslog in Communist Party activities in Washington. In 1946, Mrs. Bouslog returned to the Territory of Hawaii, where she has since served as legal representative for the ILWU in the Territory. Mrs. Bouslog's activities in behalf of the Communist Party in Hawaii were described by Mr. Kwanino. In Communist discussions prior to the emergence of the Communist Party of Hawaii as an open, rather than underground, organization in 1948, Mrs. Bouslog argued for the necessity of openly supporting the Communist Party and for the ILWU's support of Mrs. Bouslog. He said clearly that the ILWU had been taking the brunt of opposition to Communist activities and that some of this opposition could be diverted to an open Communist Party. The degree of influence among non-Communists that can be attained by a Communist working as a member of the legal profession was strikingly demonstrated by Mr. Kwanino's testimony regarding Mrs. Bouslog and another ILWU attorney in Hawaii, Myer C. Symonds. Mr. Kwanino said: * * * The influence of the two lawyers, Harriet Bouslog and Myer C. Symonds, is enormous, they have made quite a reputation, they are very well known in the Islands. There is not a lot of intelligence wasted on them. They are very good at getting people to listen to them, to get them to listen to them, to get them to listen to them as good lawyers. I have heard a lot of rumors among outsiders—because today I am one of the outsiders—and the talk among outsiders today is that, if you have a case and you cannot afford to lose the case, then the lawyer to get is either Bouslog or Symonds, because they work for a cheap fee, and work like the dickens, and usually win the case. * * * Another thing. A lot of people who are not Republican and not Democratic, but to some extent used to have Democratic friends, some had Republican friends and some Democratic friends, and whatever they had problems they used to run up to the Republican or to the Democrats, today they are running to Bouslog and Symonds. These are the most influential people in the Territory, but they are not political and they are not interested in them. * * * The influence of Harriet Bouslog is growing. * * * Harriet Bouslog, acting as one of the defense attorneys for seven defendants in Hawaii tried and convicted of conspiracy to advocate violent overthrow of the United States Government. Mrs. Bouslog was found guilty of "gross misconduct" during the course of her appearance as counsel during this Smith Act trial, and the territorial supreme court, by unanimous action on April 6, 1950, ordered Mrs. Bouslog suspended from the practice of law for five years. Richard Kagewani, a former Communist Party member in Hawaii, who testified frankly before the committee regarding his knowledge of Communist activities in the Territory, described an attempt by public officials present in giving testimony on the committee. Mr. Kagewani said that, prior to the trial of the conspirators in the Territory, he had been visited by Charles Fujimoto, chairman of the Territorial Communist Party and warned not to be a "school pigeon." Mr. Kagewani was advised by Mr. Fujimoto to take any subpoena he might receive from this committee to lawyer --- 1 A report signed as a witness before the Senate Internal Security Subcommittee documents a vigorous exchange of views between Mr. Kwanino and questions regarding Communist Party membership or activities. "Territory of Hawaii, pt. 4," House Committee on Un-American Activities, July 6, 1951, pp. 60 and 51. Bonsigle, Easter J. Doyle, another former Communist Party member who cooperated fully as a witness before the committee, also informed the committee that he had disregarded instructions from Ernest Arens, an identified Communist and then LWV of Oahu, to take any testimony from this committee to LWV Lawyers Bonsigle and Syms. Out of the Communist front organizations in which Mrs. Bonsigle has been active is the Hawaii Civil Liberties Committee, an ostensible civil-rights group which this committee found to be the "most effective sounding board for communism in the Territory of Hawaii." HCIC records in the possession of the committee show that the front organization made a number of financial disbursements to Mrs. Bonsigle for "legal expenses," among them her work in connection with the defense of two identified Communists dismissed from teaching positions in the Territory. Mrs. Bonsigle has frequently been a featured speaker at HCIC meetings. When the HCIC in 1948 sponsored a speaking tour of the island by Communist Party President, Mrs. Bonsigle, the speaking platform with Miss Struck at her Honolulu address was the same one used by Mrs. Bonsigle. Mrs. Bonsigle was elected a member-at-large of the executive board of the National Lawyers Guild at the 1946 and 1957 conventions of the guild. MAURICE LOUIS BRAVERMAN, MARYLAND Maurice Braverman was known to three witnesses who testified before this committee as a member of the top-level district committee of a Federal Bureau of Investigation undercover agent within the District of Columbia and the State of Maryland. Mr. Braverman's activities within the Communist Party were described by Henry Thomas, active in the District of Columbia Communist Party from the late 1930's until 1949, who testified on December 6, 1950; by Dorothy Funn, a party member in Washington, D.C., from 1943 to 1946, who testified on May 4, 1950; and by Mary Slupak Markwardt from 1949 to 1950, who testified on July 11, 1950. Mr. Markwardt stated that Mr. Braverman did legal work for the Communist Party. In 1942, she said, he helped the legal action involved a $1,000 legacy to the Communist Party in Washington, D.C. in the mid-1940's. The party, which had temporarily changed its name to the Communist Political Association, had to prove it was the same organization as that designated by the legacy. Mr. Braverman appeared as attorney for William Rosen, where the latter was subpoenaed before this committee in August and September 1948 for the purpose of clarifying certain aspects of the Alger Hiss case. Mr. Rosen on both occasions invoked the fifth amendment in refusing to give any information to the committee relating to his case or his own activities in the Communist Party. The third witness, identified as Mr. Braverman, testified on September 9, 1948, explaining that it was necessary in knowing if the Communist Party had instructed him to prevent Rosen from testifying frankly. Mr. Braverman, admitting to the committee that he had provided legal representation for the Communist Party in the past, refused on grounds of self-incrimination to state whether or not he was a member of the Communist Party or whether or not the party put him in touch with Rosen as a client. A member of the committee then advised Mr. Braverman that: "The caliber of the answers of Mr. Rosen, your client, raises grave suspicion in the minds of the committee that a conspiracy to commit contempt has been established." This committee and all other committees of Congress will continue to have all the respect for the efforts of law and lawyers attorneys, but it is not beyond the bounds of possibility that an attorney, too, is a traitor to his country." Mr. Braverman's service to Communist-front organizations included membership on a special committee of the Baltimore chapter of the National Lawyers Guild in 1945. After his indictment under the Smith Act in 1951, Mr. Braverman accepted an invitation of the government to appear at the university to address Yale law students on the law of espionage. In a subsequent interview appearing in the Daily Worker, Mr. Braverman said that as a result of his speech at Yale University, many law students asked concern that the Government was prosecuting Communists under the Smith Act and that some law students were so impressed they offered to help Mr. Braverman with "legal research" for his defense as a Smith Act defendant. Mr. Braverman, although indicted on criminal charges of conspiracy to advocate violent overthrow of our Government, had given the students the usual party-line propaganda that the Government was using the Smith Act "to stop the peace movement and the fight for Negro rights." Mr. Braverman also signed his name to a Communist propaganda statement issued by the Baltimore County Committee for Peace, and sent his greetings to a national gathering of the Communist-controlled American Committee for Protection of Foreign Born. JOHN CAUGHLAN, WASHINGTON STATE John Caughlan was identified as a member of the Communist Party in Seattle by two former party members, Elizabeth Boggs Cohen and Barbara Harle. These two women testified before this committee on May 28, 1954, and June 16, 1954, respectively. Both had told Mr. Caughlan handled the Communist Party's legal work. In addition to handling law cases involving the party, Mrs. Harle reported that Mr. Caughlan's duties as party attorney included advising party functionaries of procedures to be followed in regard to subversives served by the Washington State Committee on Un-American Activities during that committee's investigation of local Communist activities. Mr. Caughlan was subpoenaed as a witness before this committee on June 18, 1954, but refused to answer all questions regarding membership in the Communist Party on grounds of the fifth amendment. Called again as a witness on December 7-4, 1956, Mr. Caughlan denied Mr. Garry was subpoenaed as a witness by the committee on June 21, 1937, but refused to answer questions regarding his activities in the Communist Party on the grounds of possible self-incrimination. Communist-run organizations and campaigns in the Northern California area have been able to rely on Mr. Garry both for legal services and for leadership roles. The Subversive Civil Rights Congress retained Mr. Garry in 1949 and 1952 to represent a number of individuals involved in legal proceedings in San Francisco. In 1949, he served as spokesman for a delegation—organized by the San Francisco Civil Rights Congress—which appeared before a local United States attorney to protest campaign spending by various identified Communists in Los Angeles for failing to answer Federal grand jury questions. He was featured as a speaker at Local Civil Rights Congress propaganda rallies, such as an October 1949 mass meeting in San Francisco which raised $6,000 for a bail fund for Communist Party defendants in legal proceedings, and an October 1949 mass meeting exploiting the Wesley Wells case. His name appeared on the San Francisco Civil Rights Congress petition to halt deportation proceedings against unidentified Communist Party leaders convicted under the Smith Act. Other Communist fronts in which Mr. Garry played a leading role include the National Lawyers Guild, the American Civil Liberties Union, John Santo, Michael Obermeyer, Alex Bittman and Chaim Grossman. A member of the National Lawyers Guild since its chartering in the bar in 1938, Mr. Garry represented the San Francisco chapter of the guild in a suit against the state over local Communist registration requirements in 1940. In that year he was listed as a member of the executive board of the San Francisco chapter. Mr. Garry served as president of the chapter from 1951 through 1954. As chapter president, he signed a National Lawyers Guild petition of the court brief in 1944 in behalf of Mrs. Edith Brooks, who had been denied admission to the bar of California after refusing to bar examining committee whether or not she had ever been a member of the Communist Party. Mr. Garry was a delegate from the Bay area to the guild's national convention in 1944. At the 1948 national convention he was named as a panel speaker and was elected by the convention to the guild's national executive board. He was reelected to the executive board at the 1947 national convention, where he also served as chairman of the nominating committee. In 1948, as a candidate of the Independent Progressive Party, Mr. Garry unsuccessfully sought election to the United States House of Representatives from California's Fifth Congressional District. He again attempted to gain a House seat with the same Communist Party label in 1950, but was defeated by a Republican. As a political candidate in 1948, Mr. Garry announced his opposition to the Mundt-Nixon anti-Communist legislation, provisions of which became part of the Internal Security Act of 1950. As chairman of the Public Affairs Committee of the guild, he was called as a speaker against this so-called "anti-stain" legislation and on one occasion personally joined a delegation to the San Francisco Board of Supervisors urging a board resolution to Congress against the bill. In his Smith Act trial of 11 national Communist Party leaders in New York as part of the curtain of fear being drawn about our liberties." Chaim Grossman (Garry) was publicized as being one of the signers of a petition of some 150 attorneys protesting the United States Supreme Court's action in upholding the constitutionality of the Communist Party leaders under the Smith Act; the statements, called forth eight legal signers of a motion asking the United States Supreme Court for permission to file a brief for a rehearing for Baltimore, Md., Communist Party leaders convicted under the Smith Act. Other Communist fronts in which Mr. Garry played a leading role include the California Labor School and the International Workers Order, which scheduled him as featured speaker. The IWO has been described as one of the most effective and closely knit organizations among Communist-front movements. Mr. Garry has also acted as an official sponsor and meeting chairman for the San Francisco Committee To Save the Rosenbergs. RICHARD GLADSTEIN, CALIFORNIA Richard Gladstein, who has spent a large part of his time in the defense of Communist causes, was identified as a member of the Communist Party by Dr. Jacob Petten in sworn testimony before this committee on June 16, 1947. Mr. Gladstein was admitted to the bar in 1931. With Aubrey Grossman, another identified Communist, he opened a law firm in San Francisco in 1936. They were credited by the Daily Press's World with training the staffs of the Los Angeles law firm of Morgan & McTernan, the Honolulu firm of Bougie & Symonds and the Oakland firm of Ellis and Truhaft. It is interesting to note that all of these lawyers except Symonds have been publicly identified as members of the Communist Party in sworn testimony before this committee. In 1949 Gladstein was one of the panel of attorneys defending the national Communist leaders tried under the Smith Act. His service as attorney in this instance led Judge Medina to criticize his fee contract and impose upon him a sentence of 6 months in jail. This, on the basis of evidence presented to the frequent and deliberate efforts on the part of the defense attorneys to inject Communist propaganda into the record of this trial. Mr. Gladstein served as official attorney for the Marine Cooks and Stewards Association of the Pacific, which was expelled from the CIO in 1940 for adhering to the Communist Party line. While serving as attorney, he worked vigorously to promote Communist control not only over the Marine Cooks union but other waterfront unions. This was documented in affidavits submitted to the California Committee on Un-American Activities in December 1946 by William P.M. Davenport, a former Marine Cooks, who had been in the merchant marine for 15 years and had been acquainted with Gladstein while aware of the influence of Communists in the Marine Cooks and Stewards Union and he determined to gain membership in the Communist Party in order to --- 77 Meyer C. Granitsas appeared before the Senate Internal Security Subcommittee on December 11, 1946, and read the amendment in response to questions regarding Communist Party membership and activity. see what methods the Communists were using. He cultivated the friendship of one of the leading Communists in the maritime union field. After a 4-month incommunicado period, he finally became a member of the Communist Party in February 1945 under the sponsorship of H. Richard Brandhove. At the time the party Brandhove discovered that Communists controlled the Marine Cooks and Stewards Union through the installation of Communists in official union positions and through rigged union meetings. Brandhove related that in April 1945, a top Communist faction meeting was held at the home of Boyesen, with Richard Gladstein, official union lawyer, acting as chairman. According to Brandhove, Gladstein announced that there would be a convention of the Marine Cooks and Stewards Union in July to adopt new union rules. Brandhove allegedly boasted that the Communist Party had managed to get complete control of the finances and policy of the National Maritime Union, and that the party had adopted a Communist-rigged constitution. Brandhove stated that the party had difficulty in getting "funds under the table" for its program from the Marine Cooks treasury under the existing constitution and that he had instructions from the party to prepare a new constitution for the Marine Cooks and Stewards Union for presentation and passage at the July convention. It was agreed at the fraction meeting that the best method of controlling the Marine Cooks convention would be to have party members assigned through the dispatchers office to different ships, preferably coastwise, and notify only those ships where comrades were presently assigned that a convention was to take place. Just prior to the convention, a meeting was held of all party members and a few delegates. Brandhove reported that Richard Gladstein told them that a well organized harmonious convention could best be achieved by advance agreement on strategy and committee arrangements. Despite the fact that Brandhove, by exposing the Communist plot, made a desperate attempt to stop passage of Gladstein's constitution at the convention, he was unable to muster more than seven supporters who were delegates to the Communist-picked convention. In 1947 the American Committee for Protection of Foreign Born appointed Gladstein to be its local counsel in San Francisco. His work for the AC PFB was highly successful; he prevented the organization publicizing its old charge that a well-organized harmonious convention could be achieved by advance agreement on strategy and committee arrangements. When the American Committee for Protection of Foreign Born before this committee on six different occasions. The Communist Party itself has publicized Mr. Grossman's role as one of its leaders and functionaries. Grossman appeared as a witness before this committee on December 17, 1950, and refused to answer any questions concerning the Communist's past testimony or refusal on the protection of the fifth amendment. When Richard Gladstein, he opened a law firm in San Francisco in 1946. Grossman was defense attorney for Earl King in the King-Kasnyszyn Commune murder trial in late 1950's. Sworn testimony before this committee showed that although King was an identified Communist, the principal reason for the Communist Party's interest in the case was that it gave the party an opportunity to ridicule and discredit the prosecuting attorney. A publicity campaign was launched which cost the party over $12,000, raised by assessing members of the various trade-union movements. Despite this effort, the campaign failed. By 1943 lawyer Aubrey Grossman had achieved such stature within the party as to be given the position of national director of the Communist Party for defense of the Communist Party, and it was appointed alternate delegate to the Communist Party convention in New York. This was a convention of 92 handpicked delegates who were obligated in advance to insist on the reconstitution of the Communist Party, previously known as the Communist Political Association, and the ouster of Earl Browder in conformity with the Dieclos letter. The Civil Rights Congress was founded in Detroit, in April 1946, under the direction of the Communist Party. It was created because the party's national committee felt there would be a need for a vital and strong "civil rights" organization to take care of party members who were likely to be implicated with the law as a result of the party's Lee Pressman, and Charles Kramer, members of the Communist underground group who were also employed by the Government. In late 1946 Nathan Witt left the National Labor Relations Board and entered private law practice. Nathan Witt has held the official post of "the attorney or general counsel" to the International Union of Mine, Mill and Smelter Workers since early 1941, with the exception of a short period during World War II. Mr. Eckert testified that Nathan Witt in the 1940's was one of the top party men and a liaison between the Communist Party and various unions which are under Communist control, including the Mine, Mill and Smelter Workers. The witness said Mr. Witt frequently transmitted party line key union directives to the mine-mill union which were then put into effect by Mr. Eckert. He testified that: Nathan Witt attended many party meetings at which important decisions affecting mine-mill were to be made. According to Mr. Eckert, mine-mill was regarded by the Communist Party "as one of the key unions in America" because of its strategic position in the nonferrous metals industry and also because it had locals in Alaska in "close proximity to the Soviet Union." Mr. Eckert observed that mine-mill locals in Alaska, completely dominated by the Communist Party, were only 40 miles from the Soviet border. In the course of the hearing in 1940, Witt was confronted with a letter dated October 16, 1940, which he as Secretary of the National Labor Relations Board sent to the chairman of a special committee of the House of Representatives to investigate the National Labor Relations Board. In this letter, Mr. Witt wrote: "I am not now, nor have I ever been, a member of the Communist Party, a Communist, or sympathetic therewith." He was Communist Party line." Mr. Witt, when under oath before the committee, refused, on the grounds of self-incrimination, to state the basis for his denial, but stated that the statements contained therein were true or false. Nathan Witt has been an active participant in many other Communist-controlled organizations, serving several in an official capacity. He was a member of the national committee of the International Juridical Association, a Communist-front organization fully described earlier in this report. Mr. Witt was counsel for, and a member of the executive committee of, the National Federation of Constitutional Liberties. When this Communist front organization was absorbed into the Civil Rights Congress at a 1946 conference, he was a member of the resolutions and continuations committees of the conference. In 1949 he was listed as an attorney for the Civil Rights Congress. Mr. Witt was a member of the board of directors of the New York Conference for Indisputable Rights. This conference was called in February 1941 to attack antiliberal legislation and the Roosevelt Coudert Committee investigating subversive activities in the New York public-school system. The Jefferson School of Social Science was cited as an adjunct of the Communist Party. Mr. Witt in 1940 was on the board of trustees of this joint used to recruit new party members and by sympathizers. Ohio Communist-front organizations which have had the support of Nathan Witt include the Negro Labor Victory Committee, the American League for Labor Democracy, the Citizens Victory Committee for Harry Bridges and the National Lawyers Guild. CONCLUSION This committee holds the legal profession of our Nation in the highest esteem and considers the privilege of practicing law one of the most cherished in our system of justice. In its report on legal subversion, the committee has sought to focus attention upon very small numbers within the legal profession. The activities of this minority should not be permitted to cast discredit upon the overwhelming majority of professional attorneys whose work is vital to the very functioning of our democratic processes. On the other hand, the paucity of lawyers publicly identified as Communists must not be interpreted as meaning that their influence is insignificant and without danger. In legal as well as other fields, Communists must be recognized as a threat. One person in a sensitive position can control, manipulate, and, if necessary, destroy thousands of others. The committee again emphasizes that it has never conducted an investigation solely directed toward determining the nature and extent of communist subversion through the instrumentality of the legal profession. The committee nevertheless believes that this report, even though limited to evidence obtained incidentally in the course of other investigations, offers more than ample grounds for prompt action by those who would preserve the high standards of the American bar.
Black Soldier Fly Larvae Adapt to Different Food Substrates through Morphological and Functional Responses of the Midgut Marco Bonelli 1,†, Daniele Bruno 2,†, Matteo Brilli 1,3,†, Novella Gianfranceschi 1, Ling Tian 4,†, Gianluca Tettamanti 2,5,, Silvia Caccia 6,, and Morena Casartelli 1,5,* 1 Department of Biosciences, University of Milano, 20133 Milano, Italy; email@example.com (M.B.); firstname.lastname@example.org (M.B.); email@example.com (N.G.) 2 Department of Biotechnology and Life Sciences, University of Insubria, 21100 Varese, Italy; firstname.lastname@example.org 3 Pediatric Clinical Research Center “Romeo ed Enrica Invernizzi”, University of Milano, 20133 Milano, Italy 4 Guangdong Provincial Key Laboratory of Agro-animal Genomics and Molecular Breeding/Guangdong Provincial Sericulture and Mulberry Engineering Research Center, College of Animal Science, South China Agricultural University, Guangzhou 510642, China; email@example.com 5 BAT Center—Interuniversity Center for Studies on Bioinspired Agro-Environmental Technology, University of Napoli Federico II, 80138 Napoli, Italy 6 Department of Agricultural Sciences, University of Napoli Federico II, 80055 Portici (NA), Italy * Correspondence: firstname.lastname@example.org (G.T.); email@example.com (S.C.); firstname.lastname@example.org (M.C.) † These authors contributed equally. Received: 21 June 2020; Accepted: 9 July 2020; Published: 13 July 2020 Abstract: Modulation of nutrient digestion and absorption is one of the post-ingestion mechanisms that guarantees the best exploitation of food resources, even when they are nutritionally poor or unbalanced, and plays a pivotal role in generalist feeders, which experience an extreme variability in diet composition. Among insects, the larvae of black soldier fly (BSF), Hermetia illucens, can grow on a wide range of feeding substrates with different nutrient content, suggesting that they can set in motion post-ingestion processes to match their nutritional requirements. In the present study we address this issue by investigating how the BSF larval midgut adapts to diets with different nutrient content. Two rearing substrates were compared: a nutritionally balanced diet for dipteran larvae and a nutritionally poor diet that mimics fruit and vegetable waste. Our data show that larval growth performance is only moderately affected by the nutritionally poor diet, while differences in the activity of digestive enzymes, midgut cell morphology, and accumulation of long-term storage molecules can be observed, indicating that diet-dependent adaptation processes in the midgut ensure the exploitation of poor substrates. Midgut transcriptome analysis of larvae reared on the two substrates showed that genes with important functions in digestion and absorption are differentially expressed, confirming the adaptability of this organ. Keywords: Hermetia illucens; insect midgut; post-ingestion regulation; diet composition; midgut transcriptome; waste management 1. Introduction In animals, the regulation of food intake and post-ingestion mechanisms are two important and strategic aspects to ensure optimal performance and healthy conditions [1]. With regard to nutritional demands, studies performed on insects and vertebrates have established that diet balancing and protein:carbohydrate ratio (P:C ratio) are two sides of the same coin [2–4]. Indeed, food intake is primarily regulated by the amount of these macronutrients, and thus the P:C ratio influences not only growth and development, but also body composition, reproduction, aging, gut microbiota, metabolic homeostasis, and immune functions [2–5]. The optimal dietary P:C ratio varies among species and it can also change within species, depending on the developmental stage and even sex as a result of different physiological needs [3,6,7]. The optimization of food intake is undoubtedly a prerequisite to match nutrient demand. Nevertheless, fitness maximization is ultimately and decisively guaranteed by the ability of animals to implement effective and targeted post-ingestion adjustments [1]. The presence and robustness of these mechanisms is of particular relevance in generalist feeders. Their responses, which include the modulation of nutrient digestion and absorption, the redirection of metabolism, and regulation of excretory system activity, have evolved not only to maximize food exploitation in order to meet nutritional requirements in the case of poor (i.e., with diluted or extremely diluted nutrients) or unbalanced diets, but also to compensate for the extreme variability of intake composition [1,7]. In this scenario, the gut plays a key homeostatic role, which strongly impacts on overall animal performance and fitness [1]. The black soldier fly (BSF), Hermetia illucens (Linnaeus, 1758) (Diptera: Stratiomyidae), represents a very attractive model for studying these aspects. Currently, BSF has a leading role in studies concerning the development of waste management strategies [8]. The interest in this saprophagous insect stems from multiple reasons. BSF larvae have a high feed conversion ratio [8] and exhibit an astonishing capacity to grow on a wide variety of organic materials and residues of disparate origin that are transformed into valuable biomass [6,9–13]. The high nutritional value of the larvae, and in particular the extent and the qualitative profile of their protein content, makes them exploitable as animal feed constituent, while their grease represents suitable raw material for biodiesel production [8,12,14]. In addition, BSF larvae have been used as a model for in vitro digestion studies [15] and described as a source of bioactive compounds with high biotechnological and medical potential such as chitin (and its derivative, chitosan) and antimicrobial peptides [16–18]. Finally, proteins obtained from BSF larvae have been recently used for the production of bioplastics [19]. While the striking bioconversion potential of BSF is well proven, knowledge on how rearing substrate composition and moisture, which in turn may condition intestinal microbiota, and rearing conditions (e.g., temperature and insect density) can affect the performance and body composition of this insect still needs to be improved [8,12,20,21]. In this respect, the literature on BSF clearly shows that carbohydrate and protein content in the rearing substrate significantly influences larval developmental time, larval and pupal weight, and their nutritional value, and thus the overall performance of the biotransformation process [8,12,20,21]. The present study aims to investigate whether and how BSF larvae are able to exploit nutritionally poor diets thanks to post-ingestion midgut responses. We explored this issue by performing a comparative analysis of the midgut morphology and physiology of larvae reared on two different diets, i.e., a nutritionally balanced diet for dipteran larvae and a diet that mimics fruit and vegetable waste composition. Our choice was motivated by the challenging nature of fruit and vegetable waste as raw material for BSF-mediated bioconversion processes [22,23]. Although nutritionally poor, it has been successfully used to rear H. illucens larvae [10,11,24] and strategies to reduce or reuse this valuable biomass are already underway [22,23,25]. In addition, fruit and vegetable waste is produced in large amounts by large-scale retail trade and wholesale markets, and it is allowed by the European Union as a rearing substrate for insects destined for fish feed (EU Regulation 2017/893) [26]. This study, which takes advantage of the knowledge obtained in our previous studies on the morphology and physiology of BSF larval midgut [24,27], evaluates the flexibility of this organ in response to changes in diet composition. Along with basic parameters of larval performance on different diets, we provide here a detailed morphofunctional characterization of the midgut responses. In addition, a complementary transcriptomic analysis of this organ does not simply support the structural and biochemical analyses performed herein, but also represents a well-stocked platform on which future work concerning the BSF larval midgut can be developed. 2. Results 2.1. Nutrient Content of the Rearing Substrates Since this study aims to analyze the response of the BSF larval midgut to different nutrient availability, we preliminarily determined the nutrient composition of the two diets used to rear the larvae. Differences in the nutrient content of rearing substrates, especially carbohydrate and protein concentration and their ratio, can trigger insect behavioral and physiological adaptations [2–4]. Table 1 reports the composition of Standard Diet (SD) [28], a balanced diet conventionally used to rear BSF larvae, and Vegetable Mix Diet (VMD), a diet mimicking fruit and vegetable waste, expressed on “as fed” and “dry matter” bases. The former refers to the diet as fed to the larvae (taking into consideration the amount of moisture), the latter is computed on a moisture-free basis. Even though the P:C ratio of the two diets (calculated from the crude protein content and the available carbohydrates, i.e., starch, glucose, and fructose) was comparable, being 0.6 for SD and 0.4 for VMD, the content of these nutrients was quite different. In particular, considering the diet composition expressed on “as fed” basis, crude protein and carbohydrate supply was lower in VMD, and this diet was nutritionally poorer than SD due to the dilution of these macronutrients (Table 1). Also lipids, which have fundamental structural and functional roles, were 12-times more diluted in VMD (Table 1). Therefore, the two diets can be effectively used to compare the growth performance of BSF larvae and investigate if post-ingestion responses of the midgut are activated to compensate low nutrient supply of the feeding substrate. Table 1. Chemical composition and moisture content of the two experimental diets. Values are expressed as g per 100 g of diet. \| Component \| Standard Diet \| Vegetable Mix Diet \| \|--------------------\|---------------\|--------------------\| \| \| As Fed \| Dry Matter \| As Fed \| Dry Matter \| \| Crude protein \| 6.4 \| 14.1 \| 1.2 \| 10.3 \| \| Crude lipid \| 1.2 \| 2.7 \| 0.1 \| 0.7 \| \| Crude fiber $^a$ \| 4.9 \| 10.8 \| 0.5 \| 4.4 \| \| Nitrogen-free extract $^b$ \| 30.2 \| 67.3 \| 9.6 \| 80.0 \| \| Ash \| 2.3 \| 5.1 \| 0.6 \| 4.6 \| \| Hemicellulose $^c$ \| 9.8 \| 21.3 \| 0.4 \| 3.6 \| \| Cellulose $^c$ \| 4.4 \| 9.7 \| 0.6 \| 4.6 \| \| Lignin $^c$ \| 1.7 \| 3.7 \| 0.2 \| 1.3 \| \| Starch \| 8.5 \| 18.8 \| 1.4 \| 11.6 \| \| Glucose and fructose \| 1.5 \| 3.3 \| 1.5 \| 12.8 \| \| Moisture \| 55 \| - \| 88 \| - \| $^a$ Includes most of cellulose and insoluble lignin. $^b$ Includes sugars, organic acids, pectins, soluble lignin, hemicellulose and a small percentage of cellulose. $^c$ Values calculated from neutral and acid detergent fiber analyses. Since insects, and BSF larvae in particular [18], are rich in minerals and their micronutrient profile depends on the dietary substrate [18], the content of specific mineral micronutrients in the two diets was evaluated, too (Table 2). A comparison between SD and VMD evidenced that the former was richer in minerals, especially iron (the concentration was 10- and 40-times higher when considering the diet composition expressed on “dry matter” or “as fed”, respectively) (Table 2). Table 2. Heavy metal content of the two experimental diets. Values are expressed as mg per Kg of diet. \| Component \| Standard Diet As Fed \| Standard Diet Dry Matter \| Vegetable Mix Diet As Fed \| Vegetable Mix Diet Dry Matter \| \|-----------\|----------------------\|--------------------------\|---------------------------\|-------------------------------\| \| Iron \| 119.1 \| 261.8 \| 3.1 \| 26.9 \| \| Copper \| 4.2 \| 9.3 \| 0.8 \| 6.8 \| \| Nickel \| 0.8 \| 1.7 \| 0.1 \| 0.7 \| \| Zinc \| 22.4 \| 49.3 \| 2.1 \| 18.1 \| \| Moisture \| 55 \| - \| 88 \| - \| 2.2. Larval Growth Rate The growth performance of BSF larvae reared on SD and VMD was evaluated. Figure 1 reports a typical experiment and shows that the duration of the larval stage, the end of which coincides with the attainment of the maximum weight before pupation (see “Measurement of larval growth rate” in Materials and Methods), was shorter when insects were grown on SD than on VMD (17 vs. 24 days, respectively). The maximum weight reached by the larvae was higher when larvae were reared on SD than on VMD (226.2 ± 3.7 mg vs. 188.5 ± 7.9 mg, respectively, mean ± s.e.m. of at least 20 samples, unpaired t-test, p-value < 0.001). These results are in agreement with our previous data [24] and show that larval growth performance, although affected, was not dramatically altered by the different nutritional content of the diets. Moreover, both larval groups were able to pupate and reached the adult stage. Figure 1. Growth rate of H. illucens larvae. The weight of the larvae reared on different substrates was recorded until 25% of insects reached pupal stage. The day in which the larvae reached the maximum weight was considered the end of the larval stage (arrows). Then insects entered the prepupal stage and stopped feeding. 2.3. pH of Diets and Midgut Lumen The pH of freshly made SD and VMD was compared. The pH of SD was almost neutral, with a value of 6.8 ± 0.2 (mean ± s.e.m. of 5 samples), while the pH of VMD was acidic, with a value of 4.5 ± 0.2 (mean ± s.e.m. of 5 samples). Due to the different pH values of the diets, the possible effect of the feeding substrates on the pH of the midgut lumen was evaluated. This parameter has a critical role in midgut functionality and presents variations along the midgut of brachycerous Diptera, conferring peculiar functional features to each region of this organ [27,29]. pH was therefore measured in the anterior, middle, and posterior midgut of BSF larvae reared on SD and VMD. As reported in Table 3, no significant differences were found among the pH values recorded. These results are in agreement with pH values reported previously [27], being acidic in the lumen of the anterior midgut, strongly acidic in the middle, and alkaline in the posterior. Therefore, unlike previous reports on BSF larvae [30], the pH of the feeding substrate did not influence the midgut luminal pH, at least in our experimental conditions. Table 3. pH values in the lumen of H. illucens midgut regions. Mean ± s.e.m., number of replicates in parenthesis. No statistically significant differences were recorded among diet groups for each midgut region (unpaired t-test). \| \| SD \| VMD \| \|----------------------\|----------\|----------\| \| Anterior midgut \| 5.8 ± 0.1 (6) \| 6.0 ± 0.1 (6) \| \| Middle midgut \| 2.4 ± 0.2 (6) \| 1.8 ± 0.2 (7) \| \| Posterior midgut \| 8.3 ± 0.4 (6) \| 8.8 ± 0.1 (7) \| ### 2.4. Enzymatic Assays To assess if H. illucens larvae could modulate digestive activity in response to nutrient content of the feeding substrate, the activity of midgut enzymes involved in protein, carbohydrate, and lipid digestion was measured in larvae reared on both diets. As reported in Figure 2A, a significantly higher proteolytic activity was observed in all midgut regions of larvae reared on VMD, which has a lower protein concentration compared to SD (Table 1). The highest proteolytic activity was detected in the posterior region for both diets (Figure 2A), therefore, attention was focused on this tract for further analyses on protein digestion. Previous data on larvae reared on SD indicated that serine proteases, endopeptidases with an alkaline optimum pH, are the main enzymes involved in the initial phase of protein digestion in the posterior region of BSF larval midgut [27]. To evaluate if serine proteases were responsible for the increase of total proteolytic activity in this midgut tract in larvae reared on VMD, their activity was measured at acidic pH (pH = 5), which is very far from the pH optimum of these enzymes; in this condition a significant decrease of total proteolytic activity was observed (5-fold reduction, compared to pH = 8.5; total proteolytic activity at pH = 8.5: 169.7 ± 25.7 U, at pH = 5.0: 39.2 ± 7.2 U, mean ± s.e.m. of 4 experiments, paired t-test: p-value < 0.01). Given this evidence, the activity of trypsin and chymotrypsin, the two major serine proteases in insects [27,31,32], was measured in the posterior midgut. While no significant difference in trypsin-like activity among larvae reared on the two diets was observed (Figure 2B), chymotrypsin-like activity in larvae reared on VMD was double of that measured in larvae grown on SD (Figure 2C). In addition to enzymes involved in the initial phase of protein digestion, enzymes responsible for the final phase of digestion were also considered. Among them, aminopeptidase N (APN), which is anchored to the midgut brush border membranes [31], was selected as representative of exopeptidase activity. APN activity in the posterior midgut was significantly higher in larvae reared on VMD, reaching values 6-fold higher than those measured in larvae grown on SD (Figure 2D). To evaluate carbohydrate digestion, the activity of α-amylase was measured [27,31,32]. As reported in Figure 2E, no significant difference in α-amylase activity was observed in the anterior region and no activity was detected in both samples in the middle midgut, while larvae reared on VMD showed a significantly lower activity in the posterior region, with a 60-fold reduction compared to that measured in larvae reared on SD. Finally, lipase activity was measured in anterior and posterior midgut. Middle midgut was not considered since lipase activity was not detectable in this region [27]. Significant activity was measured in both anterior and posterior midgut of larvae reared on SD (Figure 2F), in accordance with our previous data [27]. On the contrary, no lipase activity was recorded in both districts from larvae reared on VMD. Figure 2. Enzymatic activities in midgut juice (A–C,E,F) or midgut homogenate (D) from larvae reared on SD (white bars) and VMD (grey bars). Total proteolytic activity in midgut juice extracted from anterior, middle, and posterior midgut (A). Trypsin- (B) and chymotrypsin- (C) like activity in midgut juice extracted from posterior midgut. Aminopeptidase N activity in the homogenate of posterior midgut (D). α-amylase activity in midgut juice extracted from anterior, middle, and posterior midgut (E). Lipase activity in midgut juice extracted from anterior and posterior midgut; n.d. non-detectable activity (F). The values are reported as mean ± s.e.m. of at least 3 experiments. Asterisks indicate statistically significant differences between diet groups (unpaired t-test: * p-value < 0.05, p-value < 0.01, * p-value < 0.001). 2.5. Morphological Analysis of the Larval Midgut To evaluate if the feeding substrate could affect the morphology of midgut cells, a thorough microscopy analysis of the midgut districts from larvae grown on SD and VMD was done. The anterior midgut did not show any relevant modifications (Figure 3A,B): columnar cells of larvae reared on both substrates showed a big central nucleus, basal infoldings, and a well-developed brush border. Moreover, a large amount of dark vesicles, probably containing digestive enzymes, was clearly visible under the microvilli. In the middle midgut of H. illucens larvae, the first tract formed by an epithelium containing copper cells is followed by a district in which a thinner epithelium presents large and flat cells [27,29]. Both cell types showed their typical morphological features regardless of the feeding substrate: copper cells exhibited the typical cup shape with a big central nucleus and developed microvilli (Figure 3C,D), while large flat cells presented an elongated nucleus and very short microvilli (Figure 3E,F). The most consistent change in the morphology of the epithelium was observed in the posterior midgut (Figure 3G,H). In fact, the brush border of columnar cells showed a different length depending on the diet. In particular, columnar cells of larvae reared on VMD were characterized by microvilli that were longer than in larvae reared on SD, suggesting an increase in the absorbing surface. Figure 3. Morphological comparison of midgut from larvae reared on SD and VMD. (A,B): cross-sections of the anterior midgut. (C–F): copper (C,D) and large flat cells (E,F) in the middle midgut of H. illucens larvae. (G,H): cross-sections of the posterior midgut. Columnar cells of larvae grown on VMD (H) show microvilli (arrowheads) that are longer than those of columnar cells of larvae reared on SD (G). Arrows: dark vesicles under the brush border. c: copper cells; e: epithelium; l: lumen; mc: muscle cells; pm: peritrophic matrix. Bars: 10 μm (A,B), 20 μm (C–H). 2.6. Histochemical Characterization of the Larval Midgut To get insights into the storage efficiency of the epithelium in relation to the diet, a histochemical approach was used. In particular, the storage of glycogen, which is important for energy production, was evaluated. Moreover, due to the importance of iron homeostasis in insects [33,34], the storage of iron was examined. It should be noted that iron metabolism initiates with its uptake from the diet by midgut cells, which also store iron by binding it to proteins [33,35]. The comparison of glycogen deposits in the midgut of larvae reared on the two diets evidenced a major difference in the anterior midgut, where glycogen accumulation was more consistent in larvae reared on SD than on VMD (Figure 4A,B). Moreover, the deposits in this region were sparsely distributed throughout the cytoplasm rather than localized in a specific area (Figure 4A,B). In the middle and posterior midgut, glycogen deposits showed almost the same localization and abundance in larvae grown on both diets (Figure 4C–F), although the distribution differed in the two midgut regions. In detail, glycogen deposits were sparse into the cytoplasm in the middle midgut (Figure 4C,D), while in the posterior midgut they were localized in the apical region of columnar cells (Figure 4E,F). ![Image](image.png) Figure 4. Comparison of glycogen accumulation in the three midgut regions of larvae reared on SD and VMD—Periodic Acid-Schiff (PAS) staining. (A,B): anterior midgut of larvae reared on SD (A) shows a higher accumulation of glycogen (arrowheads) than VMD (B). (C–F): middle (C,D) and posterior (E,F) midgut of larvae reared on the two diets do not show significant differences in glycogen accumulation. e: epithelium; l: lumen. Bars: 50 μm (A,B,E,F), 20 μm (C,D). Since iron plays important physiological functions in insects [33,34] and our analyses showed that its concentration significantly differs in the two diets (Table 2), we examined the iron content in midgut cells. This mineral, which is particularly abundant in SD, showed a broader distribution in the midgut of larvae grown on this diet compared to those reared on VMD (Figure 5). The presence of this element in the first part of the posterior midgut in larvae reared on the two diets (Figure 5C,D) could be attributed to iron cells, a peculiar cell type that has been identified in the midgut epithelium of other Diptera [35]. Apart from this characteristic localization, in the anterior (Figure 5A,B) and in the second part of the posterior midgut (Figure 5E,F), the presence of iron in larvae reared on SD was higher than on VMD (Figure 5A,B,E,F). Regardless of the feeding substrate, the middle midgut did not show any staining (data not shown). ![Comparison of iron accumulation between the three midgut regions of larvae reared on SD and VMD—Perls’ method](image) Figure 5. Comparison of iron accumulation between the three midgut regions of larvae reared on SD and VMD—Perls’ method. (A,B): a higher iron accumulation in the anterior midgut of larvae reared on SD (A) compared to VMD (B) can be observed. (C,D): iron region in the first part of the posterior midgut of larvae reared on the two diets. (E,F): higher accumulation of iron in the second part of the posterior midgut of larvae grown on SD than VMD is visible. Arrowheads: transition zone between middle and posterior midgut. ### 2.7. De Novo Transcriptome Analysis RNA-Seq was performed on midgut samples isolated from H. illucens larvae reared on SD and VMD. Gene expression analysis was performed in triplicate for each diet (6 libraries in total), obtaining over 516 million reads (with an average of about 67 million reads per replicate). The reads were quality trimmed and the high-quality reads were normalized and used as input to perform de novo transcriptome assembly as reported in Materials and Methods (“De novo transcriptome and functional annotation”). Reads normalization reduced the redundancy of the dataset, allowing a less computationally intensive analysis and increasing the quality of the final assembly. This procedure resulted in a raw assembly of 32,643 transcripts with size ranging from 201 nt to 26,717 nt (average 1309 nt) and an N$_{50}$ of 2392 nt. The average GC content was 41%. This preliminary assembly was filtered by using three different strategies (see “De novo transcriptome and functional annotation” in Materials and Methods for details). First, transcripts with very low expression level were removed, as they could be the outcome of erroneous reads and, moreover, they were extremely difficult to identify as differentially expressed, as the dispersion of the gene expression estimate is inversely correlated with the expression level. Second, very similar transcripts were merged with CD-HIT-EST to minimize the redundancy [36]. Third, all the transcripts with a best match to sequences from organisms outside... the arthropods were removed, as midgut samples contain associated contaminating microorganisms. The features of the resulting transcriptome are reported in Table 4. Table 4. Overview of the de novo transcriptome assembly of H. illucens midgut. \| Sequencing and Assembly Parameters \| Value \| \|-----------------------------------\|-------\| \| Total number of transcripts $^a$ \| 27,102 \| \| Minimum length (nt) \| 201 \| \| Maximum length (nt) \| 26,717\| \| Average length (nt) \| 1170 \| \| N$_{50}$ of transcripts (nt) $^b$ \| 2137 \| \| Reads remapped (%) \| 86.81 \| $^a$ Number of transcripts resulting after the assembly by Trinity and the subsequent collapsing step by CD-HIT-EST, and after filtering out non-Arthropoda sequences. $^b$ N$_{50}$ value represents the threshold delimiting 50% of the transcripts in the entire assembly which are equal to or larger than the reported value. One important question mark in de novo transcriptome assembly is what fraction of the entire coding potential of the species of interest has been recovered, as it affects the understanding of processes under analysis. To assess the true coding potential, firstly the reads were mapped back to the assembly showing that 86.8% of them were included in the transcripts (86% map uniquely), and secondly, the transcriptome was compared against a dataset of genes that are universal in related genomes. For this purpose, BUSCO v3 [37], a tool that exploits a set of conserved single copy genes in a meaningful set of genomes to provide a measure of the completeness and redundancy of a genome/transcriptome assembly, was run. BUSCO pipeline was run with two different datasets: the first one contained a set of 303 proteins, which are conserved across Eukaryotes, while the second was more specific for our organism and comprised 1066 proteins that are conserved in all arthropod genomes. The output of the analysis showed that the present transcriptome was almost complete (Supplementary Table S1): it contained about 97% of the conserved single copy eukaryotic genes, 89% of which were estimated to be full-length and in single copy; consequently, only a small fraction of duplicated or fragmented genes was present. Similarly, our transcriptome contained about 94% of the Arthropoda conserved genes, 84% of which were complete and in single copy. The number of missing genes was about 3.5%. Taken together, these results show that the assembly can be considered a high-quality representative of the H. illucens midgut transcriptome. Once the quality and the degree of completeness of the de novo transcriptome of H. illucens midgut was verified, functional annotation of the transcripts was performed (Supplementary Table S2 in Supplementary file 1). To this aim, the Automatic assignment of Human Readable Descriptions pipeline (AHRD, [38]) was applied. The method is based on a similarity search between the transcripts and a reference set of proteins for which the annotation is known. Arthropoda proteins were used to assign a functional description to the transcripts, obtaining a gene ontology (GO) annotation for a total of 13,360 transcripts (Supplementary Table S3 in Supplementary file 1). The analysis of the annotation unveiled the abundance of transcripts related to “proteolysis” and “transport” in the Biological Processes (BP) category (Figure 6), in line with the prominent role of the midgut in digestion and transport of nutrients. Moreover, a high proportion of transcripts in BP category were involved in “phosphorylation” and “oxidation–reduction” processes (Figure 6). Within the Molecular Functions (MF) category, a bulk of transcripts pertained to “hydrolase activity” (Figure 6), confirming the importance of such function in H. illucens midgut. Other MF categories with a high number of transcripts were “metal ion binding”, “nucleic acid binding”, “transferase activity”, and “ATP binding”, suggestive of a metabolic active organ (Figure 6). Figure 6. Graphical representation of the functional annotation of the transcriptome assembled in this work. Pie charts are realized using the CRAN platform and show the percentage of the 10 most represented gene ontology (GO) terms for Biological Processes and Molecular Functions. The categories are not terminal nodes in the GO hierarchy. The full list of categories is reported in Supplementary Table S3. Two H. illucens genome assemblies are available at the NCBI genome assembly database [39]. The first, ASM101489v1 (GCA_001014895), has over 319K scaffolds and a N$_{50}$ of only 1212 bp and was obtained in the framework of a work on transitions of sex chromosomes among Diptera [40]; the second assembly, indicated as “representative genome” for this species, is ASM983516v1 (GCA_009835165) and consists of 2806 scaffolds, and a N$_{50}$ of over 1.69 Mbp [41]. By comparing our transcriptome assembly with the latter, a blast hit for 98.6% of our transcripts was found, 88.3% of which (i.e., 24,367 transcripts) sharing an identity level along the alignment of at least 90% together with a query coverage of 90% or more. The unavailability of gene or transcript sequences for the ASM983516v1 assembly did not allow further comparisons, but the above data confirmed the degree of completeness and general quality of our transcriptome. 2.8. Differential Gene Expression Analysis GO annotation suggests the functional meaning of gene expression differences in midgut of H. illucens larvae reared on SD and VMD. The identification of differentially expressed genes provides a high-resolution view of the changes occurring in this organ as a consequence of the different rearing substrate, although it does not help understand large-scale functional modifications induced by the differentially expressed genes. For this reason, the examination of the transcriptomic changes in the midgut due to diets with different nutritional content was firstly performed by discussing the enrichment analysis of BP that exploits the GO annotation of the differentially expressed genes. This kind of approach provides a less detailed description of the transcriptomic changes (Figure 7; Figure 8; Supplementary Tables S3–S7 in Supplementary file 1), but it is highly informative because it shows the functional consequences associated with the multitude of transcripts that changed their expression level. Figure 7 shows that upregulated genes in VMD were significantly associated to GO categories related to proteolysis, translation, transport, and several metabolic processes (for instance “Glycogen metabolic process”). This evidence can be tentatively explained by the lower energy supply and protein content of the VMD that drives the midgut to optimize protein catabolism, increase nutrient uptake, and maintain high protein synthesis in support of the massive secretory activity (“Signal peptide processing” was also enriched). Conversely, the enrichment analysis of the genes significantly decreasing their expression level (Figure 8) highlights a reorganization of cytoskeleton and several metabolic processes, together with a high representation of categories related to iron. As VMD has a lower nutrient content, a reduced activity of some metabolic and catabolic processes is needed but sufficient to process the ingested nutrients. Figure 7. Upregulated genes associated to the GO category “Biological Processes”. Starting from the enrichment analysis of genes that are upregulated in midguts of larvae reared on VMD compared to SD, REVIGO was used to group similar biological processes on the basis of the SimRel semantic similarity metric; in this way, categories with similar descriptions are close in the plot. As shown in the scale on the right, the color of the bubble identifying each biological process is a function of $\log_{10} (p \text{ value})$ for the false discovery rate for the enrichment of each process. Bubble size indicates the frequency of each GO term (larger size indicates larger categories) and was calculated by REVIGO on the basis of the size of each category in a background database (SwissProt [42]). Only categories with FDR $\leq 1.0 \times 10^{-3}$ were selected, see full list in Supplementary Tables S3–S7. Figure 8. Downregulated genes associated to the GO category “Biological Processes”. Starting from the enrichment analysis of genes that are downregulated in midguts of larvae reared on VMD compared to SD, REVIGO was used to group similar biological processes on the basis of the SimRel semantic similarity metric; in this way categories with similar descriptions are close in the plot. As shown in the scale on the right, the color of the bubble identifying each biological process is a function of $\log_{10} (p \text{ value})$ for the false discovery rate for the enrichment of each process. Bubble size indicates the frequency of each GO term (larger size indicates larger categories) and was calculated by REVIGO on the basis of the size of each category in a background database (SwissProt [42]). Only categories with FDR $\leq 1.0 \times 10^{-3}$ were selected, see full list in Supplementary Tables S3–S7. The analysis of differentially expressed genes in the midgut of H. illucens larvae reared on SD and VMD identified 843 upregulated and 1067 downregulated transcripts, for a total of 1910. To unravel the functional adaptations of H. illucens midgut in response to the different rearing substrates, differential expression of genes coding for digestive enzymes and transport proteins was analyzed in detail. Proteolytic enzymes were among transcripts increasing their expression in larvae reared on VMD (Figure 9). In particular, transcriptomic analysis showed that trypsin and trypsin-like transcripts were strongly enriched (29/97 transcripts), with fold change ranging from 2 to over 168, whereas only 4 out of 97 transcripts were downregulated. Similarly, 29/66 chymotrypsin and chymotrypsin-like transcripts were significantly upregulated for VDM (in a range of fold change from 2 to 570), whereas only 10/66 transcripts were downregulated. Although among serine proteases only 5 out of 29 transcripts were differentially expressed, all of them were strongly upregulated. It is noteworthy that exopeptidases were strongly upregulated in larvae reared on VMD (Figure 10). Conversely, the expression of transcripts coding for enzymes involved in carbohydrate and lipid digestion was downregulated in the midgut of larvae reared on VMD (Figure 9). The transcriptomic data showed that 18/40 transcripts coding for α-amylases were significantly downregulated with transcripts that were up to 20 times less abundant than in larvae reared on SD. Finally, lipases were strongly downregulated (Figure 9), too, with 19/35 transcripts differentially expressed, mostly downregulated (18/19). ![Log fold change of differentially expressed transcripts assigned to molecular functions corresponding to hydrolytic activity related to digestion in midguts of larvae reared on VMD compared to SD. For each function the number of genes (G.), transcripts (T.), and transcripts differentially expressed (D.) identified by the transcriptome analysis are shown together with their log fold change in our transcriptomic data.](image-url) Figure 10. Log fold change of differentially expressed transcripts assigned to molecular functions corresponding to exopeptidases, membrane transport, lipid binding and transport, and iron binding in midguts of larvae reared on VMD compared to SD. For each function the number of genes (G.), transcripts (T) and transcripts differentially expressed (D.) identified by the transcriptome analysis are shown together with their log fold change in our transcriptomic data. A focus on transcripts involved in transport and binding of nutrients (Figure 10) revealed that only 14 transcripts out of 452 annotated as transporters were differentially expressed, and the expression changes were in both directions. A similar pattern was observed for lipocalins and fatty acid binding proteins, for which, however, 11/16 transcripts were differentially expressed. Finally, most of ferritin transcripts showed coordinated downregulation (4/6) in larvae reared on VMD. 3. Discussion Insects are widely distributed in terrestrial ecosystems. They are characterized by an incredible variety of feeding habits thanks to an unmatched diversity of morphofunctional specializations and adaptability to cope with changes in diet composition [29]. The digestive apparatus, which is responsible for food ingestion and processing, represents a major player in this adaptation [29]. In this scenario, the study of the mechanisms that allow strict dietary specializations of insects is attractive, especially in the case of feeding substrates that are indigestible from a human perspective [43,44]. On the other hand, the mechanisms underlying the high efficiency of the digestive tract of highly polyphagous insects are worthy of investigation. These insects need to adapt to variations in nutrient composition of the ingested food, and H. illucens larvae, which are able to grow on a variety of organic waste materials and residues, are a relevant model to address this issue [6,9–13,25]. Moreover, the use of BSF in the feed sector has been promoted by recent changes in the EU legislation that partially lifted the feed ban rules regarding the use of processed animal proteins from insects (EU Regulation 2017/893) [26]. Thus, knowledge on the mechanisms that allow BSF larvae to exploit substrates with different nutritional quality is also relevant from an applied perspective. In the present work we evaluated larval growth performance, as well as investigated the activity of digestive enzymes, morphological features of cells, changes of long-term storage molecules, and differential gene expression in the midgut of BSF larvae reared on two different diets, i.e., Standard Diet (SD) for dipteran larvae [28] and Vegetable Mix Diet (VMD). Whereas the former is a nutritionally balanced feeding substrate, the latter is nutritionally poor due to the lower concentration of protein, lipid, starch, and minerals compared to SD. These diets are thus particularly suitable to understand if and how the midgut sets in motion post-ingestion responses to compensate variations in nutrient composition of the diet because, although highly different from a nutritional point of view, they allow comparable larval growth performance, as demonstrated in the present study and in another recent work [24]. We initially focused attention on the digestion of proteins, in which the concentration in VMD is 5-fold less than in SD and could thus represent a limitation for larval performance. It has been demonstrated that BSF larvae strongly rely on serine proteases for protein digestion, which is mainly accomplished in the posterior midgut where most of trypic and chymotryptic activities have been measured [27]. Enzymatic assays performed on larvae reared on the two diets showed an increase of total proteolytic activity in all midgut tracts of the larvae reared on VMD. These functional data were supported by an increase of transcripts coding for proteolytic enzymes (i.e., trypsin, trypsin-like, chymotrypsin, chymotrypsin-like, and other serine proteases). However, conversely to chymotrypsin and chymotrypsin-like enzymes, we did not observe any significant increase of proteolytic activity mediated by trypsin and trypsin-like enzymes. This could be due to the different extent of the regulation of genes coding for the two serine proteases. In fact, while chymotrypsin and chymotrypsin-like transcripts related to 27 of the 38 annotated genes were differentially expressed (mostly upregulated), a relatively limited number of genes were subjected to regulation for trypsin and trypsin-like enzymes (i.e., 24 out of 79). Thus, since for trypsin and trypsin-like proteins the enzymatic activity from constitutively expressed genes represents the bulk of the total activity, the impact of upregulated transcripts might be negligible. The overall increase of total proteolytic activity associated with enzymes involved in the initial phase of protein digestion was accompanied and corroborated by an increase of exopeptidases transcription (aminopeptidases and carboxypeptidases), which are involved in the final protein digestion [31]. Both functional (aminopeptidase activity) and transcriptomic data showed an increased ability of the midgut to obtain free amino acids from the diet. These are in turn internalized into midgut cells by apical transporters, the transcripts of which were also upregulated in larvae reared on VMD. This scenario suggests that, due to the low protein concentration in VMD, the larvae of H. illucens optimize the different steps of proteolysis and maximize the internalization of amino acids to meet their nitrogen requirements. Many studies in insects demonstrated that the expression and activity of serine proteases increase with the amount of proteins in the dietary substrate when these are not limiting nutrients [45,46], while complete lack of protein, as during starvation [47–50] or between blood meals in hematophagous insects [45,51,52], leads their activity to decrease or even drop. In our study, proteins, which are scarcely represented in VMD, might be a limiting nutrient, and therefore H. illucens larvae set in motion compensatory mechanisms to make the best use of this rearing substrate. Our data also demonstrate a significant regulation of α-amylases in relation to diet composition. These enzymes catalyze the hydrolysis of α-1,4 glycosidic bonds in polysaccharides (essentially starch and glycogen) to produce oligosaccharides that are then hydrolyzed into glucose units by α-glucosidases. The regulation of midgut α-amylase activity by diet composition has been observed in several insects, although responses are quite variable even within the same order [53]. Indeed, in polyphagous lepidopteran larvae, midgut α-amylase activity responds to carbohydrate composition of the diet, but the nature of the correlation is inconsistent and discrepant results are reported [54–57]. For example, Sarate et al. [57] demonstrated that amylase activity in the midgut of Helicoverpa armigera (Lepidoptera: Noctuidae) is inversely proportional to carbohydrate content in the diet, in contrast to Kotkar et al. [55] that showed no direct correlation in this insect. On the other hand, gut amylase activity in Spodoptera frugiperda (Lepidoptera: Noctuidae) larvae increases with food consumption and carbohydrate amount [54,56]. In H. illucens larvae, $\alpha$-amylase activity is mainly localized in the lumen of anterior and posterior midgut [27], whereas it is negligible in the middle midgut. The present study indicates that diet composition is able to strongly regulate $\alpha$-amylase activity associated to the posterior midgut, while the activity is unaffected in the anterior midgut. In particular, the low starch concentration in VMD compared to SD was associated to the nearly complete absence of $\alpha$-amylase activity in the posterior midgut. This trend was supported by the analysis of differential gene expression that showed an overall decrease of $\alpha$-amylase transcripts in the whole midgut. The apparent discrepancy between the overall expression decline and the presence of unaltered $\alpha$-amylase activity in anterior midguts may be due to the limited impact of transcripts associated to the relatively short anterior midgut compared to the posterior tract [27]. Alternatively, since about a half of the transcripts annotated as $\alpha$-amylase were not differentially expressed, $\alpha$-amylase genes could be constitutively expressed in the anterior midgut, while their expression could be regulated in the posterior midgut in response to carbohydrate content of the diets. Considering that in our transcriptome the number of genes and transcripts assigned to $\alpha$-amylase are 29 and 40, respectively, and that the downregulated transcripts (18) in larvae reared on VDM originate from 14 genes, it is possible to conclude that the regulation of amylolytic activity involves a significant number of genes. Although in larvae reared on VMD starch hydrolysis occurs only in the anterior midgut, the activity of $\alpha$-amylase in this tract and the amount of free sugars present in the diet appeared to be sufficient to meet larval requirements. Nevertheless, the larvae responded to low starch concentration in VMD with a slight increase of $\alpha$-glucosidases, enzymes involved into the final phases of starch digestion (i.e., transcript DN11894_c0_g1_i2), and, a strong increase (7-fold) in the expression of sugar transporters to maximize the internalization of free sugars (i.e., transcript DN12897_c0_g1_i1). In accordance with these data, $\alpha$-amylase activity in larvae of Drosophila spp. (Diptera: Drosophilidae) is increased by dietary starch and a similar trend was observed in other insect species, such as Periplaneta americana (Blattodea: Blattidae) and Grillus bimaculatus (Orthoptera: Gryllidae) [58–63]. Interestingly, in the phytophagous insect Locusta migratoria (Orthoptera: Acrididae) $\alpha$-amylase activity is regulated by the P:C ratio of the diet rather than by carbohydrate content [1]. In particular, when carbohydrate content of the diet is high, $\alpha$-amylase activity is reduced only in the presence of low protein content. The occurrence in H. illucens larvae of glucose repression (i.e., the inhibition of $\alpha$-amylase activity by the final products of starch digestion) observed in several Drosophila spp. [53,59] could not be determined in our experimental conditions (i.e., with fixed amounts of starch), but such regulation is worthy of further investigations. Along with glycogen, lipids represent essential energy reservoirs and insects meet lipid requirements through de novo lipogenesis, which mainly occurs in the fat body, and dietary lipid digestion in the midgut lumen [64,65]. Lipases produce free fatty acids in the midgut lumen, that are then internalized into the midgut cells and converted into intracellular storage molecules or released as diacylglycerols into the hemolymph where they are shuttled by lipoproteins to other tissues [64]. VMD contains a 12-fold lower concentration of crude lipids than SD. H. illucens larvae grown on VDM did not increase the digestion of these nutrients in the lumen, but rather reduced the expression of lipases, which was accompanied by the drop of lipolytic activity. Accordingly, over half of the transcripts related to fatty acid binding proteins, that likely mediate the intracellular movement of absorbed fatty acids [64], were downregulated, too. The ability to regulate the expression and the activity of digestive lipases in response to the quantity and quality of dietary lipids has been detected in many insect species, and lipid deprivation, such as during starvation, is not always accompanied by lipolytic decrease [57,64–68]. In the case of H. illucens larvae reared on VMD, a basal, faintest lipase activity apparently guarantees the hydrolysis of available lipids. Indeed, although lower than in SD, the concentration of crude lipids is apparently sufficient to support larval growth. Our results demonstrate that differences in the nutrient composition of the feeding substrate also induced modifications of midgut cells at a morphological level. Previous studies have shown that the diet can induce ultrastructural changes in insect midgut cells as fluctuations in the number and structure of lysosomes [69], proliferation of smooth and rough endoplasmic reticulum [70], and increase of the basal labyrinth surface [71]. Here, we observed a relevant change in the morphology of posterior midgut cells in larvae reared on VMD, which showed a significant increase in the length of microvilli. This modification, restricted to the region that is mainly involved in nutrient absorption [27], may respond to the need of a higher absorbing surface and likely represents an adaptation to the low nutritional content of VMD. Histochemical analysis revealed differences in glycogen accumulation in H. illucens larval midgut. Glycogen reserves are crucial to sustain metabolic homeostasis throughout the life cycle and, in holometabolous insects, stored energy is useful during metamorphosis [72,73]. In H. illucens, this process occurs in about 12 days and glycogen deposits are mobilized and progressively reduced during this period [74]. Our data demonstrate that larvae reared on VMD show lower accumulation of this long-term storage molecule than larvae reared on SD, especially in the anterior midgut, suggesting that glycogen accumulation is reduced in favor of survival and growth when larvae experience a nutritionally poor diet. The higher presence of glycogen reserves in larvae reared on SD could be related to the higher content of nutrients in this diet that allows glycogen accumulation in the midgut. We observed that glycogen accumulation occurs differentially in the three midgut regions regardless of the feeding substrate. In particular, the anterior and the posterior midgut are mainly involved in glycogen storage, indicating that the cells in the midgut epithelium accomplish different metabolic functions [75]. Evidence suggesting the regionalization of glycogen and lipid metabolism in the midgut has already been obtained in adult Drosophila melanogaster [76,77]. Transcriptomic analysis was not particularly helpful in the interpretation of histochemical data. Glycogen metabolism is mainly controlled by two enzymes, i.e., glycogen synthase and glycogen phosphorylase. From a survey of differentially expressed genes, it emerged that two transcripts were annotated as glycogen synthase (i.e., transcripts DN12700_c0_g1_i1 and DN12700_c0_g1_i2); the first was not differentially expressed, whereas the second was upregulated in larvae reared on VDM. Moreover, the unique transcript annotated as phosphoglucomutase (i.e., transcript DN12272_c0_g1_i) was not differentially expressed. Phosphoglucomutase controls the availability of glucose-1-phosphate, the precursor for glycogen synthesis, and is strongly downregulated in D. melanogaster mutants with reduced glycogen storage capacity [78]. On the other hand, although no transcripts annotated as glycogen phosphorylase were found, a number of transcripts that may correlate to a decrease in glycogen synthesis were downregulated in larvae reared on VDM. Indeed, 3 out of 4 serine/threonine kinase transcripts (i.e., enzymes that positively regulate glycogen synthase activity) were downregulated up to 4-fold, although the other one is upregulated. This not completely clear picture deriving from transcriptomic analysis may be due to the specific function of each midgut region, which, in turn, determines the different glycogen accumulation in the three districts. Finally, we evaluated the accumulation of microelements in midgut cells of larvae grown on the two diets, focusing our attention on iron. Several studies demonstrated that this element is fundamental for the development of Diptera [79,80] due to its role as a cofactor for different enzymes involved in crucial physiological functions [81–84]. Ferritin is the major protein responsible for iron storage in insects [85] and is constitutively expressed in iron cells [86]. In D. melanogaster larvae these peculiar cells are located between the middle and posterior midgut, in a tract called “iron region” [87]. However, the expression of ferritin is inducible in other midgut cells in the fruit fly [86,88]. In fact, diets rich in iron induce the expression of ferritin encoding genes also in the anterior and posterior midgut cells, allowing iron accumulation in these regions [86,88]. In this study, we obtained comparable results. Cells able to accumulate iron are distributed in H. illucens larval midgut similarly to D. melanogaster and iron accumulation in these cells occurs regardless of the diet. By contrast, iron was accumulated also in the anterior and posterior midgut region only in larvae reared on SD, which is characterized by a higher iron content compared to VMD. In agreement with these data, ferritin encoding transcripts (4 out of 6) are downregulated in larvae reared on VMD. 4. Materials and Methods 4.1. Insect Rearing H. illucens larvae used in this work were derived from a colony established in 2015 at the University of Insubria (Varese, Italy). Two specific substrates, with different nutrient composition, were used to rear the larvae: (i) Standard Diet (SD) for dipteran larvae [28], composed of 50% wheat bran, 30% corn meal, and 20% alfalfa meal, mixed in the ratio 1:1 dry matter:water; (ii) Vegetable Mix Diet (VMD), composed by fruits and vegetables (apple, banana, pear, broccoli, zucchini, potato, and carrot) mixed in equal quantity and appropriately minced (i.e., cut into small pieces of about 5 mm). VMD mimics fruit and vegetable waste, and ingredients available throughout the year were chosen in order to standardize the experimental conditions. The rearing methods of the larvae on both diets were previously described [27,89]. Larvae were maintained at 27.0 ± 0.5 °C, 70 ± 5% relative humidity, in the dark. For all the experiments, last instar larvae were used. 4.2. Determination of Nutrient Content of the Diets The analyses were conducted at the Department of Agronomy, Food, Natural Resources, Animals and Environment, University of Padua (Agripolis, Legnaro, Italy). Three samples of fresh VMD were lyophilized with a freeze-dryer (Alpha 2-4 LD plus, Martin Christ GmbH, Osterode, Germany) under 12–15 mbar at −80 °C, and then analyzed to determine nutrient content. Samples of SD powder were analyzed as they were. Diet samples were analyzed for crude protein, crude lipid, crude fiber, nitrogen-free extract, and ash following the protocols of AOAC International [90,91]. Hemicellulose, cellulose, and lignin content was calculated from the concentration of neutral detergent fiber, acid detergent fiber, and acid detergent lignin determined as reported elsewhere [92] and following the protocols of AOAC International [90,91]. Starch was determined by enzymatic digestion followed by glucose quantification with HPLC. Free glucose and fructose were also quantified by HPLC. 4.3. Measurement of Larval Growth Rate Batches of 300 larvae were grown in plastic containers. Starting from the fourth day after hatching, 20 individuals were randomly sampled every two days, washed in lukewarm tap water to remove rearing substrate debris from the body, wiped dry, and weighed. The weight was recorded until 25% of insects reached pupal stage. The day in which the larvae reached the maximum weight was considered the end of the larval stage, subsequently the insect entered the prepupal stage and stopped feeding (definition and description of the developmental stages of H. illucens are reported elsewhere [74]). 4.4. pH of Diet and Midgut Lumen To evaluate pH of SD and VMD, 5 samples (1 g each) of fresh diets were placed in a plastic tube with 200 µL of distilled water. After mixing and short spinning, the liquid fraction was withdrawn and pH was measured by pH indicator strips with a resolution of 0.5 pH unit (Hydron Brilliant pH Dip Stiks, Sigma-Aldrich, Milano, Italy). pH of the midgut juice (obtained as described below, section “Isolation of midgut samples”) from anterior, middle, and posterior region of last instar larvae reared on the two diets was measured using the same pH indicator strips. The experiment was repeated on six independent samples obtained from larvae reared on SD and VMD. 4.5. Isolation of Midgut Samples After anesthetization on ice with CO₂, larvae were dissected and the midgut was isolated in Phosphate Buffer Saline (PBS) (137 mM NaCl, 2.7 mM KCl, 8.1 mM Na₂HPO₄, 1.76 mM KH₂PO₄, pH = 7.4) at 4 °C. For measurements of midgut lumen pH, enzymatic assays, morphological analyses, and Periodic Acid-Schiff (PAS) staining, anterior, middle, and posterior midgut were collected, as previously reported [27]. In particular, for pH measurement and enzymatic assays (except for aminopeptidase N activity assay), the peritrophic matrix from different midgut regions, with the enclosed intestinal content, was isolated, centrifuged at 15,000× g for 10 min at 4 °C to remove the insoluble material, and supernatant (midgut juice) was collected. The midgut juice from 15 larvae was used as a fresh sample for the luminal pH measurements or stored at −80 °C for the enzymatic assays. The epithelium of the posterior midgut, devoid of the peritrophic matrix and collected from 15 larvae, was placed into cryovials and stored in liquid nitrogen for aminopeptidase N activity assay. For morphological analyses and PAS staining, the three midgut regions were processed as described below (“Optical microscopy analysis of the midgut epithelium” and “Histochemical analysis of the larval midgut”). For Perls’ staining and transcriptome analysis, the whole midgut epithelium, with the enclosed midgut content, was isolated and processed as described below (“Histochemical analysis of the larval midgut” and “RNA isolation and Illumina sequencing”). 4.6. Enzymatic Assays Total proteolytic activity in midgut juice samples from anterior, middle, and posterior region, was assayed with azocasein (Sigma-Aldrich, Milano, Italy), measuring its degradation by release of azo chromophore [93], as previously reported [27]. For each midgut tract, the enzymatic assay was performed at pH as close as possible to that of the lumen (i.e., pH = 6.0 for the anterior midgut, pH = 5.0 for the middle midgut and pH = 8.5 for posterior). One unit (U) of total proteolytic activity with azocasein was defined as the amount of enzyme that causes an increase in absorbance by 0.1 unit per min per mg of proteins. Chymotrypsin- and trypsin-like proteolytic activity in midgut juice samples were assayed with N-succinyl-Ala-Ala-Pro-Phe p-nitroanilide (SAAPPpNA, Sigma-Aldrich, Milano, Italy) and Nα-Benzoyl-L-arginine p-nitroaniline hydrochloride (BAPNA, Sigma-Aldrich, Milano, Italy), respectively, measuring their degradation by release of p-nitroaniline (pNA) [27]. These assays were performed at pH = 8.5 on midgut juice obtained from the posterior region. One unit (U) of chymotrypsin- and trypsin-like proteolytic activity was defined as the amount of enzyme that causes an increase in absorbance by 0.1 unit per min per mg of proteins. The activity of APN was assayed using L-leucine p-nitroanilide as substrate, measuring its degradation by release of pNA, as previously reported [27]. Assays were performed on the posterior midgut epithelium that, after thawing, was homogenized in 50 mM Tris-HCl, pH = 7.5 (1 mL/mg tissue). One unit (U) of APN activity was defined as the amount of enzyme that releases 1 μmol of pNA per min per mg of proteins. α-amylase activity in midgut juice samples obtained from anterior, middle, and posterior midgut, was assayed with starch as substrate, measuring its hydrolysis by the amount of maltose released, as previously reported [27]. The assay was performed at pH = 6.9. One unit (U) of α-amylase activity was defined as the amount of enzyme necessary to produce 1 mg of maltose per min per mg of proteins. Lipase activity in midgut juice samples obtained from anterior and posterior midgut was assayed using a Lipase Activity Colorimetric Assay Kit (BioVision, Milpitas, CA, USA) according to the manufacturer’s instructions. 4.7. Statistical Analyses for pH Values, Larval Growth Parameters, and Enzymatic Activities Statistical analyses were performed with R statistical software (ver. 3.6.1) [94]. Paired and unpaired $t$-tests were done. Statistical differences between groups were considered significant at $p$-value $\leq 0.05$. The statistical analysis performed for each experiment and the $p$-values are reported in the captions to figures. 4.8. Optical Microscopy Analysis of the Midgut Epithelium The three regions of the larval midgut, with the enclosed intestinal content, were processed for morphological analysis as previously described [27]. Briefly, after fixation in glutaraldehyde 4% ($v/v$) in 0.1 M Na-cacodylate buffer, pH = 7.4, specimens were dehydrated in an increasing ethanol series and then embedded in epoxy resin (Epon/Araldite 812 mixture). Sections of 0.6-$\mu$m-thickness were obtained with a Leica Reichert Ultracut S (Leica, Wetzlar, Germany), stained with crystal violet and basic fuchsin, and then observed under Eclipse Ni-U microscope (Nikon, Tokyo, Japan) equipped with TrueChrome II S digital camera (Tucson photonics, Fuzhou, China). 4.9. Histochemical Analysis of the Larval Midgut For glycogen detection, after dissection of the larva, the three regions of the midgut, with the enclosed intestinal content, were immediately fixed in 4% ($w/v$) paraformaldehyde in PBS for 2 h at room temperature and then overnight at 4 °C. After dehydration in increasing ethanol series, specimens were embedded in paraffin [72] and 7-$\mu$m-thick sections were obtained using a Jung Multicut 2045 microtome (Leica, Wetzlar, Germany). After deparaffinization, sections were stained with PAS kit (Bio-Optica, Milano, Italy), according to the manufacturer’s instructions, to detect the glycogen deposits in the midgut tissues, and then analyzed under Eclipse Ni-U microscope (Nikon, Tokyo, Japan) equipped with digital camera (Tucson photonics, Fuzhou, China). For the detection of ferric iron, whole mount staining of the entire midgut was performed. After isolation, the tissue was fixed in 4% ($w/v$) paraformaldehyde in PBS for 20 min, and then stained with Perl’s staining kit (Bio-Optica, Milano, Italy) according to the manufacturer’s instructions. Each region of the midgut was analyzed under NSZ-606 Zoom Stereo Microscope (Xiamen Phio Scientific Instruments, Xiamen, China) equipped with TrueChrome II S digital camera (Tucson photonics, Fuzhou, China). 4.10. RNA Isolation and Illumina Sequencing Larvae were reared on SD and VMD (3 replicates for each diet), anesthetized on ice, and washed in 70% ethanol ($v/v$ in water) before dissection under sterile conditions. Midguts were isolated in autoclaved PBS in a sterile Petri dish (5.5 × 1.3 cm). For both rearing substrates, pools of 10 midguts for each of the 3 experimental replicates (a total of 6 samples) were collected in a cryovial containing TRIzol reagent (Thermo Fisher Scientific, Waltham, MA, USA) and kept at −80 °C until extraction of total RNA, which was performed according to the manufacturer’s instructions. Total RNA preparations were then treated with TURBO DNase I (Thermo Fisher Scientific, Waltham, MA, USA), according to the manufacturer’s instructions. Next Generation Sequencing (NGS) experiments, including samples quality control, were performed by Genomix4life S.R.L. (Salerno, Italy). RNA concentration in each sample was assayed with NanoDrop 1000 spectrophotometer (Thermo Fisher Scientific, Waltham, MA, USA) and its quality assessed with Agilent TapeStation 4200 (Agilent Technologies, Santa Clara, CA, USA). Indexed libraries were prepared from 1 µg of purified RNA from each sample with TruSeq Stranded mRNA Sample Prep Kit (Illumina, San Diego, CA, USA) according to the manufacturer’s instructions. Libraries were quantified using Agilent TapeStation 4200 (Agilent Technologies, Santa Clara, CA, USA) and pooled such that each index-tagged sample was present in equimolar amounts, with a 2 nM final concentration of the pooled samples. The pooled samples were subjected to cluster generation and sequencing using an Illumina Nextseq 500 (Illumina, San Diego, CA, USA) in a $2 \times 100$ paired-end format at 1.8 pmol final concentration. 4.11. De novo Transcriptome and Functional Annotation The raw sequence files (fastq files), generated as reported above for each of the six samples, underwent quality control analysis using FastQC [95]. Quality check on the raw sequencing data allowed to remove low quality sequences while preserving the high-quality part of NGS reads. Filtering was performed with BBduk [96] by specifying a minimum length of 35 nucleotides (nt), and a sequencing quality of at least 35. Supplementary Table S8 reports sequencing output for the six samples before and after quality filtering. The high-quality reads were normalized to reduce redundancy and then assembled using Trinity v2.1.1 [97]. The raw transcriptome was then filtered as follows: (i) reads were mapped back on the transcriptome and transcripts with no expression, as determined using Kallisto [98], were removed; (ii) redundant sequences were merged using CD-HIT-EST [36]; and (iii) all the transcripts having a match to non-Arthropoda sequences were filtered out. The quality of the assembly was estimated by (i) mapping the reads back to the assembly and (ii) using the BUSCO v3 pipeline [37] to get an estimate of the degree of completeness of the transcriptome assembly. In order to obtain the expression quantification of the assembled transcripts in the 6 samples, Kallisto and the trimmed reads were used, abundance for all transcripts was expressed as TPM (number of transcripts per million); all the analyses in this study were based on this transcript abundance unit, after normalization using the trimmed mean of M-values formula [99]. The AHRD pipeline [38] was used to infer the putative function of the assembled transcripts. This method is based on a similarity search between the transcripts and a set of SwissProt databases [42] (Supplementary Table S2 in Supplementary file 1). For the analysis, the Arthropoda proteins were used; 48% of the input proteins were classified as “Unknown Protein”. The functional enrichment of the different samples was calculated using GO annotation of transcripts [100] and the hypergeometric cumulative distribution. The enrichment p-values were adjusted for multiple testing using the Benjamini–Hochberg correction (Supplementary Table S2 in Supplementary file 1). 4.12. Differential Gene Expression Analysis The identification of the differentially expressed genes was performed with the package NOISeq [101], the threshold for significance used was FDR (false discovery rate) $\leq 0.05$. A total of 4096 differential transcripts were found, of which 1671 were upregulated and 2425 downregulated (Supplementary Tables S3–S7 in Supplementary file 1). The subset of transcripts with at least a log2(fold change) $\| \geq 1$ was considered (i.e., at least a 2-fold change, up or down, was considered of interest when statistically significant). 4.13. Availability of Data The raw sequences are available at [102] with the study accession number ERP122672. 5. Conclusions The present work definitely demonstrates that the midgut of H. illucens larvae is able to adapt to diets with different nutrient content and gives an important contribution to the ability of these insects to grow on a variety of feeding substrates. As a consequence of nutritionally poor diet, modifications of the digestive enzymatic machinery can be observed: (i) an increase in proteolytic activity and in the abundance of transcripts associated to serine-proteases, and (ii) a decrease in $\alpha$-amylase and lipase activity and in abundance of related transcripts. Moreover, an increase in the length of microvilli of midgut cell ensures a higher absorbing surface and likely represents an adaptation to diet with a low nutritional content. Finally, a reduction of glycogen accumulation occurs. The overall picture suggests that midgut functions are regulated to modulate nutrient digestion and absorption with the aim of optimizing larval growth. The study of the biochemical and molecular mechanisms underlying midgut plasticity, at the midgut level (e.g., role of peptides secreted by midgut endocrine cells) and/or involving other tissues (e.g., fat body, and nervous system) will be pivotal to complete the scenario here unveiled. Moreover, since an alteration of midgut microbiota was observed in larvae reared on the two substrates used in this study [24], the contribution of microorganisms in midgut digestive processes and thus in larvae adaptation to different substrates also represents a key issue to be investigated. Supplementary Materials: Supplementary Materials can be found at http://www.mdpi.com/1422-0067/21/14/4955/s1. Supplementary file 1 includes: Table S2. Functional annotation of the transcriptome by using SwissProt. Table S3. Functional annotation of the transcriptome using GO. Table S4. Expression levels of all transcripts in transcripts per million (TPM). Table S5. Differential expression analysis. Table S6. GO Enrichment analysis for downregulated transcripts. Table S7. GO Enrichment analysis for upregulated transcripts. Author Contributions: Conceptualization, S.C., M.C., G.T.; data curation, M.B. (Marco Bonelli), M.B. (Matteo Brilli), D.B., S.C., L.T.; formal analysis, M.B. (Marco Bonelli), M.B. (Matteo Brilli), D.B., L.T.; funding acquisition, M.C., G.T.; investigation, M.B. (Marco Bonelli), M.B. (Matteo Brilli), D.B., N.G.; methodology, S.C., M.C., G.T.; project administration, G.T.; supervision, M.C., G.T.; writing—original draft preparation, S.C., M.C., G.T. All authors have read and agreed to the published version of the manuscript. Funding: This work was supported by Fondazione Cariplo (grant n. 2014-0550) to M.C. and G.T. Acknowledgments: The authors acknowledge Ilaria di Lelio (University of Napoli Federico II) for her help in the preparation of samples for transcriptomic analysis. Conflicts of Interest: The authors declare no conflict of interest. Abbreviations \| Abbreviation \| Description \| \|--------------\|-------------\| \| AHARD \| automatic assignment of Human Readable Descriptions pipeline \| \| APN \| aminopeptidase N \| \| BApNA \| Nα-Benzoyl-D,L-arginine p-nitroanilide hydrochloride \| \| BP \| biological processes \| \| BSF \| black soldier fly \| \| P:C ratio \| protein:carbohydrate ratio \| \| FDR \| false discovery rate \| \| GO \| gene ontology \| \| MF \| molecular functions \| \| NGS \| next generation sequencing \| \| PAS \| periodic acid-Schiff \| \| PBS \| phosphate buffer saline \| \| pNA \| p-nitroaniline \| \| SAAPPpNA \| N-succinyl-Ala–Ala-Pro-Phe p-nitroanilide \| \| SD \| standard diet \| \| TPM \| number of transcripts per million \| \| VMD \| vegetable mix diet \| \| U \| unit of enzymatic activity \| References 1. Clissold, F.J.; Tedder, B.J.; Conigrave, A.D.; Simpson, S.J. The gastrointestinal tract as a nutrient-balancing organ. Proc. R. Soc. B Biol. Sci. 2010, 277, 1751–1759. 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SECTION 1. PRODUCT IDENTIFICATION PRODUCT NAME: Hydrogen Fluoride CHEMICAL NAME: Hydrogen Fluoride FORMULA: HF SYNONYMS: Anhydrous Hydrofluoric Acid, Anhydrous Hydrogen Fluoride MANUFACTURER: Air Products and Chemicals, Inc. 7201 Hamilton Boulevard Allentown, PA 18195-1501 PRODUCT INFORMATION: (800) 752-1597 MSDS NUMBER: 1065 REVISION: 6 REVIEW DATE: February 2000 REVISION DATE: February 2000 SECTION 2. COMPOSITION / INFORMATION ON INGREDIENTS Hydrogen Fluoride is sold as pure product > 99%. CAS NUMBER: 7664-39-3 EXPOSURE LIMITS: OSHA: PEL = 3 ppm ACGIH: TWA/TLV = 3 ppm (ceiling) NIOSH: IDLH = 30 ppm SECTION 3. HAZARD IDENTIFICATION EMERGENCY OVERVIEW Hydrogen Fluoride is a toxic, corrosive, nonflammable, liquefied gas packaged in cylinders under its own vapor pressure of 14.1 psia at 70 °F. The gas is colorless, but generates white fumes in moist air. The degree of fuming is related to the amount of humidity in the air. The reaction with water will produce heat and form very corrosive hydrofluoric acid. It has a repulsive, irritating, acidic odor that usually can be detected at low concentrations. Direct skin contact can cause severe burns that may not be immediately painful or visible. Inhalation of fumes can lead to inflammation and congestion of the lungs, and circulatory collapse. Wear self-contained breathing apparatus (SCBA) and fully protective suits when entering the release area if concentrations are unknown or exceed exposure limits. EMERGENCY TELEPHONE NUMBERS (800) 523-9374 Continental U.S., Canada, and Puerto Rico (610) 481-7711 other locations ACUTE POTENTIAL HEALTH EFFECTS: ROUTES OF EXPOSURE: EYE CONTACT: Irritation and/or burns to the eye that may lead to vision impairment or loss. INGESTION: Burns to the mouth, esophagus and stomach. Systemic effects may occur and can be fatal. INHALATION: Hydrogen Fluoride is corrosive and irritating to the respiratory tract and mucous membranes. Deep lung inflammation (chemical pneumonitis), bleeding (pulmonary hemorrhage), abnormal fluid build up in the lungs (pulmonary edema) and a systemic reaction are possible and can be fatal. Appearance of symptoms may be delayed. SKIN CONTACT: Burns to affected area can cause deep tissue damage and possibly a systemic reaction which can be fatal. Burns may not be immediately painful or visible. POTENTIAL HEALTH EFFECTS OF REPEATED EXPOSURE: ROUTE OF ENTRY: Ingestion, inhalation, skin or eye contact. SYMPTOMS: Chronic fluoride exposure may cause bone or joint changes in humans (fluorosis). TARGET ORGANS: Eyes, skin, airway, lungs, liver, kidney, heart and bone. MEDICAL CONDITIONS AGGRAVATED BY OVEREXPOSURE: May aggravate asthma, emphysema or other respiratory diseases. CARCINOGENICITY: Hydrogen Fluoride is not listed as a carcinogen or potential carcinogen by NTP, IARC or OSHA Subpart Z. SECTION 4. FIRST AID MEASURES Prompt medical attention is required in all cases of exposure to Hydrogen Fluoride. Effects may be delayed. EYE CONTACT: While holding eyelids open, immediately flush eyes with water until calcium gluconate solution is available. Seek medical treatment immediately. Trained personnel should flush the eye with sterile 1% calcium gluconate solution by continuous drip. INGESTION: Do not induce vomiting. Dilute acid by drinking 1-3 glasses of water. Administer several ounces of Milk of Magnesia, Mylanta, or several vials of 10% aqueous calcium gluconate orally. Get immediate medical attention. Gastric lavage with calcium chloride or calcium gluconate may be performed by a physician. INHALATION: Move exposed personnel to uncontaminated area. Seek immediate medical attention. If not breathing, give artificial respiration. Mouth to mouth resuscitation is not recommended. If breathing is difficult, give oxygen. Continue with administration of oxygen while waiting for medical attention. If airway obstruction occurs, the placement of an artificial airway by an emergency medical technician may be necessary. Trained personnel should administer 2.5% calcium gluconate by nebulizer with patient in sitting position. SKIN CONTACT: Immediately flush with copious amounts of water until treatment is available. Remove contaminated clothing. With gloved hand apply 2.5% calcium gluconate gel to the burn area. An alternative treatment is immersion in an iced solution of 0.13% Zephiran (benzalkonium chloride solution, NF). If immersion is impractical, soaked compresses of the same solution should be applied to the area. Immersion or compresses must be used continuously for two hours. Compresses should be changed every two minutes. Burns covering an area greater than eight square inches require immediate treatment by a physician. A physician should be consulted for all exposures. NOTES TO PHYSICIAN: If pain persists after above topical treatments, it may be necessary to inject 5% aqueous calcium gluconate beneath, around and into the burn area. This will more likely be necessary in the treatment of extensive burns or small burns where treatment has been delayed. Do not use local anesthetics. Resolution of pain is means to determine effective medical treatment. The patient should be observed for clinical symptoms of hypocalcemia following ingestion or inhalation or following extensive burns. Serum calcium, potassium and magnesium determinations must be performed immediately and periodically to monitor for hypocalcemia and electrolyte imbalance. EKGs should be done immediately and periodically to monitor for arrhythmias, hypocalcemia and hyperkalemia. If additional information is needed call the Air Products’ Emergency Number (Section 3) or consult the Air Products’ Safetygram 29 “Treatment Protocol for Hydrofluoric Acid Burns.” SECTION 5. FIRE FIGHTING MEASURES FLASH POINT: Not applicable AUTOIGNITION: Not applicable FLAMMABLE RANGE: Not applicable See UNUSUAL FIRE AND EXPLOSION HAZARDS for additional information EXTINGUISHING MEDIA: This product is nonflammable and does not support combustion. Use extinguishing media appropriate for surrounding fire. SPECIAL FIRE FIGHTING INSTRUCTIONS: Evacuate all personnel from area. If possible without risk, move cylinders away from fire area. Cool cylinders with water spray until well after fire is out. Self-contained breathing apparatus (SCBA) required. UNUSUAL FIRE AND EXPLOSION HAZARDS: Anhydrous Hydrogen Fluoride in cylinders reacts very slowly with the iron in the steel to form iron fluoride and hydrogen. Over time, the hydrogen collects in the vapor space and builds pressure. Hydrogen is a flammable gas. Hydrogen’s flammable range is 4-74%. Cylinders exposed to high heat or flame may rupture violently. Runoff from fire fighting may be contaminated; check pH. HAZARDOUS COMBUSTION PRODUCTS: None SECTION 6. ACCIDENTAL RELEASE MEASURES STEPS TO BE TAKEN IF MATERIAL IS RELEASED OR SPILLED: Evacuate all personnel from affected area. Increase ventilation to the release area and monitor Hydrogen Fluoride levels. Significant releases may require considerable downwind evacuation. Use appropriate protective equipment. Water spray may be used for mitigation. If leak is from cylinder or cylinder valve call the Air Products’ emergency telephone number. If the leak is in the user’s system, close the cylinder valve, safely vent the pressure, and purge with an inert gas before attempting repairs. SECTION 7. HANDLING AND STORAGE STORAGE: Store cylinders in a well-ventilated, secure area, protected from the weather. Secured cylinders should be stored upright with properly installed valve outlet seals and valve protection caps in place. Do not allow storage temperature to exceed 125 °F (52 °C). Storage should be away from heavily traveled areas and emergency exits. Full and empty cylinders should be segregated. Use a first-in-first-out inventory system to prevent full containers from being stored for long periods of time. Local codes may have special requirements for toxic gas storage. HANDLING: Do not drag, roll, or slide cylinder. Use a suitable handtruck designed for cylinder movement. Never attempt to lift a cylinder by its cap. Secure cylinders at all times while in use. Use a separate control valve to safely discharge gas from cylinder. Use a check valve to prevent reverse flow into the cylinder. Never apply flame or localized heat directly to any part of the cylinder. Do not allow any part of the cylinder to exceed 125 °F (52 °C). When preparing to connect cylinder for use, always loosen valve outlet seal slowly. Once cylinder has been connected to process, open cylinder valve slowly and carefully. If user experiences any difficulty operating the cylinder valve; discontinue use and contact supplier. Never insert an object (e.g., wrench, screwdriver, etc.) into valve cap openings. Doing so may damage valve causing a leak to occur. Use an adjustable strap-wrench to remove over-tight or rusted caps. SPECIAL PRECAUTIONS: Most metals are corroded by Hydrogen Fluoride in the presence of moisture. Systems should be kept free of moisture. Purge system with dry inert gas (i.e., helium or nitrogen) before Hydrogen Fluoride is introduced and when system is out of service. Carbon steel, stainless steel, Monel or copper are suitable materials of construction for use when no moisture is present under normal temperature conditions. Do not use brass or aluminum. Hastelloy, platinum or gold offer good resistance to corrosion when moisture is present. Teflon, calcium-filled teflon or lead are the preferred gasket materials. Glass and ceramics are corroded by Hydrogen Fluoride. CAUTION: There is a potential over-pressure hazard with the long term storage of carbon steel cylinders containing anhydrous Hydrogen Fluoride (AHF). AHF in the cylinder reacts very slowly with the iron in the steel to form iron fluoride and hydrogen. The hydrogen collects in the vapor space and builds pressure. Carbon steel cylinders containing AHF should not be stored for extended periods of time without monitoring pressure and cylinder condition. Extreme caution should be taken during the handling of any AHF cylinders that have been stored for extended periods of time. Air Products recommends a pressure check be conducted every two years for continued storage of unused product. Excess pressure must be vented through an appropriate scrubber system. If user wishes to return cylinder after two years, please contact your supplier for return. Always store and handle compressed gases in accordance with Compressed Gas Association, Inc. (ph. 703-412-0900) pamphlet CGA P-1, Safe Handling of Compressed Gases in Containers. Local regulations may require specific equipment for storage or use. SECTION 8. EXPOSURE CONTROLS/PERSONAL PROTECTION ENGINEERING CONTROLS: VENTILATION: Provide adequate ventilation and/or local exhaust to prevent accumulation of Hydrogen Fluoride concentrations above exposure limits. RESPIRATORY PROTECTION: Emergency Use: Self-contained breathing apparatus (SCBA) or a combination full-face supplied air respirator equipped with an escape SCBA. EYE PROTECTION: Safety glasses for handling cylinders. A full faceshield should be worn in addition to safety glasses or goggles when connecting, disconnecting or opening cylinders. SKIN PROTECTION: Leather gloves for handling cylinders. Acid resistant gloves (e.g. butyl rubber, Neoprene, polyethylene) and splash suit when connecting, disconnecting or opening cylinders. Encapsulating chemical protective suit for emergencies. OTHER PROTECTIVE EQUIPMENT: Safety shoes, safety shower, eyewash fountain. SECTION 9. PHYSICAL AND CHEMICAL PROPERTIES APPEARANCE, ODOR AND STATE: Colorless liquefied gas that fumes white and has a sharp suffocating acidic odor. MOLECULAR WEIGHT: 20.1 BOILING POINT (1 atm): 67.1 °F (19.5 °C) SPECIFIC GRAVITY (also called vapor density) (Air =1): 1.3-1.9 SPECIFIC GRAVITY (Water =1): 0.97 FREEZING POINT / MELTING POINT: -118.4 °F (-83.6 °C) VAPOR PRESSURE (At 70 °F (21.1 °C)): 14.1 psia GAS DENSITY (At 70 °F (21.1 °C) and 1 atm): 0.177 lb/ft3 LIQUID DENSITY (At 68 °F): 8.12 lb/g SOLUBILITY IN WATER (Vol./Vol. at 32° F (0°C) and 1 atm): Very soluble (violent reaction) SECTION 10. STABILITY AND REACTIVITY CHEMICAL STABILITY: Stable CONDITIONS TO AVOID: Cylinders should not be exposed to temperatures in excess of 125 °F (52 °C). INCOMPATIBILITY (Materials to Avoid): Water, alkaline solutions, glass, concrete and other silicon bearing materials, carbonates, sulfides, cyanides, and common metals. Corrosive to many materials including leather and rubber. REACTIVITY: A) HAZARDOUS DECOMPOSITION PRODUCTS: Hydrogen over an extended period of time in steel cylinders and systems. B) HAZARDOUS POLYMERIZATION: Non-hazardous endothermic polymerization may occur in gas phase. SECTION 11. TOXICOLOGICAL INFORMATION LC$_{50}$ (Inhalation): 1276 ppm (rat, 1 hour) LD$_{50}$ (Oral): Not available LD$_{50}$ (Dermal): Not available SKIN CORROSIVITY: Hydrogen Fluoride can cause severe burns that may not be immediately painful or visible. ADDITIONAL NOTES: Animals exposed to hydrogen fluoride have exhibited kidney, lung, heart and liver damage. SECTION 12. ECOLOGICAL INFORMATION AQUATIC TOXICITY: There is no definitive aquatic toxicity data available. MOBILITY: Unknown PERSISTENCE AND BIODEGRADABILITY: Unknown POTENTIAL TO BIOACCUMULATE: Unknown REMARKS: Do not release large amounts of Hydrogen Fluoride to the atmosphere. This product does not contain any Class I or Class II ozone depleting chemicals. SECTION 13. DISPOSAL CONSIDERATIONS UNUSED PRODUCT / EMPTY CONTAINER: Return cylinder and unused product to supplier. Do not attempt to dispose of unused product. DISPOSAL INFORMATION: Scrubbing via caustic is the most common method of disposal. SECTION 14. TRANSPORT INFORMATION DOT SHIPPING NAME: Hydrogen Fluoride, Anhydrous Poison - Inhalation Hazard, Zone C HAZARD CLASS: 8 IDENTIFICATION NUMBER: UN1052 PACKING GROUP: 1 SHIPPING LABEL(s): Corrosive, Poison Inhalation Hazard PLACARD (All quantities): Corrosive, Poison Inhalation Hazard ADDITIONAL MARKING: Hydrogen Fluoride is also a hazardous substance regulated by the EPA. When shipping quantities of 100 lbs. or more in one cylinder, add the prefix “RQ” to the DOT shipping name on the documentation and clearly mark “RQ” on the cylinder near the label. SPECIAL SHIPPING INFORMATION: Cylinders should be transported in a secure upright position in a well-ventilated truck. Never transport in passenger compartment of a vehicle. Ensure cylinder valve is properly closed, valve outlet cap has been reinstalled, and valve protection cap is secured before shipping cylinder. CAUTION: Compressed gas cylinders shall not be refilled except by qualified producers of compressed gases. The filling and shipping of a compressed gas cylinder without the written consent of the owner is in violation of federal law (49 CFR 173.301). NORTH AMERICAN EMERGENCY RESPONSE GUIDE (NAERG) #: 125 SECTION 15. REGULATORY INFORMATION U.S. FEDERAL REGULATIONS: EPA - ENVIRONMENTAL PROTECTION AGENCY CERCLA: Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (40 CFR Parts 117 and 302) Reportable Quantity (RQ): 100 lbs (45.4 kgs) SARA TITLE III: Superfund Amendment and Reauthorization Act SECTIONS 302/304: Emergency Planning and Notification (40 CFR Part 355) Extremely Hazardous Substances: Hydrogen Fluoride is listed. Threshold Planning Quantity (TPQ): 100 lbs (45.4 kgs) Reportable Quantity (RQ): 100 lbs (45.4 kgs.) SECTIONS 311/312: Hazardous Chemical Reporting (40 CFR Part 370) IMMEDIATE HEALTH: Yes PRESSURE: No DELAYED HEALTH: Yes REACTIVITY: Yes FIRE: No SECTION 313: Toxic Chemical Release Reporting (40 CFR Part 372) Hydrogen Fluoride does require reporting under Section 313. CLEAN AIR ACT: SECTION 112 (r): Risk Management Programs for Chemical Accidental Release (40 CFR PART 68) Hydrogen Fluoride is listed as a regulated substance. Threshold Quantity (TQ): 1000 lbs TSCA: Toxic Substance Control Act Hydrogen Fluoride is listed on the TSCA inventory. OSHA - OCCUPATIONAL SAFETY AND HEALTH ADMINISTRATION: 29 CFR Part 1910.119: Process Safety Management of Highly Hazardous Chemicals Hydrogen Fluoride is listed as a highly hazardous chemical. Threshold Quantity (TQ): 1000 lbs (454 kgs) STATE REGULATIONS: CALIFORNIA: Proposition 65: This product is not a listed substance which the State of California requires warning under this statute. SECTION 16. OTHER INFORMATION NFPA RATINGS: HEALTH: = 4 FLAMMABILITY: = 0 INSTABILITY: = 1 SPECIAL: HMIS RATINGS: HEALTH: = 3 FLAMMABILITY: = 0 REACTIVITY: = 2
Types of Insomnia M L Perlis and P Gehrman, University of Pennsylvania, Philadelphia, PA, USA © 2013 Elsevier Inc. All rights reserved. Glossary Difficulty initiating and maintaining sleep (DIMs): A broad term that includes insomnia with any of the subtypes described above. Idiopathic insomnia: Lifelong insomnia with a presumed organic component. Inadequate sleep hygiene insomnia: A form of insomnia that is conceptualized as being perpetuated, in large measure, by lifestyle issues. Initial insomnia: Difficulty falling asleep in the absence of middle or late insomnia (also referred to as sleep onset insomnia). Insomnia not otherwise specified (NOS): A form of insomnia that is conceptualized as being perpetuated by unknown factors. Late insomnia: Difficulty with early morning awakenings in the absence of initial or middle insomnia (also referred to as terminal insomnia or sleep offset insomnia). Middle insomnia: Difficulty maintaining sleep in the absence of initial or late insomnia (also referred to as sleep maintenance insomnia). Paradoxical insomnia: A form of insomnia for which there is a profound discrepancy between the patient’s experience of sleep continuity disturbance and the measure of insomnia severity by polysomnography. Physiological insomnia: A form of insomnia that is conceptualized as being perpetuated, in large measure, by organic factors. Psychophysiologic insomnia: A form of insomnia that is conceptualized as being perpetuated by both psychological (behavioral and cognitive) and physiological factors. Sleep continuity: This term is often used in two interrelated ways. One use is to refer to the extent to which sleep is efficient as regards sleep latency (SL) and/or wake after sleep onset (WASO) measures. The other use specifically refers to the class of variables (in contrast to sleep architecture) that measure sleep ‘performance’ including SL and/or WASO, number of awakenings (NWAK) measures, total sleep time (TST), and sleep efficiency as a percentage measure of the ratio of TST to total time in bed (SE %). History and Nomenclature Insomnia is the first of the sleep disorders to be described as either a symptom or a disease. References to this form of sleeplessness may be found in the oldest documents known to man including Iliad, the Epic of Gilgamesh, the Torah, the New Testament, and the Koran. Interestingly, the term for insomnia, while generally ubiquitous, also has a variety of historical synonyms that, while not in current use, serve to illustrate the wisdom of the ages. For example, as cited in a Medical Dictionary published in 1892, insomnia is referred to as, in general, ‘Agrypnia,’ and the dictionary further specifies three subtypes. Agrypnia – a term for wakefulness or sleeplessness; one of the premonitory signs of insanity. Agrypnia excitata – sleeplessness due to mental excitement with listlessness as to surrounding objects. Agrypnia pertusa – sleeplessness from bodily disquiet, with attention alive to surrounding objects. Agrypnia senilis – the sleeplessness of old age. It is interesting to note that each of these classifications have direct modern analogs (not necessarily in name but in terms of theory). First, with respect to the general category, the claim that sleeplessness is a ‘premonitory sign for insanity’ is very consistent with modern research showing that insomnia is a significant risk factor for, and potentially a prodromal sign of, depression. Further, insomnia has been found to be a risk factor for other psychiatric disorders (though the evidence base is less well developed) such as anxiety and substance disorders. With respect to Agrypnia excitata, this classification appears to presage the relevance of cognitive arousal (including worry, rumination, intrusive thoughts, and attention bias) as a perpetuating factor for insomnia. With respect to Agrypnia pertusa, this classification appears to presage the relevance of abnormal sensory and information processing as a perpetuating factor for insomnia. Finally, while controversial, Agrypnia senilis does seem to capture the common observation that sleep continuity declines with age. There is also a historical precedent for typing insomnia in terms of the presenting complaint, that is in terms of the subtypes (or phenotypes) of insomnia which include initial, middle, and terminal insomnia. According to Kleitman, in his seminar work ‘Sleep and Wakefulness’ (1939/1963), the first reference to the insomnia subtypes was by Worster-Drought in 1927. While it is difficult to say how these terms became enshrined in the sleep and/or psychiatry lexicons, one likely possibility is the use of these classifications by Hamilton in the construction of his rating scale for depression (first published in 1960). The classical description of the insomnia subtypes, which are essentially unchanged from Kleitman’s description, are provided below. Initial or predormitional insomnia – where the onset of sleep is delayed. Middle insomnia – (where sleep is) broken, choppy, intermittent, or lacunary. Terminal or postdormitional (or late) insomnia – where the sleeper awakens up too early and is not able to fall asleep again. Currently, insomnia is defined in each of the major nosologies that define human disease and mental illness including (as noted above) Diagnostic and Statistical Manual for Psychiatric Disorders, 4th edn, Text Revision (DSM-IV-TR) and the International Classification of Sleep Disorders, 2nd edn (ICSD-2) as well as the International Classification of Disease, 9th edn (ICD-9). These diagnostic classifications have been augmented with the delineation of formal research diagnostic criteria. Perhaps the most significant historical development to date with respect to the definition of insomnia and insomnia subtypes has been the effort to challenge the validity and utility of the diagnostic classification of ‘secondary’ insomnia by Lichstein and colleagues. At this juncture, many appear ready to doff the concept of ‘secondary’ insomnia in favor of the concept of ‘comorbid’ insomnia. This perspective appears to have been embraced by the framers of the DSM-V who have all but abolished the concept and category of secondary insomnia with the elimination of the requirement that primary insomnia be diagnosed only in the absence of concurrent medical and mental illness. The newer conceptualization is that when insomnia occurs with axis I and axis II disorders, the insomnia is to be considered a comorbid disorder. Finally, even the diagnostic term has been altered to reflect this change in emphasis. In the upcoming DSM-V, what was once called primary insomnia is now slated to be referred to as insomnia disorder. Demographics and Prevalence To our knowledge there are little to no demographic or epidemiologic data (lifetime prevalence, annual incidence, or data regarding remission, recovery, and/or relapse rates) for any of the types of insomnia. Data that do exist pertain to point prevalence and these data appear to be based largely on expert consensus. With this caveat in mind, the ICSD-2 specifies the point prevalence and in-clinic prevalence rates for each insomnia type. Several studies have been conducted regarding the prevalence of the insomnia subtypes (both in the population at large and within clinical subgroups). In general, each of the three phenotypes appear to be equally represented (regardless of the sample), with some limited data to support the notion that sleep initiation problems occur predominately in young individuals and sleep maintenance problems (particularly early morning awakenings) occur predominately in the elderly. Given the relative absence of demographic or epidemiologic data for the types of insomnia, the general data regarding insomnia (variably defined) may be illustrative. Acute insomnia (variably defined from days to months) is thought to occur in up to 30% of the population and insomniac as much as 50% of patients assessed in primary-care practice. Chronic insomnia (variably defined as more than 2 weeks to more than 6 months) is thought to occur in 10% of the population. Little is known about the annual incidence of insomnia (new onset cases per year) lifetime prevalence of the disorder, and/or how frequently patients with acute or chronic insomnia (1) spontaneously remit and/or relapse from such remissions or (2) relapse following self-help or evidence-based treatment. The best data to date suggest that - the annual incidence rate for insomnia is ~5%; - patients with chronic insomnia tend to remain ill at a rate of about 50% over follow-up periods of 1–20 years. Onset, Ontogeny, and Clinical Course In the absence of data, it is presumed that each of the insomnia types (if not subtypes) have different natural histories. At one extreme end of the continuum it is likely that the onset of the disorder is presumed to be early in life (first two decades) and the clinical course is chronic and relatively invariant (idiopathic insomnia). At the other extreme end of the continuum it is likely that the onset, ontogeny, and clinical course are entirely situational or environmental (sleep hygiene insomnia disorder). For specifics regarding onset, ontogeny, and clinical course of the various types and subtypes of insomnia, the reader is referred to the articles that specifically define these disorders. With respect to subtype differences vis-à-vis onset, ontogeny, and clinical course considerations, there is also a relative dearth of data, with one notable exception. There are at least two cross-sectional epidemiologic studies which suggest that initial and late insomnia are differentially prevalent in the young and the old (more initial insomnia in the young and more late insomnia in the old). Whether these represent cohort or aging effects remains to be determined. Etiology and Pathophysiology As with clinical course issues, there are little to no data regarding type and subtype differences with respect to etiology, pathophysiology, and pathogenesis. This said, it is possible (if not likely) that each of the insomnia types, and potentially the subtypes (Table 1), occur as a result of different biopsychosocial pathological processes. At one extreme end of the continuum the etiology and pathophysiology are likely to be largely organic in nature (i.e., idiopathic insomnia and/or physiological insomnia) and the expression of the disorder is presumably the result of genetic and/or biological abnormalities that give rise to fundamental dysregulations of the circadian system, --- Table 1 Prevalence of insomnia subtypes \| Type \| Population prevalence (%) \| In-clinic prevalence (%) \| \|-------------------------------------------\|---------------------------\|--------------------------\| \| Idiopathic insomnia \| 0–1 \| <10 \| \| Psychophysiological insomnia \| 1–2 \| 12–15 \| \| Paradoxical insomnia \| – \| 5 \| \| Inadequate sleep hygiene \| 1–2 \| 5–10 \| \| Physiological insomnia \| – \| – \| \| Insomnia NOS \| – \| – \| \| Insomnia due to mental illness \| 3 \| \| \| Insomnia due to medical illness \| 0–1 \| 3–4 \| \| Insomnia due to substance use/abuse or withdrawal \| 0–1 \| 3–4 \| All the entries in this table are from the ICSD-2 (stated as ranges). Note: the total of the population prevalence is consistent with the 10% overall prevalence rate of chronic insomnia. Two studies estimate that 44% and 46% of patients with chronic insomnia assessed in clinic have concurrent mental illness.** the sleep homeostasis system, and/or the underlying neural circuitry of sleep and/or wake control (note: the drosophila model of insomnia, as developed by Shaw and colleagues, serves as an excellent illustration of such phenomena). At the other extreme end of the continuum it is likely that the etiology and pathophysiology are entirely related to so-called lifestyle factors (i.e., sleep hygiene insomnia disorder) or behaviors that adversely affect the individual’s sleep and/or wake control system (i.e., behaviors that exceed the natural ‘automaticity’ and ‘plasticity’ of the sleep system). When considering the insomnia types dimensionally, it is important to note that psychophysiological insomnia represents the middle of the continuum. In this case, the disorder is clearly conceptualized as occurring as a result of reciprocally interactive biological and psychological factors (including cognitive, behavioral, and conditioning effects). For specifics regarding the etiology, pathophysiology, and pathogenesis of the various insomnia types, the reader is referred to the articles in this text that specifically define these disorders (and to the recommended readings listed at the end of this article). Given the relative dearth of information regarding the etiology and pathophysiology regarding insomnia types, it should come as no surprise that there are also little to no data that show how the insomnia subtypes differ with respect to genetic and/or biological factors, regulation of the circadian and sleep homeostasis systems, and/or the functioning of the neural circuitry of sleep and/or wake control. This said, extreme forms of initial and terminal insomnia have been exhaustively researched as independent disorders of the circadian system. Specifically, delayed sleep phase disorder (corresponding to initial insomnia) and advanced sleep phase disorder (corresponding to terminal insomnia). In these cases, the pathogenesis of the disorders are thought to be related to differences in the circadian control of sleep and wakefulness and there is behavioral and molecular genetic research to suggest that these disorders are heritable and are related to specific gene alterations (e.g., alterations in the expression of PER-2 and PER-3 genes). For specifics regarding delayed sleep phase disorder and advanced sleep phase disorder, the reader is referred to the articles in this text that specifically define these disorders. Associative, Predisposing, and Precipitating Factors As a general entity, chronic insomnia has been extensively described in almost precisely these terms. That is, chronic insomnia (presumably as classified as primary insomnia in the DSM-IV-TR or as defined as psychophysiological insomnia in the ICSD-2) has been posited to occur in relation to predisposing (as opposed to associative), precipitating, and perpetuating factors. In brief, the model, articulated by Spielman and colleagues in the 1980s, suggests that a variety of biopsychosocial factors predispose the individual to, and precipitate the development of, insomnia and that the chronic form of the disorder develops in association with one particular perpetuating factor: the behavioral tendency to extend sleep opportunity in the face of sleep loss. The net effect of this behavioral tendency is to produce a mismatch between ‘sleep ability’ and ‘sleep opportunity’ such that sleep continuity disturbance will persist unabated and largely in the absence of the factors that predisposed and/or precipitated the onset of the disorder. The model has high face validity, strong conceptual internal validity, and the treatments that derive from the model have been found to be highly efficacious. This said, the specific tenets of the model (especially in terms of natural history of insomnia) have not been specifically assessed for their potential as causal factors. The only model, to our knowledge, that appears to address how the insomnia types differ with respect to predisposing, precipitating, and perpetuating factors is the neurocognitive model. In this instance, it is suggested that paradoxical insomnia (or at least the phenomenon of sleep state misperception) occurs in association with a ‘second-order’ perpetuating factor: conditioned cortical arousal. It is hypothesized that with time the neurophysiologic arousal that occurs with insomnia becomes a conditioned phenomenon (i.e., cortical/subcortical activation occurs as a conditioned response to sleep-related stimuli). The result of abnormal levels of activation is to permit high levels of sensory and information processing at or around sleep onset and during non-rapid eye movement (NREM) sleep and the formation of some degree of long-term memory for these periods of time. Taken together (brain activation and the consequences of this activation), and given that such events do not alter sleep staging, it follows that there would be a discordance between the patient’s perception and the objective measure of sleep. Empirical studies of the tenets of this model have provided some supportive data for the perspective. To date, there are no studies or theories that seek to account for the different phenotypic expressions of insomnia. In fact, the descriptive and diagnostic utility of subtyping is in and of itself rather controversial. The primary objection to the relevance of the subtypes comes from the observation (one study and routine clinical observation) that the subtypes are unstable over time (change from one to another) and thus don’t represent a trait or phenotype. A useful way of thinking about such variability is to ask (1) what was the initial expression of the insomnia and (2) what factors precipitated the change. The former may represent a trait disposition and the latter may implicate factors related to conditioning and/or factors that impinge on the circadian and homeostatic regulation of sleep. Diagnosis Each of the types of insomnia has formal definitions. To date there is no agreed-upon definitions for the insomnia subtypes. For a brief description of the insomnia types, please refer to the glossary entries. For detailed information about the various diagnostic entities, the reader is referred to the articles in this text that are devoted to each classification. Treatment As a continuing theme of this review, there is no evidence that any type or subtype of insomnia is differentially responsive to one or more treatment types. This said, a general overview of treatment approaches is provided below. ### Table 2 \| Generic \| Brand \| $T_{1/2}$ (h) \| Dose (mg) \| Drug class \| \|-----------\|-----------\|---------------\|-----------\|------------\| \| Flurazepam\| Dalmane \| 48–120 \| 15–30 \| BZD \| \| Temazepam \| Restoril \| 8–20 \| 15–30 \| BZD \| \| Triazolam \| Halcion \| 2–6 \| 0.125–0.25\| BZD \| \| Estazolam \| Prosom \| 8–24 \| 1–2 \| BZD \| \| Quazepam \| Doral \| 48–120 \| 7.5–15 \| BZD \| \| Zolpidem \| Ambien \| 1.5–2.4 \| 5–10 \| Non-BZD \| \| Zaleplon \| Sonata \| 1 \| 5–20 \| Non-BZD \| \| Eszopiclone\| Lunesta \| 5–7 \| 1–3 \| Non-BZD \| \| Zolpidem ext. rel. \| Ambien CR \| 1.5–2.4 \| 6.25–12.5 \| Non-BZD \| Adapted from a slide by Daniel Buysse and colleagues. ### Pharmacologic approaches In general, there are four approaches to the medical treatment of insomnia. The first approach is via the use of sedative hypnotics (barbiturates (e.g., meprobamate), benzodiazepines (e.g., temazepam), and benzodiazepine receptor agonists (e.g., zolpidem)). Of these classes, barbiturates are no longer considered to have a primary indication for the treatment of insomnia, owing to its low therapeutic index. Currently, there are no data to suggest that benzodiazepine receptor agonists have superior efficacy or safety profiles as compared to benzodiazepines, although it is generally believed that benzodiazepine receptor agonists have a higher therapeutic index. The second approach is via the use of melatonin agonists. Currently, there is only one compound with an Food and Drug Administration (FDA) indication for the treatment of insomnia (ramelteon). While there are no data regarding this medication’s relative efficacy, it has been shown to have larger effects on polysomnographic (PSG) measures as compared to prospective self-report measures (sleep diaries). The third approach is via the use of low-dose doxepin (Silenoi). This compound, originally developed and marketed as an antidepressant, is thought to provide good efficacy while providing a reduced risk for side effects and tolerance, especially in elderly patients. The fourth approach includes a variety of off-label approaches using antidepressant (e.g., trazodone) and/or antipsychotic (quetiapine) medications. At present, the limited data that exist do not suggest that either approach has superior efficacy and/or better safety profiles than the benzodiazepines or benzodiazepine receptor agonists. Table 2 presents detailed information on some of the most commonly prescribed hypnotics. ### Cognitive behavioral approaches The primary cognitive behavioral treatment of insomnia (CBT-I) is a multicomponent behavioral therapy that usually comprises three core treatments: stimulus control, sleep restriction, and sleep hygiene therapies. Interestingly, and despite the ‘C’ in CBT-I, it is often the case that formal cognitive therapy is not part of the CBT-I intervention. #### Stimulus control therapy Stimulus control instructions (1) restrict the behaviors that occur in the bedroom to sleep and sex, (2) limit the amount of time patients spend awake in bed or the bedroom, and (3) promote counterconditioning by insuring that the bed and bedroom environment are tightly coupled with sleepiness and sleep. #### Sleep restriction Sleep restriction therapy (SRT) requires patients to limit the amount of time they spend in bed to an amount equal to their average total sleep time (TST). When sleep proves to be efficient, TST is incrementally increased. #### Sleep hygiene This intervention requires that the clinician and patient review a set of instructions which are geared toward helping the patient maintain good sleep habits. Sleep hygiene instructions, it should be noted, are not helpful when provided as a monotherapy. ### See also: Psychiatric Disorders: Mood Disorders and Sleep. ### Further Reading Edinger JD, et al. (2004) Derivation of research diagnostic criteria for insomnia: Report of an American Academy of Sleep Medicine Work Group. Sleep 27(8): 1567–1596. Kleitman N (1963) Sleep and Wakefulness, revised edition. Chicago, IL: University of Chicago Press. Lichstein KL (2006) Secondary insomnia: A myth dismissed. Sleep Medicine Reviews 10(1): 3–5. Morin CM, et al. (2009) The natural history of insomnia: A population-based 3-year longitudinal study. Archives of Internal Medicine 169(5): 447–453. Perlis ML, Smith M, Smith G, and Espie C (eds.) Models of insomnia. Kryger, Roth & Dement (eds.). Section 10, edited by Perlis D Principles and Practice of Sleep Medicine, 5th edn., section 10, ch. 850–865, Philadelphia, PA: Elsevier & Saunders Co. Perlis M, Smith M, Jungquist C, and Posner D (eds.) (2005) The Cognitive-Behavioral Treatment of Insomnia: A Session by Session Guide. New York: Springer. Satia M and Buysse D (eds.) (2010) Insomnia: Diagnosis and Treatment. New York: Informa Health Care.
Growth kinetics of Staphylococcus aureus and Streptococcus faecalis under the influence of liquid nitrogen and subsequent storage of treated cooked prawn meat T. Chanda and D. Bhattacharyya Cryobiology Division, Advanced Centre of Cryogenic Research, Jadavpur University Campus, P.B. No. 17005, Calcutta 700 032, India Growth kinetics of Staphylococcus aureus and Streptococcus faecalis in treated cooked prawn meat after liquid nitrogen freezing and subsequent frozen storage indicate that S. aureus survived up to 10 months of storage in case of liquid nitrogen frozen sample and more than 12 months in case of conventional frozen sample. In contrast, survival period of S. faecalis was limited to 2 months and 4 months in case of liquid nitrogen and conventional frozen sample respectively. Natural coliform bacteria were found to be nil after one month and five months of storage in case of liquid nitrogen and conventional frozen sample. Total bacterial count was much less in case of liquid nitrogen frozen sample during the total period of one year. The rate of production of fish in India has increased greatly during the last 20 years. About 3.0 million metric tonnes of fish are caught annually, 10% of which are frozen and exported. The increased production of fish notwithstanding the unbecoming part is the wastage due to lack of proper storage. Nearly 35–40% of the total catch goes waste every year. Fish spoilage$^1$ is normally caused by microorganisms either directly by their growth or indirectly by secreting enzymes which exert a disintegrating action on the host tissue. There are usually two types of pathogenic and spoilage bacteria naturally occurring in fishes: Clostridium botulinum type E, and Vibrio parahaemolyticus$^2$. The incidence of gastroenteritis due to these organisms is maximum in summer$^3-4$. Most of the bacterial gastroenteritis in Japan, which have been reported, are due to V. parahaemolyticus infection$^3$. However, not all V. parahaemolyticus variety are pathogenic and as the infective number for infection is high, food poisoning occurs due to mishandling of the sea food products. Further, most of the gastroenteritis outbreaks in Japan were due to consumption of raw fish$^5$, and elsewhere due to taking shrimp and crab recontaminated after cooking at temperatures permitting their rapid growth$^6$. Other pathogenic organisms which contaminate fish at various stages of processing include Streptococci, Staphylococcus aureus$^7,8$ etc. This communication describes the effects of liquid nitrogen freezing and subsequent frozen storage on the survival pattern of total bacterial count and natural coliform bacteria in fresh prawn meat and also S. aureus and S. faecalis in treated cooked prawn meat. Grass prawns (P. monodon) were purchased from Razban Sea Food Pvt. Ltd., Calcutta. After collection, the samples were taken to the laboratory in an insulated bucket under ice. Then the samples were washed, peeled and again washed. The samples were then divided according to the experimental need. Two pathogenic fish spoilage bacteria, S. aureus and S. faecalis were used in the experiments. Tryptone-glucose-beef extract agar (TGBA) medium used for total bacterial count (TBC) in fish sample was composed of 0.5% (w/v) peptone, 0.3% (w/v) beef extract, 0.1% (w/v) dextrose and 2.0% (w/v) agar and the pH was adjusted to 7.0. Desoxycholate-agar medium used for natural coliform bacteria in fish sample was composed of 1.0% (w/v) bactopeptone, 1.0% (w/v) bacto-lactose, 0.1% (w/v) Na-desoxycholate, 0.5% (w/v) NaCl, 0.1% (w/v) Na-citrate, 0.2% (w/v) K$_2$HPO$_4$, 0.1% (w/v) ferric citrate, 1.5% (w/v) bacto-agar and the pH was adjusted to 7.3 and then 0.003% (w/v) bacto-neutral red was added. Pink and red colonies were counted within 18–24 h of incubation at 37°C. The medium used for growth of S. faecalis consisted of proteose–peptone No. (3) 1% (w/v), yeast extract 1% (w/v), NaCl 0.5% (w/v), sodium glycerophosphate 1% (w/v), maltose 2% (w/v), lactose 1% (w/v), and 2% (w/v) agar in water and NaN$_3$, Na$_2$CO$_3$ and bromocresol purple were used in appropriate quantities$^9$. The medium used$^9$ for growth of S. aureus was composed of tryptone (oxoid L$_2$) 1% (w/v), Lab-Lemco beef extract 0.5% (w/v), yeast extract (oxoid L$_{21}$) 0.1% (w/v), sodium pyruvate 1% (w/v), glycine 1.2% (w/v), lithium chloride 0.5% (w/v), oxoid agar No. (3) 2% (w/v) in water and pH 6.8 (ref. 9). Nutrient broth medium, composed of peptone 0.5% (w/v), beef extract 0.3% (w/v) and pH 6.8–7.0, was used for the preparation of cell mass of S. aureus and S. faecalis. The pathogenic bacteria S. aureus and S. faecalis were each inoculated from agar slant culture to nutrient broth and incubated at 37°C under stationary condition for 24 h. After the incubation period, the culture was harvested by centrifugation under sterile condition and the pellet so obtained was resuspended in sterile isotonic saline. Then the cooked prawn meat was immersed in bacterial suspension for a period of 30 min. The above process was conducted for both S. aureus and S. faecalis. Subsequently the samples were packed in mylar pouches for liquid nitrogen freezing and in polyethylene packets for conventional freezing. The mylar pouches (containing bacteria infested prawn meat) were sealed by an automatic sealer and immediately after sealing were transferred to liquid nitrogen freezing chamber. The freezing was performed by liquid nitrogen as a two-step process with the help of a semiautomatic electronically controlled freezer, designed and developed in our laboratory. The average cooling rate was 3°C/min from ambient to −10°C and then 1.5°C/min from −10°C to −40°C. Then liquid nitrogen frozen sample and conventional frozen sample were stored at −18°C for a period of one year. Bacterial counts were made by blending a definite portion of the frozen sample with sterile saline water in the ratio 1:10 in a mortar. The different dilutions were made by usual serial dilution technique. Bacterial colonies were developed in nutrient agar medium by pour plate culture method. The plates were incubated at 37°C for 24 to 48 h to get the bacterial colonies. Then the number of colonies were counted by a colony counter. It appears from the results (data not shown) that total bacterial count (TBC) diminished slowly during the total period of one year in case of conventional frozen sample. But in case of liquid nitrogen frozen sample, the count diminished rapidly compared to conventional method up to 9 months. After 9 months of storage, steep fall in count was observed and the count became almost nil after 1 year of storage in case of liquid nitrogen frozen sample. But more than 50% cells remained viable even after 1 year of storage for conventional frozen sample. It appears from the results (data not shown) that the count of natural coliform bacteria reduced drastically in case of liquid nitrogen frozen sample and became nil after one month of storage. In contrast, fairly good count was observed up to 5 months in case of conventional frozen sample and then the count became nil during the period under consideration. Growth kinetics of S. aureus for a period of one year under different conditions of freezing (both conventional and liquid nitrogen) and frozen storage after being applied to prawn meat showed 93% reduction in case of liquid nitrogen frozen sample; whereas only 43.8% reduction was observed in case of conventional frozen sample (Figure 1). It was observed from figure 1 that liquid nitrogen frozen sample showed a little variation up to 5 months of storage, whereas from 6 months onwards the count was drastically reduced and became nil after 10 months of storage. Figure 2 indicates the growth kinetics of S. faecalis for a period of one year under different conditions of freezing (both conventional and liquid nitrogen) and frozen storage after being applied to prawn meat. The count was drastically reduced in case of liquid nitrogen frozen sample and the count became nil after two months of storage. But in case of conventional method of freezing, fairly good count was observed up to 4 months of storage after an initial drop of 90% and became nil during the period under consideration. The interesting part of the experiment was that no cryoprotectant had been used during freezing of the sample. This is because of the fact that the cryoprotectants protect cells and tissues during freezing. But in our case, protection of prawn tissues and destruction of pathogenic bacterial cells are equally important. It was observed that at the rates of cooling used in our experiments bacterial cells, particularly the pathogenic bacteria, were destroyed but the prawn tissues got least damaged. --- 1. Liston, J., Matches, J. R. and Baross, J., in Fish Inspection and Quality Control, (ed. Kreuzer, R.), Fishing News Books Ltd, Surrey, UK, 1978. 2. Asakawa, S., J. Fac. Anim. Husb., Hiroshima Univ., 1965, 6, 223–228. 3. Liston, J., in Food Microbiology: Public Health and Spoilage Aspects (eds Defigueiredo, M. P. and Splittstoesser, D. F.), Avi. Publ. Co., Westport, Connecticut, USA, 1976. 4. Liston, J., in Advances in Fish Science and Technology, (ed. Connell, J. J.), Fishing News Books Ltd, Surrey, UK, 1980. 5. Okabe, S., International Symposium on Vibrio parahaemolyticus (eds Fujino, T., Sakaguchi, G., Sakazaki, R. and Takeda, Y.), Saikon Publ. Co., Tokyo, Japan, 1974. 6. Barker, W. H., Weaver, R. E., Morris, G. K. and Martin, W. T., in Microbiology (ed. Schlessinger, D.), American Society for Microbiology, Washington DC, USA, 1974. 7. Sanjeev, S. and Iyer, K. Mahadeva, Fishery Technology, 1988, 25, 139–141. 8. Gopalakrishna Iyar, T. S. and Shrivastava, K. P., Fishery Technology, 1988, 25, 132–138. 9. APHA Recommended methods for the microbiological examination Nerves innervate the ectopic limbs Pragnya Das* and P. Mohanty-Hejmadi Department of Zoology, Utkal University, Bhubaneswar 751 004, India $Sambalpur University, Sambalpur 768 019, India In this communication, we report the innervation of the ectopic hindlimbs formed as a result of homeotic transformation mediated by vitamin A in the Indian jumping frog, Polypedates maculatus* (Anura: Rhacophoridae). Histology and nerve staining revealed that the ectopic limbs are innervated. It is well known that vitamin A causes severe embryonic malformations in several animals ever since their discovery in 1909 (refs 1–3). However, its effect is more pronounced in amphibians causing proximodistal, anteroposterior and dorsoventral duplication of parts of the limbs during limb regeneration in several species of amphibians$^{4–14}$. But the most remarkable of all the effects of vitamin A is the homeotic transformation of tails to limbs in Uperodon systema$^{15}$. Since then several workers have confirmed similar phenomenon in other species of amphibians$^{16–19}$. As many as 8–9 ectopic limbs arise from the tail tissue. The limbs arise either singly or in pairs. Most of the ectopic limbs have the normal hindlimb structure but none of them is functional. The tadpoles dragged the extra limbs and died as a result of overgrowth. As the ectopic limbs were functionless, it was possible that they were devoid of nerves. The present study was therefore undertaken to ascertain whether the ectopic limbs of P. maculatus were supplied with nerves. The egg mass of P. maculatus was collected from Utkal University campus in July, 1995 and reared in the laboratory up to the hindlimb bud stage following the standardized procedure of Mohanty-Hejmadi$^{20}$. Prior to amputation in the middle of the tail, the tadpoles were anaesthetized in MS 222 (tricaine methanesulphonate) and exposed to vitamin A 10 IU/ml for 72 h. Following the above treatment they were transferred to aerated, conditioned water and allowed to grow till the emergence of ectopic limbs. Throughout the experiment they were fed with boiled egg and Amaranthus ad libitum. Once the ectopic limbs had developed and the forelimbs emerged, the tadpoles were fixed in 10% buffered formalin. For histological studies of the tail region of tadpoles with ectopic limbs, the tails of those tadpoles who possessed ectopic limbs (Figure 1a) were amputated and fixed in aqueous Bouin’s fluid, embedded in paraffin (m.p. 58°C–60°C), sectioned longitudinally at 10 μm thickness and stained with Mallory’s triple stain for examination under the light microscope. Interestingly, histological studies revealed that multiple sections of the nerve cord were found in the extreme distal and ventral regions of the tail (Figure 1b). As the limbs always arise from the ventral side, it is quite likely that the nerve cord which is located on the dorsal side, takes several turns in the distal region of the tail to reach the ventral side, perhaps to supply the ectopic limbs. As a result, multiple sections of the nerve cord were visible on the ventral side in the distal region of the tail. To be more sure that the ectopic limbs were innervated, Sihler’s differential nerve staining technique$^{21}$ was used on the tadpoles with ectopic limbs. In both the tadpoles (Figure 1c, d) a thin, faint nerve could be discerned in the ectopic limbs. The continuity of the nerves could not be tracked due to the shrinking of the specimens during fixation. On the other hand, the nerves innervating the normal hindlimbs were thick and prominent (Figure 1c) and were therefore easily distinguishable. The present study therefore confirms that, because of sparse and weak innervation the ectopic limbs are not fully functional, although morphologically they are well-developed hindlimbs. They are richly vascularized too as revealed from histology (unpublished data). Singer$^{22}$ transplanted the upper arm segments of the adult Notophthalmus viridescens, in the flank region of the same animal and found that a few of the grafts regenerated after some delay. The arms which had regenerated contained an average less than one-third of the normal density of nerve fibres. A similar fraction of the total nerve supply can induce the formation of supernumerary limbs when diverted to a surface wound. Thornton and Tassava$^{23}$ also recorded regeneration in orthotypically transplanted arms of Ambystoma mexicanum larvae which were kept sparsely innervated by repeated denervation. On the other hand, if the hind brain and trunk nerve cord are excised when they first form a neural tube, a defective embryo develops which survives and develops normally but is incapable of normal movements or feeding. The arms develop quite well with either very few or no detectable nerve fibres and can reach the four digit stage in this species$^{24}$. This might be the
Danube To Budapest A gripping and detailed study of the brutal urban battle for Budapest, which saw German and Hungarian troops struggling to halt the joint Soviet-Romanian offensive to take the key city on the Danube. The 52-day-long siege of Budapest witnessed some of the most destructive urban fighting of the war. The Transdanubia region was strategically vital to Nazi Germany for its raw materials and industry, and because of the bridgehead it allowed into Austria. As a result, Hitler declared Budapest a fortress city in early December 1944. The battle for the city pitted 90,000 German and Hungarian troops against 170,000 Soviet (2nd and 3rd Ukrainian Fronts) and Romanian attackers. The operations to take the city ran across several phases, from the initial Soviet approach to Budapest commencing in late October 1944, through the encirclement of city first on the Pest side of the Danube, and then on the Buda bank, and on to the savage urban fighting that began in December 1944 for the Hungarian capital. This superbly detailed work analyses the background, chronology and consequences of the siege from both a military and political perspective, and documents the huge losses in military and civilian casualties and material damage. Whether you want to soak in a thermal bath, cruise the Danube River, or walk the Chain Bridge, the local Fodor’s travel experts in Budapest are here to help! Fodor’s Budapest guidebook is packed with maps, carefully curated recommendations, and everything else you need to simplify your trip-planning process and make the most of your time. This new edition has been fully-redesigned with an easy-to-read layout, fresh information, and beautiful color photos. Fodor’s Budapest travel guide includes: AN ILLUSTRATED ULTIMATE EXPERIENCES GUIDE to the top things to see and do MULTIPLE ITINERARIES to effectively organize your days and maximize your time MORE THAN 25 DETAILED MAPS to help you navigate confidently COLOR PHOTOS throughout to spark your wanderlust! HONEST RECOMMENDATIONS FROM LOCALS on the best sights, restaurants, hotels, nightlife, shopping, performing arts, activities, side-trips, and more PHOTO-FILLED “BEST OF” FEATURES on “What to Eat and Drink,” “What to Buy” and more TRIP-PLANNING TOOLS AND PRACTICAL TIPS including when to go, getting around, beating the crowds, and saving time and money HISTORICAL AND CULTURAL INSIGHTS providing rich context on the local people, politics, art, architecture, cuisine, geography and more SPECIAL FEATURES on “Budapest’s Baths” “What to Watch and Read Before You Visit,” and “Budapest Through the Years” LOCAL WRITERS to help you find the under-the-radar gems HUNGARIA- LANGUAGE PRIMER with useful words and essential phrases UP-TO-DATE COVERAGE ON: Széchenyi Baths, Hungarian Parliament, the Danube River, Chain Bridge, Margaret Island, Fisherman’s Bastion, Great Market Hall, Buda Castle, Leopold Town, Franz Town, Joseph Town, the Jewish Quarter, Belváros, Obuda, City Park, the opera, side trips, ruin bars, thermal baths, and more. Planning on visiting other destinations in Central Europe? Check out Fodor’s Prague and Fodor’s Vienna & the Best of Austria. Important note for digital editions: The digital edition of this guide does not contain all the images or text included in the physical edition. ABOUT FODOR’S AUTHORS: Each Fodor's Travel Guide is researched and written by local experts. Fodor’s has been offering expert advice for all tastes and budgets for over 80 years. For more travel inspiration, you can sign up for our travel newsletter at fodors.com/newsletter/signup, or follow us @FodorsTravel on Facebook, Instagram, and Twitter. We invite you to join our friendly community of travel experts at fodors.com/community to ask any other questions and share your experience with us! Shoes Along the Danube refers to the memorial of cast iron shoes that honor Hungarian Holocaust victims. Based on a true story, this amazing book follows the lives of two extended Hungarian families, the Rzlers and the Fldes, one gentile and the other Jewish, through three decades.-----The story begins in pre-World War II Budapest, as increasing fascism and anti-Semitism lead Hungary to become an ally of Germany. In 1944, Germany invades Hungary to exterminate Europe's last remaining group of Jews at the infamous Auschwitz death camp. The story builds through the siege of Budapest, the Russian occupation of Hungary, and separation by exile.-----Julius Rzler is a rising star among Budapest academics and refuses to compromise his integrity. His American half-brother, Francis, is a diplomat helping democratic Hungarians fight Nazis, and later organizes covert activities against the communists. Agnes Fldes is a Jewish woman who fights to maintain her dignity during the Holocaust.-----"Professor Reeves tells a fascinating story of two of his Hungarian-American friends, Julius and my cousin Agnes, who grew up between world wars in Gentile and Jewish families on Rose Hill, an affluent district of Budapest. Even though Hungary was forced to become Germany's wartime ally, it looked that Hungarian Jews would be spared the genocide occurring throughout Europe. Yet, in 1944 everything changed when the Germans occupy Hungary for the purpose of exterminating its Jews. Reeves recounts the experiences of Holocaust victims and survivors, Righteous Gentiles who save Jews, as well as a dramatic ending in which a husband and wife are forced to choose between their vows and freedom." - S. A. Colman, Sydney, Australia -----"A fascinating, honest look at lives intertwined with the history unfolding around them set against the very real backdrop of that tumultuous history itself. The Shoes Along the Danube is a most fitting allegory for all those that left their lives behind. Highly recommended" - Bryan Dawson, Executive Chairman, American Hungarian Federation Moon Budapest & Beyond Report Addressed to His Excellency Count Julius Andrássy The Queen of the Danube The Danube Cycle Way A View of the Danube River in Budapest Hungary Journal This is part four in the Danube Bike Trail series, of which there are four in total, covering the length of the Danube as it flows through tranquil valleys and beautiful landscapes. This edition covers the German DanubeDanube from Donaueschingen to Passau.Budapest to the Black Sea, flowing through Hungary, Croatia, Serbia and Romania. These valleys are ideal for cycling. In recent years, many of the paths and lanes along the river have been paved specifically for bicycle tourists. As a result, almost the entire route follows smooth quiet roads that make it ideal for families with children. This cycling guide contains all the information you need for a cycling vacation along the Danube River: precise maps, a detailed description of the route, a comprehensive list of overnight accommodation, numerous detailed maps of cities and towns, and information about tourist attractions and sights. A story of loss and survival. Germany’s invasion of Hungary in 1944 marked the end of a culture that had dominated Central Europe from the nineteenth century to the middle of the twentieth. In this poignant memoir, Charles Farkas offers a testament to this vanished way of life—its society, morality, personal integrity, wealth, traditions, and chivalry—as well as an eyewitness account of its destruction, begun at the hands of the Nazis and then completed under the heel of Soviet Communism. Farkas’ recollections of growing up in Budapest, a city whose grandeur embraced—indeed spanned—the Danube River; his vivid descriptions of everyday life in Hungary before, during, and after World War II; and his ultimate flight to freedom in the United States remind us that behind the larger historical events of the past century are the stories of the individual men and women who endured and, ultimately, survived them. Charles Farkas was born in 1925 in Budapest, Hungary. In 1949, he earned a double doctorate in law and political science from the University of Pázmány Péter. After the failure of the 1956 Hungarian uprising, Farkas fled to the United States, where he received a master's in library science from Columbia University. He went on to become director of the Briarcliff Manor Public Library, where he worked from 1968 until his retirement in 1996. He and his wife, Edit, live in Chappaqua, New York. They have four children and, as of early 2013, four grandchildren. This blank journal with 150 lined pages awaits your writing pleasure. Use it for journaling, as a diary, or as a notebook to jot down your "To-Do" lists or even your "To-Don't" lists! The choice is all yours. Enjoy! Fodor's Budapest: With the Danube Bend & Other Highlights of Hungary From Amsterdam to Budapest Budapest Danube Siege of Budapest 1944–45 Notebook The Danube This guide describes the second part of the Danube Cycle route, a 1717km cycle ride following the lower part of the Danube from the Hungarian capital of Budapest through Hungary, Croatia, Serbia and Romania to the river's delta on the shores of the Black Sea. The cycling is generally level with a few gentle gradients, mostly on quiet country roads or riverside flood dykes. The 32 stages vary from 30-100km, with some longer excursions and surfaces are mostly asphalt and in good condition, suitable for hybrid or touring cycles. Cycling infrastructure is generally good in Hungary, Croatia and Serbia. In Romania, where there is no waymarking and often long distances between places to sleep and eat, this guidebook gives a detailed route description, maps for each stage at a cycle-friendly a scale of approximately 1:150,000 and a listing of all places offering accommodation. Off-route excursions enable short visits to be made to Bulgaria, Moldova, Ukraine and the Danube delta. Known as the 'Queen of the Danube,' Budapest is the vibrant and stunning capital of Hungary. This city not only blends the mystique of the East with the style of the West, but also combines the modern with the exotic. Ultimately, this destination offers something for everyone. As the most largely populated city in the country, and possibly one of the most densely populated cities in Europe, it is filled with an energy that is unmatched by other European capitals. Divided by the River Danube, the spectacular Chain Bridge adjoins the colorful but sedate hilly Buda to the west of the river, with the lively but flat plains of Pest in the east. Buda, or Old Buda, is also on the west side of the Danube and is an extension of the Buda to the north. Though originally a Roman outpost during the 1st century, the city of Budapest was not created until 1873, when the areas Buda, Pest, and Old Buda (Óbuda) were unified. These areas are now aligned by nine bridges, and include six islands within the city limits. What results is a world-class classical music city, that comes alive with a youthful energy. It is no wonder that Budapest has often been described as the Paris of the East. Not only is the beauty of the city's epic, faded grandeur a draw for visitors, but so are the ornate traditional baths, elegant boulevards and classic cafés. However, not every aspect of Budapest is stuck in the past. In recent years, the city underwent a significant remodeling in preparation to bid for the summer Olympics. Though it eventually withdrew its bid, the city has still benefitted from rebuilt sections on both sides of the Danube. One of Europe's famous rivers from its most breathtaking location with the Danube Bend and Other Highlights of Hungary Fodor's Budapest Vanished by the Danube From Budapest to the Black Sea Portrait of a River Bikeline Danube Bike Trail 04 Hungary, Croatia, Serbia The Cruise that this book illustrates travels through four countries, Germany, Austria, Slovakia and Hungary. This book is intended for the use of tourists enjoying a boat cruise in Germany on the Danube (The Rhine-Main-Danube Canal) between Nuremberg and Budapest. The book describes the places that can be visited in this region. The book is amply illustrated with photographs. In many of the cities a large book would be required to describe all the sights available for the tourist on a cruise such as this. To keep the size of the publication and the sale price within reasonable limits it is not feasible to enter into an in depth account on each city stop. Where the tourist requires more details on the sights visited it is advised that a detailed tour book is used to supplement this book. The book, like the cruise itself, is a taster for the visits to the cities that are described. Following the cruise, the tourist may well be encouraged to make a separate visit to places seen during the river cruise. This book describes the sights that could be encountered in a brief visit made during a river cruise, a visit usually of a few hours, sometimes of a day or two, in such places. Where the author thought it was necessary, some historical background is given relating to WW2 and the places visited. The cities described are: Nuremberg Regensburg Passau Salzburg Linz Melk Dürnstein Vienna Bratislav Budapest Who knew a New Year's trip to Budapest could be so deadly? The tour must go on - even with a killer in their midst... Recent divorcee Lana Hansen needs a break. Her luck has run sour for going on a decade, ever since she got fired from her favorite job as an investigative reporter. When her fresh start in Seattle doesn't work out as planned, Lana ends up unemployed and penniless on Christmas Eve. Dotty Thompson, her landlord and the owner of Wanderlust Tours, is also in a tight spot after one of her tour guides ends up in the hospital, leaving her a guide short on Christmas Day. When Dotty offers her a job leading the tour group through Budapest, Hungary, Lana jumps at the chance. It's the perfect way to ring in the new year and pay her rent! What starts off as the adventure of a lifetime quickly turns into a nightmare when Carl, her fellow tour guide, is found floating in the Danube River. Was it murder or accidental death? Suspects abound when Lana discovers almost everyone on the tour had a bone to pick with Carl. But Dotty insists the tour must go on, so Lana finds herself trapped with nine murder suspects. When another guest turns up dead, Lana has to figure out who the killer is before she too ends up floating in the Danube... Introducing Lana Hansen, tour guide, reluctant amateur sleuth, and star of the Travel Can Be Murder Cozy Mystery Series. Join Lana as she leads tourists and readers to fascinating cities around the globe on intriguing adventures that, unfortunately for Lana, often turn deadly. Feel-good stories about friendship, travel, and celebrating new experiences. Available now: Book Two - Death by Baguette: A Valentine's Day Murder in Paris and Book Three - Death By Windmill: A Mother's Day Murder in Amsterdam Coming soon - Death by Bagpipes: A Summer Murder in Edinburgh, Book Four in the Travel Can Be Murder Cozy Mystery Series! Death on the Danube A New Year's Murder in Budapest Hungary, Croatia, Serbia, Romania Vienna, Budapest and the Danube Death on the Danube The Rhine, Main and Danube From soaking up Budapest's poignant history and vibrant nightlife to soaking in thermal baths, savor one of Europe's most stunning cities with Moon Budapest & Beyond. Explore In and Around the City: Get to know Budapest's most interesting neighborhoods, like Castle Hill, South Buda, South Pest, and the historic Jewish quarter, and nearby areas, including Gödöllö, Lake Balaton, the Eger wine country, Pécs, and more Go at Your Own Pace: Choose from multiple itinerary options designed for foodies, history buffs, art lovers, outdoor adventurers, and more See the Sights: Soak in the thermal Széchenyi baths, meander through Magyar history at the Hungarian National Museum, or take in views of the city from 170 meters above the Danube. See Europe's largest synagogue and catch a performance at the palatial Opera House. Hike to the top of the Elizabeth Lookout, or go cave-diving in the Buda Hills Get Outside the City: Explore the vineyards of the Valley of Beautiful Women, stroll through historic Hungarian folk villages, or go canyoning in the Pilis Hills Savor the Flavors: Grab a mouthwatering lángos from a food truck, tuck into a rich authentic goulash, linger over coffee at a riverside café, or indulge in contemporary farm-to-table cuisine Experience the Nightlife: Hop between eclectic ruin bars in the bustling Jewish Quarter or attend a Saturday "Sparty" in one of the city's famous spas. Sample Hungarian wines at a tasting room, sip creative concoctions at a cocktail bar, and watch the sunset over the Danube with a local craft beer in hand Get to Know the Real Budapest: Follow honest suggestions from Budapest local Jennifer D. Walker Full-color photos and detailed maps, including a full-color foldout map Handy Tools: Background information on Budapest's history and culture, plus tips on sustainable travel, what to pack, where to stay, and how to get around Day trip itineraries, favorite local spots, and strategies to skip the crowds: Take your time with Moon Budapest & Beyond.* Exploring more of Eastern Europe? Check out Moon Prague & Beyond. This book is a photographic momento of a wonderful holiday in 2018 with Viking River Cruises, visiting Budapest and sailing down the river Danube to Nuremberg. We stayed in the 5-star Hilton Hotel in Budapest's Castle District. On our river cruise we visited Vienna, Austria and after sailing through the picturesque Wachau Valley crossed into Germany, visiting Passau, Regensburg and finally, after navigating the Rhine-Main-Danube Canal and its numerous locks, we arrived in Nuremberg. In The Glance of Countess Hahn-Hahn (down the Danube), Peter Esterhazy blends magic realism and travel narrative to dazzling effect. Esterhazy's hero is a professional Traveller, commissioned -- like Marco Polo by Kubla Khan -- to undertake a voyage of discovery and to prepare a travelogue about the Danube. Communicating his experiences through terse -- and at times surreal -- telegrams to his employer, the Traveller weaves a rich tapestry of narratives, evoking the dreamlike past and the precarious present of a disappearing world. Moving from the Black Forest to the Black Sea, Esterhazy takes the reader on a fascinating European journey of the imagination, down the Danube River, through Vienna, Budapest, and beyond the delta where the mighty river empties into the sea. Filled with allusion, fable, fantasy, history, and autobiography, The Glance of Countess Hahn-Hahn (down the Danube) is Peter Esterhazy at his scintillating, adventurous best. Budapest the Queen of the Danube The Brutal Battle for the Pearl of the Danube Donau-Stadt-Landschaften / Danube-City-Landscapes Cruise the Danube Nuremberg to Budapest From Budapest to Belgrade 570 Km Buda, Danube, Pest A life worth living is worth recording, and what better place than this journal? These lined pages crave your scribbled notes, thoughts, ideas, experiences, and notions. Fill the lines, remember your life, don't lose your ideas, and keep reaching higher to live the best life you can. It all starts here, folks, but you'll need your own pen or pencil. Write on! "By the dawn of the twentieth century Budapest was on its way to becoming a cosmopolitan metropolis. The 'Pearl of the Danube' boasted some of Europe's most beguiling architectural achievements, and its growing middle class was committed to advancing the city's liberal politics, fostering its centrality as an intellectual and commercial crossroads between East and West. As historian Anita Kurimay reveals, fin-de-siècle Budapest was also famous for its boisterous public sexual culture-including a robust homosexual subculture. Queer Budapest, 1873-1961 is her riveting story of non-normative sexualities in Hungary as they were understood, experienced, and policed between the birth of the its capital as a unified metropolis in 1873 and the decriminalization of male homosexual acts in 1961. A stunning reappraisal of sexuality between East and West, Queer Budapest, 1873-1961 demolishes myths..." identifying queer life with the failures of late-twentieth-century liberalism and instead recuperates queer sociality as an integral part of Budapest's-and Hungary's-modern incarnation"-- The plot of this spy-detective novel turns on a senior figure in British Intelligence, who is being blackmailed by an American spy. The blackmail material, a photograph showing the Intelligence man as a former Nazi officer, is concealed in a travel book called Bannerman's Guide taken by a young British diplomat on a Danube River cruise from Vienna to the Black Sea and back. As several people are carrying other copies of the book, the story turns on who has possession of the key copy, which the American spy hopes will reach the hands of KGB agents at some undetermined point during the cruise. Various individuals are also keen to get hold of the key copy. These include an American double agent posing as a collector of folk music, and an agent of Siegfried, an organization that materially assists former Nazis. As the cruise progresses, mysterious incidents connected with the guide book occur at each of the several East European capitals along the Danube. Budapest, Belgrade and Bucharest during the Cold War era form fascinating venues and authentic background based on the author's travel experience. An English detective, Inspector Mason, begins the cruise as a genuine tourist, but gets drawn in to investigating these incidents in considerable depth, and at considerable risk to himself, until he has gathered enough evidence to be able to solve the puzzle in London. Who is carrying the key copy of the Bannerman, the significance of the material it contains and the unmasking of the spy form the intriguing climax to the story. Something of a genuine holiday atmosphere on the boat is maintained throughout, including a romantic interest and a rivalry between Mason and the young diplomat over one of the women passengers. Treat yourself to a cruise on Europe's majestic Danube River from Vienna to the Black Sea with a mixed group of characters who are unwittingly drawn into an intriguing espionage plot. From your armchair explore the fascinating old cities of Budapest, Belgrade and Bucharest as each port of call on the outward and return voyages carries the plot a significant stage further and the tensions and rivalries on board become more acute. A Cultural History Protecting Danube River Basin Resources The Wildlife of the Danube, from the Black Sea to Budapest The Danube Cycleway Volume 2 To Budapest Day Trips, Local Spots, Strategies to Avoid Crowds Proceedings of the NATO Advanced Research Workshop on an International Data-Sharing Programme for the Effective Management of Danube River Basin Resources, Budapest, Hungary 27-30 May 1996 College Ruled Color Paperback. Size: 6 inches x 9 inches. 55 sheets (110 pages for writing). View Of Danube River With Budapest City At Winter Seaso. 157801836899 The Danube is the longest river in western and central Europe. Rising amidst the beautiful wooded hills of Germany's Black Forest, it touches or winds its way through ten countries and four capital cities before emptying into the Black Sea through a vast delta whose silt-filled channels spread across eastern Romania. From earliest times, the river has provided a route from Europe to Asia that was followed by armies and traders, while empires, from the Macedonian to the Habsburg, rose and fell along its length. Then, in the middle of the twentieth century, the Danube took on the role of a watery thread that unified a continent divided by the Iron Curtain. In the late 1980s the Iron Curtain lifted but the Danube valley soon became an arena for conflict during the violent break-up of the former Yugoslavia. Now, passing as it does through some of the world's youngest nations, including Slovakia, Croatia, Serbia, Moldova, and Ukraine, the river is a tangible symbol of a new, peaceful, and united Europe as well as a vital artery for commercial and leisure shipping. Andrew Beattie explores the turbulent past and vibrant present of the landscape through which the Danube flows, where the enduring legacies of historical regimes from the Romans to the Nazis have all left their mark. Queer Budapest, 1873-1961 View of Danube River with Budapest City at Winter Seaso, Journal for Writing, College Ruled Size 6 X 9, 110 Pages Budapest and the Danube Lined Notebook/Diary The Glance of Countess Hahn-Hahn (Down the Danube) Based on a True Story Whether you want to soak in a thermal bath, cruise the Danube River, or walk the Chain Bridge, the local Fodor's travel experts in Budapest are here to help! Fodor's Budapest guidebook is packed with maps, carefully curated recommendations, and everything else you need to simplify your trip-planning process and make the most of your time. This new edition has been fully-redesigned with an easy-to-read layout, fresh information, and beautiful color photos. Fodor's Budapest travel guide includes: AN ILLUSTRATED ULTIMATE EXPERIENCES GUIDE to the top things to see and do MULTIPLE ITINERARIES to effectively organize your days and maximize your time MORE THAN 25 DETAILED MAPS to help you navigate confidently COLOR PHOTOS throughout to spark your wanderlust! 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Can Cooperative Learning Centres help to develop the Self-Esteem of Students? Rino Villeneuve B.Ed., University of Quebec, 1986 A one-Credit Project Submitted to the Faculty of Education of The University of Lethbridge in Partial Fulfillment of the Requirements for the Degree MASTER OF EDUCATION LETHBRIDGE, ALBERTA May, 1997 Dedication This project is dedicated to my parents. Two wonderful self-esteem builders: Florence Gagnon & Rosaire Villeneuve Thank-you for showing me self-esteem as a personal, familial and community affair: When someone believes in you the only response is to give generously of your best. Abstract Self-Esteem is an important element of the well being of any individual. In a class setting it enhances the learning process and, when added to cooperative learning centres, results in growth of pupil confidence, pride, and self-esteem. This research project was done with the participation of twenty-five grade four French Immersion students. Project results indicate that the self-esteem level of pupils increased when they were invited to participate in a series of cooperative learning centres. For five weeks, students worked cooperatively in learning centres for a daily period of an hour. Each week had a theme and followed the guidelines of the grade four curriculum. Each theme was integrated through a number of subject areas. In all activities, it was important to challenge the students to engage and maintain their interest. It takes a community to raise a child. With this popular belief in mind, many volunteers, parents, students and teachers took part in this journey. They all added to the self-esteem growth otherwise limited to experiences and interactions with the classroom teacher. The results of the project are of value for all. Most important, the students became more involved in class discussions, where they mentioned feeling good. They also demonstrated increased helpfulness, increased willingness to share and were visibly happier. Working to develop the self-esteem throughout this project is an experience that needs to be repeated in every classroom each year. Teaching students to work cooperatively and building their self-esteem is more than simply following the curriculum; it provides the necessary tools in the development of mature, happy, productive members of the society. Acknowledgements I would like to acknowledge the support and encouragement of the following people. Without such support and encouragement this research project would have been impossible. Dr. R. Bright, Ph.D Dr. M. Pollard, Ph.D Ms. S. Macey (Best friend and M.ED student San Diego State University) # TABLE OF CONTENTS \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| Dedication \| iii \| \| Abstract \| iv \| \| Acknowledgements \| v \| \| I. Beginnings \| \| \| My personal journey \| 1 \| \| Classroom realities \| 2 \| \| II. Review of the literature \| \| \| Self-esteem \| 4 \| \| School and self-esteem \| 8 \| \| What is play? \| 11 \| \| Learning centres \| 14 \| \| III. Process \| \| \| Methodology \| 17 \| \| Scheduling \| 23 \| \| Organization of the centres and groups \| 25 \| \| Assessment \| 38 \| \| IV. Reflection and future Implications \| \| \| Volunteers \| 41 \| \| My journal \| 47 \| \| Awards and motivators \| 48 \| \| Findings \| 49 \| \| References \| 53 \| \| Appendices \| 57 \| My personal journey. One of my goals entering the Master of Education program at the University of Lethbridge was to become more aware of current Education trends, including becoming aware of the recent research, results, developments and ideas. At this point, I can say that I am very happy with the divergent courses that I have taken. With all this knowledge in mind it was time for me to apply my newly-acquired skills throughout this interesting culminating action research project. What I was looking forward to finding out through the completion of this project was how would it be possible for me, inside my classroom walls, to nurture the development of self-esteem in my twenty-five grade four students through fun activities presented in several learning centres that included noncompetitive and cooperative activities, daily discussions and several other school related activities. When I began this exciting process, I believed it was of value for me to learn how my teaching was affecting my students. This belief helped me to adjust and modify any part of my teaching that didn't match my goal of developing the self-esteem of my students, through the use of well-developed games as learning centres activities. Classroom Realities As a French Immersion teacher I should provide a brief description about my daily role in the classroom. French Immersion is a dual language program in which French is used intensively as the language of instruction for at least half of every school day. The Alberta School Boards' Association for Bilingual, Education (1993), defines the goals of the French Immersion program as follows; French Immersion aims to develop functional fluency in the French language together with full mastery of the English language. The program emphasizes an understanding and appreciation of the French language and culture in the Albertan, Canadian and world contexts. In this program, the students are immersed in the French language without loss of their linguistic and cultural heritage. In addition, this program attempts to provide enhanced opportunities for living and working in both languages. "Without knowing the language of a people we never really know their thoughts, their feelings, and their type of character." -John Stuart Mill, 1806-1873 The Calgary Board of Education wrote in its booklet on second language program (1985) that some of the ways in which students can gain from the study of a second language are: [1]. Improving the understanding and appreciation of the mother tongue. [2]. Acquiring knowledge of other peoples and cultures which contributes to tolerance and open-mindedness. [3]. Enhancing feelings of identity and self-esteem. [4]. Developing the ability to perceive pattern and deduce rules. [5]. Improving the ability to put known elements together in new and creative ways. Due to the fact that I am a language teacher, accommodating to the needs of all my students is very important to me. Knowing each student's status as a language learner, I have to design activities that allow individual students to continue growing as language users. Furthermore, I believe it is extremely useful to have children work in groups in order to learn from one another. Therefore, I developed cooperative learning centres that would enhance the effectiveness of the interactions between children. These groupings had to be as varied as the make-up of a class and they were developed in response to the specific needs of the situation for the students to use language in negotiating meaning, which is the central principle of the language Learning curriculum for elementary schools, according to Alberta Education (1992). The department of Education also suggests that when designing instruction for a group of French Immersion students, the emphasis should always be on the oral aspect of language learning. The students confidence in listening and speaking should form the basis for any growth in reading and writing. As a teacher, I did need to keep in mind two critical considerations: -What each student can do (his/her current "level of language performance") and, -What each student needs to learn next. Self-Esteem From the beginning of this project, it was clear to me that cooperative learning centres held advantages for the enhancement of self-esteem. But first, I needed to define self-esteem as a way to conceptualize this project. In searching for the meaning of self-esteem, I found that definitions abound. They are similar in the conveyance of a sense of personal worth and differ in how this sense of self-worth is achieved and nurtured (Macey, 1996). For example, Berne & Savary (1985) view self-esteem as a capacity to see oneself as valuable and competent, loving and lovable, having certain talents and a worthwhile personality to share in relationships with others. According to these authors, far from being conceited or self-centred, this definition means that to possess healthy self-esteem a person should have a realistic awareness of oneself and of one's rights. Berne & Savary continue to point out that people with healthy self-esteem are usually self-confident, they are able to build healthy relationships, see themselves as successful, and act toward others in non threatening ways. In her lengthy work on self-esteem, Thomas (1991) defines self-esteem as considering something valuable. Self-esteem means respect for oneself and pride in one's own accomplishments. It also means that a person knows himself or herself well and feels comfortable with the kind of person they are. When looking at someone with healthy self-esteem, he or she does not worry about being better than one person or not as good as another person. Someone with high self-esteem is not concerned on what other people think. They are not perfect but are confident that, flaws and all, they are special. One of a kind. They are the kind of people who can say; "I like myself". Once again self-esteem is a loosely defined concept, but one of great importance to teachers. It is also an intuitive notion that stimulates and variously guides research and practice. As Curry & Johnson (1990) explain, intuitions are not necessarily incorrect as they have often served us well just as they have led us astray. The task is not to dismiss these intuitions, but to clarify and build upon them. For Curry & Johnson the concept of self-esteem includes three basic intuitions: [1]. How people think and feel about themselves is important (A growing body of literature attests to the importance of people's concepts and feelings about themselves). [2]. Positive self-concepts and feelings provide the confidence, energy, and optimism to master life’s tasks (The available evidence suggests that it is valuable to have a well established feeling of one's own worth as a person together with a confidence and conviction that one can cope with life's challenges). [3]. Self-esteem is promoted by positive self-experiences (The limited evidence suggests that two types of experiences are most influential: secure and harmonious love relationships, and successful accomplishment of tasks important to the individual). Other strategies for encouraging the development of children's self esteem are well defined by Berne & Savary (1985). They include seven areas in which adults can help the growth of self-esteem: [1]. Building Relationships with the youth. [2]. Being Non-threatening. [3]. Nurturing Success. [4]. Bridging to a Loving World. [5]. Fostering the Freedom to Choose. [6]. Dealing with Strong Emotions. [7]. Inviting the Affirming Spirit. Another very well developed program that seeks to develop self-esteem in school-aged children is the Lion's Quest Program (1990). This is a program based on teacher delivered curriculum which is supported through the school, home and community through a multi-dimensional focus. The goals of the program include: to help young people develop positive social behaviours; to help young people acquire the social skills necessary to lead healthy and productive lives, to help young people develop strong commitments to themselves to live healthy, drug-free lives. The program also supports parents, teachers and others in finding a constant renewal and energy needed in supporting young people. These objectives are achieved through the development of positive social behaviours such as self-discipline, responsibility, good judgement and the ability to get along with others. This program is distinguished by its drug-free component, as well as the formalized inclusion of family, including parent involvement in focus groups and family activity booklets for each of the units. While developed for implementation at the Secondary Level, Impact! 'A Self-Esteem Based Skills Development Program for Secondary Students', has implications at the elementary level as well. This program is designed to facilitate growth in the social and emotional domains. Specifically, Impact! develops non-academic attributes and skills and refines them within the social context of structured peer interaction; acknowledges individual progress and that of others; incorporates a multicultural dimension; and encourages students to recognize their broader role as a member of society. Given the wide variety of definitions of self-esteem, I prefer to see it as a personal inner state of feeling good and happy about ourselves based on learning experiences. School and Self-Esteem How does self-esteem on the personal, definitive level translate into the context of education? By definition a school is an institution where instruction of any subject is given. These teachings vary from high academic lessons to the teaching of fine arts, (Collins, 1977). Inside these institutions unfortunately, we sometimes forget about the special needs of some of our students. The school where I teach presently is located in a high-income area but whose population is varied. For instance, Little (1996) indicates that some children from lower income families, and these very often include single parent families, may miss out on obvious common experiences to which middle class children are exposed. Their homes may lack appropriate language stimulation and the provision of books, magazines and other reading materials. Furthermore, since education may not have been the key to success in many disadvantaged families some families may place a very low value on it. This could result in low self-esteem, a lack of motivation and initiative and a lack of communication skills that are the foundation for reading and writing. My own teaching experience indicates that a child is always pleased to show his or her work in return for some positive comments from the teacher. In the same manner a child who does not receive any praise for his or her work will eventually quit and try to find other way to receive the appreciation of his parents or teachers by doing tasks. It is generally accepted that low self-esteem, lack of motivation and initiative often impact children's academic success. This is why, through this project, I hoped to provide the development of a self-esteem to those students who were in need. I believed that it was, and still is, my duty to help my pupils find and develop their self-esteem to the fullest. "High self-esteem results from a positive self-concept and the acceptance of oneself as a worthwhile person." (Alberta Education). Little (1996) cites Burns (1982, p.31) on the idea that self-concept is learned and is not innate. Apparently, it is derived from all the influences of one's environment, including the continual bombardment of sounds, smells, sights and tactile experiences. The author mentions that a child's self-concept encompasses perceptions and interpretations of himself or herself in relation to the world. Amongst other things, it includes feelings of being good or bad, able or unable, successful or failure, liked or disliked. Self-concept is learned and, almost from the moment of birth, the process of its development continues as the child faces new experiences and interacts with significant people in his or her life. Self-concept develops as the child internalizes and reflects upon these experiences and interactions. A great deal of the child's early self-concept develops as a result of learning experiences with and expectations of the parents and significant others in the home. The caressing and fondling associated with feeding and caring and the warm looks and affectionate talk communicate to the child a feeling of pleasure, of being valued and esteemed. What is Play? Garvey (1990) defines children’s play as a time for dramatic expansion of the knowledge of the self, the physical and social world, and systems of communication. Garvey cites Piaget in her definition of three types of play: [1] Sensorimotor Play; The infant derives pleasure from mastering motor skills and from experimenting with the world of touch and sight and sound. [2] Symbolic or Representational; Period where the child (aged two to six approximately) acquires the ability to encode his experiences in symbols; images of events can be recalled. [3] Games with Rules; The child has begun to understand certain social concepts of cooperation and competition. He is beginning to be able to work and to think more objectively. It is this last type of play that I have chosen for my pupils to be occasionally involved in during learning centre activity and that will help to develop their self-esteem. This type of play reflects a change for the children as they are drawn to games that are structured by objective rules and that may involve team or group activities. In their introduction of the book "The gift of play" (1980), Piers and Landau wrote that people love to play. I would like to emphasize here the word people instead of just children. I believe that games belong to everyone and should be found everywhere. Both children and adults learn by doing. After the age of eight, we are capable of learning about life through words, not just through experience. But there's no magical moment when human beings - children or adults - understand without trying things for themselves (Munroe, 1991). This certainly is a good reason why we should not stop the use of games or play as a way of learning as soon as kindergarten is over. According to Piers and Landau (1980), it is sad that many children have lost the possibility of playing with each other and learning through play as their parents, albeit with the best intentions in the world, insist on giving their children tools they deem necessary; skating lessons, speech lessons, piano lessons, hockey practices, tournaments, maths clubs, scout meetings, ringette, guide activities and the list goes on and on. Piers and Landau also say that many parents and teachers are eager to provide them with a sort of good academic base that provide children with an academic head start that would assure "success" in school. But these same adults fail to understand what play is about. The authors suggest the current limitations on children’s opportunities to engage in imaginative play stem from the nature of contemporary society, from the lack of continuing connections between individual families and the rapidly changing world in which they live and work. It is a sad reality that many children have become as busy as their parents. It is not rare, at my work site, to listen to parents complaining about the lack of quality time for their children and themselves. On a personal note, during my childhood it was possible for children to play outside their homes with the neighbourhood kids for many hours without the presence of any adult supervision. Nowadays parents don’t feel safe enough to let their children out of their sight. Parents prefer to closely monitor the activities of their young ones. Some say that the school should give enough opportunities for their children to play. Others say that school is certainly not a place for playing as the curricula must be implemented, tested and compared provincially. In my opinion classrooms are very challenging intellectually and do enrich pupils in many ways. However, during this project, it was my intention to give my students the opportunity to play even more with their peers in their second language. It was time for me to act and I am glad I took this opportunity to make a project for my class where, for a while, WE as people could engage in playful activities designed to enhance self-esteem. Learning Centres? Professors of education, school administrators, teachers and students tend to use the term "Learning Centres" quite often and sometimes erroneously to mean "interest centres", "group projects," or "learning stations." On different occasions, its definition is often confused with source centres, instructional materials centres, curriculum materials centres learning, systems centres, media centres and multipurpose libraries. In his book "Opening up the classroom", Thomas (1975), defines learning centres as consisting of any one area within the classroom itself established temporarily or permanently for the purpose of providing pupils with different learning experiences in the form of individual or group activities, to which pupils may be directed by the teacher or may be given the opportunity to select, manage, and evaluate the experiences of which the centre is composed. Furthermore, the learning centre may constitute an individual desk, a cluster of desks, an area on the floor, a bulletin board or chalk board, a table, a file cabinet, or a bookshelf. According to Thomas, it may be teacher-constructed, pupil constructed, or the result of a teacher-pupil effort. Often, as teachers, we teach a concept only to find in the next week, an activity that would have been appropriate to the previous lesson. This is one of the reasons why learning centre approach became a convenient way to organize and incorporate useful materials into my daily teaching plans. Furthermore, I believe that I have added a bonus in the process of working with cooperative centres by having focussed on the acquisition of self-esteem. Not only was I comfortable implementing this organizational method but I believe that my students were also delighted with the approach. My intentions were not only to work with cooperative learning centres, but also to help my student feel good about themselves. Children learn best when allowed to interact positively with others in their environment, according to Carroll and Seaton (1992). The authors are making a clear statement that cooperative learning provides experiences that develop language skills, creative thinking and problem solving skills, social skills and academic skills. They suggest that children working together in small groups develop higher self-esteem, a greater concern for others and higher academic achievement. One of the major objectives of all instruction is to assist the student to become a self-directed learner according to Waynant & Wilson (1974). As a teacher, I always want my students to be able to know how to choose objectives, how to select materials to meet those objectives and how to evaluate their own learning. Students learn to become self-directed when they are given alternatives from which to choose. Learning centres present one effective way for teachers to develop activities so that students can make their own choices. By making their own choices the students and teachers can certainly make a more accurate self-evaluation of their experiences (Macey, 1996). The utilisation of checklists allowed me to identify areas of strength and areas to improve upon in creating the environment and learning opportunities that fostered the development of self-esteem in students. Such instruments are and were of use in an individualized approach to student self-esteem. Teachers who are using centres may wish to focus on several aspects of evaluation, (Waynant, 1977): [1] How effectively students work with centre activities [2] How effectively students meet curriculum objectives around which centres are designed [3] Student's attitudes about the centres [4] To what extent centres include important characteristics such as clear directions, multi-level activities, and a feedback system. Waynant insists that for the first evaluation it is of prime importance that the teacher assist the student in evaluating the work and that a record of the interactions with peers and time management be kept. I have made and kept a commitment of this action research project to record in a journal my personal thoughts, new ideas, comments of students etc. I had also decided to keep checklists, evaluation sheets and several work samples of my students achievement. They came very handy for the final evaluation of this project. The real "selling point" of cooperative learning centres occurs during daily class meeting evaluation times when children came back to report learning discoveries that they have made during centre time that are quite profound, (Bordas & Craig, 1978). From their experiences in working with children in the centre setting, Bordas and Craig became strongly committed to the belief that children learn best if they are allowed to be active participants in their own learning. The centres enable the child to capitalize on all the experiences that are possible in the classroom. Methodology As a primary teacher engaged in course work for a Master's degree in Education it was important and necessary for me to follow a certain type of methodology in the pursuit of a research project. As professor Dr. David Smith said: "We need to fully experience a situation to be in measure of understanding it". I believed that for me to connect to my topic of learning centres and the development of self-esteem, it was preferable to follow the guidelines and methodology of an action research project. Boydell (1978) wrote that education has undergone a dramatic change during the last few decades. New ideas and trends have resulted in the partial disappearance of the traditional type of classroom with its rows of desks arrayed before the teacher and a blackboard, all occupied by quiet, immobile children engaged in more or less identical tasks. Nowadays there is a vast collection of different teaching techniques and educational philosophies, manifested inside school buildings, classroom organisation, methods and curricula and teachers' attitudes and relationships with children. Smith (1993), also writing on this subject, noted that over the past several years, many elementary teachers have shifted from a transmission to a transactional mode of teaching. This shift, according to the author, has in turn created interest in such things as the processes children use to read and write and the influences context has on learning. This is why teachers and researchers have taken a new interest in alternate ways of delivering the curricula. Teacher research by its very nature acknowledges that teachers are capable of carrying out critical inquiry about the meaning of their work and of their students' learning. This type of research offers insight into the relationship between teachers' beliefs and their teaching practices. This type of research illustrates the many roles teachers play, the breadth of questions teachers ask and the various research methodologies they use. Facing these changes in education, I had two options. In the first case, I could have offered passive resistance and shelter behind my long-established tradition of professional autonomy in the hope that my professional stress would be relieved or in the second case, I could have taken the challenge and attempted to explain more fully to myself, my colleagues and the public at large what my beliefs were about developing self-esteem in children and how all this was related to the way I operate in the classroom. Gutek (1988) affirms that the goals in the education of children cannot be specified in advance nor can they be imposed by the teacher or the school system. Each person has the responsibility for his or her own education. My action research project was looking to cultivate a sense that each human being has self-worth and is partly responsible for its growth and development. I firmly believed, based on the literature I had read, that by working on Learning Centres my pupils would feel good about themselves. Their self-esteem would grow. My research role in this project was to collect information that would be useful in trying to determine if Learning Centres really were a good way to develop the self-esteem in my students. In collecting these data it was important to notice which role I was playing. Fine & Sandstrom (1988) together with Curry & Johnson (1990), note that the roles that adults assume when they study children may be differentiated on two dimensions, depending on the extent of positive contact between the adult and the children and the extent to which the adult had direct authority over the child. It was an interesting task to observe my own relations to the pupils while they worked on these centres. I planned to keep a daily journal, to ask the cooperation of the volunteer parents in taking notes of what they saw and to take photographs including a videotape during these five weeks. Having established a philosophical basis from which to work, I needed to turn my attention to more concrete questions. During the first two months of the New Year I began to look at my students' academic needs, and more specifically at their self-esteem level, to assess their needs. These needs were varied and included: wanting a close friend in the class, being accepted by the peer group, being able to ask questions when needed and answering without feeling self-conscious and a need for opening up their hearts toward each other. With those specific needs identified, I planned a series of activities and developed learning centres. The pupils eventually worked on a variety of topics in these learning centres and supporting the curriculum. I based my cooperative group learning activities on the five common principles of Clarke, Wideman & Eadie (1990). Using these five principles to structure my classroom activities gave me the opportunity to work on the success of several small group activities. These five principles were: [1] Students work in positive interdependence; Positive interdependence among students in a class helps to build a supportive and cohesive environment. It provided the foundation for co-operative small group learning to flourish. [2] Students work in small heterogeneous groups; The diverse population of the public schools provides unique opportunities to combat racism and foster appreciation for one another. To be able to achieve this students must have an opportunity to interact frequently and on personal terms. Heterogeneous groupings provide such opportunities as students work together co-operatively on common tasks. [3] Students are accountable both as individuals and as a group; In co-operative small group learning, the group interaction and the task are organized so that individual student effort is valued by others. Students develop initiative and responsibility for their own learning and the learning of other members in their group. [4] Students learn through ample opportunity for purposeful talk; The best way for most people to think through ideas is to talk them through. Talk is the way people explore ideas, clarify them, and personalize information and experience. On this principle, students need to be reassured that talk is an important vehicle for understanding. This is an ever more important principle as an immersion class should focus on the oral component of the language arts. [5] Students learn and practise co-operative skills as they study and explore the subject matter together. The process involves working together, reflecting upon the experience, understanding something about working together, and practising that learning in subsequent rounds of group activity. Learning centres have provided ways for students to learn values and practice collaborative skills within the context of regular classroom work, whether that was in mathematics, language arts, fine-arts, social studies, physical education, health or sciences. Learning centres helped me to provide balanced curriculum which simultaneously address academic, personal, and social development objectives, including: -promoting active learning; -promoting academic competence; -improving self-esteem; -developing respect for others; -facilitating language across the curriculum; -responding to a variety of learning styles. My beliefs are similar to those discussed in 'The Learning Centre Book' by Davidson, Fountain, Grogan, Short, Steely & Freeman (1976) that my approach to centres - integration of curriculum - would foster a broader understanding of how children can be aided in beginning to view learning as an applicative endeavour rather than as an effort to master skills and facts in isolation from subject-matter domains. I created a weekly set of five different centres where pupils worked during a period of an hour. A daily visit by a parent volunteer helped in one of the centres which demanded more supervision (science as an example) or where their assistance was of great help. I planned to have all the parents of my students visit as I believed that my pupils would be proud to see their parents inside their school. To do just that, a minimum of five full weeks was needed for the implementation of every learning centre. Scheduling I hoped that everything would go smoothly and that each centre would have drawn the attention that it deserved. My biggest concern was time, as it is not always possible to plan a schedule in class because of planned or spontaneous school activities such as special drama presentations, awards assemblies, bake or book sales that were to be scheduled in the usual time planned for the learning centre period. However, because of the flexibility that learning centres give (everything was usually planned and in place) I believed that it would have been an easy enough task to accommodate the other activities into our class schedule and change the routine on days when necessary. Schwartz & Pollishuke (1990) say that scheduling involves planning for blocks of time. Horizontal blocks of time, which usually occur at the same time each day, are often necessary to meet school organizational requirements. Times for physical education and Second language (English in case of French Immersion is taught by someone else) usually need to be scheduled first. On the other hand, larger vertical blocks of time are essential in the child-centred day. These blocks of time promote longer and more sustained attention to tasks and accommodate more intensive, active investigations. This provides opportunities for children to pursue their own areas of interest and/or to plan collaboratively with the teacher. The authors encourage teachers to include in their daily routine input sessions and regular sharing times. These daily input sessions allow time for large group discussion, instruction, explanation and direction; sharing times allow children to celebrate what they know, what they have learned, and what they have accomplished. Their self-concept and confidence improve as they share and take pride in their efforts. In order to make use of the suggestions provided by Schwartz and Pollishuke (1990), a block of one hour first thing in the morning was then planned and parents were contacted to help out. The next step for me to do at this stage was to organize the first set of five centres. Organization of the centres and groups During the first week after Christmas I found myself actively looking for the best activities that would be interesting, amusing and educative for my pupils. While looking for co-operative activities to do at each of the centres, I always kept in mind my five principles in structuring classroom activities for the success of small and larger group activities. It was not easy to answer each of these demands as I tried to experiment to get the maximum development of self-esteem of my pupils. In other words I tried to make activities fun for my students so they would enjoy working during the daily hour. I was able to incorporate many class subjects into the centres. For instance, instead of having the class reading one story about a health issue and answer comprehension questions, I decided to do a listening station where the pupils, during two consecutive weeks, enjoyed listening to the text being read, and then as a group answered the questions. To facilitate the activity I put copies in front of every student to follow as they were listening. When finished, the pupils were able to illustrate on a big poster sheet a part of the text where they had learned something. The centres varied in their topics and subjects. The students worked on several themes; Winter, Friendship, Animals, The ginger bread man and Canadian explorers. Each theme had five centres based upon or related to that theme. I questioned my pupils on a daily basis to know what they thought about the centres and took many notes regarding their views. For instance after two weeks of listening centres the poster board (a huge piece of construction paper where the students were supposed to have illustrated the story) was not completed and was, really in fact, a waste of paper. It was then that I decided to do an art centre with that same piece of construction paper where the students would be asked to make potato prints with water paint. The results exceeded my expectations and showed to the students that it is O.K. to not succeed the first time, that we should never give-up and that what appears to be a waste may in fact be salvageable. In keeping the incomplete poster sheet from the first two weeks, and finally adding paint during this last step helped to create a real French ‘chef-d’oeuvre’. That was a messy centre but the pupils were excellent caretakers and washed every tool used at that centre when time was up. I believe that careful pre-planning of the centre helped a great deal. By leaving a bottle of dish soap, a bucket and some old rags for them, the students were able to help themselves and felt good in taking care of the centre. Another super tool was the classroom dust buster, it was very well used during the last five weeks of its life. We should always present students with tasks that are feasible. Washing the tables and paint brushes was also an excellent example. Once again, it was not my purpose to write a book or to find which one of these activities helped the most to develop self-esteem of my pupils. I wanted to find out if, by working with learning centres and in cooperation with their peers, my students would feel better about themselves. I intended to observe how often my pupils were smiling, helping each others, talking freely and if they were producing a better quality of work. In developing my centres I realized that some centres did have a hint of competitiveness. For example, one group tried to build a tower higher than another. They collaborated in the achievement of that goal. Students also demonstrated their sense of observation, as they needed to note what the others did in order to built bigger and better. What was the incentive that motivated and pushed my students to have the desire to do these centres? How was I able to maintain a level of spoken French in the class while so many parents and volunteers were present and did not know how to speak French. To answer these questions I believe that I should let you know what the centres were. Following is a list of centres with a brief description including general objectives: Arts; -The drawing of the shoe of a friend. The task was to draw the shoe on several planes with details such as face, back, bottom, top and sides (see appendix 1). -A collective poster of all our bodies. The outlines of each student was drawn with a different colour for each participant on a big sheet of paper, and the commons areas closed by the lines were to be colored and decorated to make a fun giant poster. -Two drawing centres in addition to the listening station where the children drew a favourite part of the story or something they learned after listening to a tape. -Creation of a puppet for a future puppet show. With a variety of recycled material such as milk cartons, egg cartons, bottle caps, wool, cotton balls, cloths pins, etc. The participants let their imagination go wild under the supervision of a parent. -Potato prints. It was interesting for the students to have the opportunity to play with a real potatoes and to cut a shape or design on them. This activity went well with the current unit on St. Patrick’s day as well as the unit on plants of our grade four science curriculum. -Creation of an animal of papier mache. Using old newspaper, the students fashioned an animal of the shape and desired size. This was the initial step in an art project that lasted for five arts lessons until the final product was polished enough to be presented in the annual art show. Sciences; - Building of the highest free standing tower using blocks and other building toys. This centre and the next two were the places where a little competition was added to the game (see photograph in appendix 2). - Building of the highest and longest bridge. - Creation of a trap to catch a gingerbread man of 10 cm high and a weight of fifty grams. - Cooking centre. This was a real integrative centre as the pupil read the recipe, measured the ingredients, looked at the information about the nutritive value of the cookies, cleaned all the tools used afterward and were delighted to share the results with so many people. This was also the only centre that was not feasible without the supervision of an adult (see photograph appendix 2). Mathematics; - Easy multiplication problems with self-correcting sheet. - Easy division problems with self-correcting sheet. - Long division document (with multiplication proofs demanded). - Two centre where several games based on multiplications and divisions were presented. I would like to write few words here on how my pupils began to work cooperatively in this last centre. They all sat along the walls, one beside each other, working quietly. I asked them how it was possible to help everybody in the group especially if the person with the most difficulties was at the end of the line? They came-up with the idea that if they worked in a circle it would be better. They re-arranged themselves and went back to work quietly. After few minutes I asked them how it would be faster for everyone in the group to do the mathematics problems and at the same time be easy for all? They told me that maybe if they answered the questions and read them out loud to the other member of the team they would have only to write it down and wait for their turn. When I came back they were fighting because one pupil was too slow. That made me think very fast. I asked them what their parents did at home when a sibling was walking or eating too slowly? "THEY WAIT" was the response. I explained that as a class family we should take care of each other and accept that some of us might have difficulties in one area and none in the others. I left them for awhile and when I came back they were all working quietly sitting in a line against the wall. The good news is that they eventually came up by themselves with a way to help each other. Their method did not involve the complete team; rather, it was more one on one. Adult concepts of cooperation appear to differ from those of children, at least in this centre. Also, I believe that my pupils were more concerned with completing the mathematics centre, and achieving excellent results than by being happy to learn. French Language Arts; -Two listening centres, where students listened to a pre-recorded selection and responded to comprehension questions. -Writing centre, where laminated questions to read and answer were given. -Two newspaper centres. The students had to read a story and rewrite the article answering the questions where? When? What? How? Who? and When? -Reading centre. A private collection of books were borrowed for the simple pleasure of reading alone or to someone. -Document on Valentine’s day full of poems, stories and French Language exercises to do in teams. Social Studies; -Puzzle centre. The students were asked to do puzzles with geographic designs such as map of the words, Alberta, Famous sites etc,... -Play-dough centre where a creation of a three dimensional scene where the most natural resources are presented was demanded to be created. Drama ; -A puppet centre where the students wrote a short scenario and present it to the class at the end of the day. A small puppet that the students made themselves was used for that centre. -Having brought to school many costumes, old cloths and props the students improvised a play on the theme of their choice. Before the first week of centres started I noticed that my students would need places to work actively and cooperatively. Having already twenty-five desks and other pieces of furniture in a small crowded classroom that was a real problem. I pushed book shelves against one wall and made a small divider with another. I exchanged tables with colleagues, removed items not necessary for this time period and finally was able to create four activity areas. Three had tables and chairs and one was a huge carpeted area for floor activities. I decided to use the hallway between the two grade four classes for my fifth work area, hoping to not disturb my neighbours. Other potential problems considered included the level of noise in the classroom, the time necessary for completion of the tasks, the degree of difficulty of each activity relative to the strengths/weaknesses of my pupils, the availability of materials such as art supplies, tape recorder, photocopies, etc. I was also concerned about how my students would help to clean up and organize all the equipment for the next group. Before the launch of my first five centres, I asked my pupils to help identify the rules for the duration of the centres. They came up with several interesting and easy guidelines; [1]. Always speak in French with a low voice. [2]. Each participant takes a turn to talk, write and do something at the centre. [3]. Stay always inside your area limits. [4]. Assure the success of everyone in your team. [5]. Everybody helps to clean up and put everything neatly in the box after using it. To test these rules, I organized lessons of several subjects into atrial run, placing my students randomly in groups to see if they would be able to follow their own rules. I was not very impressed with their behaviour. The teams did not cooperate nor were they quiet. For this reason, I did not make heterogeneous groups for the first week of centres (see appendices 3 & 4). I was confident that my pupils should learn to play at centres first, developing the skills and motivation to work with everybody. The make-up of the groups was changed weekly. The first round of centres included a group of weaker academic students and one stronger academic pupil. I separated boys from girls and made sure to blend more ‘active’ children within the other groups. I didn’t want their sporadic lack of ‘teamwork attitude’ ruining the period for everyone. That was a good trial. It seems that my pupils were working quietly and I was able to notice some excitement about belonging to these groups. For the second week, I decided to draw the names of each team thinking that if groups differed in their ability, the good nature of members would ease the academic constraints of the others. After all, it was their second week and they had done such a wonderful job during their first trial. That turned out to be a good experience for all participants. It was during this week that I noticed real self-esteem boosts coming from pupils directed toward each other instead of coming from me—the figure of authority. I wanted to develop this further. Acting on a tip from a friend we determined what encouragements look like and what they sound like (see appendices 5 & 6). Once again they came-up with great ideas, and a big chart was posted on the classroom wall. Before the beginning of the third week, I began to use several of the twelve-steps organization presented by Clarke and Dawson (1989) in ‘Growing Up Again, Parenting Ourselves, Parenting Our Children’. I was able to connect what I wanted to develop inside my centres with the self-esteem statements provided by these authors. This step really helped my pupils to understand my purposes and gave them a reason why I was demanding and expecting cooperation from them. The fifth stage of this series is called STRUCTURE. It stresses how important it is for children between the ages of six and twelve years to learn more about structure and to develop his or her own structure. This includes understanding the need for rules, the freedom that comes from having appropriate rules and the relevancy of rules. Examining the values on which our rules are based is an important step toward the acquisition or development of the child self-esteem. As a result of our class discussions, I stapled six posters on the walls of my class that stated: - You can think before you say yes or no and learn from your mistakes. - You can trust your intuition to help you decide what to do. - You can learn when and how to disagree. - You can find a way of doing things that work for you. - I love you even when we differ; I love growing with you. - You can learn the rules that help you live with others. I am very pleased with these sentences and the results they had on my pupils. What I did with these phrases and some other phrases coming from different stages is to create a booklet of personal growth where, after discussing a concept as a group, the students write it up in their booklet with an illustration. (See appendix 3) After these two weeks I believed that my pupils had learned enough and were responsible to choose the team they wanted to work with. My beliefs were based on the theory that if the pupils chose their friends, maybe cooperation would develop and encouragements would come naturally. Was I ever wrong! A multitude of events occurred that week. A group of girlfriends decided to make a play inside the drama centre. The natural leader of the group wanted to be Mrs. Villeneuve and to create a certain type of play while the rest of her peers had decided otherwise. Once she realized that she was not going to have her ideas imposed on the group she withdrew herself and refused to take part in any role or discussion. When the period was over, they had not been successful at creating even a small improvised play. That day in their journal they all wrote about how they felt about what happened and how they felt sorry. I answered in their journal and gave them two recess periods to make-up a little play. They were able to change and accommodate every one in their group. That day this group learned that sometimes we don’t always have our way when working with friends. Another group of active boys did very little in every single centre they took part in. They were constantly noisy and fought a lot. In their evaluation some of them were disappointed and naturally blamed the other members of the group. I made a speech on the Friday after our weekly discussion and asked them what would have been better. They said that I should have selected a group. One more time, it was not their fault. Luckily some groups worked very well and it was interesting to see how their projects, such as the construction of a high level bridge or a ginger bread man’s trap turned out. They were very creative with their arts and shared a lot of ideas. These students were all excited again to start the fourth weeks of centre. The fourth week, in response to the needs of some students that had more difficulties choosing a group, and because I wanted to give my students the opportunity to make their own choices regarding which centre they would work at, I once again wrote the five centres on the blackboard with a short definition under them. I asked each student alphabetically what their first centre would be. The second day, I started at the bottom of the list. The third day I started in the middle etc,... That system worked well. I supposed it is because that, by that time, they were able to work cooperatively together and because I was able to provide some of the structure that Clarke and Dawson had suggested. For my final week of centres I really wanted to have a great week, because the school winter carnival was in full swing. I made groups from the alphabetical list of my class. This resulted in heterogeneous formations. I began to realize that my students' enthusiasm was starting to lag. It is true that we were late in some curriculum in comparison with the other grade four class. Also having centres at the same time as the carnival was probably a little much. I have to admit that I too grew tired of seeking, making, arranging, evaluating and taking notes about what we were doing in class. The walls of my classroom were not able to hold much more of the many student work projects generated during centre activities. I was beginning to expect the visit of the fire inspector coming and ordering me to pull everything down. I was beginning to expect the visit of the fire inspector coming and ordering me to pull everything down. I was thrilled being able to teach again in the old-fashion way, probably because I knew my pupils would be doing all the same things at the same speed, so it was easy for me to have the CONTROL once again. Assessment What was important besides the self and group-evaluation, was to develop some other tangible pieces of work (work sheets, art production etc.) to be used for further analysis on the accomplishments and evaluation of the development of self-esteem. Notes of individual, small group and class discussions were also recorded as well as many quick write ups on what happened in the centres during and after the allowed time. The Language Services of Alberta Education suggests that assessment should be a continuous process and should involve both the student and the teacher. Its purpose is to determine the status of the students' competence so that the activities and instruction can be matched to the needs of the students. Several assessment techniques are given as appropriate for use with students. These assessment techniques include: - teacher observation - interviews - anecdotal records - samples of dated student work - reading conferences - writing conferences - student self-evaluation. Thomas (1975) wrote on the topic of evaluation in a chapter entitled "The effectiveness of Open Learning in the Classroom" that logs, diaries, inventories, 'goal books," and videotapes are other tools by which pupils may assess their own progress. However, the form or vehicle used for the self-evaluation is not necessarily the important factor. It is important that an evaluation instrument used makes visible to the pupils their input into the classroom activities, their ability to initiate personal growth and group actions, their capacity to work independently, their degree of creativity, the extent and quality of their questioning, and the other processes ascribed to open education (see appendix 7). In general, I believed that this project was to contribute to the field of education in areas of future organizational arrangements that assure individual contact and learning. My effort to develop the self-esteem of my students with the help of learning centres could certainly allow teachers to have for once the opportunity to understand their students more independently than collectively. It is my intention to share the results of my culminating project with my colleagues at school and if possible to the whole district during future professional development days. I always think of my classes as a whole. When talking about my students 'they' in my mind become one. Rapport (1970) suggests it is always easier to think of students collectively, of the class as a unified individual. I am glad to have given that class all my best with this project. It is true that we as teachers, are usually more eager to follow our own leads rather than student direction. For instance, how much thought and consideration has been given to the appropriate responses that might be made to the different kinds of questions students ask? How important is it to listen carefully when a student talks and to indicate an interest? How much time is spent determining a student's interest and proclivity in achieving an objective? There are some of the many questions I intended to answer by making my classroom a place where everyone had a complete role to play and felt great about it. I was confident that after my recent literature review learning centres, not necessarily a brand new idea, were one of many ways to enhance the development of self-esteem in the classroom. The volunteers Once I had decided what to do for my final cumulative project, a research action study based on the development of self-esteem through cooperative learning centres, I asked my classroom representative to arrange a schedule of daily volunteer parents. I believe that parents and teachers are part of an important team for the education of children. This is why I asked for the cooperation of parents. Although this was a secondary aspect to my research project, my goal was to help my pupils feel even better about themselves in the presence of their parents. One at the time they were invited to come for an hour during the first period of the morning. All parents agreed to participate and I was very happy with the response I received. My students and I gave a big welcome to everyone of the parents on a daily basis before the centres period. On some occasions, the parent stayed for awhile talking about their job or helping a selected group of students to decorate the class or a bulletin board. I always made sure to team-up a parent with their son\daughter. One day the daughter of a volunteer had already done the cooking centre where the students under the supervision of the adult were baking cookies. The mother demanded that her daughter do the same centre again if she was to work at the centre. I had no hesitation and I have noticed a great friendship between the two of them and among the group of five boys. The cookies were to be distributed to several places; the office, the two other grade four classes, the staff room and for sure to the whole class. Having so many people at recess licking their lips and commenting on how good those cookies were really made the day for these youngsters. It happened on some occasions that I was a little overwhelmed with all the adults present in my classroom. I felt like I was no longer in charge as all the volunteers arrived—some invited and some others just dropping for an hour or two, including students teacher for a visit, Mr. George* (a mentally handicapped volunteer from the association working in my classroom one day a week), the psychologist coming for an evaluation of a special needed child, the counsellor coming to pick-up so-and-so to solve a little problem, etc. I don’t know if having all these adults in the classroom was always helpful as often they were chatting together, watching over their own child and forgetting the others. I did not know what to do exactly and was too nervous to take interrupt. Some parents came to school with their toddlers and let them roam in the class. It even happened that one parent asked to borrow the calculator to help at the mathematics centre where the biggest challenge was to divide one hundred fifty by five!!! Some days I felt that I was engaged in the development of self-esteem of the parents instead of the pupils. It would be an interesting study to look on the effect of poor self-esteem with parents on their children. However, that was not my purpose and I Fictional name was really fortunate to have received all these good intentioned people in my classroom. Everything they did was of help; their smiles, their happiness, their laughter, explanations, creativity, tips with the clean-up, cutting etc. When I asked several mothers to note for me what they observed during the morning periods I was happy to read so many positive comments. Here is a brief list of what they had to report: - The students worked well with each other, used the material properly and shared it. - Many groups developed and demonstrated new ways to solve problems. - The students were jokingly sorting through the dress-up cloths. - Their organization was very good as they chose a reporter to dialogue their play. - The group all pitched in for organizing the material with the building activity. - Everyone was anxious to share their ideas and to develop the perfect story. - The students were very imaginative. etc. There was a lack of consistency in volunteer observers. Some parents wrote details focussing more on the personality of the pupils of each group. For instance, "student #1 is a great leader and has a friendly, non-aggressive style, student #2 is more a 'hands-on' type of learner, student#3 share her ideas quite comfortably with the other members of her group, etc." Once parents were informed about my quest, they were more precise in identifying the appropriate information. They all focussed on what seemed important for the development of self-esteem with their children. In general their comments indicate that the pupils were always glad to be engaged in a fun and educational task and seemed to enjoy themselves. Of my twenty-five students, only one father presented himself to take part in the activities with his son. I found this fact even more amazing as only two of my pupils come from a single parent family. I was, however, pleased with this dad as he is really committed to the education of his son and is always very supportive of every decision that I take regarding the discipline of his son. Since September I have noticed a big change with this young boy in the areas of time management and quality of work. He demonstrates pride when handling in assignments on time and receiving compliments on his penmanship and drawings. After having been contacted by the class representative, I heard from, during the first week of the centres, a mother, Dr. Alice Luther, a drama teacher at the University of Lethbridge, asking me if I would like to receive her drama students to make several plays in which my pupils would have the chance to work with her own students. The goal of this exchange was to help each other with the development of self-esteem on both parties. Every Tuesday and Thursday, my pupils and I were thrilled to receive the visit of eighteen young adults burning with desire to work with their new grade four pals. Dr. Luther and I matched our pupils, seeking suitable combinations. Some groups had five pupils for two university students while some others, most in need of self-esteem development worked one to one. The university students were exactly what we needed at that time as they gave each and everyone of us plenty of positive feed-backs about what we were doing in our classroom. We shared their friendship and were all excited when came the time to present the final results in the art class. Just for our own enjoyment, I was glad to take pictures that were posted on our walls (see photograph appendix 2). A small gathering at the end of the three weeks was done in the class where some fruits, cheese, crackers, juice and pop was served. It was a wonderful experience for all of us and it was a sad time to say good-bye. In a time where each school is asking for more parental involvement in the class I am at a point, not sure if this is the key to success for everyone and every situation. Now that my research is over I can say that the success of my project is partially due to the fact that I received a tremendous amount of help, praise and encouragement from every parent (Some parents continue to say how their child loved the period of centres and they keep asking me when I will do some more). The biggest negative point in having volunteers in the class is time management. When do you explain to the volunteers what to do and how to do it? Some subjects are too difficult and too complicated for some volunteers; French Language, as an example, is almost impossible for some parents. I realize now that maybe the best way is to have a schedule of some parent volunteers regularly making a strong commitment to come on a regular basis to do a single task; working on the computer, doing math corrections, working on bulletin board, reading with students, helping during art's classes, coming along on field trips, etc. In my research project it was almost impossible to explain details about what the task of the day was as my centres changed weekly and were always at the beginning of the day. Some tips that I take from this is to do the centres after the first period is over. That way I would be able to explain what I want from the volunteer in a more relaxed atmosphere and that would be less stressful for all. Also having less parent involvement in such a short period would be helpful. During the months of December till the end of February we received a daily average of three adults other than teachers visiting our class each day. I am pleased over all with the involvement of everyone and the pupils were pleased to show the moms and the dad what they were doing at school. To conclude this part of the paper I would like to look at all the gathered information. I am wondering about a future research study to find out what would be the best use of volunteers in the classroom and would this be a good topic for one of my next PS III proposals in the near future. My journal* In reading my classroom journal over these past weeks I recalled a lot of fun and some challenging events taking place during that time. Having the time to put down on paper what was happening was not always an easy task as I tried to be available to all and present in the classroom to help and supervise the activities. At the beginning I tried to sit at my desk and write my observations as they were happening but was too often interrupted and felt uncomfortable to have a volunteer working while I sat at my desk. It is after classes that I made a routine to put down some of my thoughts and events of the day. I wished I would have been able to see all at once and freeze the time to record all of what was going on. Often I felt like I was not needed at all. That was a strange feeling to me as I have been trained to be the one with all the answers and the one who gives praises and comments. Journal writing was a new experience for me. I found it difficult, not only to find an appropriate time to write, but also to find the motivation to sit down each day and process on paper what had happened during the centre period. What I did find easy to do was to dialogue with colleagues and friends. With the trusted confidents I was able to share and celebrate my new approach. It was also with these people that I dispaired over student lack of involvement and my own stresses and pressures. It was this dialogue that formed the backbones of my research project. Just as students have learning styles that must be respected, I have a professional style that cannot be denied. I process verbally and did so regularly with my peers. This process is reflected in the continuous observations and changes made during the project to the advantage of my students. I am glad that I went through the process of journal writing. I learned much about myself, developed a new skill and will be able to apply this reflective writing to a future project (see appendix 8). Awards and motivators Early in the beginning of my project, I began to give some classroom awards relating to the good work, behavior, quality of work, originality of project, help in cleaning-up the class, support for a peer in need, smiles, gentle actions and all kinds of random acts of kindness. These were to remind the student of our intentions in doing the cooperative learning centres: to work together, feel great about ourselves and have fun learning. I had already noticed that to be recognized for your efforts is always welcomed by the pupils. I tried to be a good role model in what encouragements should be. By seeing, hearing and receiving compliments they became able to give to their peers the same. Our school also has its own awards ceremony. Each month, each class selects two students to be recognized in front of the gymnasium during our monthly school assembly. What I did in my class was another step toward encouraging and allowing students to develop their self-esteem. It would be good to know that I changed the system as the centres progressed. I tried to keep the distribution of awards as unexpected as possible. By the end of the five weeks every student had received something that brought a smile to his or her face. Findings I am not prepared at this point to guarantee that cooperative learning centres help to develop the self-esteem of students. What I did conclude from this rich experience are many wonderful findings for my own use as a teacher. For instance, I believe that, like a chariot, we all ride on, I am leading my students on a journey of wonderful learning experiences from late August till the end of June. My mission is simple; it is to guide my pupils on the road of SELF; self-pride, self-respect, self-concept, self-actualization, and others. Dr. David Smith from the University of Lethbridge wrote that "Self-esteem can never be just a pure psychological state, it is always connected to culture, politics, religion, material well being, etc. ". This comment reaffirms my beliefs regarding the necessity of development of self-esteem. A concrete structure to accomplish this goal, in this case learning centres, is a great addition to the process. Did I succeed in what I planned to do at the beginning of my research study? I believe that the answer is yes. I saw an enormous level of cooperation, joy, excitement and learning happening in my class during these five weeks. To say that everything went like a chariot ride would be ludicrous. For instance, it happened that some pupils felt unaccepted by their groups, others did not succeed in doing their project (Play, puppet and stories), one student enjoyed working more by himself than with his group, some pupils wanted the final product to be perfect and had difficulties accepting the inputs of their peers, absent students were not always able to catch-up what they had missed, a parent got into a fight with another staff member regarding the equipment she used inside the cooking centre (She took the radio to create an ambiance without knowing it was needed for the lesson of that staff member), the drama students from the university together with all our theatrical props, required that we politely kick out a grade six class, in the middle of a dance lesson, to let my pupils present their play in the arts room, and finally, I found it difficult to evaluate the growth of self-esteem as it is a personal inner growth. During these five weeks my students learned to work cooperatively and felt great about themselves. They discussed with me what they liked about the centres and what they would like to see in them. They asked to have certain types of centres twice and were happy to work with their friends on a daily basis. On occasions some students misbehaved in groups. I was troubled by their actions and wondered if I should have intervened. Was my interaction necessary inside these groups or should I have let the groups deal with the problems on their own? In our class we have worked a lot on conflict resolutions. We have followed these steps: Take a big breath, think about what happened, go talk with the person you have a problem with and if that does not work then go talk to an adult. Student soon realize that after they have solved a problem they always feel better. This problem solving sequence is displayed on a poster in the classroom. It does work for the majority of my pupils, the others need to be reminded that they are capable of dealing with their problems. I believe it is a valuable lesson to be able to resolve interpersonal conflict without adult intervention. I also believe that once students have attempted to solve their differences, adult intervention may be necessary. In conclusion, I believe that with all the tools that showed and modelled in the daily classroom routines, I am confident that my students have become more equipped and capable to develop their own self-esteem (see appendix 9). References Alberta Education. (1984). Philosophy, Goals and Program Dimensions: Early Childhood Services. Edmonton, AB: Author. Alberta Education. (1992). Language Learning In French Immersion Classrooms In the Transition Years. Information For Language Learning Teachers. Edmonton, AB: Author. Alberta School Boards Association for Bilingual Education. A comparison of Alberta's three distinct French Language Programs. Edmonton, AB: Author. Berne, P. & Savary, L. (1985). Building self-esteem in children. West Nyack, New-York: The Continuum Publishing Company. Borda, M & Borda, C. (1978). The Good Apple Guide to Learning Centres. Carthage, Illinois: Good Apple Edition. Boydell, D. (1978). The primary Teacher in Action. A look at the research literature., London, UK: Open Books Publishing Ltd. Carroll, J. & Seaton, M. (1992). Cooperative Learning throughout the year. Helping young children work together. Carthage, Illinois: Good Apple Edition. Clarke, J. & Dawson, C. (1989). Growing Up Again. Parenting Ourselves, Parenting Our Children. USA: Hazelden Educational Material Publishing. Clarke, J., Wideman, R., & Eadie, S. (1990). Together We Learn: Cooperative small group learning. Scarborough, Ontario: Prentice-Hall Canada Inc. Curry, N., & Johnson, C. (1990). Beyond Self-Esteem: Developing a Genuine Sense of Human Value. USA: National Association for the Education of Young Children. Davidson, T., Fountain, P., Grogan, R., Short, V., Steely, J., & Freeman, K. (1976). The Learning Centre Book: An integrated approach. Santa Monica, California: Goodyear Publishing Company, INC. Fine, G., & Sandstrom, K. (1988). Knowing Children: Participant Observations. Qualitative research Methods Series 15. Newbury Park, California: SAGE Publication Inc. Garvey, C. (1990). Play: The Developing Child Series. Cambridge, Massachusetts: Harvard University Press. Gutek, Gerald L. (1988). Philosophical and Ideological Perspectives on Education. Neelham Heights, Massachusetts: Allyn and Bacon Publication. Irvine, A. (1977). Collins English Dictionary. Glasgow, U.K: William Collins Sons & Company Limited. Lion's Clubs International. (1990). National Association of Elementary School Principals & National PTA. Granville, Ohio: Quest International. Lion's Quest Skills for Growing. Granville, Ohio: Quest International. Little, J. (1996). Comparative Trends in Early Childhood Education. Unpublished thesis submitted to the University of Nottingham for the degree of Doctor of Philosophy. Nottingham, U.K. Macey, S. (1996). Self-Esteem in the Classroom. San Diego State University. International Leadership Centre Program. San Diego, U.S. Munroe, E. (1991). Let Me Play. Ontario, Canada: Scholastic Canada Ltd. Piers, M. & Landau, G. (1980). The Gift of Play. Don Mills, Ontario, Beaverbooks, limited. Rapport, V. (1970). Learning Centres. Children On Their Own. Washington, D.C: The Association for Childhood Education International. Schwartz, S. & Pollishuke, M. (1990). Creating the Child-centred Classroom. Concord, Ontario: DW Friesen Printers. Smith, K. (1993). Meeting the Challenge of Research in the Elementary Classroom. Chap 5 from: Teachers Are Researchers: Reflection and Action. Concord, Ontario: DW Rriesen Printers. Sydor, K. (1985). Second Language Program. The choice is yours. Calgary Board of Education, Calgary, AB: Media Services Group, Instructional Services Department. Thomas, A. (1991). Self-esteem. The Values Library. New-York, New-York: The Rosen Publishing Group, Inc. Thomas, J. (1975). Learning Centres Opening up the classroom. Inc. Boston, U.S: Holbrook Press. Waynant, L. (1977). Learning Centres II. Practical ideas for you. Library of Congress. Washington, D.C: Instructo/McGraw-Hill. Waynant, L. & Wilson, R. (1974). Learning Centres... A Guide for Effective Use. Library of Congress. Washington, D.C: Instructo/McGraw-Hill. Le soulier de mon ami Blam par: Ryan Dimensions: - Largeur: 26 cm - Longueur: 31/2 cm - Marge: Thinsulate - Réception: Dans toute les zones d'eau froide, en cas d'eau. Constitution de la boite #9 Vincenzo Pichicenti Kersey Winkelman Buddha Boy Les élèves qui en font un peu trop devant la classe avec madame Rive #12 UofL Drama Studio Lundi le 20 janvier 1997 C. Lundi le 20 jan 1997 Nous lisons de courtes histoires et répondons aux questions, qui, quoi, quand, où et comment. Centre de français. D. Mardi le 21 jan 1997 Nous construisons une tour de Lethbridge très, très haute. Centre de sciences. E Mercredi le 22 jan 1997 Nous faisons des divisions. Centre de math. a. Jeudi le 23 Nous faisons de bons biscuits aux brisures de chocolat. Centre de santé. Vendredi le 24 jan 1997 Nous écoutons l'histoire du joueur de flûte et répondons aux questions (+ dessin). Dans quel centre est-ce que je vais aller aujourd'hui? A. Centre des Sciences: Construction d'un pont très haut, très long et très beau le 7 février 1997 B. Centre d'Art: Je coupe une patate et termine mon affiche avec la peinture. le 3 février 1997 C. Centre du théâtre: J'ai du plaisir à improviser une pièce. le 4 février 1997 D. Centre des Mathématiques: On continue les divisions le 5 février 1997 E. Centre de français: La St-Valentin s'en vient! le 6 février 1997 mercredi le 29 janvier Joelle Les encouragements Ce que l'on voit - un sourire - quelqu'un qui aide - partager - jouer ensemble - bon travail d'équipe - le pousser l'air - applaudir - le signe OK - faire un clin d'œil - bon toucher - corps ouvert Ce que l'on entend - C'est beau! - Tu travailles bien! - Tu es gentil! - Brava - Tu peux faire mieux - S.V.P. - Merci - En français - Excellent Ma soeur Tu es merveilleux Joelle! J'ai vu quelqu'un faire quelque chose de bien Avez-vous vu quelqu'un dans votre classe faire quelque chose de bien? Quelque chose comme être content aider un ou une amie) sourire. Il est important de reconnaître les efforts de vos amis. Voici ce que j'ai vu... La bonne action était Kenny a ait Brandon de faire les choses nouveau, Cristina a toujours une sourire sur sa visage. D'Arcie toujours aide moi avec mes travaill. Ravi me prait toujours ses crayons de couleur. Vanessa M.J. est just une bonne amie. Bravo et Soyez fiers! AUTO-EVALUATION PERSONNELLE Ai-je bien fait mon travail? Nom: Janice Sujet: Groupe de Science Directives à l'élève: Il y a sept lignes ci-dessous qui décrivent la façon d'agir en classe. Sous chaque description il y a des numéros de 1 à 5. Si tu as très bien fait, alors tu encercles le numéro 5; si c'est moyen le numéro 3, si c'est très mal le numéro 1. Tu encercles un seul chiffre pour chaque ligne et tu fais le total. Sois honnête, sincère et juste. 1. J'ai bien écouté. 1 2 3 4 5 2. J'ai suivi les directives. 1 2 3 4 5 3. J'ai coopéré avec les autres 1 2 3 4 5 4. J'ai travaillé sans bruit, sans parler inutilement. 1 2 3 4 5 5. J'ai travaillé à mon travail (ou celui de mon groupe) sans déranger les autres. 1 2 3 4 5 6. J'ai bien participé et j'ai montré de l'intérêt. 1 2 3 4 5 7. J'ai respecté les opinions et les droits des autres. 1 2 3 4 5 Le total de mes points 34 Avec la tempête de neige à l'extérieur, les élèves sont très tranquilles. Je suis heureux de voir les élèves travailler à l'intérieur de cette période. J'ai entendu un peu plus sur la guilde du travail. Ainsi, ils semblent partir de l'adulte en plus franco. Ils ont aussi pris réponse des catéchistes. Ce n'est pas toujours facile à faire et c'est une autre activité importante à faire. Ma mère bénie, Mrs. Hill est anglo-saxonne, qui fait le travail. Elle m'a interrogé si elle pouvait interviewer à écrire un questionnaire. Ensuite, faire. Je me propose à faire de nouveau cette journée. Je suis satisfait. Réflexions pour mon dossier Nom: Vanessa M.J. Date: mercredi le 29 janvier 1998 Sujet: Les centres d'apprentissage coopératifs. Quelque chose que j'ai appris: J'ai appris comment travailler en groupe. J'ai appris comment que tu fais le biscuit au chocolat. Quelque chose que j'ai aimé faire: J'ai aimé faire la centre d'étude social. Parce que j'aime la nature. Et que tu peut fait les sculpture. Quelque chose que je n'ai pas aimé: J'ai aimé pas la centre de mathématique. Parce que beaucoup de personnes a discuté. Quelque chose que j'aurais aimé faire: J'aurais aimé faire la pièce de quand apporé les chapeaux, les robes etc. Je pense que je va aimer della.
The group savings resource book A practical guide to help groups mobilize and manage their savings The group savings resource book Food and Agriculture Organization of the United Nations The designations employed and the presentation of material in this information product do not imply the expression of any opinion whatsoever on the part of the Food and Agriculture Organization of the United Nations concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The word “countries” appearing in the text refers to countries, territories and areas without distinction. The designations “developed” and “developing” countries are intended for statistical convenience and do not necessarily express a judgement about the stage reached by a particular country or area in the development process. The opinions expressed in the articles by contributing authors are not necessarily those of FAO. Text Ji-Yeune Rim & John Rouse Illustrations Rustam Vania Editing and layout Jonathan Cook All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial purposes are authorized without any prior written permission from the copyright holders provided the source is fully acknowledged. Reproduction of material in this information product for resale or other commercial purposes is prohibited without written permission of the copyright holders. Applications for such permission should be addressed to the Chief, Publishing and Multimedia Service, Information Division, FAO, Viale delle Terme di Caracalla, 00100 Rome, Italy or by e-mail to email@example.com © FAO 2002 # CONTENTS \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| ACKNOWLEDGEMENTS \| v \| \| FOREWORD \| vi \| \| INTRODUCTION \| 1 \| \| PART A: SAVING \| 7 \| \| CHAPTER 1: Saving first \| 8 \| \| What is saving? \| 8 \| \| Why people save \| 8 \| \| How people save \| 9 \| \| What about borrowing? \| 11 \| \| How can the poor save more? \| 12 \| \| CHAPTER 2: Getting started \| 14 \| \| Factors enabling or constraining saving \| 17 \| \| Keys to success \| 22 \| \| Tips for group facilitators \| 26 \| \| CHAPTER 3: Saving as a group \| 29 \| \| Rotating Savings and Credit Association (ROSCA) \| 30 \| \| Accumulative Savings and Credit Association (ASCA) \| 38 \| \| Credit Union (Savings and Credit Cooperative) \| 48 \| \| Linking up with banks and other financial institutions \| 53 \| PART B: TOOLS CHAPTER 4: Knowing the village Village social map - Who is living where? 61 Wealth ranking - Who is who? 64 Venn diagram - Who is doing what? 66 CHAPTER 5: Money management Household economy map 70 Cash flow tree 72 Seasonal calendar 75 Counting and basic calculations 76 CHAPTER 6: Planning for growth Strengths, weaknesses, opportunities and threats 79 Business plan 81 Participatory monitoring and evaluation 82 REFERENCES 87 ACKNOWLEDGEMENTS The origins of this book go back to 1991, in our Ghana PPP project, when we discovered that too much emphasis on credit was creating dependent groups rather than self-reliant ones. After several unsuccessful efforts to increase group savings, we found that socio-cultural factors rather than economic ones appeared to be the main causes. Fortunately we met up with Otto Hospes, a socio-economist at Wageningen University who had done extensive work in this field, and in 1996, with FAO Partnership Programme funding, we launched a study to explore the socio-cultural factors influencing rural saving behaviour in Zambia. This was later expanded, with generous funding from the Netherlands in 1998 to Tanzania and Zimbabwe, and served as a major source of information for this book. Additional valuable insights were collected at an international workshop on this topic in Wageningen in May 2001. Creating a simple field manual on resource mobilization for the poor has involved collaboration with a host of individuals who deserve much credit. We therefore wish to thank the members of PPP and other self-help groups around the world whose struggles to mobilize capital motivated the idea for this manual. A special note of gratitude is also owed to Otto Hospes, whose academic rigour and socio-cultural insights on rural financial behavior during the research phase were invaluable, to Bernard Van Heck, Karel Callens, Jennifer Heney and Michael Marx for their detailed review of and comments on the draft text, to Brian Branch for his inputs on the credit union section, to Gabrielle Athmer and Jochem Zoetelief for their field perspectives. Finally we would like to thank Christine Kahanda of the People’s Participation Service (PPS) and PPS groups in Zambia. Their active participation in the field testing of the resource book provided useful feedback on how to help the poor better mobilize and manage their own resources to invest in their own future. We sincerely hope this book will contribute to this end. FOREWORD In recent years, the potential of microfinance as a tool for poverty alleviation has been increasingly recognized. Hundreds of millions of the world’s poorest need access to financial services whether to access loans or to safely save small amounts of money. However, mounting evidence from the field has shown that too much focus on the provision of credit has led to excessive debt burdens and repressed growth. As a result, many governments, donors and NGOs are now advocating a more balanced approach to financing poverty alleviation efforts that places savings and other financial services in the forefront of credit. Critics often say that the poor are too poor to save; yet empirical data contradicts this point-of-view showing that everyone saves, including the poor. Though not always apparent, the poor save in many different forms, in kind and in cash, to meet their daily food consumption, education, and health care needs or to invest in small businesses. However, the poor frequently have more difficulties in accumulating capital than the better-off since they are more vulnerable to risks from bad weather or poor health, and have limited access to markets and safe saving facilities. Group saving approaches have had notable successes when they are responsibly managed, and when the savings are felt as an asset by their members. Many of these successes have occurred when women have been significantly involved in their constitution and management, as has been seen in the case of the Grameen Bank experience in Bangladesh. By providing a means to safely pool their savings, these approaches can help the poor and disadvantaged accumulate productive resources more efficiently. Group savings also help build solidarity among members and provide a safety net against exploitative moneylending. Ample evidence of this exists in the widespread use of informal and formal group saving approaches around the world: rotating savings and credit groups, savings clubs, village banks, credit unions, and so on. The fact that they must be essentially self managed, gives the opportunity to generate group self-confidence, the first step towards sustainable poverty elimination. We hope that this resource book on group savings will prove useful to those engaged in strengthening the self-help capacities of the poor, and by doing so, help the poor build a better future for themselves, their families and their communities. Maximiliano Cox Director FAO Rural Development Division INTRODUCTION “A penny saved is a penny earned” (England) “Many pebbles make a mountain” (Korea) “Save now, or never” (Mexico) “Save today for a better tomorrow” (Zambia) Both the rich and the poor understand the importance of saving. Just as the rich know that the more of their own savings they use to finance their businesses, the more independently and safely their investment will grow, the poor also know that they must save enough of this year's harvest for next year's seed and to meet their families' food needs. The poor face more difficulties in saving than the well-to-do because they have fewer productive resources, competing demands for these limited resources, and little or no access to safe saving facilities. Nevertheless, for the poor, saving is a necessary precondition for improving their lives. People who save behave differently than people who don’t. If one has secure resources to fall back on in time of need, one is better able to cope with unforeseen events and emergencies, and plan for a better future. Thus, if the poor can improve their capacities to save more effectively, they will be better able to plan, invest in and manage their own development. Experience has shown that group approaches to saving can help the poor save more efficiently, especially when access to saving facilities such as banks or other financial services is difficult. By saving in a group, members can get quicker access to a larger amount of pooled resources than they would if they saved on their own. Secondly, by saving as a group, members can protect themselves from unwanted financial demands from friends and family. This is important in many rural areas where there are intense family and social pressures to share all resources. A group can also provide a more secure environment for people to keep their money. In many rural areas, people do not have access to banks or other safekeeping facilities. This leaves them with little choice but to hide the money at home or with a friend, hire a local money-keeper at high cost and risk, save in kind or not save at all. While saving in a group can help individual members meet their personal financial needs, it can also assist self-help groups become stronger and more financially sustainable as organizations. Evidence shows that self-help groups with active saving programmes are more likely to achieve their goals independently without relying on external support. This is because they are able to mobilize their own resources and thereby invest in activities which they can handle by themselves. Why this book? This book is the fourth in a series of FAO field manuals on small farmer group development. The first three: The Group Promoter’s Resource Book (1994), The Group Enterprise Resource Book (1995), and The Inter-Group Resource Book (2001) cover the topics of group formation, group enterprise management and inter-group association development. All three of these manuals dedicate some attention to the topic of group-based savings, but none in sufficient detail and scope. This manual seeks to fill that gap. The aim of this publication is to help the poor strengthen their capacities to accumulate productive capital through savings groups, especially in areas where no formal financial services are available, and to assist existing self-help groups establish their own saving activities. The information is presented in an easy-to-read form, with illustrations and group exercises. The book’s emphasis on group saving approaches should not, however, be interpreted to mean that other saving approaches are unimportant. A group approach to mobilize savings may make sense at a certain time in one’s life, depending on his/her needs and capacity to access other services, but not in another. For example, saving in-kind may be a preferred method in some villages, while saving at a bank may be a better option for others who have access to such a facility. Nevertheless, we are confident that group approaches to saving can make a significant difference in helping the poor accumulate resources where access to formal financial services is difficult. Intended readers The resource book is expected to be useful for: - Self-help groups and group promoters: Members and leaders of small farmers, women’s and other social and economic groups and their group promoters (local animators, extension workers, etc.). - Agencies promoting self-help group development: Staff in government agencies and NGOs using small group approaches to deliver agricultural extension, financial, health and/or educational services to the poor. - International development agency staff: Staff in international agencies promoting micro-finance initiatives may also gain new insights on how to incorporate group savings components into their development strategies. Structure of the resource book The resource book is divided into two parts: Part A: SAVING discusses the advantages and disadvantages of saving in a group, the constraining and enabling factors to consider when starting a group saving activity, and describes some commonly used group saving methods. Part B: TOOLS is a description of various tools that can be used to collect information on the village when starting a saving activity, improve personal financial management skills, plan for investment and growth, and monitor and evaluate the saving activity. NOTE: The tools included in Part B are not the only ones that could be used and should not be seen as compulsory for starting a saving activity. They may or may not be used depending on the local situation. We encourage users to adapt the methods in the manual to fit their own situations and saving needs. Simplification or translation of the text into the local language and use of more appropriate illustrations and exercises may be helpful. Part A: Saving CHAPTER 1: SAVING FIRST What is saving? Saving means withholding something valuable for future use. This simple phrase describes two key elements of any saving activity: - Discipline and sacrifice: Withholding something valuable for future use instead of consuming it immediately. - Planning for the future: Saving is all about the future, about anticipating and preparing for possible risks and emergencies (a bad harvest, sickness or death), preparing for upcoming events and expenditures (payment of school fees, a marriage, old age, or funeral) or starting a new business or expanding an existing one. Why people save Everybody saves, even the poor. It’s just that the poor have fewer resources to start with, and so can only save in small amounts. People save for a variety of reasons: - To prepare for future emergencies or risks (natural disasters, injuries, death). - To smooth out variations in income and consumption: Saving during surplus periods to use during difficult periods. • To educate their children. • To be prepared for old age and disability. • To invest in opportunities potentially profitable (purchasing a cow, starting a small enterprise, storing grain to resell during high price season, etc.). • To fulfil social and religious obligations (marriage, funeral). How people save People save in many ways, as individuals or in a group. They may save in kind, in cash (at home or in a bank), or by giving. - In kind: When prices are continually rising (high inflation), when there is little cash in circulation (barter economy), or when there is no bank around, saving in kind may make sense. In kind savers normally save in food-grains, like maize or rice, or in livestock, such as cattle, goats, or chickens, and sometimes in items like jewellery or gold or other valuable goods which increase in value as prices rise and can be easily resold for cash at a later date. The disadvantages of in kind savings are that they tend to be less portable, more difficult to store and maintain (cattle are vulnerable to diseases, grains can be attacked by insects or rodents), less easily converted into cash, and more visible (sometimes people don’t want others to see that they now have more chickens or cows than they used to have). • In cash: Almost everyone, including the very poor, has some need for cash: to buy medicine or pay for school fees or buy new clothes, etc. The main advantages of saving in cash are that cash is very portable, storable, not very visible and can be exchanged for almost anything. In view of these features, saving in cash is generally preferred. The main weakness of keeping cash is that it can lose its value during high inflation. That’s why many choose a mixed strategy of saving in kind and in cash. • At home or in a bank: Saving at home has its benefits. The savings are nearby and easily accessed, but this means that it is also more easily accessed by other family members or can be easily stolen. Saving at a bank may be a safer option. The problem is that banks only accept cash savings, the cost of opening and maintaining a savings account can be quite high and there are few banks, if any, located in rural areas. • By giving: People give gifts or offer services not just out of generosity, but also sometimes with the hope of receiving the favour back when needed. A typical example would be volunteering to help a neighbour harvest his crop. By doing this, you expect him to help you when it comes time to harvest your crop. What about borrowing? On the surface, using someone else’s money and then paying it back, later, seems easier than saving. Borrowing doesn’t require any immediate sacrifice. You get the money quickly and don’t have to worry about paying it back until later. But is it really easier than saving? - Borrowing can be expensive: The borrower will have to pay back the loan itself, plus pay additional interest on the amount received. This can get expensive! There can also be “hidden” interests. For example, a shopkeeper may lend a person money without charging interest directly on the loan, but instead increase the price of the items the borrower must buy from him (medicines, food, other household items). - Borrowing can be risky: Since the poor are more exposed to risks caused by weather, income fluctuations, diseases, theft and death, they may have repayment problems. Suppose that after borrowing some money a family member becomes ill. The money may then have to be spent on medicine rather than on the planned investment. This will make repayment difficult and worsen their situation. • Borrowing can be difficult: For the above reasons, the poor may also have more difficulties in obtaining loans than would the rich. Lenders, whether a friend, a local moneylender or a bank, are unlikely to lend to people they think will have problems in repaying. • Borrowing can be stressful: A loan involves a promise to repay the lender. Normally the full amount must be repaid within a fixed period of time, often with interest. Failure to repay may mean losing valuable possessions (jewellery, a cow, a plot of land, etc.) or one’s good reputation, being threatened and/or becoming more indebted by building up fines and interest payments. How can the poor save more? The poor do save. It may be just a few bags of rice, sorghum or maize, money to pay for school fees, but they usually save something. However, they have difficulties in becoming better off since they face a lot of problems. By adopting group saving approaches they can overcome some of these problems. Let’s see how. • The poor can save only small amounts individually, which are usually not enough to invest in productive resources. » By saving as a group, the poor can accumulate a larger amount of money more quickly by pooling their savings in a common fund which can then be used by the group or a member of the group for productive investment. • Low level of literacy and numeracy skills make it difficult for the poor to keep track of their savings and to manage their money. » By saving as a group, the poor can help each other learn these skills. As a group, they can more easily receive literacy and money management training from group promoters or trainers from NGOs, and also learn from other more literate members. • More vulnerability to risks like bad harvest, food shortage, sickness, flood, income shortage, etc. » By saving as a group, these risks can be shared between the members. Individual members can rely on other members for help in time of need. Group savings can be used like an insurance scheme to help members deal with these emergencies when they arise. • No access to safe saving facilities, such as banks. » By saving as a group, the poor can create a safe place to put their money. Some group saving methods do not require storing at all, since the money is immediately redistributed after collection. The group can also buy or make a cash box that will be safeguarded by several members. • Social values which expect individual savings to be redistributed to the extended family and regard individual accumulation of resources as selfish behaviour. » By saving as a group, the poor can protect themselves from accusations of being selfish, since the savings belong to many individuals, not just one. The threat against a single member of the group is a threat against all members. CHAPTER 2: GETTING STARTED When looking into starting a saving activity with a group, first find out how people in the village manage their money and other productive and social resources. If you are an external facilitator, one of your most important tasks will be to gain acceptance by the village. This can take a long time, but it is important that you obtain the support of the village leader(s) and villagers themselves. Work to gain their trust by talking with them regularly. Listen and show respect. You can prepare yourself by gathering information about the village from the local district office, non-governmental organizations (NGOs) and local leaders. Examples of information to be gathered • The living conditions of different socio-economic groups in the community – where is the nearest local bank, what are some traditional saving methods, where and when do households get their income from and how do they spend it? • The needs of the community and, especially of the poor. • The way the community solves its problems. • Social patterns in the community - who talks to whom and why? • The community power structure – who are the leaders and opinion makers? • Informal and formal organizations of men and women (both mixed and separate). • Links between the community and supply of services and who controls them. Make sure to always crosscheck the information collected from different sources, until you have a good idea of how accurate the information is. See Chapter 4 for some participatory tools on getting to know the village. Group formation* • Identify the poor: Use your own knowledge together with suggestions from villagers to identify the poorer men and women. In a rural community, often, you will find three broad wealth categories: the big farmers, with land and access to development services, the middle farmers, FAO. 1994. The Group Promoter’s Resource Book. Rome. with sufficient resources to meet their basic needs, and the poor, who live at subsistence level. Remember that identifying and assisting the poor is a sensitive issue. People may not like to be identified as poor, just like the better-off may not want to be identified as rich for fear of being left out of possible assistance. You can get information on socio-economic differences through informal interviews or by doing a wealth ranking if necessary. See the section on Wealth Ranking in Chapter 4. • Discuss group formation: Identify poor members of the village who are interested in working in a group. Organize one or more meetings with them to discuss their situation and financial needs and explain what you can do to assist them. It is best to keep the meeting small. A group of 8 to 15 people is ideal, since it allows for more open face-to-face discussions. If the group is too big, form sub-groups with people who have common interests. Large meetings tend to be less effective, since opinions and interests are more diverse which makes reaching agreement more difficult. • Identify a clear development goal: Help the group express their goals and expectations clearly. People usually express their goals in general terms, such as “to generate income for the family”. It is important to establish realistic goals with specific actions. Let the group express their goals and discuss whether they are clear or vague. For example, “I want to improve my children’s education” is vague. “I want to buy school books and uniforms for my children for the next school year” is clearer. See below for keys to success. • Discuss saving: Discuss how they intend to achieve their goals through saving. What are the advantages and disadvantages of saving? Illustrate your discussion with real stories of successful or failed savings groups. Do they know of any similar stories? How do people save? What are some traditional saving methods? How do people deal with emergencies? Discuss the different factors enabling and constraining saving in the community. NOTE:* It may be easier to start a saving activity with an existing group. Saving activities tend to be more successful when group members know and trust each other. However, if there is enough interest and enthusiasm you can always start a new group. For more information on your role as a group facilitator, and for forming new groups, consult the FAO ‘Group Promoter’s Resource Book’ (see Reference). Factors enabling or constraining saving The success of any group saving activity will depend on a number of conditions that may either promote or discourage these approaches. Therefore it is important to know what they are and design a saving activity adapted to the local environment. Careful assessment of the local conditions as well as the skills and resources of group members (existing or potential) should be made. Some of these factors include: - Use of cash: The more cash that is in circulation in the community, the more likely saving in cash will be useful. Although this manual focuses on saving in cash, saving in kind (livestock, grain, jewellery) can also be important. Many find, for example, saving in livestock (cattle, goats, sheep, poultry) a better store of value since the livestock produce offspring and/or by-products (meat, hides, wool, eggs) which add value and can be converted back into cash when needed. The main problems with in-kind savings are that they are not as portable as cash; they are more visible and more difficult to hide from needy friends and relatives; and they may be more subject to diseases as well as to theft. This type of saving requires good knowledge of taking care of livestock and/or storing grains, etc. How useful would saving in cash be for the group members? See Chapter 3 for different group saving methods. Cereal Banks in Zambia In the Western Province of Zambia, the prices of major food crops or grain change throughout the year with varying availability. Prices are low right after harvest and high towards the end of the year. The Cereal Bank takes advantage of these price changes to sell food crops during the high price season. A Cereal Bank is a group of people who sell grain or food crops in order to make a profit. The group members each contribute some of their harvest, or collectively purchase the grain, store it, and sell it later when the price is good. Profits are shared according to the contribution made by each member. - Access to banking services: Banks are usually safe places to store money but few are located in rural areas, they often have expensive service fees and very few are interested in providing services to small savers. This may make saving in a group the next best option for safekeeping one’s money. As the group and its savings fund grow, it may need to purchase a cash box or a safe to safely store its cash. The group or --- People’s Participation Service. 2001. The Cereal Bank Training Guide. Mongu, Zambia. individual members may eventually also consider linking-up with a nearby credit union or a bank. See section on linking-up with banks in Chapter 3. • Inflation: Rapidly rising prices decrease the value of the money you save. In other words, as prices continue to rise you find that your cash savings can buy less and less goods. Inflation may discourage people from saving in cash. If prices are rising, saving in kind may be a better option. • Social and economic differences: Friends and neighbours, people of the same ethnic background, gender, age group, religious or social group, or those with similar incomes and expenses may be more inclined to form a savings group than those who have little in common. That’s because they trust each other or have similar potential to save. Forming a savings group with persons of very different backgrounds may be much more difficult and is not encouraged. See Chapter 4 for tools on getting to know the village. • Traditional saving practices and social values: In some societies, failure to share one’s own resources with friends and family can result in being called selfish or even a witch, and these attitudes may discourage saving. What are the different ways people save in the village and which ways are preferred and why? What are the traditional values associated with saving? Do they encourage or discourage saving? If you are able to accumulate money or resources, are you considered as being selfish, and as taking money from someone else? Do people become jealous? Would saving in a group help one avoid these accusations? • Gender: In most cultures, forming mixed savings groups with male and female members is accepted. However, in some mixed groups, men can dominate decision-making and leadership positions, leaving women members few opportunities to develop and acquire leadership skills or benefit from common resources. Women savings groups can create a legitimate opportunity for women to meet and work together, and gain leadership skills. Separate groups of men and women can be practical as long as both sides are aware of each other’s opinions and activities and do not enter into conflict with each other. Raising awareness about gender issues with men is as equally important as empowering women. • Investment opportunities: Raising funds to start a small enterprise, to purchase land, livestock or farming equipment, or simply to meet family food needs, are important saving objectives for many. Using one’s own savings for productive investments, as opposed to getting a loan from someone else, may take more time, but it is a safer way for the poor to escape the poverty trap. To succeed, their investments must be well-planned and profitable. See Chapter 6 for tips on business planning. • Existing groups: It is easier to organize group saving activities with an active self-help group rather than to start a new one. Promoting saving within a small group is also easier because members know and trust each other and learn more quickly. Record keeping is also less of a problem in smaller groups. • Living nearby: People who live near each other are more likely to have similar problems and needs. They also tend to know more about each other and who is trustworthy and who is not. Also, the closer people live to each other, the easier it will be for them to meet on a regular basis. • Education: Groups with higher literacy rates are better able to keep track of their savings, maintain good records of meetings, etc. Although some group saving methods require little record keeping, the group should continuously encourage members to improve their literacy and numeracy skills and their knowledge of the world around them. See Chapter 5 for some tips on money management. • Health: Diseases, such as HIV/AIDS, TB, malaria, and disabilities reduce a household’s capacity to save. These will affect a group’s saving capacity, when some members are no longer able to contribute their savings or when loans are not paid back. Groups should take careful measures to safeguard the savings of all members by helping members in those situations better manage their resources. For example, the group can start a savings fund that will help finance the healthcare or funeral costs associated with the illness. Funeral societies (savings groups providing funeral services to their members) are commonly found throughout the world. Popular insurance: funeral funds (iddir) in Ethiopia Groups of people come together on the basis of location, occupation, friendship or family ties. Each iddir sets its own rules and regulations but usually pays out for funeral expenses or financial assistance to families of the deceased, and sometimes to cover other costs, such as medical expenses and losses due to fire or theft. Originally burial societies, iddir have extended to provide a wide range of insurance services in urban Ethiopia. - Institutions and policies: As long as saving groups operate informally and on a small scale, they can set their own rules and regulations. But as the group’s savings grow, it may want to open a bank account and this may require that the group be legally registered. Legal status may bring more opportunities, but may also come with more rules and regulations, hence less flexibility. Find out what process is involved to be registered, and what benefits or constraints are linked with this legal status. Keys to success What then, are the basic factors that can contribute to group saving success? There are some key elements which the group should have and these include: Johnson, S. & Rogaly, B. 1997. Microfinance and Poverty Reduction. London, Oxfam. • A common bond: The more similar each member’s interests, goals, backgrounds and incomes are, the less likely members are to get into conflicts and arguments and the more likely they are to make quicker decisions that satisfy most members’ concerns. “Our Well-Being Depends on Others” Founding members of this rotating susu club, or savings club, in Ghana had a common interest. These small businesswomen each suffered from frequent shortages of cash in running their businesses. By forming a susu club, each member received a lump sum of money in turn that enabled them to overcome these shortages. In addition, the club started to provide social services to its members, such as donations for funerals, marriage celebrations, and health care. • A clear saving objective: Savings should be mobilized for productive uses (that will directly or indirectly increase members incomes and their ability to save). The group can choose a common goal, such as saving to buy fertilizer for all members, or each member of the group can choose his/her own savings objective, depending on his/her priority and capacity. --- Bortei-Doku, E. & Aryeetey, E. 1995. Mobilizing Cash for Business: Women in Rotating Susu Clubs in Ghana. In S. Ardener & S. Burman, eds. Money-Go-Rounds, pp. 77-94. Oxford, UK, Berg. Miembeni Group: a savings club for wholesale purchase* Members of this farmers’ group in Tanzania cultivate their own plot of land but buy collectively their agricultural inputs. Every member contributes a standard amount per year into a group account and the group uses that money to buy their fertilizer at the wholesale price. • Small groups: Successful saving groups tend to be small rather than large. The average size of successful self-help groups is between 8-15 members, but this number can vary. In smaller groups, there is more face-to-face contact, making trust-building among members easier, and decision-making and collective learning more efficient. Small size also means small mistakes. So start small and let the group grow as it gains more experience and when it is ready to do so. • Discipline: Saving requires discipline since it means withholding something for future use instead of consuming it right away. All group members must have discipline and agree on a common set of rules to follow. If the rules are not enforced, then all members suffer. Groups solve this problem by using peer pressure or punishing those members who do not follow the agreed rules. This may include a fine for late payment or for missing a meeting, and even expulsion from the group. Hospes, O. 1997. Is there a case for group-based savings in Kilimanjaro region?* FAO/Wageningen University. (Occasional Paper no. 11)* Kiambu savings group in Kenya* “It is good to have the group to answer to if you do not set that money aside each week. Otherwise, if you were on your own, when business is bad you might decide not to save that week. (Our) group teaches us the profit of learning how to save money regularly.” —Mama Alice, member. • Team spirit: Sometimes having a common interest and being disciplined are not enough. “Team spirit” is also needed. Good group leaders can develop this spirit, but it can also be strengthened by other means: by giving a special name to the group which all members can identify with or coming up with a group song. The group can also develop a simple list of principles all members agree are important and worth preserving. • Trust: Group saving not only requires that all members adhere to and respect a set of rules but that they trust each other. If they don’t, benefits will quickly disappear. Trust is built by showing commitment and discipline. If a member fails to honour his/her commitment, then it should not be left unpunished. Rules that aren’t enforced are seldom obeyed. Nelson, N. 1995. The Kiambu Group: A Successful Women’s ROSCA in Mathare Valley, Nairobi. In S. Ardener & S. Burman, eds. Money-Go-Rounds, pp. 49-69. Oxford, UK, Berg. Features of a successful group - Members have a common bond. - Members have clear objectives. - Members have agreed upon rules to follow. - Members are honest and work hard to achieve their objectives. - Members hold regular meetings and participate in discussions and decision-making. - Members demonstrate leadership. - Members keep accurate records of their activities and meetings. Tips for group facilitators As a group facilitator, your task is to help poor people mobilize more resources for productive use by promoting savings groups or helping existing groups set up saving activities. The ultimate goal is to help people better manage their own resources themselves to improve their lives. Your assistance to groups may include: - Visiting and talking to individual members and other people from the community; - Attending group meetings; - Visiting groups when they carry out their activities; - Organizing workshops, training sessions and evaluations for group members; - Following-up on items discussed in the meetings, workshops, training sessions and evaluations. Hints for facilitation - Encourage participation. Meet in open areas, where all can observe and comment on charts or maps. Keep the circle open to encourage participation. - Minimise your role. Allow the participants the space to take the lead in activities. You should resist the temptation to move to a higher position (standing over participants, moving into the circle to get more attention or speaking louder, etc.). The more you keep a low profile, the more the participants are likely to take the lead. - Keep language simple. Use simple terms like savings, credit, insurance or emergency funds, instead of “financial services”. Use words that the community people use in their daily lives. - Think about your facial expressions. An encouraging smiling face can be an asset, just as frowning can create insecurity among participants. - Take care of your appearance. Do not wear sunglasses or clothes that set you apart, distract or intimidate others. MacIsaac, N. 2000. Participatory Institutional Assessment and Visioning Exercise. In IDS Participatory Approaches in Micro-finance and Micro-enterprise Development. Brighton, UK. • Spend time in the village. This eliminates delays due to travel, but is also an opportunity to create a relationship with the community and learn about the place. This also ensures that you are ready for the participants, and not the other way around. • Observe. You will easily learn who are the leaders in the group and in the community. Listen to reactions. • Be a student. You are here to guide the process, but you are not the expert on the participants’ situation. They are. Listen and learn. Ask questions respectfully and resist the temptation to impose your own ideas. CHAPTER 3: SAVING AS A GROUP There are many ways to save in a group, but they tend to be variations of three basic forms. The simplest and most common form of savings group is called the Rotating Savings and Credit Association (ROSCA). A more flexible variation of this is called the Accumulating Savings and Credit Association (ASCA) and a more complex form, is the Credit Union or Savings and Credit Cooperative. This chapter describes each of these three main methods, what they are used for, what their advantages and disadvantages are, and how they operate. It concludes with a section on linking-up with banks. The best advice in starting a group savings activity is to start on a small scale and keep it simple. If group members make mistakes, they will be little ones. As the group gains experience in money management, members may want to try out new, more flexible ways to meet their growing financial needs. The ROSCA method is the simplest form; it does not require much record keeping. It also usually serves a smaller group (8 to 15 members), although larger ROSCAs do exist. It is less flexible than an ASCA since individual members cannot withdraw their savings or take loans whenever they like. ASCAs offer more flexible savings and credit options to its members, but require more record keeping than ROSCAs. Credit Unions offer the widest range of services to their members and therefore require an even more complex record system. All these informal and semi-formal group saving methods have the potential of linking up with either other groups or to the formal financial system, such as banks, in order to have access to more flexible services. At the start, keep things simple! NOTE: Names of savings methods may be changed to make it easier for members to understand. Rotating Savings and Credit Association (ROSCA) The ROSCA is the most widely used method of informal group savings around. Various types of ROSCAs exist in almost every developing country and go by different names: njangi (Cameroon), susu (Ghana), arisan (Indonesia), ekub (Ethiopia), upatu (Tanzania), tontines (West Africa), etc. A ROSCA is commonly described simply as an informal association of participants who make regular contributions to a common fund which is given in whole or in part to each contributor in turn. How a ROSCA works Members of a ROSCA may meet every day, week or month and contribute a pre-determined sum at every meeting. At each meeting (or round), the money is collected and given to one member. Once a member has received the collected money (or lump sum), s/he must continue to contribute but will not receive the lump sum until all the members have had a chance to receive it once. When the last member has received the lump sum, the group may decide to start a new cycle. This way, ROSCAs serve both loan and savings needs. The illustration below shows how a 5-person ROSCA would function. At each meeting, all members contribute an equal amount to make a “lump-sum” that is distributed at the end of the meeting. At the first meeting, Amita gets the lump sum. At the next meeting, Kofi receives it, and so on, until all members have received the lump sum once. This completes one cycle. One cycle of a 5 member ROSCA ![Diagram showing the flow of a 5-member ROSCA cycle] START Amita Kofi Noha Mona Victor END ‘Rickshaw ROSCAs’ in Bangladesh* Men driven from their villages by poverty came to Dhaka (the capital city) where the only work they could get was to hire a rickshaw (a bicycle-taxi), for 25 taka a day, in the hope to earn a net daily profit of about 80 taka (or US$2). These men, illiterate and new to the city, got together and devised a group saving system which has worked for many thousands of them. Their saving method was to contribute 25 taka a day to a group fund which was kept by a trusted outsider (the shopkeeper where they took their tea everyday). Every ten days or so there was enough money in the pot to buy one new rickshaw, and that rickshaw was distributed by lottery to one of the members. The process continued until everyone had his own rickshaw. They learned how to arrange the number of members, each member’s daily contribution, and when to distribute the collection to best suit their cash flow and the price of a rickshaw. What it’s used for - Meeting individual needs of members - Access to lump sum cash for working capital - Small investments Advantages - Simple rules and procedure - No record keeping skills needed - No external mediator (money lender) involved - No storage facility needed as money is redistributed at the same time it is collected Rutherford, S. 2000. The Poor and Their Money. Oxford, UK, Oxford University Press. Disadvantages - Not much flexibility to meet immediate cash needs, since members receive the money in turns - Risk of default by a member who receives the lump-sum early in the cycle - Periodic and equal contributions require a regular income - Members who receive their lump-sum towards the end of the cycle may benefit less than those who receive it earlier Steps 1. Decide on what amount members can afford to contribute on a regular basis. 2. How often will the group meet? Usually it is daily or weekly. If the meetings are infrequent, it will take too long for the last persons to receive their collection. This would discourage members. 3. How will the collected funds be distributed? It can be done either by taking turns in a set order, by chance draws, or by bidding for it. See section below on Lump sum distribution methods. 4. Decide on who will organize the meetings and where they will take place (member’s house, local community centre). 5. Who will keep the records? ROSCAs don’t normally require much record keeping since the money is redistributed as soon as it is collected, but some distribution methods may need record keeping. See section below on Record keeping. Lump sum distribution methods The group can choose any distribution method it likes. Here are some suggestions: 1. Each member takes the lump sum in strict turn (by age, alphabetical order of name, etc.), which the group decides. One way is to give the money to the person who hosts the meeting. The next meeting, can be at another member’s house, etc.; 2. In order to compensate those members who received the lump sum at the end of the cycle, the group may decide to change the order of distribution, so that the last person in the first cycle will be the first to receive the lump sum in the second cycle, and that the first in the first round will be the last in this cycle. In the third cycle, members may decide to change the order again and so on; 3. The group picks a person randomly like in a lottery draw. The person who wins cannot participate in the next draw, but must continue to contribute until everyone has ‘won’ once; 4. Members decide to give it to the person they think needs the money most at the time of the meeting; or 5. The lump sum is sold to the member who is willing to pay the most for it. This is called an auction. The money gained from the auction is collected and redistributed equally to all the members at the end of the cycle. See how an Auction ROSCA works below. Innovation of the ‘Rickshaw ROSCAs’ in Bangladesh The rickshaw group described earlier added a rule to their ROSCA, that once a member has ‘won’ his rickshaw in a draw, he must from then on contribute double each day. There is a ‘natural justice’ in this, since now that he has his own rickshaw, he does not have to pay to hire one, and is therefore no worse off by paying double contributions until everyone has their own rickshaw. It is seen as a fair way of compensating late winners for their long wait. This device also shortens the length of the ROSCA cycle. This is because by the time half the members have won their rickshaws, enough extra money is coming in each day to reduce by a third the amount of time needed between rounds. And it gives winners an incentive to pay up and finish the cycle quickly, so as to hasten the day when they can enjoy the full income from each day’s work. Record keeping ROSCAs require very little, if any, record keeping. But it is always safe and useful to keep a record of the amounts collected, attendance at each meeting, and who received the lump sum on which date. In case there is a conflict between members regarding the procedure, or if the group decides to continue its activities, and begin another cycle, such records help everyone remember what was decided and agreed on at each meeting. Ibid. Here’s an example of a ROSCA record book (For simplification, this group has only 3 members and meets once per week): \| Date \| Member \| Paid \| Received \| \|----------\|--------\|------\|----------\| \| June 1 \| Amita \| 10 \| 0 \| \| \| Kofi \| 10 \| 30 \| \| \| Noha \| 10 \| 0 \| \| \| Total \| 30 \| \| \| June 8 \| Amita \| 10 \| 30 \| \| \| Kofi \| 10 \| 0 \| \| \| Noha \| 10 \| 0 \| \| \| Total \| 30 \| \| \| June 15 \| Amita \| 10 \| 0 \| \| \| Kofi \| 10 \| 0 \| \| \| Noha \| 10 \| 30 \| \| \| Total \| 30 \| \| NOTE: Currency symbols were left out. Adapt the example using local currency. Auction ROSCA In a typical ROSCA, the amount of the lump sum remains the same each round and no additional income is earned. Some members may not want to receive the lump sum last (as they have to wait a longer time). To compensate for this and also to help the group fund grow more quickly, some ROSCAs require that members who want to use the fund before others, pay extra for this privilege. This is usually done by auctioning. Let’s see how that works in practice: Here’s an example of a savings group with 3 members using the auction method: They meet once a week and their weekly contribution is 10 each. The pooled amount totals 30 and whoever wants to take the lump sum must offer a bid (a price). The one who offers the most, will take the lump sum minus the amount offered. In the following example, the lump sum was taken by Kofi, who offered the most (5) for it. This means that he is willing to take a lump-sum amount of 25 (30 -5 = 25). The price 5 is kept as an income earned for the group, and is only shared at the end of the cycle, when all members have received the lump sum once. At the end of the second meeting, Amita pays 4 to get the lump sum. She takes 26 (30 -4 = 26) as her lump sum. Since Noha is last, at the last meeting she receives the full 30. At the end of the cycle, members equally share the money collected from the lump sum sale. Since the group has accumulated a total of 9 from the lump sum sales, each member receives 3 at the end of the cycle. The group can then start a new cycle. \| Date \| Member \| Paid \| Lump sum price / Accumulating group interest \| Received \| \|----------\|--------\|------\|---------------------------------------------\|----------\| \| June 1 \| Amita \| 10 \| 0 \| 0 \| \| \| Kofi \| 10 \| 5 \| 25 \| \| \| Noha \| 10 \| 0 \| 0 \| \| \| Total \| 30 \| 5 \| \| \| June 8 \| Amita \| 10 \| 4 \| 26 \| \| \| Kofi \| 10 \| 0 \| 0 \| \| \| Noha \| 10 \| 0 \| 0 \| \| \| Total \| 30 \| 9 \| \| \| June 15 \| Amita \| 10 \| 0 \| 0 \| \| \| Kofi \| 10 \| 0 \| 0 \| \| \| Noha \| 10 \| 0 \| 30 \| \| \| Total \| 30 \| 9 \| \| Key Questions - How much will each member contribute? - How often will the group meet? - Who will receive the lump sum first? - Who will receive the lump sum next? - Where will the meeting take place? Accumulative Savings and Credit Association (ASCA) The ASCA method is a more flexible form of savings group, but it’s also a bit more complicated. In an ASCA, the contributions collected at each meeting are accumulated, rather than redistributed at the end of each meeting like in a ROSCA. With this accumulating fund, the group can do many things. It can lend to its members free of interest or with interest. Interest earned on loans can become income earned for savers, adding incentive for members to keep their savings with the group. This method can serve both savings and credit needs in a flexible way. How an ASCA works In an ASCA, members contribute a fixed sum at regular intervals (weekly or monthly) for a period of one year or more. After the group has saved enough money, say after 2 months, it can start giving out loans to members. The loans can be paid back in instalments, or in whole, free-of-charge, or with an additional interest charge. Charging interest on loans generates additional income which can be used to help the group savings fund grow, to cover any costs in running the group, and/or to pay members an income on their savings. The group can also decide to accept regular or irregular contributions of equal or unequal amounts from members, to keep the fund with the group or in a bank account, to lend the money to more than one member and charge interest on it, and a combination of these. The group will have to decide on which way it will run its ASCA to satisfy the needs and capacities of its members. What it’s used for • Expected expenses (marriage, education, health care) • Unexpected emergencies (death, accident, fire) • Investments (buying a cow, starting a small enterprise) Advantages • Interest earned on savings can be used to fulfil individual and/or group interests • Larger amount of savings can be accumulated overtime • More flexible individual savings and loans options than ROSCAs Disadvantages - Management and record keeping skills needed - Risk of default by a borrower - Safekeeping of funds required (in a cash box or a bank account) Steps 1. Decide on how often the group will meet. 2. How much can each member contribute at every meeting? Will every member contribute the same amount or different amounts? 3. Agree on a set of rules and regulations to ensure discipline and trust. For example, fines for missing a meeting or late payment of contribution or loan, and expulsion from the group for more serious misbehaviour. 4. Decide on who will be the leaders and for how long. Leaders can consist of a chairperson to facilitate the meetings, a secretary to keep minutes of the meetings and records on the transactions, and a treasurer to keep the money. It is highly advisable to divide these duties to increase transparency and avoid mismanagement of the funds. 5. Find a safe place to keep the money, either in a bank or in a cash box. One way to safeguard the savings is for one trusted member to keep the box, while another trusted member keeps the key. Another way is to put two locks on the cash box and have each key kept by a different member. This provides some protection against temptation overcoming one person. 6. Decide on how long the group will save before starting to give out loans. Never lend out all the accumulated savings to one person only. Remember, the money belongs to all members of the group. Minimize the risk of loss, and always keep some money in reserve. See below for some rules-of-thumb on lending. 7. Decide on the conditions members must meet to receive loans and the terms of repayment. The size of the loan should be limited to a proportion of the total amount saved by the borrower. Each borrower should present one or two members with savings to stand as guarantors in case the borrower cannot pay back. If loans are not repaid on time, a fine should be charged. 8. Close accounts periodically, say at the end of each year, and return the savings to the members. This step helps ensure transparency and members trust that their money has been properly handled. Some rules-of-thumb on lending* Rule 1: Offer a loan that the borrower is able to repay Set loan terms that match the cash patterns of borrowers. Loan repayments can be made on an instalment basis (weekly, biweekly, monthly) or in a lump sum at the end of the loan period. For example, for seasonal activities, it may be more appropriate to design the loan such that a lump sum payment is made once the activity is completed (for example, after harvesting). However, care needs to be taken with lump sum payments, particularly if there is risk that the harvest (or other seasonal activity) may fail. One way to protect against this type of risk is to combine instalment with lump sum payments, by collecting a minimum amount of the loan through instalments, with the remainder paid at the end of the harvest. Rule 2: Motivate borrowers to repay loans Create incentives. Groups should have a maximum loan size for first-time borrowers (you can test-start with a loan equal to the size of the borrower’s savings), which can increase with each subsequent loan. This creates an incentive (the promise of a future larger loan) to repay the loans. You can also have the borrower pledge a valuable object or property as a guarantee (collateral) in case s/he cannot repay the loan. Rule 3: Charge loan fees and interest Set an interest rate that covers risks. Lending can be risky and may involve costs. Sometimes loans may be repaid late (delinquency) or simply left unpaid (default), the accumulating fund is subject to inflation, and the management of loans and savings may involve administrative costs (paying a secretary and/or treasurer, bank transaction fees, transportation costs, etc.). If the interest rate is set right, it can cover these costs and provide in addition an income on members’ savings. Interest rates are expressed as a percentage of the loan over Adapted from Ledgerwood, J. 1999. Microfinance Handbook. Washington, DC, The World Bank. a period of time (usually annually). Find out what interest rates have been set by the nearest commercial bank or other organizations providing loans in order to get an idea. Three main ways to cover these risks can be used: 1. Charge an initial loan service fee: The simplest way is to charge a service fee at the time of disbursing the loan. The fee is usually a percentage of the initial loan amount and is collected up front. 2. Set a flat interest rate: The interest rate is set as a percentage of the loan amount at the time of disbursement and stays the same from the time the money is lent until it is fully paid back. This is easier to calculate as the interest payment amount remains the same throughout the repayment plan. 3. Set a declining interest rate: The interest rate is set as a percentage of the loan amount at the time of disbursement, but the rate decreases in proportion to the amount the borrower has left to pay. This method is used most often, as it is also an incentive for borrowers to pay back quickly. However, this requires more advanced record keeping skills. Minimize your risks!* Always remember, loans are the savings of all members! Savings Clubs in Zimbabwe* Savings Clubs (SCs) were introduced in Zimbabwe in 1964, and the SC movement is today the biggest non-governmental organization in the country. The organization of a SC is simple: the members (usually 10-25; 94% women) meet once per week. All SCs are autonomous in their own affairs; they elect committees, comprising at least a chairperson, vice-chairperson, treasurer and secretary. Each member agrees to save any amount on a regular basis with the SC. In return for each cash deposit, the member receives coloured savings stamps, of the equivalent value, with each stamp colour representing a different value. The SC deposits the group savings in a financial institution of its choice. When a member withdraws some money from her savings, she returns savings stamps worth the same amount to the treasurer at that time. The coloured savings stamps help even illiterate women to know the exact amount of their savings and participate actively. Members are free to use their savings as they like; in most cases, savings are used for school fees, fertilizer, seeds, income-generating activities, and food. The savings made during the better season of the year help to overcome food shortages in difficult times, preventing households to sell off valuable assets or become indebted. M. Marx, FAO Rural Finance Officer, personal contribution, 2002. Record keeping An ASCA requires very careful record keeping. Here’s an example of record keeping for a group (for simplicity, this group has only 3 members) that meets once a week and each member contributes 10 weekly. The group has a savings book indicating the date of the meeting, names of the members (1\textsuperscript{st} column), individual member’s deposit for that meeting (2\textsuperscript{nd} column) and each member’s total savings (3\textsuperscript{rd} column). The Starting Balance shows the group’s total savings at the start of the meeting. The Ending Balance shows the group’s total savings at the end of the meeting, after deposits have been collected. Example of records for two meetings on a savings book \| DATE: 1 March (1st meeting) \| STARTING BALANCE \| 0 \| \|-----------------------------\|------------------\|---\| \| Member \| Deposit \| Member Savings \| \| Amita \| 10 \| 10 \| \| Kofi \| 10 \| 10 \| \| Noha \| 10 \| 10 \| \| ENDING BALANCE \| 30 \| \| DATE: 8 March (2nd meeting) \| STARTING BALANCE \| 30 \| \|-----------------------------\|------------------\|---\| \| Member \| Deposit \| Member Savings \| \| Amita \| 10 \| 20 \| \| Kofi \| 10 \| 20 \| \| Noha \| 10 \| 20 \| \| ENDING BALANCE \| 60 \| At the 10th meeting, the group has accumulated 300. Kofi asks the group for a loan of 120 to start a small fish trading business, which he is given. But he must still continue to meet his weekly contribution and pay back the loan with the interest set by the group. A separate record book should be kept for loans. In this example, the loan book has separate records for each borrower, indicating the amount borrowed and the terms of payment on a loan contract and a record tracking the repayment on a payment plan. Here’s an example of a simple loan contract and payment plan: Example of a Loan contract \| Group: \| Together \| \|--------\|----------\| \| Borrower: \| Kofi \| \| Address: \| Village Kiyi, Lot no. 5 \| \| Purpose of loan: \| School fees \| \|------------------\|-------------\| \| Date Issued: \| 10 May \| \| Loan amount: \| 120 \| \| Flat interest rate: \| 4% per month \| \|---------------------\|-------------\| \| Monthly interest amount: \| 4.8 \| \| Additional fees: \| None \| \| Period of loan: \| 4 months \| \| Number of payments: \| 4 \| \| Total interest: \| 19.2 \| \| Late payment fee: \| 2 \| \| Total due: \| 139.2 \| \| Due date: \| 10 September \| \| Signature of borrower: \| Kofi \| \|------------------------\|------\| \| Signature of treasurer: \| Amita \| Example of a payment plan and tracking record \| Date \| Loan payment \| Interest charge \| Payment to be made \| Payment made \| Late fee \| Remaining loan amount \| \|------------\|--------------\|-----------------\|--------------------\|--------------\|----------\|-----------------------\| \| 10 May \| Loan issued \| - \| - \| \| \| 139.2 \| \| 7 June \| 30 \| 4.8 \| 34.8 \| \| \| \| \| 5 July \| 30 \| 4.8 \| 34.8 \| \| \| \| \| 2 August \| 30 \| 4.8 \| 34.8 \| \| \| \| \| 30 August \| 30 \| 4.8 \| 34.8 \| \| \| \| At the end of each meeting, the group should count how much cash they have in-hand and make sure that the amount matches the records. Everyone should participate, not just the treasurer, so that transparency is ensured. Starting balance$^1 + Savings deposited$^2 + Cash in$^3 - Cash out$^4 = Ending balance$^5$ $^1$ Ending balance from the previous meeting $^2$ Savings deposited by members on that meeting $^3$ Loan repaid + interest + any late fees $^4$ Loan given out $^5$ Real cash amount left in the group’s savings Example of a savings and loans balance record \| Date \| 1 March \| 8 March \| 10 May \| 17 May \| 7 June \| 5 July \| \|------------\|---------\|---------\|--------\|--------\|--------\|--------\| \| Starting Balance \| 0 \| 30 \| 300 \| 210 \| 300 \| 454.8 \| \| Savings deposits (+) \| 30 \| 30 \| 30 \| 30 \| 30 \| 30 \| \| Cash in (+) \| - \| - \| - \| - \| 34.8 \| 34.8 \| \| Cash out/Loans (-) \| - \| - \| 120 \| - \| - \| - \| \| Ending Balance \| 30 \| 60 \| 210 \| 240 \| 364.8 \| 519.6 \| ----- records not shown for meetings held between these dates. Key Questions • How much will each member contribute? • How often will the group meet? • Will members contribute the same amount or different • What will happen to a member if s/he does not pay his/her contribution? • Who will keep the money? • Where will the money be kept? • When can a member take a loan out? • How much interest will be charged? Credit Union (Savings and Credit Cooperative) A credit union operates like an ASCA but serves a much larger membership (from a low of 100 to several thousands) and offers a wider range of savings and credit services to its members. Credit unions are usually chartered under a cooperative or credit union law of the respective country. Their status must be approved by the agency that regulates credit unions in order to be operational. Credit union funds are also normally kept in a bank for safekeeping. Members are free to come to the credit union office anytime during office hours, and no regular attendance of meeting is required. They can operate individual accounts, make saving deposits and withdrawals, earn an interest (called ‘a dividend’) on their savings and pay interest on loans they take from the credit union. How a credit union works A credit union uses member savings deposits to fund loans to members and pays savers a dividend for the use of their money. This payment provides an incentive to save more. Members who take a loan from the funds pay interest for the use of the money. This interest is the credit union’s main source of income. The total income must be enough to cover the dividends paid to savers, the credit union’s operating expenses, and still have something left for additional services to members. - Member shares: To become a member of the credit union, each person is required to purchase at least one member share. A member share is like a certificate of ownership in the credit union and can be resold when leaving the credit union. The purchase value of the member share is set by the credit union and is the same for all members. The money raised in this way becomes the initial pool of savings the credit union uses to provide loans to members. - Individual savings accounts: Most credit unions offer individual savings accounts. This allows each member to deposit any amount of savings into his/her account and withdraw it when s/he wishes. Members find this saving service much more attractive than purchasing more shares since it gives them a safe place to save their surplus cash and withdraw it when they need to. • Certificates of deposit: Some credit unions offer a special savings contract where the member agrees to keep his/her savings in the credit union for a fixed period of time, say one year, without touching any of the savings until after that time. The credit union normally pays the member a higher dividend than on his/her member shares or individual savings account balance. What it’s used for • Serving a larger membership • Providing more individualized savings and credit services • Serving clients normally not reached by local commercial banks Advantages • Larger membership means a bigger pool of funds for lending to members • Savings are voluntary, not compulsory • More individualized savings and credit options for members • Interest earned on savings. Members may also receive an extra dividend at the end of the year if the credit union makes a surplus that year. • Safe deposit facilities Disadvantages • Larger pool of funds requires more secure storage • Individualized accounts and larger membership require more complex accounting system • No close collective monitoring of transactions can create opportunities for favouritism Steps 1. Identify a group with some common bond. Members of a credit union usually have the same employer or employment, belong to the same church, or live in the same village, etc. 2. Form an organizing committee. The committee’s first job is to find out what is required to obtain legal approval and to prepare a business plan. The business plan should include an analysis of the environment in which the credit union will operate, short and long-term goals and planned activities to achieve them. 3. The group members vote on a set of rules to adopt. Application form and fee, bylaws, elected members’ statement of worthiness to serve, deposit pledges, and business plan. The credit union cannot begin official operations until it is given legal status by the agency that regulates credit unions. 4. Members elect a board and other required committees. The Board of Directors is composed of a President, Secretary and Treasurer and several member representatives. The Board supervises the management of the credit union, approves member loan applications and may select and hire a full-time manager, if necessary. 5. Each member must purchase a member share at a fixed price. The money collected from these share purchases is then used to provide loans to members. 6. Member loan requests are first reviewed by a credit union committee composed of other members to ensure the loan will be paid back. The borrower is also required to pay interest to the credit union which is based on a percentage of the amount of the loan. 7. When the loan is repaid, an additional interest charge is paid by the borrower to the credit union. This interest is then used to cover any operating expenses of the credit union. If anything is left over a dividend is paid to members in proportion to the shares they have in the credit union. Record keeping Since credit unions serve a large number of members and provide more individualized services to them, their record systems are more complicated than for a small savings group. Every credit union must have a system for accurately recording all money transactions, including each member’s deposits, withdrawals, loan advances and payments. It must also record other receipts and payments that the credit union makes in the course of doing business. The basic record books for all credit unions are similar and usually include: - A cash book: This is the main transaction book of the credit union which keeps track of all cash transactions of all members as well as other credit union business transactions. - A member passbook: This book serves a dual purpose: (1) as the member’s personal identification card, since it contains basic information on each member (an identification number, the member’s full name and address, etc.) and (2) as a personal receipt or voucher book. When members come to the credit union, they bring their passbook, the treasurer of the credit union then records the date and amount of the transaction made and signs the member passbook to verify that the money has been paid or received by the member. - The member card: Once the member transaction is recorded in the cash book and member passbook, the Treasurer makes a similar entry on a card containing all savings and loans transactions related to that particular member. When a member applies for a loan, the loan committee reviews the information on the loan applicant’s member card to determine his/her credit worthiness. - The general ledger: This record contains information on all the more detailed accounts of the credit union and is used in preparing the Balance Sheet and Income Statement of the credit union. Key Questions - Do you have enough members with a common bond? - How important is security of savings? - How easily do you want to make deposits and withdrawals of your savings? - How much dividend do you want to earn on your savings? - How will you safely store the money? NOTE: For more information on starting a credit union, consult the Credit Union Handbook, visit an active credit union or a credit union federation in your country, or contact the World Council of Credit Unions. You may like to consider joining an existing credit union before starting one. Linking-up with banks and other financial institutions Many individual small savers like group saving approaches because they are a more secure way to save. As the group savings grow, the group or its individual members may find advantages in linking-up with other financial institutions or with a bank. For example, a savings group which has mobilized a large savings fund might find it beneficial to open a group account in a local bank to safely store its surplus funds, or to access loans. Away from the pressure of demanding friends and relatives, they can better manage their resources, plan for their expenditures, and access a larger pool of saved funds to help finance various social and economic needs. By working together as a group, they can also learn and obtain information and advice from each other. The World Council of Credit Unions, P.O. Box 2982, 5810 Mineral Point Road, Madison, Wisconsin, 53701, USA. Website Http://www.woccu.org Linking-up or not linking up? Some of the benefits savings groups seek in linking-up with banks include: - Safety: The first priority of most groups is having a secure place to store their savings. As amounts saved get larger, the security of member savings becomes even more important. Holding surplus funds in a bank guarantees greater security against theft. - Convenience: The bank should be close by and the bank’s office hours convenient. - Easy deposits and withdrawals: Savings groups also want to be able to make frequent deposits and withdrawals, and to have access to loans which can supplement group funds during periods of high loan demands, for example at harvest time. - Interest income: Banks normally pay savers interest on their savings to reward them for entrusting their money with the bank. While evidence shows that earning interest income is not the number one concern of savings groups—the safety of their savings being more important—the additional income helps their savings grow and provides an incentive to save more. But linking-up with banks is not always that easy: - No banks nearby: Most people living in rural areas do not have easy access to banking facilities. Linking-up can become costly (transportation fees, transaction fees, etc.) for the group. In many cases, it is simply impossible for certain economic groups to open a bank account, as they do not meet the minimum requirements. • Bank regulations: Large deposits to open a savings account or a high minimum balance may be required to hold an account with a bank. They may also charge a monthly fee for maintaining the account, or may require advanced notice for withdrawal of savings. Groups may also be required to be legally registered in order to open a group account. • Difficult access to bank loans: The bank may require that the borrower maintains a minimum balance of savings over a longer period of time as a prerequisite, and pledge additional collateral. The process of applying for a loan may be time consuming and complicated. • Banks not interested: Since the administrative costs of maintaining small savings accounts is the same as for maintaining larger savings accounts, banks are not very interested in serving small savers. NOTE: Some banks reduce these costs by allowing small savers to open group accounts. This allows individual small savers to pool their savings in a single larger account and leaves much of the account handling costs up to the group rather than the bank. Since small savers are much more interested in the safekeeping of their funds and easy access to them, they are also often willing to pay more for that service. Linking-up with credit unions Linking-up with a credit union may be easier than linking-up with a bank. The rules and regulations of credit unions are usually much more flexible and their staff more accustomed to working with small savers. Credit union members generally share some common bond. For example, they work for the same organization, go to the same church, or live in the same village. Many of them work in the same company, but others are village-based and allow for more diverse memberships, including groups. Some credit unions are also linked to larger national credit union federations which can provide additional technical assistance and financial support. Other micro-finance organizations or savings clubs may also operate in the area. If so, they should also be explored. Some rules-of-thumb on linking-up Rule 1: Discuss the idea first with all members of the group. Examine the advantages and disadvantages. Find out what the minimum requirements for opening a bank account are. Do members agree with these conditions? Rule 2: Save up enough money to make the initial savings deposit. Rule 3: Choose at least two trusted members (usually the group Chairperson and Treasurer) to visit the bank/credit union to inquire about opening a group banking account. Rule 4: Ask the person in charge of handling new accounts to explain in details the terms and conditions for opening a group account. Rule 5: Make sure the name of the group is made the title of the account rather than the name of an individual member of the group. You will need to provide one address to the bank when opening the account. Rule 6: Ensure the joint signatures (for example, of the Treasurer and the Chairperson) are required on all deposits and withdrawals to the account. Two or three persons should be the co-signatories to the account in such a way that at least two or all three together can withdraw from the account. Rule 7: Upon depositing the funds, demand a signed receipt indicating the title of the group account, the account number, the amount deposited and the balance, like a savings passbook from the bank. Key Questions • Will the bank/credit union allow group accounts or just individual accounts? • What does the bank charge to open and maintain such an account? • Is there a minimum balance that needs to be kept? • How easy is it to deposit and withdraw money from the account? • What type of additional saving services does the bank offer? Interest-bearing savings accounts, fixed-term deposit accounts? • What interest rates are paid on savings under each scheme? • How long do you have to keep the money in the bank before you can make a withdrawal? • What conditions must the group meet to receive a loan? • What collateral would be required? What interest rate would the borrower have to pay on the loan? Part B: Tools CHAPTER 4: KNOWING THE VILLAGE* The objective of this book is to help the poor strengthen their capacity to accumulate resources that can improve their lives, by building on their existing skills and resources. Therefore, when starting a saving activity, knowing the capacity and constraints of the people and the environment in which they live is crucial. This part of the book includes some exercises that the group facilitator can do together with the people in the village to learn more about them, their village, and their resources. Successful saving groups require that members have a common interest to save together. For this, you will need to know who’s who and who’s doing what in the village. This will help you determine which groups of people are most likely to come together, but also to ensure that you do not overlook those at the lowest income level who are often left out of this type of activity. Tools adapted from Callens, K. 2002. Methodological Guide: Participatory Appraisal and Analysis of Nutrition and Household Food Security Situations and Interventions from a Livelihoods Perspective. Rome, FAO. (Draft) NOTE: Much of the information you are looking for may already be available from the local district office, non-governmental organizations (NGOs) working in the area, and local leaders. The tools included in this section are only a few examples of what you can do with the people in the village, that can help you crosscheck information you may already have and fill the gaps, as necessary. Consult the references for a more exhaustive list of tools. Village social map - Who is living where? You can find out who lives where by drawing with the people in the village a village social map. This map shows the different social structures such as households, health centres, schools, churches, and other major institutions found in the area. The map indicates the social and economic characteristics of the households (e.g. better-off/poor, male/female-headed, etc.). Social mapping is best carried out at the beginning of the appraisal, and can provide you with the information you may need for other appraisals, such as wealth ranking, or Venn diagram (explained further below). Objectives • To visualize who is living where. • To learn about the households by ethnicity, religion, wealth, etc. and understand the reasons behind certain characteristics (e.g. better-off, poor, poorest). • To learn about the different social groups and/or organizations and how people view them. Example of a village social map Social map of Hintalo Kushet, Hintalo Tabia (including nutrition mapping) FAO project: “Improving Household Food Security and Nutrition in Northern Shewa (Amhara region) and Southern zone (Tigray region), Ethiopia” Who is this exercise for? Depending on the local situation, you may want to do this exercise in separate groups of men and women to increase participation or with other groupings of people. NOTE: Classifying households in different categories can be a sensitive issue. Social stigma may result from being classified as poor. In such a case, you may wish to restrict the participants to key informants from the village. However, one should always be cautious not to rely only on a few informants. For example, it is often that key informants belong to the better-off groups. They may be reluctant to classify themselves as such fearing that they will be left out of possible assistance. Therefore, it is necessary to crosscheck the information with other sources and compare the results. Steps 1. Ask the participants to draw a map of the village, showing all households. For orientation it will be helpful first to draw roads and significant landmarks of the village. 2. Discuss whether the total number of households has increased or shrunk during recent years. If there were any changes ask why and whether this has caused any problem for certain families or for the village. 3. Ask the participants to also show institutions and places that offer some kind of social service or which are popular places to meet (e.g. schools, churches, health service, traditional healers, local administration office, village leaders, shops, places where people frequently meet to socialize, etc.). 4. Ask to show on the map which different ethnic or religious groups live in the area. 5. Ask the group to indicate where female-headed households are. Make sure that everybody has the same understanding of what the characteristics of a female-headed household are. 6. When someone has given an answer, ask the others whether they agree, disagree or want to add something. Encourage discussion throughout the exercise. 7. If time allows you should integrate the wealth ranking at this point which is described below. Materials needed* Large sheet of paper, pencils and colour markers. If drawing on the ground, find a soft ground and use sticks, leaves, bottle caps, beans, or any other local materials for symbols. Make sure to copy the map on paper afterwards. Wealth ranking - Who is who? You can find out what the different wealth categories are in a village by doing a wealth ranking. This exercise can help you characterize the different wealth groups and start a discussion on what factors are important determinants of poverty as well as well-being. Wealth ranking is best carried out immediately following social mapping in order to be able to physically locate specific households and link socio-economic criteria to the wealth categories. Objectives - To investigate perceptions of wealth differences and inequalities in a village. - To identify and understand local indicators and criteria of wealth and well-being. - To map the relative position of households in a village. Who is this exercise for? Given that poverty and disease may go hand in hand with social stigma, the poor may resist being classified as poor. Therefore, this exercise is best done with a few key informants who know the village well. However, as mentioned earlier, one should not rely completely on information collected from a few informants. The key informants most likely belong to the better-off group and may be reluctant to classify themselves as such fearing that they may be left out of possible assistance. Therefore, it is important to also talk to other people in the village and crosscheck the results. Steps 1. A numbered list is made of all the households in the village (see village social map) and the name of each household head and the household number is written on a separate card. 2. The key informants are asked to sort the cards in as many piles as there are wealth categories in the village, using their own criteria. 3. After sorting the cards, ask the informants what criteria were used for each pile and what the differences between the piles are. 4. Assure the informants of confidentiality and do not discuss the ranks of individual families, to avoid causing bad feelings within the village. 5. List the local criteria and indicators derived from the ranking discussion. What are local perceptions of wealth, well-being and inequality? Materials needed The village social map, pencils and coloured cards or papers. Venn diagram - Who is doing what? You can find out about the different roles played by institutions, organizations, groups and important individuals found in a village, and their influence on the village (or target group) by using a Venn diagram. This is a tool that is used to visualize the interactions among these different actors and allows villagers to put a value to each institution in relation to its importance for the village. The diagram may also show who participates in each institution in terms of gender, socio-economic class, ethnicity, religion, etc. Objectives • To identify and characterize external and internal organizations, groups, important persons that have a relationship, whether direct or indirect, with the village. • To identify who participates in local organizations, institutions and groups, by gender, wealth and other criteria. • To understand how the different organizations, groups and people relate to one another in terms of contact, cooperation, flow of information, provision of services, etc. Who is this exercise for? The Venn diagram should be developed with a cross-section of the village. If time allows it is a good idea to do the exercise with separate groups of men and women, poor and better-off, etc. in order to better catch their different point of views. If this is done, the results should always be shared among the different groups at the end of the exercises to stimulate discussion and clarify eventual discrepancies. Example of a Venn diagram* Steps 1. Identify those organizations, institutions, groups and people, both inside and outside the village, that are important to and/or working with the village. Make sure not to forget small informal groups (village health committee, water user group, etc.). What local groups are working on environmental issues (water, grazing, land), economic issues (savings, credit, agriculture, livestock), social issues (health, literacy, religion, traditional education, sport), and political issues (farmers' associations, women's group). 2. Write down all the institutions that are mentioned and assign each organization, group and individual with a unique symbol. Use symbols that everyone can easily understand. ibid 3. Draw a big circle, representing the people themselves, in the centre of the paper or on the ground. 4. Discuss how important each organization is for the people and why. The most important ones are then drawn as a big circle and the less important ones as smaller circles. Compare the sizes of the circles and adjust them so that the size of a circle corresponds to the relative importance of the institution, organization, group or individual. 5. Discuss how the village and different groups of people benefit from each organization. Show the degree of contact and cooperation among the village, the organizations, institutions, groups and important individuals. Which organizations work together? The distance between the circles shows the level of contact and interaction: » Large distance between circles shows no or little contact or cooperation. » Circles that are close to each other show loose contacts. » Touching circles indicate some cooperation. » Overlapping circles indicate close cooperation. 6. Identify those institutions that only accept women or men as members and mark those with a common symbol for men or women. 7. Identify those organizations in which poor people do not participate. What are the services provided by certain organizations from which the poorer people are usually excluded? Mark these institutions on the diagram with a symbol for poor. You might also ask if there are other groups of people that are excluded from some of these services. 8. Identify those institutions and groups that address savings and credit issues. In what ways are they addressing these issues? Mark the mentioned institutions with a common symbol. 9. Only if time and the motivation of the participants allow, the group may discuss the strengths and weaknesses of those institutions that were reported as most important. Materials needed Large sheet of paper, pencils and colour markers. (It may be easier to cut coloured papers into circles and stick them on the large sheet to allow easy changes as discussions arise). If drawing on the ground, find a soft ground and use sticks, leaves, bottle caps, beans, or any other local materials for symbols. Make sure to copy the diagram on paper afterwards. CHAPTER 5: MONEY MANAGEMENT Successful saving groups show a high level of group spirit, good communications and good record keeping skills. Decision-making in the group should be participatory and each member should feel ownership to the group and its activities. This requires that all members understand their role and rights as a member. Particularly for saving activities, each member should be able to manage their own money and understand how their contribution to the group will be beneficial to them. That’s why each group should emphasize member education. The more educated members become, the more they will be in control of their own development as a group and as individuals. The following are exercises that can be done with the group to raise awareness about money management. An in-depth analysis of where money comes from and goes to can help people prioritize better their spending, plan for future expenditures, and by consequence save more efficiently. Household economy map A household economy map shows an overview of where money comes from and where it goes for one household. It describes the different economic activities undertaken by the different members of the households. Tools adapted from Heney, J. 2000. Talking About Money. Zambia, FAO. Objective To get people talking about all the ways they generate income and satisfy their basic needs. Steps 1. Start by drawing a house in the middle of the map. 2. Ask the household members to list the different economic activities they are responsible for and draw them around the house. Include both earning and spending activities. 3. Discuss the role and interdependence of different household members. 4. Discuss the existence of conflicting demands which necessitates choices being made. 5. Discuss the relative importance of different activities. People may have different opinions about this. It may be useful and interesting to draw different maps for different household members and compare the results. 6. Discuss what they like and dislike about different activities and what they would like to change if they could. Example of a household economy map Cash flow tree A cash flow tree shows the different sources and uses of cash in a household. It is another way of visualizing income and expenditures to get people thinking about their spending and saving patterns. Objective To get people to identify all their sources of cash income and think about the ways in which they need to spend money. Example of a cash flow tree Other possible sources of cash might include: wages or a pension, rent income, receiving gifts, selling assets, loans or remittances from relatives. Other possible uses for cash might include: paying rent or tax, saving, repaying loans or lending money, giving gifts. Steps 1. Draw a tree like the one shown above. 2. Explain that just as water is drawn into the roots, up the tree and along the different branches, so money comes into a household and has to be channelled towards a variety of expenditures. 3. Ask participants to label the roots with their different sources of cash income and label the branches with different types of expenditures. 4. Ask them to put the most important items on the lower branches and those of less importance on the higher branches. This generally leads to much debate and differences of opinion. Women will have different views from men and older people may differ from younger ones. It may be useful and interesting to get different members of the household to make separate versions and compare the results. 5. Discuss the competing demands for money and how choices are made. Who decides what money should be used for? This is important when people have different opinions about what is important to spend money on. You need good gender awareness to handle this topic. 6. Can one type of cash income be singled out for one type of cash spending? The answer should generally be “no”, as income flows are diverted to whatever need is most pressing on any particular day. This is why it is silly to imagine that loan repayments will be made from one particular income source and this partly explains why people fail to make loan repayments. 7. Discuss the relative importance of each source of cash income. Ask participants to allocate different numbers of beans or seeds to the different sources. You could then count the beans and ask the people involved in the discussion to allocate this number of beans to the different expenditures. 8. Where is the money kept when it is not required immediately? This information is useful for initiating discussions about where and how people save money and the problems that they see in this (safety and accessibility). Seasonal calendar Money needs vary from month-to-month, depending on family obligations, harvest and planting season requirements, etc. Knowing more about these seasonal changes will help people allocate and save their resources more efficiently to smooth out yearly consumption needs. Objective To get people talking about the changes in cash income and spending needs throughout the year. Example of a seasonal calendar \| Other cash sources ↑ \| JAN \| FEB \| MAR \| APR \| MAY \| JUN \| JUL \| AUG \| SEP \| OCT \| NOV \| DEC \| \|----------------------\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\| \| BEER BREWING \| \| \| \| \| \| \| \| \| \| \| \| \| \| SALE OF VEGETABLES \| \| \| \| \| \| \| \| \| \| \| \| \| \| SALE OF CASSAVA \| \| \| \| \| \| \| \| \| \| \| \| \| \| BRICKLAYING \| \| \| \| \| \| \| \| \| \| \| \| \| \| FOOD \| \| \| \| \| \| \| \| \| \| \| \| \| \| SCHOOL FEES \| \| \| \| \| \| \| \| \| \| \| \| \| \| CROP INPUTS \| \| \| \| \| \| \| \| \| \| \| \| \| \| GROCERIES \| \| \| \| \| \| \| \| \| \| \| \| \| Other cash needs ↓ Steps 1. Draw a calendar as shown above. 2. Ask participants to list the different sources of income on one side and the expenditures on the other. 3. Ask them to place small stones or beans across the months to represent when money is received from the different sources when it is spent on the various items. The number of stones or beans placed should reflect the relative quantity of cash involved in comparison to other months. 4. Discuss how well the cash income matches the cash needs. 5. When is cash needed most and how do people cope with this? 6. When is cash most abundant and what is done with the money that is not needed right away? 7. What kind of unexpected cash needs might arise (medical fees, funerals) and how do people cope with these? Counting and basic calculations Having members who can read, write, and count makes group saving easier. Unfortunately, in many countries, poor people often have only limited skills in this area. Use a group saving approach that all group members can understand and follow, but do not leave things as they are. The group should continuously encourage its members to learn and improve those skills. Start simple. Focus first on improving functional counting skills, giving all members enough training to satisfactorily conduct their group saving activity. It’s usually easier to motivate people to learn how to count since this is a problem most encounter on a daily basis, at the market, when paying taxes, etc. After learning how to count, newly trained people will feel more confident to learn how to do simple calculations. NOTE: Teaching numeracy and literacy can be very time consuming and may not be practical for many group facilitators. It is often better to get good counting and literacy training from a local teacher, an experienced trainer or others who have experience in this field. If you would like to take on this role, a good resource book with exercises for teaching basic numeracy is the FAO ‘Figures for Bookkeeping’. CHAPTER 6: PLANNING FOR GROWTH Saving is all about preparing for a better future, but it is also about growth. The more savings we can set aside for the future, the more equipped we will be to cope with emergencies, social and economic responsibilities and take advantage of investment opportunities that can generate more resources. Savings can be used for consumption purposes, emergencies, or productive investment to improve the family’s income. Productive investments can range from starting a small enterprise, purchasing land, livestock or farming equipment, to other small income generating activities, such as growing vegetables, weaving baskets, etc. But before starting any such activity, the most fundamental question one must ask is whether this activity will be profitable. Careful analysis should be made about one’s skills and resources and the environment in which s/he plans to do this activity. The following are some tools that can be used in identifying and planning for an income-generating activity. Strengths, weaknesses, opportunities and threats When planning an investment (such as starting a small business), it is extremely useful to know what the village/group can do on its own and where outside support is needed. Often, the simple realization of one’s own strengths and shortcomings is enough to get development moving again without creating dependence on external assistance. Analysing an individual/group/village’s internal Strengths and Weaknesses and the Opportunities and Threats, which may come from outside, can help in deciding what needs to be done. This is often called SWOT analysis from the first letter of each word. Strengths and weaknesses include such things as what the group or individuals in it are good at (strengths), or not good at (weaknesses). They are the things that are within the control of the individual or group. Opportunities and threats are those issues which are outside the control of the group or individual but will still have an effect either positively or negatively. For example, a new road being built may give better market access (an opportunity) or new laws may make it more difficult to start a business (a threat). In some cases a change may be both a threat for some reasons and an opportunity for others. NOTE: The steps below refer to a group but can also be used for individuals or a whole village community. Objectives To develop strategies that can be used to plan concrete objectives and activities. Steps 1. Set the objective. What does the group want to do? 2. Ask the group members to list the strengths of the group. Strengths are internal characteristics that contribute significantly to achieving the group’s objective. They may include group savings, different skills of individual members, knowledge, social networks, maturity of the group, past experiences, etc. 3. List the group’s weaknesses. These are points that can make the group less effective or prevent opportunities from being taken up. They can include low levels of literacy, lack of a strong reason to work together, immaturity, tensions and conflicts, etc. 4. List opportunities in the area. An opportunity is something external that, if taken advantage of, can help achieve the group’s objective. Examples are market opportunities such as tourists, new businesses, working mothers - or services/goods wanted or needed by the village. 5. List the threats. A threat can be something external to the group that has or can have a negative impact on the group. These can include existing businesses which would be competitors, changes in the number of members due to illness or death, other organizations providing similar services, changes in members needs or market trends, etc. 6. For each opportunity and each threat, come up with a suggestion that would take advantage of the opportunity or reduce the threat. 7. Select the 4 or 5 best options as agreed by all the members. 8. For each of the options, discuss which strengths could be used and which weaknesses need to be reduced to realize this option. 9. Select 2 or 3 options which have the most strengths and relatively few weaknesses. Business Plan* Once the activity has been selected the group should make a careful plan of what it will need to do. The group should have an idea of the feasibility of the activity and can decide whether to go ahead. Feasibility checklist ✓ What is needed to run the business? The list could include: materials, labour, skills, equipment, time, buildings, land, transport, licenses, legal requirements, etc. ✓ Where will it all come from? Local supplier? Outside supplier? What would be the transport cost? ✓ What will it cost to produce what the business wants to sell? ✓ What price will the group charge for the product/service? Will this cover the cost? Will this be too high for people to buy it? ✓ How will the group finance the business? ✓ Who will buy the product/service? ✓ Who else is selling similar product/services? Objective To prepare and organize an income-generating activity (business) so that time and resources are allocated to give the maximum profit for the minimum cost and risk. Adapted from FAO. 1995. The Group Enterprise Resource Book. Rome. Steps 1. Separate start-up and running costs. Start-up costs are things which must be done before making anything (land or shop rental cost, equipment purchase, initial input, etc.) and running costs are things which must be done continuously while the business is operating (buying input, processing, packaging, selling, storing, record-keeping, etc.). 2. Decide on who will do what. Everyone in the group should be involved in some ways, while a few members should coordinate specific aspects of the business (supply coordinator, production coordinator, marketing coordinator, accountant, manager, etc.) 3. Agree on rules for the group business. How profits will be shared according to contributions of members (in money, time, resources), what happens if the business makes a loss, what happens if a member decides to leave, how arguments will be settled, etc. 4. Decide how big the business will be. The size of the business should depend on how many customers there are and how much the group can afford to invest in the business. It is best to start small and grow as the group makes profit and gains experience. Participatory monitoring and evaluation Planning is about knowing what is likely to happen in the future and preparing for it. If the group has a good idea of what is going to happen in the future, it can better prepare to defend itself against new threats or to take advantage of new opportunities that arise. This is why regular monitoring and evaluation of the group is essential for the development and growth of the group. * Adapted from FAO. 1994. The Group Promoter's Resource Book. Rome. Group monitoring Monitoring means keeping track of what the situation is, what is being done or what is being accomplished on a frequent basis. This may include maintaining and periodically reviewing regular records of group decisions, actions and finances, and checking that actions are taken according to plan. The facilitator can use a simple monitoring chart to help group members monitor progress and problems in their activity. Steps 1. Prepare a sheet of paper with four columns. 2. Discuss with the group which activities they feel are important for their group. List the activities in one column. 3. Write in the second column the result or current performance of each activity. 4. Ask the members whether they are happy or unhappy about the results of each activity. Discuss problems and opportunities they encountered. 5. Once the members have reached agreement on the results, ask them to represent their judgement in the third column using numbers or happy/sad faces. Use a four-point scale, such as: excellent (😊😊😊 = 3 points) good (😊😊= 2 points) poor (😊 = 1 point) bad (😢 = 0 points) 6. Discuss what will be done next for each activity and write them down in the fourth column. 7. Repeat this exercise regularly (at least once a month). 8. If the scores for some activities are consistently low, then the group should find a different way of dealing with those weak areas. 9. Many other aspects of the group and its activities should be monitored, such as regularity of holding meetings, attendance of members in meetings, and participation at meetings, sharing of responsibilities and decision-making, etc. The process of selecting the indicators should be done in a participatory way with the group members. The aim is to collect the most essential information to assess the group’s performance. Example of indicators for a monthly monitoring of a self help group in India* 1. Preparation for meetings: activities include cleanliness and arrangement of lamps, drinking water, sitting, monitoring chart and a clock. 2. Regularity of meeting. 3. Timeliness. 4. Attendance in the meeting. 5. Recording the minutes of the meetings. 6. Savings: deposited on the fixed date. 7. Account keeping for transparency. 8. Collective decision-making: members participate actively in the meeting. Khadka, S. 2001. Participatory self-monitoring system: The Maharshtra Rural Credit Project. In IFAD et al. Resource Book on Participation, pp. 191-198. Manila, IIRR. 9. Repayment of loans: for the credibility and sustainability of the groups. 10. Lending: to meet the credit requirement of the members. 11. Petty cash: for refreshments, notebooks, pens and emergency needs. 12. Insurance: against damage to the life of member or the assets. 13. Community activity: discussion and action on social issues such as public health and sanitation, adult and functional literacy, tree planting, drinking water, voluntary labour contribution, or gender issues, mainly to create social awareness among group members. Group evaluation* Evaluation on the other hand is done less frequently, usually only at the end of a fixed time period, to assess whether the group and its activities achieved their objectives and to identify possible improvements. This should be done at least every six months, but can be done more often. It is essential that the group is able to evaluate itself using its own criteria for strengthening its ability to meet members’ needs. Steps 1. Develop with the group a series of questions to evaluate the group’s performance. For example, to measure the extent of work sharing within the group, ask: “How is group work shared among members?” 2. Formulate each question with four possible replies: (a) is the most satisfactory situation with little room for improvement (3 points) and (d) is a very unsatisfactory situation with much room for improvement (0 point). 3. The group members then have to agree amongst themselves which of the following four answers best describes their group. 4. Once agreement is reached, check the appropriate box on the right and then proceed with the next question. Evaluations should be done regularly (at least once every six months) and the results compared with the results from the previous period to see if real progress is being made. 5. The group should then select a number of priority areas and draw a plan of action to improve the group’s performance, taking into consideration appropriate allocation of available resources. 6. Possible areas of evaluation could include how well meetings are attended, how productive the meetings are, how much cooperation there is among members, how much savings are being accumulated, are loans being repaid on time, are members acquiring new skills, etc. Example of evaluation format \| (a) Group work is clearly and fairly shared among all members \| √ \| 3 \| \|-------------------------------------------------------------\|---\|---\| \| (b) Group work is carried out by most members \| \| 2 \| \| (c) Group work is done by some members \| \| 1 \| \| (d) Group work is not clearly or fairly shared \| \| 0 \| REFERENCES FAO. 1990. Participation in Practice. Rome. FAO. 1994. The Group Promoter’s Resource Book. Rome. FAO. 1995. The Group Enterprise Resource Book. Rome. FAO. 2001. The Inter-Group Resource Book. Rome. FAO. 1993. Figures for Bookkeeping. Accra, Ghana. International Fund for Agricultural Development (IFAD), Asian NGO Coalition for Agrarian Reform and Rural Development (ANGOC) & International Institute of Rural Reconstruction (IIRR). 2001. Enhancing Ownership and Sustainability: A Resource Book on Participation. Manila, IIRR. The Peoples’ Participation Service. 2001. The Cereal Training Guide. Mongu, Zambia. Ardener, S.& Burman, S. (eds). 1995. Money-Go-Rounds: The Importance of Rotating Savings and Credit Associations for Women. Oxford, UK, Berg. Callens, K. 2002. Methodological Guide: Participatory Appraisal and Analysis of Nutrition and Household Food Security Situations and Interventions from a Livelihoods Perspective. Rome, FAO. (Draft) Callens, K., Seiffert B. & Sontheimer, S. 2001. Conducting a PRA training and modifying PRA tools to your needs: An example from a participatory household food security and nutrition project in Ethiopia. FAO. (Back-to-office report) Heney, J. 2000. Talking About Money: A Guide for Community Support Staff working with the FAO project: “Improving Household Food Security and Nutrition in the Luapula Valley of Zambia.” FAO. Heney, J. 1999. Enhancing Farmer’s Financial Management Skills. Agricultural Finance Revisited, Series No. 6. Rome, FAO and GTZ. Hospes, O. 1997. Is there a case for group-based savings in Kilimanjaro region? FAO/Wageningen University Research Programme on “The Forgotten Dimension of Rural Development: Savings Forms of the Rural Poor”. (Occasional Paper no. 11) Johnson, S. & Rogaly, B. 1997. Microfinance and Poverty Reduction. London, Oxfam. Ledgerwood, J. 1999. Microfinance Handbook: An Institutional and Financial Perspective. Washington, DC, The World Bank. MacIsaac, N. 2000. Participatory Institutional Assessment and Visioning Exercise. In Participatory Approaches in Micro-finance and Micro-enterprise Development. Brighton, UK, IDS. Meijerink, R. 1994. Simple Bookkeeping and Business Management Skills: Facilitator’s Guide. Accra, Ghana, FAO. Rutherford, S. 2000. The Poor and Their Money. Oxford, UK, Oxford University Press. Seibel, HD. 1992. Self-Help Groups as Financial Intermediaries: A Training Manual for Self-Help Groups, Banks and NGOs. Saarbrücken, Germany, Verlag Breitenbach Publishers. Witzeling, R. 1994. Credit Union Handbook. Madison, Wisconsin, USA, World Council of Credit Unions. Experience has shown that group saving approaches can help the poor save more efficiently, especially when access to saving facilities, such as banks or other financial services, is difficult. By saving in a group, the poor can gain access to a larger amount of pooled resources than they could if they saved on their own. Group savings also help groups become financially stronger and more sustainable. This book provides useful guidance on how to strengthen capacities to accumulate productive capital through savings activities with new or existing self-help groups.
An Analysis of Cloud Drop Growth by Collection: Part I. Double Distributions Edwin X Berry National Science Foundation, Washington, D.C. 20550 Richard L. Reinhardt Sierra Nevada Corporation, Reno 89505 (Manuscript received 29 January 1974, in revised form 9 April 1974) ABSTRACT A new, highly accurate, yet fast method for the numerical solution of the stochastic collection equation is described. Basic size distribution parameters are defined that lay a basis for a parameterized description of stochastic collection. Application is made to double initial distributions. A newly defined mode, here designated "large hydrometeor self-collection", is found to occupy an important position along with autoconversion, accretion and breakup in the generalized description of drop growth by collection. 1. Introduction Berry's (1967) calculations of cloud droplet growth by collection showed the effects of a variety of collection kernels on a single initial distribution. The calculations of Bartlett (1966) showed that distributions having more larger droplets develop faster than those having fewer larger droplets. Similar effects were noted somewhat more quantitatively by Berry (1968a). However, because of the difficulty in constructing numerical methods sound enough to solve the stochastic collection equation with sufficient accuracy in its more unstable modes, reliable quantitative calculations were not available over a wide range of initial conditions. Very accurate numerical methods have now been developed (described in Appendix A of this paper) and the growth by collection of a variety of initial droplet distributions has been re-calculated. In this paper we shall look at the development of two selected double initial distributions and then study separately three basic modes of drop growth by collection. The interpretation of these results leads to the definition of a new concept, "large hydrometeor self-collection," which becomes, along with autoconversion, accretion and breakup, one of the four basic processes in cloud drop development. The range of validity of the stochastic collection equation used here (as in Berry, 1967) has been adequately discussed elsewhere (see Warshaw, 1967, 1968; Scott, 1967, 1968; Berry, 1967, 1968b; Long, 1971, 1972; Scott, 1972; and especially Gillespie, 1972). Unless otherwise designated, cgs units are used throughout. A list of symbols is given in Appendix B. 2. The model The droplet distribution is represented by a density function which is proportional to the number of droplets in each size range over a volume in the cloud. The volume is assumed to be large enough to contain a sufficient number of drops of each size to give a meaningful statistical average. The density function used to describe the distribution is independent of the size of the volume since it is an average over the volume. There is no loss of droplets through the boundary of the volume. Drops that would fall out are conceptually replaced randomly in the volume. The density function will be characterized by $f(x)$\textsuperscript{1}, where $f(x)dx$ is the number of droplets per unit volume (cm$^{-3}$) in the size interval $x$ to $x+dx$ and $x$ is the mass of a droplet. 3. The primary parameters of the distribution We begin our description with a definition of some basic parameters of a drop spectrum. There are three primary extensive variables which are defined as integrals of the number density function. These are the number concentration $N$, the liquid water content $L$, \textsuperscript{1}The use of angle brackets to distinguish a density function from an analytic function follows Berry (1967). and the spectral radar reflectivity $Z$, where $$N = \int f(x) dx,$$ \hspace{1cm} (1) $$L = \int x f(x) dx,$$ \hspace{1cm} (2) $$Z = \int x^2 f(x) dx.$$ \hspace{1cm} (3) The usual radar reflectivity $Z' = \Sigma n d^6$ is related to $Z$ by $$Z' = (6/\pi \rho)^2 Z,$$ \hspace{1cm} (4a) or $$Z (\text{gm}^2 \text{ cm}^{-3}) = 5.24 \times 10^{-12} Z' (\text{mm}^6 \text{ m}^{-3}),$$ \hspace{1cm} (4b) where $\rho$ is the density of water. There are also two intensive variables which are defined as $$x_f = L/N,$$ \hspace{1cm} (5) $$x_g = Z/L,$$ \hspace{1cm} (6) where $x_f$ is the usual "mean mass" of the number density function $f(x)$, and $x_g$ the mean mass of the mass density function $g(x)$, where $$g(x) = x f(x).$$ \hspace{1cm} (7) Thus, $x_g$ bears the same relationship to $g(x)$ as $x_f$ does to $f(x)$. From the above, it is also apparent that these parameters can be defined in terms of the expectation values of $x$ in the spectrum $f(x)$: $$x_f = \langle x \rangle,$$ \hspace{1cm} (8) $$x_g = \langle x^2 \rangle / \langle x \rangle.$$ \hspace{1cm} (9) As a measure of the spread of the distribution, we define the mass parameter $x_b$ as the standard deviation of mass about the mean: $$x_b^2 = N^{-1} \int (x - x_f)^2 f(x) dx,$$ \hspace{1cm} (10a) $$= \langle x^2 \rangle - \langle x \rangle^2,$$ \hspace{1cm} (10b) $$= x_f x_g - x_f^2.$$ \hspace{1cm} (10c) For convenience we also define $r_f$, $r_g$, $r_b$ as the radii of spherical drops having masses $x_f$, $x_g$, $x_b$, respectively: $$r_f = \left( \frac{3}{4} \pi \rho \right)^{\frac{1}{3}} x_f^{\frac{1}{3}},$$ \hspace{1cm} (11a) $$r_g = \left( \frac{3}{4} \pi \rho \right)^{\frac{1}{3}} x_g^{\frac{1}{3}},$$ \hspace{1cm} (11b) $$r_b = \left( \frac{3}{4} \pi \rho \right)^{\frac{1}{3}} x_b^{\frac{1}{3}}.$$ \hspace{1cm} (11c) Following Mason (1971) we call $x_g$ the "predominant mass" and $r_g$ the "predominant radius." A zero superscript will denote values at time zero. 4. The initial distribution A gamma, or Pearson Type III, distribution, as discussed by Golovin (1963), Berry (1967) and Scott (1968), is used to calculate each initial distribution of cloud droplets. This form, or linear combinations of it, can be used to approximate many measured cloud droplet populations. The initial density function is $$f^0(x) = N x_f^{-1} G(\nu) s^\nu e^{-(1+\nu)s},$$ \hspace{1cm} (12a) where $$s = x/x_f,$$ \hspace{1cm} (12b) $$G(\nu) = (1+\nu)^{1+\nu}/\Gamma(1+\nu).$$ \hspace{1cm} (12c) The relative variance, var $x$, of this distribution is $$\text{var } x = \langle (x^2) - \langle x \rangle^2 \rangle / \langle x \rangle^2,$$ \hspace{1cm} (13) $$= 1/(1+\nu).$$ \hspace{1cm} (14) As it has been common in microphysical studies to use the relative variance in droplet radius rather than in droplet mass, a discussion of the difference is warranted. If $f(x)$ is changed to (e.g., Berry, 1967) $$f(r) = (3x/r) f(x),$$ \hspace{1cm} (15) then the relative variance in $r$ may be calculated. There is no easy, direct relationship of var $r$ to var $x$, but it may be approximated for this initial distribution by $$\text{var } r \approx 0.14 \text{ var } x.$$ \hspace{1cm} (16a) The associated relative dispersions$^2$ are therefore related by $$\text{var}^{\frac{1}{2}} r \approx 0.38 \text{ var}^{\frac{1}{2}} x.$$ \hspace{1cm} (16b) This approximation and the more accurate relationship are shown in Fig. 1. From (8), (10b) and (13), we see that $$x_b = x_f \text{ var}^{\frac{1}{2}} x.$$ \hspace{1cm} (17) 5. The stochastic collection equation The stochastic collection equation used here is (following Berry, 1967) $$\partial f(x)/\partial t = \int_{x_0}^{x/2} f(x-x') V(x-x'\|x) f(x') dx'$$ $$- \int_{x_0}^{\infty} f(x) V(x\|x') f(x') dx',$$ \hspace{1cm} (18) where $t$ is time, $x_0$ the smallest droplet mass for which collection is considered, and $V(x\|x')$ the "collection kernel"; $V$ is related to the linear collision efficiency $Y_c$ by $$V(r\|r_s) = \pi r^2 Y_c(r\|r_s)^2 \Delta v(r,r_s),$$ \hspace{1cm} (19) $^2$ The relative dispersion in $r$, i.e., var$^{\frac{1}{2}} r$, was called $D$ by Berry (1968). where $r$, $r_s$ is the radius of the larger (smaller) droplet, respectively, and $\Delta v$ the difference in their terminal velocities. In the calculations reported here the $Y_c$ values of Hocking and Jonas (1970), which agree with those of Davis and Sartor (1967), are used for $r \leq 40 \mu m$ and those of Shafrir and Neiburger (1963) are used for $r > 40 \mu m$. All collisions are assumed to result in a coalescence. Were new information to become available or were it desired to test the effect of electric fields on collection growth, then it would be necessary to rerun the type of calculations described here with a new collection kernel. The parameterizations developed here, however, are given as functions of the collection kernel and would not, therefore, require rederivation from new collection calculations. Terminal velocities are calculated for an altitude of 1 km by a curve fit to the data of Gunn and Kinzer (1949) according to the method of Berry and Pranger (1974). All distributions presented have a total of 1 gm m$^{-3}$ of liquid water. The rate of collection, and therefore the rate of change of the distribution, can be shown from (18) to be proportional to the total liquid water. 6. The numerical calculation A very accurate scheme has been developed for the calculation of particle collection. The method is sufficiently general that it can be applied to a wide variety of problems. A full description is given by Reinhardt (1972) and a summary is given in Appendix A. While others in the field (e.g., Kovetz and Olund, 1969; Bleck, 1970) have sought faster, approximative methods for solving the collection growth equation, the objectives of this research program have required that accuracy be given first priority and speed the second. In spite of this, the program is not exceptionally time consuming. By comparison to Bleck's method which takes 11 msec per iteration for a 30-category run on the CDC 6600, our method takes 16 msec. This is not a great difference, particularly when it is noted that we have not especially programmed for speed but have compromised speed for program accuracy and readability. In addition, we have increased the run time over Berry's original method (which took 13 msec for a similar run) as a price for achieving orders of magnitude increase in accuracy. A misconception that had arisen in some circles to the effect that the method we use consumes excessive computer time stemmed from Thompson's (1968) attempt to find a transformation of the stochastic collection equation that would reduce the computer time consumed for the calculation, on the assumption that our method used excessive computer time. This assumption had never been checked, and was the basis for Bleck's claim of having found a "fast" method when the two methods are really of comparable speed. The accuracy of numerical collection schemes cannot be judged by comparison with the analytic solutions for the constant or sum-of-masses kernel alone, which are the easiest and most fundamental tests of an operating program. Accuracy becomes more difficult to achieve for hydrodynamic kernels and narrow initial density functions. Because of the importance of these latter areas to cloud physics, and because of our suspected numerical spreading error in Berry's original method (although it reproduced the above analytic kernels almost exactly), we have developed a method of calculating collection growth with vastly increased accuracy. As a part of the work on his dissertation, Reinhardt (1972) tested the accuracy of the numerical formulas used in each step of the calculation. A large variety of formulas were tried and the best ones were selected. So different are the analytic kernels from the real kernels (which go to zero for like-sized droplets) that the numerical integration formulas giving the best results for the analytic kernels were not the same as the ones giving the best results for the hydrodynamic kernel. Both the interpolating scheme (for finding function values between data points) and the integrating scheme (for evaluating the collection integrals) had to be improved. The interpolating scheme was tested against analytic values generated from an initial spectrum. The formula selected is a six-point Lagrange interpolation using the natural logarithms of the values to be interpolated. This formula gives four to five place accuracy over the entire range of the spectrum whereas the original method gave one to three place accuracy over the middle of the range but was five orders of magnitude high at the tail. The integration scheme was checked against devised analytic equations which roughly approximated the integrands found in actual practice. A method giving 100% accuracy was found to be a combination of three- and four-point Lagrangian formulas. When the number of points in the range of integration is odd, the three-point formula is used throughout; when even, the four-point is used at one end, and the three-point is used for the remaining points. Calculation of the tail is extremely important in obtaining accurate solutions for many realistic cases. The method chosen for allowing the tail of the spectrum to increase to new numerical categories requires that the value in the new category exceed a specified limit within one time step; otherwise, the new value is left at "zero." Once these methods are established, it is still desirable to have some measure of the accuracy achieved in each particular calculation. An adequate overall test of minimal accuracy was found to be the unphysical change of total liquid water content, so that this single index alone was sufficient to indicate the accuracy of a calculation. The calculations now achieve a 0.15% change in total water over 1800 iterations for the hydrodynamic kernel and a narrow density function, with no artificial constraints on the total water. This method of checking accuracy would, of course, not hold for a method based upon an inherent conservation of water similar to the splitting method used by Kovetz and Olund (1969). Our tests have shown, however, that the splitting method introduces unacceptable artificial spreading of the droplet spectrum. The calculations were performed and plots generated on the NCAR CDC 6600/7600. The time step used was 1.0 sec, and 30 min of real time took 10–15 min of computer time on the 6600 and 2–3 min on the 7600. 7. Growth of double distribution In order to lay a foundation for a following analysis of the growth of single initial distributions, we discuss here the growth of two double distributions. All plots result from the physically realistic collection kernel described above. Figs. 2 and 3 show the development of two initial spectra each having 0.8 gm m$^{-3}$ of liquid water centered at $r_f^0 = 10$ $\mu m$ for the smaller drops and 0.2 gm m$^{-3}$ of liquid water for the larger drops. Fig. 2 has the larger drop population centered at $r_f^0 = 50$ $\mu m$ and Fig. 3 has it at $r_f^0 = 20$ $\mu m$. Each of the four individual spectra is generated by use of (12) with $\nu = 0$. Plotted in these figures is the mass density function $g\langle \ln r \rangle$ (gm m$^{-3}$ per unit $\ln r$), where \[ g\langle \ln r \rangle = 3x^2f\langle x \rangle. \] (20) Unit $\ln r$ is a fixed interval at any position on the abscissa and is equal to the distance on the $\ln$ scale from 1 to $\epsilon$, which is invariant when the radii are multiplied by a constant. Time in minutes is given on the axis projecting inward on the page. Values of $r_f$ and $r_g$ are also plotted against time. For the purposes of discussion we will break the spectrum of each figure into two parts: we call that on left-hand side “Spectrum one” (or S1) and that on the right “Spectrum two” (or S2). To clarify the designation of quantities which refer specifically to S1 or S2 we will use subscripts 1 and 2, e.g., $L_1$ or $r_{g2}$. We notice how in each case S1 decreases in size with time but stays in the same place, while S2 increases in size as it moves to the right; $r_g$ follows the peak of S2 (at least after S2 has accumulated a sufficient portion of the water), while $r_f$ stays closer to S1. We notice from Eq. (10) that the difference between $r_g$ and $r_f$ is one measure of the spread of the spectrum. Of course, in these two cases $r_f$ is always completely negligible, so from (10c), $$x_f^2 \approx x_f x_g.$$ (21) By comparing the $r_g$’s and the liquid water on S2 we see that the growth benefit achieved by having S2 centered initially at 50 $\mu$m (Fig. 2) rather than 20 $\mu$m (Fig. 3) is a lead of about 7.5 min in getting $r_g > 100 \mu$m. Beyond that there is little difference in the eventual growth. Fig. 4. Time evolution of $r_g$ for four double distributions (solid lines) compared to the single distributions (dashed lines) for $r_f^0 = 14$ and 18 $\mu$m. Undesignated values in parentheses are the liquid water contents. The dotted lines show $r_{g2}$. This comparison of $r_g$'s is shown more precisely in Fig. 4, where we also note the following: (i) the inflexion point of most $r_g$ curves occurs between 50 and 100 $\mu$m; (ii) the $r_g$'s for $L_2 = 0.1 \text{ gm m}^{-3}$ lag by only 2 min the corresponding cases of Figs. 2 and 3; (iii) the $r_g$'s (dashed lines) for single initial distributions start slower and then go faster than curves for double distributions; and (iv) the $r_g$'s for larger initial $r_{g2}$ show greater starting rates. The total growth shown in Figs. 2 and 3 is a composite of three basic modes of interactions. These are the S1-S1 collections (which are referred to as "autoconversion"), the S2-S1 collections (which are referred to as "accretion"), and the S2-S2 self-collections, a previously undesignated mode that we shall term "large hydrometeor self-collection." Fig. 5 shows the growth due to the S1-S1 self-collections. It is minor in this example. Only a small amount of water is added to S2 and this on the left portion of S2. Since no collection is allowed to occur within S2 no further growth is possible. Fig. 6 shows the changes due to the S2-S1 collections. This mode also adds water to S2 but the rate of transfer in this case well exceeds that accomplished by the S1-S1 collections of Fig. 5. Judging from this case, accretion is a far more effective mechanism than autoconversion for the transfer of water mass from a small to larger drops. But, although $r_{g2}$ at first moves quite rapidly to the right, it quickly stabilizes as the water transfer becomes more complete. Clearly, a third mechanism is needed to complete the explanation of rapid growth of larger drops. Fig. 5. Time evolution of the initial spectrum given in Fig. 3, with only S1-S1 interactions being allowed. Fig. 6. Time evolution of the initial spectrum given in Fig. 3, with only S2-S1 interactions being allowed. Fig. 7 shows the action of S2-S2 self-collection alone. It is slow only because $L_2$ is small. Were $L_2 = 1 \text{ gm m}^{-3}$ the growth by this mode would be five times as fast. The slope does get shallower on the tail and this mode seems to be most responsible for the shallowing of the tail after 5 min in Fig. 3. Were stochastic collection, however, to continue to shallow the tail, then the growth pattern shown in Fig. 3 would not occur. 8. Summary Three basic modes of collection operate to produce larger drops. The first, autoconversion, serves to add initial water to S2 so that the other modes can operate. It is generally weak by comparison to the other two. The second, accretion, is the primary mechanism for transferring water from S1 to S2. S1 decreases uniformly while keeping its general shape and position as its water mass is transferred to the evolving spectrum S2. Eventually S1 loses almost all of its water to S2. The associated growth produced by this mode on predominant radius of S2 is small, however, as all drops tend to grow at the same rate. (This is similar to graupel growth in a cloud that has an overabundance of ice crystals.) The third mode, large hydrometeor self-collection, produces large drops quickly. It is responsible for the rapid increase of the predominant radius and the emerging shape of S2. Its rate increases as water mass is added to S2 by accretion. A fourth basic mode, large hydrometeor breakup, will further modify the hydrometeor distribution. Acknowledgments. The principal author wishes to thank the following for helpful insight, inspiration and guidance to this research: Dr. W. A. Mordy for the research initiation and continued encouragement; Dr. Pierre St.-Amand for the stimulus provided by his many invitations to lecture at the Naval Weapons Center and to participate in the NWC field experiments; Drs. Larry G. Davis and Archie Kahan for the opportunity to participate in conferences and field programs sponsored by the National Science Foundation through Pennsylvania State University, the Sierra Research Corporation, and the Bureau of Reclamation; Drs. F. Winterberg and W. T. Scott for helpful theoretical discussions; Mr. Maarten R. Pranger for improvements to the computer program; and Dr. Dan Gillespie for comments on the manuscript. The research which provided the basis for this paper was supported by the Atmospheric Sciences Section, National Science Foundation, under Grant GA-21350 to the Desert Research Institute. Numerical calculations were performed on the NSF CDC 6600/7600 at the National Center for Atmospheric Research. APPENDIX A Details of the Collection Calculation The purpose of this appendix is to present the details of our method for the numerical solution of the stochastic collection equation. The complete program is available upon request. 1. The stochastic collection equation and methodology The basic physics of collection is contained in the collection kernel $V$ which is defined as the volume swept out per unit time per density of smaller droplets by a larger droplet of radius $r$ within which a collision will occur with a smaller droplet of radius $r'$. Therefore, $$V(r\|r') = \pi (r + r')^2 \Delta v E,$$ \footnote{For both Parts I and II.} \footnote{See Reinhardt (1972) for a complete presentation.} where $\Delta v$ is the difference in terminal fall velocities of the colliding droplets, and $E$ the collision efficiency. In Eq. (A1), which defines the hydrodynamic kernel, two assumptions are made: 1) every collision results in a coalescence; and 2) the viscous forces which inhibit collisions are accounted for by a collision efficiency less than one. From (A1) it is clear that the probability per unit time that an $r$ droplet will collect an $(r', r' + dr')$ droplet is given by $$P(r \| r')dr' = V(r \| r')f(r')dr',$$ (A2) where $f(r')dr'$ is the number of droplets in the range $r'$ to $r' + dr'$. If $x, x'$ are the masses of the droplets of radius $r, r'$ and some distribution of droplets described by $f(x)$ exists at a particular time, the instantaneous rate of change of $f(x)$ is given by $$\frac{\partial f(x)}{\partial t} = \int_0^{x/2} f(x_e)V(x_e \| x')f(x')dx' - \int_0^\infty f(x)V(x \| x')f(x')dx',$$ (A3) where $$x_e = x - x'.$$ (A4) Eq. (A3) is the stochastic collection equation. It states that $f(x)$ is increased by collisions between droplets of mass $x_e$ and $x'$, and that $f(x)$ is decreased by collisions between droplets of mass $x$ and $x'$. Eq. (A4) is crucial to this method when the continuous spectrum $f(x)$ is made discrete so that (A3) can be solved numerically. At that time $f(x)$ and $f(x')$ will be known and $f(x_e)$ will be found by interpolation. 2. Discretizing the initial distribution and a transformed collection equation The gamma or Pearson Type III distribution as employed by Scott (1968) is used to specify the initial distribution: $$f(x) = \frac{N^2}{L} \frac{(\nu + 1)^{\nu + 1}}{\Gamma(\nu + 1)} s^\nu \exp[-(\nu + 1)s],$$ (A5) where $N$ is the total droplet number density (cm$^{-3}$), $L$ the liquid water content, $s = x/\bar{x}_p$, $\bar{x}_p = L/N$, the mean mass of $f(x)$, and $\nu$ is the width parameter. The relative variance of $f(x)$, var $x$, is $(\nu + 1)^{-1}$. The form of this function allows the separate manipulation of $L$, $\bar{x}_p$, and var $x$. To discretize $f(x)$, the following are defined: $$r(J) = r_0 \exp[(J - 1)/J_0],$$ (A6) $$x(J) = \frac{4}{3}\pi \rho_w r_0^3 \exp[3(J - 1)/J_0].$$ (A7) In the program $r_0 = 1.968627 \times 10^{-4}$ cm. To aid in the solution of (A3), the integrals are evaluated by changing the variable of integration from $x'$ to $J'$. Thus, the upper limit $x/2$ of the gain integral becomes $$J_d = J - J_0(\ln 2)/3 = J - 2,$$ (A8) thereby defining $J_0 = 6/\ln 2$. From this definition of $J_0$ and (2.8) and (1.4), the argument of $x_e$ is found to be $$J_e = J + \frac{2}{\ln 2} \ln[1 - 2^{(J' - J)/2}].$$ (A9) For physical and graphical reasons Eq. (A3) is transformed into a mass density per unit lnr, $g(lnr)$. Note that $g(q) = xf(q)$ where $q$ is a dummy variable. In the program $g(lnr) \equiv G(J)$. For computational purposes a value of $G$ below $10^{-70}$ gm cm$^{-3}$ per unit lnr is defined as zero, and the integer argument of the smallest $G$ greater than $10^{-70}$ is defined as $J_m$, which now may replace $\infty$ as the upper limit of the loss integral. In this transformed notation (A3) becomes $$\frac{\partial G(J)}{\partial t} = \frac{x(J)}{J_0} \left\{ \int_1^{J_d} dJ' \frac{x(J)}{x(J_e)} G(J_e) \frac{V(J_e \| J')}{x(J_e)x(J')} G(J') \right.$$ $$- G(J) \int_1^{J_m} dJ' \frac{V(J \| J')}{x(J)x(J')} G(J') \right\}.$$ (A10) The $J_0^{-1}$ factor is due to changing the variable of integration from $d \ln r$ to $dJ$. Because $g$ is a density function $$g(lnr)d \ln r = xf(lnr)d \ln r = xf(x)dx,$$ (A11) so that $$g(lnr) = 3x^2f(x).$$ (A12) Consequently from (A5) the initial spectrum as used in the program is $$G(J) = 3L \frac{(\nu + 1)^{\nu + 1}}{\Gamma(\nu + 1)} s^{\nu + 2} \exp[-(\nu + 1)s],$$ (A13) where $s = x(J)/\bar{x}_{j0}$. As $\bar{x}_J$ is the mean of $f(x)$, the number density $\bar{x}_g$ is the mean of $g(x)$, the mass density. From (A13) it is found that $$\bar{x}_{g0} = \left(\frac{\nu + 2}{\nu + 1}\right)\bar{x}_{j0}.$$ (A14) 3. Fall velocity calculation The terminal velocity of the droplets is calculated from curve fits of Re to $C_d \text{Re}^2$, where Re is the Reynolds's number and $C_d$ the drag coefficient. The method is described by Berry and Pranger (1974). 4. Interpolation Because $J_e$ is not an integer, $G(J_e)$ is not known and must be interpolated. The interpolation method used is a six-point Lagrange interpolation formula. The following example illustrates how this formula is used: \[ G(J_e) = \exp[-A_1 \ln G(J-3) + A_2 \ln G(J-2) \\ + A_3 \ln G(J-1) + A_4 \ln G(J) \\ + A_5 \ln G(J+1) + A_6 \ln G(J+2)], \] \hspace{1cm} (A15) where \[ A_1 = (-A^8 - 4A + 5A^3)/120, \] \hspace{1cm} (A16) \[ A_2 = [A^4 - 7A^3 + (A^5 - A^2 + 6A)]/24, \] \hspace{1cm} (A17) \[ A_3 = [-A^8 + 8A^2 - 12A - (2A^4 - 7A^3)]/12, \] \hspace{1cm} (A18) \[ A_4 = [3A^4 - 5A^2 + 12 + (A^5 - 15A^2 + 4A)]/12, \] \hspace{1cm} (A19) \[ A_5 = [-A^8 + 16A^2 - (4A^4 - A^3 - 12A)]/24, \] \hspace{1cm} (A20) \[ A_6 = [5A^4 - 6A + (A^5 + 5A^2 - 5A^2)]/120, \] \hspace{1cm} (A21) and where \[ A = JC - J = \frac{2}{\ln 2} \ln[1 - 2^{(J' - J)/2}]. \] \hspace{1cm} (A22) This set of coefficients is valid when $ J - J' \geq 4 $. The coefficients are calculated in the polynomial form to eliminate errors that occur when a small number $ A $ is subtracted from unity. When $ J - J' = 3 $, the following set of coefficient is used: \[ A_1 = -B/[120(A + 4)], \] \hspace{1cm} (A23) \[ A_2 = +B/[24(A + 3)], \] \hspace{1cm} (A24) \[ A_3 = -B/[12(A + 2)], \] \hspace{1cm} (A25) \[ A_4 = +B/[12(A + 1)], \] \hspace{1cm} (A26) \[ A_5 = -B/(24A), \] \hspace{1cm} (A27) \[ A_6 = +B/[120(A - 1)], \] \hspace{1cm} (A28) where \[ B = (A - 1)A(A + 1)(A + 2)(A + 3)(A + 4), \] \hspace{1cm} (A29) \[ A = JC - J. \] \hspace{1cm} (A30) These coefficients are employed for interpolation as follows: \[ G(J_e) = \exp[-A_1 \ln G(J-4) + A_2 \ln G(J-3) \\ + A_3 \ln G(J-2) + A_4 \ln G(J-1) \\ + A_5 \ln G(J) + A_6 \ln G(J+1)]. \] \hspace{1cm} (A31) There are two sets of coefficients because there are two ranges for $ JC $. When $ J - J' \geq 4 $, $ J - 1 < JC < J $, and when $ J - J' = 3 $, $ J - 2 < JC < J - 1 $. Remember that when $ J - J' = 2 $, $ JC = J - 2 = J' $. The polynomial format is not necessary when $ J - J' = 3 $, because in that case \[ A = JC - J = \frac{2}{\ln 2} \ln(1 - 2^{-4}) = -1.258793747. \] 5. Integration Over most intervals, three-point Lagrange integration coefficients are used. But, because of the problem presented by the existence of integrands which become zero at certain values of $ J $, special methods are necessary for accurately evaluating the integrals in the neighborhood of the zeros. The zeros occur when like droplets collide ($ J = J' $), due to the fact that the collection kernel includes the difference in fall velocities of the droplets. Four- or five-point Lagrange integration coefficients are used in the neighborhood of zero integrands. The following four examples illustrate the integrating technique just described: a. Even number of points: gain integral: $ J_d = 8 $ \[ \int_{1}^{8} \text{aint}(J')dJ' = \frac{1}{3} \text{aint}(1) + \frac{4}{3} \text{aint}(2) \\ + \frac{2}{3} \text{aint}(3) + \frac{4}{3} \text{aint}(4) \\ + \frac{1}{3} \text{aint}(5) + \frac{3}{8} \text{aint}(5) \\ + \frac{9}{8} \text{aint}(6) + \frac{9}{8} \text{aint}(7) + \frac{3}{8} \text{aint}(8). \] \hspace{1cm} (A32)$^4$ b. Odd number of points: gain integral: $ J_d = 9 $ \[ \int_{1}^{9} \text{aint}(J')dJ' = \frac{1}{3} \text{aint}(1) + \frac{4}{3} \text{aint}(2) \\ + \frac{2}{3} \text{aint}(3) + \frac{4}{3} \text{aint}(4) \\ + \frac{1}{3} \text{aint}(5) + \frac{14}{45} \text{aint}(5) \\ + \frac{64}{45} \text{aint}(6) + \frac{24}{45} \text{aint}(7) \\ + \frac{64}{45} \text{aint}(8) + \frac{14}{45} \text{aint}(9). \] \hspace{1cm} (A33)$^4$ c. Even number of points through zero integrand: loss integral: $ J = 8, J_m = 15 $ \[ \int_{1}^{15} \text{aint}(J')(dJ') = \frac{1}{3} \text{aint}(1) + \frac{4}{3} \text{aint}(2) \\ + \frac{2}{3} \text{aint}(3) + \frac{4}{3} \text{aint}(4) + \frac{1}{3} \text{aint}(5) \\ + \frac{3}{8} \text{aint}(5) + \frac{9}{8} \text{aint}(6) + \frac{9}{8} \text{aint}(7) \\ + \frac{3}{8} \text{aint}(8) + \frac{3}{8} \text{aint}(8) + \frac{9}{8} \text{aint}(9) \\ + \frac{9}{8} \text{aint}(10) + \frac{3}{8} \text{aint}(11) + \frac{1}{3} \text{aint}(11) \\ + \frac{4}{3} \text{aint}(12) + \frac{2}{3} \text{aint}(13) + \frac{4}{3} \text{aint}(14) \\ + \frac{1}{3} \text{aint}(15). \] \hspace{1cm} (A34)$^6$ d. Odd number of points through zero integrand: loss integral: $ J = 9, J_m = 16 $ \[ \int_{1}^{16} \text{aint}(J')dJ = \frac{1}{3} \text{aint}(1) + \frac{4}{3} \text{aint}(2) \] --- $^4$ Note that in (A32) and (A33) aint $ (J') $ is defined as the appropriate gain integrand and aint $ (J_d) = 0 $. $^5$ Note that in (A34) and (A35) aint $ (J') = 0 $ when $ J' = J $. Also in the actual calculations $ J_m $ is much larger than 16 and aint $ (J_m) $ is trivially small so that detailed attention to the integration coefficient at $ J_m $ is unnecessary. This fact was meticulously checked. \[ +2/3 \text{ aint (3)} + 4/3 \text{ aint (4)} + 1/3 \text{ aint (5)} \] \[ +14/45 \text{ aint (5)} + 64/45 \text{ aint (6)} + 24/45 \text{ aint (7)} \] \[ +64/45 \text{ aint (8)} + 14/45 \text{ aint (9)} + 3/8 \text{ aint (9)} \] \[ +9/8 \text{ aint (10)} + 9/8 \text{ aint (11)} + 3/8 \text{ aint (12)} \] \[ +1/3 \text{ aint (12)} + 4/3 \text{ aint (13)} + 2/3 \text{ aint (14)} \] \[ +4/3 \text{ aint (15)} + 1/3 \text{ aint (16)}. \tag{A35} \] 6. Method of evaluating spectrum growth The calculation of $ \partial G(J) / \partial t $ for $ 1 \leq J \leq J_m $ gives the rate of change of the spectrum for existing droplet categories. However, two previously empty; i.e., $ G(J) = 0 $, droplet categories may become occupied after each iteration or time increment. Since $ x(J_e) + x(J') = x(J) $ and $ x(J+2) = 2x(J) $, the two categories, corresponding to $ J_m + 1 $ and $ J_m + 2 $, may become occupied by collections between $ J_e $ and $ J' $ droplets where $ J_m - 2 \leq J_e \leq J_m $. If the value of $ G(J) $ is greater than $ 10^{-70} $ gm cm$^{-3}$ per unit ln$ r $ then the $ J $th category is occupied by definition. If the value of $ G(J) $ is less than $ 10^{-70} $ then it is not occupied. This definition results from the finite lower limit of the magnitude of numbers that can be calculated on a computer and facilitates the interpolation as described below. In calculating $ \partial G(J) / \partial t $ for $ J = J_m + 1 $ and $ J = J_m + 2 $, examination of (A10) shows that the loss term is zero since $ G(J_m + 1) $ and $ G(J_m + 2) $ are zero. This is physically obvious because non-occupied droplet categories cannot lose droplets. Consequently, only the gain integral need be evaluated for these two cases. This is made clear in the program (“SUBROUTINE SPCHB,” where the derivatives are calculated) by the comment “REGION THREE—GAIN ONLY.” The calculation of $ G(J_e) $ for these two cases poses a problem because the six-point interpolation scheme uses values of $ GL(I) = \ln G(I) $ corresponding to droplet categories where $ I > J $ and $ \partial G(J) / \partial t $ is to be calculated. When a spectrum is initialized in the program all values of $ G(J) $ less than $ 10^{-70} $, i.e., $ J > J_{ni} $, are set equal to zero and the values of $ GL $ are set equal to $-180$, which corresponds to $ G = 6.0 \times 10^{-79} $. Clearly, an accurate interpolation cannot be made when two or more consecutive values of $ GL $ are identical as they would be using the six-point scheme for calculating $ G(J_e) $ for $ J = J_m + 1 $ and $ J = J_m + 2 $. This problem is circumvented by using a two-point scheme whenever $ GL(J) $ is less than $-179$. Thus, when $ J = J_m + 1 $ and $ J = J_m + 2 $, $ GL(J_e) $ is interpolated using either \[ GL(J_e) = (J_e - J + 1)GL(J) + (J - J_e)GL(J - 1) \tag{A36} \] when \[ J - 1 < J_e < J \quad \text{and} \quad J' \leq J - 4, \tag{A37} \] or \[ GL(J_e) = (J_e - J + 2)GL(J - 1) \] \[ + (J - J_e - 1)GL(J - 2) \tag{A38} \] when \[ J - 2 < J_e < J - 1 \quad \text{and} \quad J' = J - 3. \tag{A39} \] Note that in both cases the coefficients are positive and add to unity. Once the derivatives $ \partial G(J_m + 1) / \partial t $ and $ \partial G(J_m + 2) / \partial t $ are calculated and $ G(J_m + 1) $ and $ G(J_m + 2) $ are evaluated, these $ G $ values are compared to $ 10^{-70} $ gm cm$^{-3}$ per unit ln$ r $. The value of $ J_m $ is then increased by one if $ G(J_m - 1) $ is greater than $ 10^{-70} $ and $ G(J_m + 2) $ is not, or by two if both are greater than $ 10^{-70} $. 7. Modified collection kernel matrix In (A10) it is seen that $ V $ is divided by the product of the masses of the colliding droplets. This form of the equation is used intentionally so that a single matrix $ W $ may be used to conserve computer core and to eliminate redundant calculations. Before the actual solution of the equation, $ W(J \| J') $ is calculated directly and stored in the diagonal and upper right matrix elements, $ W(J_e \| J') $ is found by interpolating the $ W(J \| J') $'s and is stored in the lower left matrix elements. When $ W(J \| J') $ for $ J > J' $ is needed in the loss integrand, $ W(J' \| J) $ is used because $ V $ is a symmetric function of its arguments. 8. The computer program The solutions to the stochastic collection equation presented in this paper were obtained from the following computer program. The intrinsic subroutines called, e.g., ALOG(x) which takes the natural logarithm of $ x $, and the format statements are in the form required by the CDC-6600 or CDC-7600 computers located at the National Center for Atmospheric Research. The program consists of a main program, six subroutines, and one function subprogram. The main program performs the following functions: INITIALIZATION PHASE 1. Reads in the data, which includes: a. the value of the smallest radius under consideration $ R_0 $; b. collision efficiency data called “SARTOR DAVIS KERNEL DATA” in the program; c. control parameters. 2. Calculates the radii and masses to be used in the computations. 3. Calculates the terminal fallspeeds of the droplets. 4. Calls subroutine COLPB. 5. Calculates the initial spectrum and its corresponding parameters: $ N, L, \bar{x}_p^0, \bar{x}_d^0 $. 6. Outputs the information obtained in steps 1 through 5, calling subroutine PLOT. CALCULATION PHASE 1. Calls subroutine SPCHB, which calculates the change in the spectrum due to collections. 2. Calculates resulting spectrum and LWC. 3. Checks for growth of larger droplets, i.e., spectrum spreading. 4. Outputs information obtained in steps 1–3, calling subroutine PLOT. 5. Checks progress of program. The program is terminated if LWC error is above 5% or if time is above maximum time allowed, usually 30 min. 6. If program does not terminate control is returned to 1. The first subroutine, COLPB, calculates the interpolation and integration coefficients and the modified loss and gain kernels, $W(J,J') = V(J\|J')/ [x(J)x(J')]$, calculated from the function subprogram $V$. The second subroutine, SPCHB, calculates the change in the spectrum, $DG(J)$, and calls subroutines, INTEGL, INTEGG and INTERP, which perform integrations of the loss and gain integrals, and interpolates to find $G(J_c)$, respectively. The third subroutine, INTEGG, is set up to integrate the gain integral. The fourth subroutine, INTEGL, is set up to integrate the loss integral. The fifth subroutine, INTERP, calculates the value of $G(J_c)$ by interpolation. The sixth subroutine, PLOT, provides the graphical information. APPENDIX B List of Symbols $f$ number density function $g$ mass density function $L$ liquid water content $N$ total number density $r$ droplet radius $r_b$ radius corresponding to $x_b = x_f(\text{var } x)^{\frac{1}{2}}$ $r_f$ radius corresponding to $x_f = L/N$ $r_g$ radius corresponding to $x_g = Z/L$ $s$ $x/x_f$, a parameter used in calculating the initial spectrum $S_1$ the small hydrometeor or “cloud water” portion of the spectrum $S_2$ the large hydrometeor portion of the spectrum $V$ collection kernel $\text{var } r$ relative variance of the spectrum with respect to radius $\text{var } x$ relative variance with respect to mass $[= (x_g/x_f) - 1]$ $x$ droplet mass $x_b$ standard deviation of mass about the mean $x_f$ $x_g$ mean mass of the number density function $Y_c$ linear collision efficiency $Z$ spectral radar reflectivity, the second mass moment of the number density function $Z'$ radar reflectivity $[(6/\pi\rho)^2Z]$ $\Delta v$ difference in terminal fallspeeds $\rho$ density of pure water $\nu$ width of spectrum parameter: $\text{var } x = 1/(\nu + 1)$ for gamma number density function REFERENCES Bartlett, J. 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Structural differences determine the relative selectivity of nicotinic compounds for native $\alpha 4\beta 2^$-, $\alpha 6\beta 2^$-, $\alpha 3\beta 4^$- and $\alpha 7$-nicotine acetylcholine receptors Sharon R. Grady $^{a, }$, Ryan M. Drenan $^b$, Scott R. Breining $^c$, Daniel Yohannes $^c$, Charles R. Wageman $^a$, Nikolai B. Fedorov $^c$, Sheri McKinney $^b$, Paul Whiteaker $^{a,1}$, Merouane Bencherif $^c$, Henry A. Lester $^b$, Michael J. Marks $^a$ $^a$ Institute for Behavioral Genetics, University of Colorado, Boulder, CO 80309, USA $^b$ Division of Biology, California Institute of Technology, Pasadena, CA 91125, USA $^c$ Department of Preclinical Research, Targacept Inc., Winston-Salem, NC 27101, USA Article history: Received 2 July 2009 Received in revised form 18 January 2010 Accepted 21 January 2010 Keywords: TC2429 TC2403 TC1098 TC2242 TC6951 Varenicline Abstract Mammalian brain expresses multiple nicotinic acetylcholine receptor (nAChR) subtypes that differ in subunit composition, sites of expression and pharmacological and functional properties. Among known subtypes of receptors, $\alpha 4\beta 2^$ and $\alpha 6\beta 2^$-nAChR have the highest affinity for nicotine (where * indicates possibility of other subunits). The $\alpha 4\beta 2^$-nAChRs are widely distributed, while $\alpha 6\beta 2^$-nAChR are restricted to a few regions. Both subtypes modulate release of dopamine from the dopaminergic neurons of the mesoaccumbens pathway thought to be essential for reward and addiction. $\alpha 4\beta 2^$-nAChR also modulate GABA release in these areas. Identification of selective compounds would facilitate study of nAChR subtypes. An improved understanding of the role of nAChR subtypes may help in developing more effective smoking cessation aids with fewer side effects than current therapeutics. We have screened a series of nicotinic compounds that vary in the distance between the pyridine and the cationic center, in steric bulk, and in flexibility of the molecule. These compounds were screened using membrane binding and synaptosomal function assays, or recordings from GH4C1 cells expressing hz7, to determine affinity, potency and efficacy at four subtypes of nAChRs found in brain, $\alpha 4\beta 2^$, $\alpha 6\beta 2^$, $\alpha 7$ and $\alpha 3\beta 4^$. In addition, physiological assays in gain-of-function mutant mice were used to assess in vivo activity at $\alpha 4\beta 2^$ and $\alpha 6\beta 2^$-nAChRs. This approach has identified several compounds with agonist or partial agonist activity that display improved selectivity for $\alpha 6\beta 2^$-nAChR. © 2010 Elsevier Ltd. All rights reserved. 1. Introduction Dependence on nicotine partially underlies the difficulty encountered in smoking cessation. Currently available smoking cessation aids (nicotine replacement, bupropion or varenicline treatment) are helpful for a subset of the population, with variable relapse prevention (Lerman et al., 2007; De Biasi and Salas, 2008). There is a need for treatments with improved effectiveness, relapse prevention, tolerability, and safety. Nicotine elicits physiological and behavioral effects through actions as an agonist and/or desensitizer at nicotinic acetylcholine receptors (nAChRs). nAChRs in brain exist as pentamers made up of the $\alpha 2$–7, and $\beta 2$–4 subunits. Some nAChRs are homomers ($\alpha 7$), but most are heteromers ($\beta 2$ or $\beta 4$ in combination with $\alpha$ subunits) (Gotti et al., 2006). $\alpha 4\beta 2^$-nAChRs, which comprise the most widely expressed high-affinity subtypes, play a major role in modulating the effects of smoked nicotine (Mameli-Engvall et al., 2006; Keath et al., 2007). Some $\alpha 4\beta 2^$-nAChRs are upregulated by chronic exposure to nicotine (Flores et al., 1992; McCallum et al., 2006; Nashmi et al., 2007; Lester et al., 2009). The $\alpha 4\beta 6\beta 3\beta 2$ nAChR has the highest sensitivity for nicotine of any subtypes studied to date (Salminen et al., 2007). In contrast to the widespread distribution of $\alpha 4\beta 2^$-nAChR, $\alpha 6\beta 2^$-nAChRs have a restricted distribution, localized primarily to dopamine (DA) neurons, noradrenergic neurons, and visual tracts (Whiteaker et al., 2000b; Champiiaux et al., 2002, 2003; Quik et al., 2003; Drenan et al., 2008). Both of these $\beta 2^$-nACh subtypes are important regulators of DA release in the nucleus accumbens, which participates in the rewarding effects of nicotine (Exley et al., 2008). $\alpha 6\beta 2^$-nAChRs in mesoaccumbens dopaminergic neurons may be necessary for nicotine self-administration (Pons et al., 2008). Interestingly, $\alpha 6\beta 2^$-nAChRs, despite their high sensitivity to nicotine, are upregulated at comparatively high nicotine concentrations when expressed in HEK cells (Tumkosit et al., 2006), while they are downregulated following chronic nicotine treatment in rats and mice (Lai et al., 2005; Perry et al., 2007; Perez et al., 2008). Whole genome scans in humans have detected genetic associations between $\alpha6$-nAChR subunit genes and aspects of human smoking. The CHRNA6/B3 gene cluster has significant associations with subjective responses to nicotine (Zeiger et al., 2008), tobacco dependence, and number of quit attempts (Hoff et al., 2008). These associations may suggest that $\alpha6$-nAChRs could be an important target for nicotine. nAChR subtype selective compounds will become pharmacological tools to help identify how various subtypes affect the acquisition and maintenance of addiction, as well as which subtypes are good targets for smoking cessation therapy. Selective compounds may enable therapies to be tailored to individuals by combining genetic association data with appropriate smoking cessation aids (Ho and Tyndale, 2007). Based on knowledge gained using nAChR subunit null mutant mice and various selective agonists and antagonists, we have devised a battery of assays to assess binding affinity, functional potency and efficacy at four subtypes of nAChR ($\alpha4\beta2^+$, $\alpha6\beta2^+$, $\alpha7$ and $\alpha3\beta4^+$). Gain-of-function $\alpha4L9A$ (Tapper et al., 2007) and $\alpha6L9S$'s (Drenan et al., 2008) mice have been developed to evaluate selective activation of $\alpha4\beta2^+$ or $\alpha6\beta2^+$-nAChR in vivo. We have assessed the effects of structural modifications of nicotine that may improve selectivity for $\alpha4\beta2^+$ and/or $\alpha6\beta2^+$-nAChRs. 2. Methods 2.1. Materials $^{[125}\text{I}]$-$\alpha$-bungarotoxin ($\alpha$-Btx, specific activity 2000 Ci/mmol) was a product of GE Healthcare, Little Chalfont, Buckinghamshire, UK. $^{[125}\text{I}]$-epibatidine ($2200 \text{Ci/mmol}$), $^{[3}H]$-dopamine (3.4-[ring-2,5,6-3H]- 30–60 Ci/mmol), $^{[3}H]$-choline (methyl-3H, 60–90 Ci/mmol), and carrier-free $^{86}\text{RbCl}$ were purchased from Perkin Elmer Life Sciences, Boston, MA. $\alpha$-Conotoxin MII ($\alpha$-CtxMII) and $^{[125}\text{I}]$-$\alpha$-CtxMII were obtained from J. Michael McIntosh, University of Utah, Salt Lake City, UT. The following chemicals as well as all buffer components (Reagent Grade) were products of Sigma–Aldrich (St Louis, MO): A85380, atropine, aprotinin, bovine serum albumin (BSA), $\alpha$-cobratoxin, EDTA, ECTA, ($\pm$)-epibatidine, HEPES, (-)-nicotine tartrate, leupeptin, nomifensine, parglyline, pepstatin A, PMSF, polyethylenimine and tetrodotoxin. 2.2. Compound synthesis Compounds 1 (RJR2429, TC2429, $(\pm)$-2-(3-pyridinyl)-1-azabicyclo[2.2.2]octane), 3 (TC1698, 2-(pyridine-3-yl)-1-azabicyclo[2.2.2]nonane), and 7 (TC2242, 4-(5-quinoxidin-2-yl)pyridin-3-oxo/benzonitrile) were synthesized using previously published methods (Bhatti et al., 2008 compounds 3, 6, 26, and 29, respectively). Varenicline was synthesized by the methods of Coe et al. (2005) and Compound 8 (RJR4203, TC2403, (E)-N-methyl-4-(3-pyridinyl)-3-buten-1-amine) following the methods of Benchellri et al. (1996). For other compounds: Compound 2: (7-(pyridin-3-yl)-1-azabicyclo[2.2.1]heptane) Benchellri; Merouane; Miller, Craig Harrison; Hawkins, Gregory D.; Baltzer, Balwinder S., preparation of pyridinyl substituted azabicyclic compounds for use in pharmaceutical compositions which effect dopamine release, U.S. Pat. Appl. US2004220214. Compound 4: (1-aza-2-(3-pyridinyl)-tricyclo[188.8.131.52,3,7]decanes) Benchellri, Merouane; Lippiaio, Patrick Michael; Crooks, Peter Anthony; Park, Haeil; Bhatti, Balwinder Singh; Caldwell, William Scott; Dull, Gary Maurice, preparation of azatricyclo [184.108.40.206,3,7]decanes and related compounds as nicotinic antagonists, PCT Int. Appl. WO9951602. Compound 5: (2-(pyridin-3-yl)methyl)quinuclidine) Schmitt, Jeffrey Daniel; Crooks, Peter Anthony; Dull, Gary Maurice, preparation of pyridyl-bridgehead derivatives and their analogs, pharmaceutical compositions and methods for use, US Patent 6,432,975. Compound 9: ((E)-N-methyl-5-(5-(phenylethynyl)pyridin-3-yl)pent-4-en-2-amine) was prepared from known 3-bromo-5-(2-phenylethynyl)pyridine (Agostal Chiquiarro, Francisco Javier; Dressman, Bruce Anthony; Gutierrez Sanfeliciano, Sonia; Henry, Steven Scott; Martinez, Jose Antonio; Massay, Steven Mark; Morris, James Allen; Zha, Ebrahim Mohammad; Deeg, John) Preparation of pyrimines as mClus receptor antagonists, PCT Int. Appl. WO2005094822, according to the general methods cited in: Caldwell, William Scott; Dull, Gary Maurice; Dolson, Graydon L., 3-pyridinyl compounds, U.S. 6,602,011. Compound 10: ((1R,5S)-3-(5-bromopyridin-3-yl)-8-methyl-8-azabicyclo[3.2.1]oct-3-ene) was prepared analogously to compounds reported previously (Gohlke et al., 2003). Compound 11: (2-((5-chloropyridin-3-oxoyl)methyl)quinuclidine) was prepared as described previously (Zhao et al., 2002). 2.3. Animals All animal procedures were in accordance with the guidelines of the National Institutes of Health. Mice of the C57BL/6J strain 60–90 days of age, used for this study were bred and maintained at the Institute for Behavioral Genetics, University of Colorado, Boulder, CO. After weaning at 25 days of age, same sex littersmates were housed 5 to a cage with free access to food (Teklad Rodent Diet, Harlan, Madison, WI) and water, with a 12-h light/dark cycle at 22 °C. Mice of the $\alpha4$ subunit null mutant mice (originally from Dr. John Drago), were bred and maintained as above and genotyped as previously described (Salminen et al., 2004). Animal care and experimental procedures for these mice were in accordance with the guidelines and approval of the Animal Care and Utilization Committee of the University of Colorado, Boulder, CO. Hypersensitive $\alpha4L9A$ knock-in mice (Tapper et al., 2007) and $\alpha6L9S$'s (Drenan et al., 2008) transgenic mice were bred and maintained at the California Institute of Technology, Pasadena, CA. Animal care and experimental procedures with these mice were approved by the California Institute of Technology Animal Care and Use Committee. 2.4. Tissue preparation for binding studies The methods of Marks et al. (1998, 2006) were followed for preparation of brain membranes in hypotonic buffer. These membrane preparations were stored as pellets under buffer at −70 °C or used immediately for $^{[125}\text{I}]$-$\alpha$-Btx and $^{[125}\text{I}]$-epibatidine binding. The method of Salminen et al. (2005) was used for $^{[125}\text{I}]$-$\alpha$-CtxMII binding. Briefly, regions high in $\alpha$-CtxMII binding sites (olfactory tubercles (OT), striatum (ST) and superior colliculus (SC)) were pooled and homogenized in hypertonic (2×) buffer (NaCl, 288 mM; KCl, 3 mM; CaCl$_2$, 4 mM; MgSO$_4$, 2 mM; HEPES, 40 mM; pH = 7.5) and then incubated with PMSF (1 mM) at 22 °C for 15 min to inactivate serine proteases. After centrifugation (20,000 × g for 15 min at 4 °C), the pellet was resuspended in isotonic buffer and re-centrifuged twice. The final pellet was resuspended in distilled water and used without freezing. 2.5. $^{[125}\text{I}]$-$\alpha$-Bungarotoxin binding A modification of previously published methods was used (Marks et al., 1998). Hippocampal homogenate samples (~50 μg protein) were incubated with 1 nM $^{[125}\text{I}]$-$\alpha$-Btx in 30 μl binding buffer (NaCl, 144 mM; KCl, 1.5 mM; CaCl$_2$, 2 mM; MgSO$_4$, 1 mM; HEPES, 25 mM; pH 7.5) supplemented with 0.1% BSA in 96-well plates modified to hold 1 ml capacity tubes. Various concentrations of a compound to be tested for inhibition of $^{[125}\text{I}]$-$\alpha$-Btx binding were added to triplicate wells; non-specific binding was determined from wells to which $\alpha$-cobratoxin (100 nM) was added. After incubation for 2.5 h at room temperature, samples were diluted with 0.5 ml binding buffer and incubated an additional 0.5 h. This dilution step decreases non-specific binding. Reaction was terminated by filtration onto glass fiber filters (MFS GB top layer, Gelman A/E bottom layer, both soaked in binding buffer containing 0.5% polyethylenimine) using an Inotech Cell Harvester (Inotech, Rockville, MD). Samples were washed 6 times with ice-cold binding buffer and bound $^{[125}\text{I}]$-$\alpha$-Btx was determined by counting at 60% efficiency in a 1450 MicroBeta Trilux scintillation counter after addition of Optiphase SuperMix scintillation cocktail (150 μl/sample) (Perkin Elmer Life Sciences–Wallac Oy, Turku, Finland). 2.6. $^{[125}\text{I}]$-epibatidine binding $^{[125}\text{I}]$-Epibatidine binding was determined using methods previously described (Marks et al., 1998; Whiteaker et al., 2000a) with minor modifications. As for $^{[125}\text{I}]$-$\alpha$-Btx binding various concentrations of a compound to be tested for inhibition of were added to triplicate wells. Briefly, for measurement of inhibition of $^{[125}\text{I}]$-epibatidine binding (corresponding to binding to $\alpha4\beta2^+$ sites) 100 pM $^{[125}\text{I}]$-epibatidine was incubated with cortical membrane in 30 μl of binding buffer for 2 h at room temperature and then filtered onto a single thickness of polyethylenimine – soaked GFA/E glass fiber filter (Gelman Sciences, Ann Arbor, MI) and washed as for $^{[125}\text{I}]$-$\alpha$-Btx binding. For determining A85380-resistant $^{[125}\text{I}]$-epibatidine binding (corresponding to binding to $\alpha3\beta4^+$ sites), membranes prepared from interpeduncular nucleus (IPN) were assayed by including 10 nM A85380 (Sigma Chemical Co, St Louis, MO) with 200 pM $^{[125}\text{I}]$-epibatidine. For both procedures, 1 mM (−)-nicotine tartrate was used to determine non-specific binding. Radioactivity was determined as for $^{[125}\text{I}]$-$\alpha$-Btx binding. 2.7. $^{[125}\text{I}]$-$\alpha$-CtxMII binding The methods of Salminen et al. (2005, 2007) were followed. Membrane samples (40–50 μg protein) from pooled olfactory tubercle, striatum and superior colliculus were incubated with 0.5 nM $^{[125}\text{I}]$-$\alpha$-CtxMII in 30 μl binding buffer supplemented with BSA (0.1%), EDTA (5 mM), ECTA (5 mM), and the protease inhibitors, aprotinin, leupeptin and pepstatin A (10 μg/ml each). Various concentrations of a compound to be tested for inhibition were added to triplicate wells. Non-specific binding was determined from wells to which 1 nM epibatidine was added. Binding reactions were incubated at 22 °C for 2 h, then diluted with 1 ml of buffer containing 0.1% BSA and incubated 4 min longer. Reactions were terminated by filtration onto a single sheet of GF/F filter paper (Whatman, Clifton, NJ) treated with 5% nonfat dry milk for 30 min. Samples were washed four times with ice-cold buffer containing BSA (0.1%). Bound ligand was determined by beta counting as above. It has been demonstrated that this concentration of α-CtxMII measures α6β2-nAChR in mouse dopaminergic and visual tractregions as no binding remains there in the α6 null mutant mouse (Champtiaux et al., 2002), and, in addition, the α3 null mutation has no effect on α-CtxMII binding in these regions (Whiteaker et al., 2002). 2.8. Membrane binding data analysis After subtraction of non-specific binding, inhibition of binding was analyzed by using a one-site fit to the inhibition equation $ B = B_0/(1 + ([I]/IC_{50}) $ where $ B $ is ligand bound in the presence of inhibitor at concentration [I], $ B_0 $ is ligand bound in the absence of inhibitor (Whiteaker et al., 2000a). $ K_i $ values were calculated from IC$_{50}$ values using the equation $ (K_i = IC_{50}/(1 + (L/K_D))) $. Means ± sem from three to four experiments are reported. 2.9. Synaptosomal preparation Regions of interest were dissected from fresh mouse brains and homogenized in ice-cold isotonic sucrose (0.32 M) buffered with HEPES (5 mM, pH 7.5). The suspension was centrifuged at 12,000 × g for 20 min and the pellet resuspended in the appropriate uptake buffer (Salminen et al., 2007; Grady et al., 2001; Marks et al., 2007) and used immediately. 2.10. [³H]-Dopamine uptake and release Release methods of Salminen et al. (2004, 2007) were used. Briefly, the crude synaptosomal pellet from striatal tissue was resuspended in dopamine uptake buffer (NaCl, 128 mM; KCl, 2.4 mM; CaCl$_2$, 3.2 mM; MgSO$_4$, 1.2 mM; KH$_2$PO$_4$, 25 mM; pH 7.5; glucose, 10 mM; ascorbic acid, 1 mM; pargyline, 0.01 mM) at 1.6 ml/tissue from one mouse. Synaptosomes were incubated at 37 °C for 10 min before addition of [³H]DA at 1 µCi for every 0.2 ml (~100 nM), and the incubation continued for another 5 min. Subsequently, aliquots of the suspension (80 µl) were distributed onto 96-well plates and washed with uptake buffer containing 0.1% BSA, nornifedrine (1 µM), to prevent re-uptake of dopamine, and atropine (1 µM), to prevent any possible activation of muscarinic acetylcholine receptors, at 0.7 ml/min for 10 min before stimulation with agonist for 20 s. Selected aliquots were perfused with α-CtxMII (50nM) for the last 5 min of the wash period, immediately before stimulation. This concentration of α-CtxMII is sufficient to inhibit all α6β2–nAChR forms present in mouse striatum (Salminen et al., 2007). Fractions (~0.1 ml) were collected every 10s into 96-well plates using a Gilson F204 fraction collector (Middleton WI) for 3 min after the 10 min washout. After addition of 0.15 ml of Optiphase SuperMix scintillation cocktail, radioactivity was determined in a 1450 MicroBeta TriLux counter (Perkin Elmer Life Sciences – Wallac Oy, Turku, Finland). 2.11. [³H]-ACh uptake and release Release methods of Grady et al. (2001) were followed with minor modifications. Briefly, the crude synaptosomal pellet from IPN tissue was resuspended in choline uptake buffer (NaCl, 128 mM; KCl, 2.4 mM; CaCl$_2$, 3.2 mM; MgSO$_4$, 1.2 mM; KH$_2$PO$_4$, 1.2 mM; HEPES, 25 mM; pH 7.5; glucose, 10 mM; 0.1% BSA) at 0.1 ml/mouse. After the addition of [³H]choline at 2 µCi for every 0.1 ml (~300 nM), the suspension was incubated at 37 °C for 30 min. Then, aliquots (20 µl) were distributed onto filters on the perfusion system at room temperature and perfused for 10 min at 0.7 ml/min with choline uptake buffer containing atropine (1 µM) before stimulation by agonist for 20 s. Collection of fractions and determination of radioactivity were as for dopamine release. 2.12. $^{86}\text{Rb}^+$ efflux Nicotine-stimulated $^{86}\text{Rb}^+$ efflux from synaptosomes was investigated using the methods of Marks et al. (1999, 2007) with minor modifications. Briefly, Crude synaptosomes prepared from thalamus were resuspended in uptake buffer (NaCl, 140 mM; KCl, 1.5 mM; CaCl$_2$, 2 mM; MgSO$_4$, 1 mM; HEPES, 25 mM; pH 7.5; glucose, 20 mM) (350 µl/mouse thalamus). Aliquots (25 µl) of the suspension were added to 10 µl of uptake buffer containing 4 µCi $^{86}\text{Rb}^+$ and incubated at room temperature for 30 min. The whole sample was then collected onto filter paper (Type AE, Gelman, Ann Arbor, MI), rinsed once with 0.5 ml of uptake buffer, transferred to the perfusion apparatus, and perfused with buffer (NaCl, 135 mM; CsCl, 5 mM; KCl, 1.5 mM; CaCl$_2$, 2 mM; MgSO$_4$, 1 mM; HEPES, 2.5 mM; pH 7.5; glucose, 20 mM; tetradotoxin, 50 nM; atropine 1 µM; BSA 0.1%) at 2.5 ml/min for 5 min before data collection began. Stimulation by agonist was for 5s. Effluent was pumped through a 200 µl Cherenkov cell in a β-Ram HPLC detector (INUS Systems, Tampa, FL) to continuously monitor radioactivity. 2.13. Synaptosomal function data analysis All synaptosomal function assays were calculated as counts exceeding basal release determined from samples immediately preceding and following stimulation (Grady et al., 2001; Salminen et al., 2004; Marks et al., 1999). Stimulated release was normalized to baseline to give units of release as a fraction of baseline. Fractions significantly over baseline for each perfusion were summed. EC$_{50}$ values were calculated by fitting data (means of three to four experiments) to the Hill equation, or two Michaelis–Menten equations when data were biphasic. IC$_{50}$ values were calculated from the inhibition equation (release = $ R_0/(1 + [An]/IC_{50}) $, where $ R_0 $ = uninhibited release and [An] is the concentration of antagonist) using the nonlinear least squares algorithm in SigmaPlot 5.0 (Jandel Scientific, San Rafael, CA). The errors for the EC$_{50}$, IC$_{50}$ and efficacy (as maximum activity expressed as % nicotine) are errors generated by the least-squares computational algorithm in SigmaPlot termed “sem”. This “sem” reflects error of the curve fit for the entire data set rather than an sem calculated from independent determinations of these parameters. 2.14. Current recordings from GH4C1 cells GH4C1, a stable cell line expressing the hz7-nAChR subunit, was used to measure whole-cell currents (see Dunlop et al., 2007 and Supplementary Fig. 1). After removal from the incubator, cells were washed twice with extracellular recording medium (NaCl, 130 mM; KCl, 5 mM; CaCl$_2$, 2 mM; MgCl$_2$, 2 mM; glucose, 25 mM; HEPES, 10 mM, pH 7.4) and placed into a 48 channel Dynaflow chip (Celletronic, Inc). Chips were placed on the Dynaflow stage of an inverted Zeiss microscope at room temperature. Borosilicate electrodes were filled with: Tris-phosphate dibasic, 110 mM; Tris-base, 28 mM; EGTA, 11 mM; MgCl$_2$, 2 mM; CaCl$_2$, 0.5 mM; NaATP 4 mM, pH 7.25 and had resistance of 2–5 MΩ. Currents were recorded with Axopatch 700A amplifier, filtered at 1 kHz, and sampled at 5 kHz. On average, the whole-cell recording stabilized within ~5 min. Responses were evoked by moving the cell in front of the agonist-containing channel for 1 s, and 30 s washout periods were used between applications. With this method, solution exchange occurs within 10 msec. 2.15. Electrophysiological data analysis Data were fit to a single Hill equation using Prism 5 software. Data are expressed as mean ± SEM with 4–10 independent measurements. Measurements of steady state current would result in EC$_{50}$ values shifted to the left by 10-fold or more approaching K$_i$ values for binding (see Suppmential Fig. 1). We used peak current measurements for data presented in this paper as most likely to represent activation EC$_{50}$ values comparable to those measured in our synaptosomal release and efflux assays. 2.16. Hypothermia and locomotor activity measurements The methods of Tapper et al. (2007) were followed to measure the hypothermic effect of selected compounds. α4β2A knock-in mice were used to isolate effects on α4β2–nAChR subtypes as, in these mice, the dose required to elicit nicotine-induced hypothermia (0.01 mg/kg) is below doses that affect other subtypes as shown by a lack of effect of this dose in wild-type mice (Tapper et al., 2007). Briefly, mice were injected ip with saline, low dose nicotine (0.01 mg/kg), selected compound (agonist), or selected compound (antagonist) followed by low dose nicotine 8 min later, and body temperature was recorded in the home cage via previously implanted telemetry probes (Vital View PDT-4000 from Respiromics). The maximum change in temperature within 40 min of injection was recorded. α6L9'S transgenic mice were used to isolate effects on α6β2–nAChR subtypes with measurements of locomotor effects. Doses of nicotine (0.1 mg/kg) that do not affect wild-type mice have marked effects in these transgenic 62 mice (Drenan et al., 2008). Briefly, baseline horizontal locomotor activity was measured in an infrared photobeam activity cage (San Diego Instruments, San Diego, CA) for 8 min before injection of either saline, low dose nicotine (0.1 mg/kg), selected compound (agonist), or selected compound (antagonist) followed by low dose nicotine 8 min later. Activity was then measured for an additional 30 min. 3. Results This report incorporates two major themes: 1) We describe a battery of assays to assess the selectivity and activity of potential nicotinic compounds in vitro and in vivo. 2) We apply these assays to evaluate a series of potential nicotinic compounds in order to provide new data on nAChR subtype selectivity and to establish a structure-activity relationship (SAR) framework for assessing improved selectivity. The structures of the compounds tested in the current study are shown in Fig. 1. 3.1. Binding assays Fig. 2 presents inhibition profiles using four different membrane binding assays with Compound 1 as the test compound. Panel A shows the inhibition of high affinity [¹²⁵I]-epibatidine binding to mouse cortical membranes, an assay that measures almost exclusively the $\alpha4\beta2^$-nAChR, (Marks et al., 2006). The $K_i$ for Compound 1 at this site is 0.46 nM. Panel B shows the inhibition of high-affinity $[^{125}\text{I}]$-epibatidine binding to mouse IPN membranes in the presence of sufficient A-85380 to block the $\alpha4\beta2^$ sites; the site defined by the this binding is largely $\alpha3\beta4^$-nAChR in this brain region (Whiteaker et al., 2000a) and has a $K_i$ for Compound 1 of 4.4 nM. Panel C shows inhibition by Compound 1 of $[^{125}\text{I}]$-$\alpha$-Btx binding, a selective ligand for $\alpha7$-nAChR, in mouse hippocampal membranes (Marks et al., 1998). The $K_i$ for Compound 1 at this site is 7.6 nM. Panel D represents inhibition by Compound 1 of $[^{125}\text{I}]$-$\alpha$-CtxMII binding, a selective ligand for $\alpha3\beta2^$ and $\alpha6\beta2^$ to mouse membranes from combined regions, striatum (ST), olfactory tubercles (OT), and superior colliculus (SC), which are all relatively high in the $\alpha6\beta2^$-nAChR subtype and low in $\alpha3\beta2^$ (Salminen et al., 2005). The $K_i$ for Compound 1 at this site is 1.14 nM. ### 3.2. Functional assays The affinity measurements above provide some information on the interaction of ligands with these receptor subtypes, but give no indication of their functional activity. Fig. 3 presents functional data from appropriate biochemical (Fig. 3A, B, C) or electrophysiological (Fig. 3D) assays for each of the four nAChR subtypes, again using Compound 1 for illustration. For the data in panels A, B and C, functional responses were measured using mouse brain synaptosomes. The activity of a concentration of nicotine, maximal for each assay and assessed in the same assays, is also shown and has been used to estimate relative efficacy. EC$_{50}$ values were determined by fits to the Hill equation or, for biphasic curves, to two Michaelis–Menton equations. Panel A of Fig. 3 shows $^{86}\text{Rb}^+$ efflux stimulated from mouse thalamic synaptosomes by the indicated concentrations of Compound 1. A biphasic concentration–response curve was observed. Previous data show that the higher agonist-sensitivity (HS) component also has higher sensitivity to block by DH$\beta E$ (2 $\mu$M) (Marks et al., 1999). We therefore isolated the DH$\beta E$-sensitive portion by subtracting the responses in the presence of DH$\beta E$ from the total responses; the inset shows the calculated HS $\alpha4\beta2^$ responses. The EC$_{50}$ value for this HS form is assessed from either this plot of the DH$\beta E$-sensitive component or by the higher-affinity portion of the biphasic plot. The lower sensitivity (LS) form is assessed from the curve with DH$\beta E$ present and by the component of the concentration-response curve elicited by higher agonist concentrations. Compound 1 is a partial agonist at both the HS and LS forms with efficacies of 31% and 29% relative to the test concentrations of nicotine, respectively. Corresponding EC$_{50}$ values are 0.043 $\mu$M and 5.5 $\mu$M, much lower than those reported for nicotine [1.4 $\mu$M and 130 $\mu$M (Marks et al., 1999)]. Panel B of Fig. 3 shows results of the Compound 1 stimulated release of $^3$H-DA from mouse striatal synaptosomes. The three plots represent total release mediated by a combination of various $\beta2^$-subtypes, the portion resistant to inhibition by 50 nM $\alpha$-CtxMII (virtually all HS form of $\alpha4\beta2^$ as the highest concentration assessed was 0.3 $\mu$M), and the difference which represents the portion sensitive to $\alpha$-CtxMII ($\alpha6\beta2^$) (Champtiaux et al., 2002, 2003; Salminen et al., 2004). Compound 1 is a partial agonist for the $\alpha$-CtxMII-resistant ($\alpha4\beta2^$) component with an efficacy 28% that of nicotine and an EC$_{50}$ value of 0.034 $\mu$M. In contrast, Compound 1 is a full agonist at the $\alpha$-CtxMII-sensitive ($\alpha6\beta2^$) component with an efficacy 109% that of nicotine and an EC$_{50}$ value of 0.0074 $\mu$M. The EC$_{50}$ values for both components are considerably lower than the corresponding values for nicotine [1.6 $\mu$M and 0.77 $\mu$M, respectively (Salminen et al., 2004)]. Panel C of Fig. 4 shows the Compound 1-stimulated release of $^3$H-ACh from mouse IPN synaptosomes, an assay that measures function of the $\alpha3\beta4^$-nAChR subtype (Grady et al., 2001). Compound 1 is a full agonist in this assay with a maximal response 106% that of nicotine and an EC$_{50}$ value of 0.43 $\mu$M, which is significantly lower than the EC$_{50}$ value for nicotine (64 $\mu$M, Grady et al., 2001) but substantially higher than that for HS $\alpha4\beta2^$- or $\alpha6\beta2^$-nAChR mediated responses. Responses mediated by $\pi7$-nAChRs are more reliably measured by electrophysiology in transfected cell lines than by biochemical assays in mouse brain synaptosomes. Panel D of Fig. 4 shows data for peak whole-cell current evoked from patch-clamped GH4C1 cells expressing rat $\pi7$-nAChR. These data are expressed as % maximal ACh response. In comparison to ACh, nicotine was a full agonist for this activity (data not shown; 100% max at 200 $\mu$M). Compound 1 is also a nearly full agonist in this assay with a maximal response 89% that of nicotine. The EC$_{50}$ value of 0.66 $\mu$M was the highest of the four responses measured. ### 3.3. Screening of compounds Each of the compounds represented in Fig. 1 was assayed for each of the measures illustrated in Figs. 2 and 3, respectively. K_i values for inhibition of binding of these compounds are compiled in Table 1. Fig. 4A presents these affinity values on log molar scales, in a plot that emphasizes each compound’s rank order for each of the four subtypes. Most of the compounds evaluated had higher affinity for the $\alpha4\beta2^$-nAChRs relative to the other subtypes, as is typical for most reported nicotinic ligands. For function (assays in Fig. 3), all compounds were initially screened for agonist activity. Several compounds had no agonist activity; and were tested for antagonist activity as measured by the inhibition of nicotine-stimulated responses, and K_i values determined. The data on functional activity are compiled in Tables 2 and 3 and also represented graphically, as potency values (EC$_{50}$ or K_i) in Fig. 4B and efficacy relative to nicotine (as a percentage) in Fig. 4C. For this representation, a fully efficacious compound has 100% maximum activity as compared to the activity of nicotine, while an antagonist that fully blocks the effect of nicotine is plotted at −100%. Several compounds have partial activity (between 0 and 100) while a few are more efficacious than nicotine (over 100). A value of 0 indicates that no agonist or antagonist activity was detected. In addition to compounds 1–11, values for a number of common nicotinic compounds as well as varenicline are presented for comparison in Fig. 4A, B and C (see also Tables 1–3 for nicotine and varenicline). ### 3.4. $\alpha 4\beta 2^$ nAChR-mediated responses From the assays shown in panels A and B of Fig. 3, we can measure potency and efficacy relative to nicotine for activity mediated by the $\alpha 4\beta 2^$-subtype by two independent methods: HS $^{86}$Rb$^+$ efflux and $\alpha$-CtxMII-resistant $[^3$H]-DA release. These two measures of $\alpha 4\beta 2^$ potency showed good agreement: a scatterplot on logarithmic axes has a regression slope of 0.98 ± 0.08 and a correlation coefficient of 0.96 (Fig. 5A). The mean ratio of the points (0.97 ± 0.14) does not differ from 1. The accuracy of these methods with a limited number of replicates appears adequate to ascertain functional potency within a ~3–10-fold difference. For the purpose of identifying a compound useful for differentially activating or inhibiting subtypes of nAChRs, this level of accuracy should suffice. Functional responses mediated by $\alpha 4\beta 2^$-nAChR measured within the series of compounds shown in Fig. 1 reveal that only four of the eleven compounds (including Compound 1) are agonists (see Fig. 4C). Compound 8 was unique in that it had higher efficacy than nicotine at $\alpha 4\beta 2^$-elicited $[^3$H]-DA release (150%) and at $\alpha 4\beta 2^$-nAChR mediated $^{86}$Rb$^+$ efflux (254%), but with relatively high EC$_{50}$ values (14.8 and 14.6 $\mu$M, respectively, see Fig. 4B and Tables 2 and 3). Compound 2 is a partial agonist (64% and 21%), albeit much less potent than Compound 1 (EC$_{50}$ 1.04 $\mu$M and 0.32 $\mu$M). Finally, Compound 10 was a partial agonist (37% efficacy for $\alpha$-CtxMII-resistant $[^3$H]-DA release and 63% for $^{86}$Rb$^+$ efflux), but intermediate potency (0.18 $\mu$M and 0.06 $\mu$M) compared to Compound 1 and Compound 2. ### 3.5. $\alpha 6\beta 2^$-nAChR-mediated responses Functional responses mediated by $\alpha 6\beta 2^$-nAChR, as the $\alpha$-CtxMII-sensitive component of $[^3$H]-DA release, measured within the series of compounds shown in Fig. 1 reveal that only three of the eleven compounds (including Compound 1) are agonists. Compound 10 is Fig. 4. Comparison of parameters determined by in vitro* assays. Panel A compares affinity for four subtype classes of nAChRs for a number of commonly studied nicotinic compounds, varenicline, and the 11 compounds shown in Fig. 1. $K_i$ values for inhibition of various selective binding assays are plotted. Dotted lines indicate 1 nM and 1 μM. Data for commonly studied nicotinic compounds are from Whiteaker et al. (2000a), Marks et al. (1986, 1993, 2006), Salminen et al. (2005), unpublished data NBF, MJM. Panel B compares potency of compounds for activation ($EC_{50}$ values) or inhibition ($K_i$ values) of four subtype classes of nAChR. Dotted lines indicate 1 nM and 1 μM. Data for commonly studied nicotinic compounds are from Salminen et al. (2004), Grady et al. (2001), Marks et al. (1999), unpublished data NBF, MJM. Panel C compares efficacy for compounds as compared to nicotine for activation or inhibition of four subtype classes of nAChR. Dotted lines indicate efficacy values of 100% (equal to nicotine), 0 efficacy (no functional activity), and −100% (full antagonism). Data for commonly studied nicotinic compounds are from Salminen et al. (2004), Grady et al. (2001), Marks et al. (1999), unpublished data NBF, MJM. Table 1 Affinity of compounds for various binding sites as $K_i$ values (nM). \| Compound \| $\alpha 4\beta 2^$ \| $\alpha 6\beta 2^$ \| $\alpha 7$ \| $\alpha 3\beta 4^$ \| \|-------------------\|---------------------\|---------------------\|------------\|---------------------\| \| Nicotine \| 3.50 ± 0.37<sup>a</sup> \| 22.6 ± 9.3<sup>b</sup> \| 244 ± 73 \| 167 ± 28 \| \| Varenicline \| 2.99 ± 1.01 \| 5.5 ± 1.9 \| 42 ± 5 \| 72.9 ± 18.9 \| \| Compound 1 TC2429/RJR2429 \| 0.46 ± 0.06 \| 1.14 ± 0.35 \| 7.6 ± 1.9 \| 4.4 ± 3.6 \| \| Compound 2 \| 7.42 ± 0.98 \| 23.7 ± 11.6 \| 32.9 ± 1.3 \| 88 ± 8 \| \| Compound 3 TC1698 \| 0.98 ± 0.06 \| 1.48 ± 0.07 \| 2.2 ± 0.5 \| 28 ± 8 \| \| Compound 4 \| 16.9 ± 2.4 \| 32.3 ± 12.0 \| 64.5 ± 5.5 \| 244 ± 12 \| \| Compound 5 \| 16.1 ± 2.3 \| 85.2 ± 23.6 \| 51.9 ± 5.0 \| 84 ± 8 \| \| Compound 6 TC6951 \| 1.54 ± 0.34 \| 4.8 ± 1.67 \| 367 ± 44 \| 44 ± 2 \| \| Compound 7 TC2242 \| 0.75 ± 0.31 \| 0.56 ± 0.19 \| 23.4 ± 7.9 \| 52 ± 4 \| \| Compound 8 RJR2403/TC2403 \| 25.0 ± 7.2 \| 1550 ± 210 \| 3070 ± 800 \| 3720 ± 200 \| \| Compound 9 \| 134 ± 26 \| 2790 ± 660 \| 30699 ± 4100 \| 210000 ± 46000 \| \| Compound 10 \| 2.31 ± 0.42 \| 11.1 ± 0.4 \| 128 ± 36 \| 136 ± 4 \| \| Compound 11 \| 418 ± 53 \| 732 ± 161 \| 1810 ± 740 \| 580 ± 60 \| Data are $K_i$ values (nM) for inhibition of: $\alpha 4\beta 2^$ measured by [125I]epi binding to mouse cortical membranes; $\alpha 6\beta 2^$ first number measured by [125I]-α-CtxMII binding to combined mouse ST/Ot/SC membranes and, for those compounds with a second number, by [125I]epi binding to combined mouse ST/Ot/SC membranes from $\alpha 4$ null mutant mice; $\alpha 7$ measured by [125I]-α-Btx binding to mouse hippocampal membranes. (See methods section). <sup>a</sup> From Whiteaker et al. (2000a). <sup>b</sup> From Salminen et al. (2005). Table 2 Potency of compounds for subtypes of nAChR as EC$_{50}$ or $K_i$ values (nM). \| Compound \| $\alpha4\beta2^$ \| $\alpha6\beta2^$ \| $\alpha7$ \| $\alpha3\beta4^$ \| \|-------------------\|-------------------\|-------------------\|-----------\|-------------------\| \| Nicotine \| 1610 ± 190$^a$ \| 770 ± 270$^b$ \| 22600 ± 540 \| 64400 ± 7900$^b$ \| \| \| 1390 ± 420$^c$ \| \| \| \| \| Varenicline \| 50 ± 12 \| 77 ± 169 \| 1600 ± 250 \| 12000 ± 300 \| \| \| 300 ± 100 \| \| \| \| \| Compound 1 RJR2429/TC2429 \| 34 ± 7 \| 7.4 ± 1.3 \| 660 ± 150 \| 430 ± 190 \| \| \| 43 ± 25 \| \| \| \| \| Compound 2 \| 1040 ± 280 \| 50 ± 23 \| 4970 ± 871 \| 4200 ± 500 \| \| \| 320 ± 100 \| \| \| \| \| Compound 3 TC1698 \| 14 ± 3 # \| 52 ± 22 # \| 150 ± 57 \| 2200 ± 300 \| \| \| 13 ± 1 # \| \| \| \| \| Compound 4 \| 78 ± 23 # \| 570 ± 299 # \| 8500 ± 720 \| 34000 ± 8000 \| \| \| 59 ± 12 # \| \| \| \| \| Compound 5 \| 16 ± 4 # \| 370 ± 73 # \| 4100 ± 472 \| 3300 ± 100 \| \| \| 31 ± 4 # \| \| \| \| \| Compound 6 TC6951 \| 230 ± 29 # \| 1780 ± 1741 # \| 29000 ± 5400 \| 660 ± 170 # \| \| \| 298 ± 64 # \| \| \| \| \| Compound 7 TC2242 \| 66 ± 2 # \| 48 ± 3 # \| 2700 ± 490 \| 7000 ± 2000 # \| \| \| 71 ± 20 # \| \| \| \| \| Compound 8 RJR2403/TC2403 \| 14800 ± 10100 \| na \| 34000 ± 12900 \| 218000 ± 81000 \| \| \| 14600 ± 4900 \| \| \| \| \| Compound 9 \| 3900 ± 3400 # \| 4100 ± 83 # \| naa \| 14000 ± 300 # \| \| \| 6800 ± 2400 # \| \| \| \| \| Compound 10 \| 178 ± 94 \| 117 ± 69 \| 12270 ± 4900 \| 7200 ± 600 \| \| \| 59 ± 37 \| \| \| \| \| Compound 11 \| 490 ± 198 # \| 910 ± 656 # \| 4260 ± 730 \| 7000 ± 1000 \| \| \| 315 ± 108 # \| \| \| \| Data are EC$_{50}$ values (nM) for activation or $K_i$ values (nM and marked with #) for inhibition of nicotine-stimulated activation and are from curve-fits. For $\alpha4\beta2^$, two numbers are given, the 1st is for the $[^3H]$DA release assay, the 2nd for the $^{86}$Rb$^+$ efflux assay. na = no activity, naa = no agonist activity. $^a$ From Salminen et al. (2004). $^b$ From Grady et al. (2001). $^c$ From Marks et al. (1999). Table 3 Efficacy of compounds for activation as % nicotine effect for activation or for % inhibition of nicotine at subtypes of nAChR. \| Compound \| $\alpha4\beta2^$ \| $\alpha6\beta2^$ \| $\alpha7$ \| $\alpha3\beta4^$ \| \|-------------------\|-------------------\|-------------------\|-----------\|-------------------\| \| Varenicline \| 26 ± 2% \| 39 ± 17% \| 78 ± 24% \| 114 ± 12% \| \| \| 29 ± 3% \| \| \| \| \| Compound 1 RJR2429/TC2429 \| 28 ± 2% \| 109 ± 7% \| 89 ± 7% \| 106 ± 13% \| \| \| 31 ± 4% \| \| \| \| \| Compound 2 \| 64 ± 5% \| 114 ± 11% \| 108 ± 5% \| 118 ± 5% \| \| \| 21 ± 2% \| \| \| \| \| Compound 3 TC1698 \| −94 ± 5% \| −71 ± 7% \| 106 ± 5% \| 95 ± 5% \| \| \| −100 ± 3% \| \| \| \| \| Compound 4 \| −100 ± 8% \| −98 ± 11% \| 27 ± 4% \| 88 ± 8% \| \| \| −100 ± 4% \| \| \| \| \| Compound 5 \| −98 ± 11% \| −96 ± 19% \| 108 ± 14% \| 99 ± 2% \| \| \| −100 ± 3% \| \| \| \| \| Compound 6 TC6951 \| −94 ± 2% \| −100 ± 19% \| 18 ± 6% \| −100 ± 7% \| \| \| −100 ± 5% \| \| \| \| \| Compound 7 TC2242 \| −90 ± 8% \| −92 ± 16% \| 63 ± 11% \| 103 ± 12% \| \| \| −100 ± 5% \| \| \| \| \| Compound 8 RJR2403/TC2403 \| 150 ± 32% \| 0% \| 17 ± 7% \| 45 ± 9% \| \| \| 254 ± 21% \| \| \| \| \| Compound 9 \| −80 ± 15% \| −50 ± 22% \| naa \| −100 ± 6% \| \| \| −100 ± 5% \| \| \| \| \| Compound 10 \| 37 ± 4% \| 56 ± 8% \| 55 ± 9% \| 29 ± 1% \| \| \| 63 ± 10% \| \| \| \| \| Compound 11 \| −100 ± 9% \| −100 ± 18% \| 31 ± 12% \| 8 ± 2% \| \| \| −100 ± 6% \| \| \| \| In this representation, negative numbers signify antagonists and % values are for maximum inhibitory effect on nicotine-stimulated activity. Positive numbers are agonists and values represent maximum effect as compared to nicotine. Nicotine response at 10 μM was defined as 100% for $\alpha4\beta2^$ and $\alpha6\beta2^$ nAChRs, 30 μM was 100% for $\alpha3\beta4^$, and for $\alpha7$, 100% was at 200 μM nicotine and all were measured in the same experiments as the compound. All values are as maximal release or inhibition from curve-fits of the data. naa = no agonist activity. a potent (EC$_{50} = 0.12$ μM) partial agonist with 56% of the efficacy of nicotine. Compound 2 is a potent full agonist with an EC$_{50}$ value of 0.050 μM. In contrast to the $\alpha4\beta2^$-mediated responses where Compound 8 is more efficacious than nicotine, Compound 8 displays no measurable activity on $\alpha$-CtxMII-sensitive DA release. Interestingly, $\alpha6\beta2^$-nAChR appear to be activated by lower concentrations of many agonists than $\alpha4\beta2^$-nAChR (see Fig. 4B and Table 2) even though these same agonists have higher affinity for $\alpha4\beta2^$ sites in binding assays (see Fig. 4A and Table 1). Comparing data in Fig. 4A and B, this pattern, where a compound has higher affinity for $\alpha4\beta2^$-nAChR than $\alpha6\beta2^$-nAChR for binding, but lower or equal potency for activation, is seen for the agonists, nicotine, ACh, cytisine, epibatidine, A85380, varenicline and compounds 1, 2 and 10. In contrast, antagonists that have highest affinity for $\alpha4\beta2^$-nAChR also have highest potency for inhibition at that subtype. In addition, compound 8 has no functional activity at $\alpha6\beta2^$-nAChR, so it cannot be compared. It seemed possible that for $\alpha6\beta2^$-nAChR, measurements of inhibition of binding of an antagonist ($[^{125}]$-z-CtxMII) might differ from inhibition of binding of an agonist ($[^{125}]$-epibatidine), possibly explaining the relatively lower affinities measured for $\alpha6\beta2^$ sites using $\alpha$-CtxMII, an antagonist. Therefore, we compared data collected by two independent methods for binding to $\alpha6\beta2^$-nAChR sites to check accuracy of the results of this screening method. The first method, illustrated in Fig. 2D, is inhibition of $[^{125}]$-z-CtxMII binding; the alternate method, using a similar membrane preparation from mice with the $\alpha4$ subunit null mutation, assessed inhibition of high affinity $[^{125}]$-epibatidine binding to the remaining, presumably $\alpha6\beta2^$, nAChRs. In ST, ~10% of high affinity $[^{125}]$-epibatidine binding remains in the $\alpha4$ subunit null mouse; and in OT, ~8% remains (Marks et al., 2007). In addition, the $\alpha4$ subunit null mouse has ~50% lower $[^{125}]$-z-CtxMII binding in these regions, although the affinity for $\alpha$-CtxMII is unchanged (Salminen et al., 2005, 2007). In a comparison of $K_i$ values determined by the two methods... (see Table 1 for values ± sem for both methods for those compounds assayed both ways), the regression slope on logarithmic axes was $1.08 \pm 0.08$ with a correlation coefficient of 0.96 (Fig. 5B). Furthermore, the mean ratio of the $K_i$ values determined by the two methods ($0.88 \pm 0.13$) is not significantly different from 1. Therefore, we conclude that the lower affinity values measured for $\alpha 6\beta 2^$-nAChR sites are not an artifact of measuring binding affinities with $[^{125}\text{I}]-\alpha$-CtxMII rather than with $[^{125}\text{I}]-$epibatidine, since measurements of $\alpha 6\beta 2^$ binding affinity for a number of compounds using $\alpha 4$ subunit null mutant membranes with $[^{125}\text{I}]-$epibatidine resulted in the same $K_i$ values as those measured with $[^{125}\text{I}]-\alpha$-CtxMII (Fig. 5B). ### 3.6. $\alpha 7$-nAChR-mediated responses All of the compounds tested, except Compound 9 which was inactive, showed at least some agonist activity for $\alpha 7$-nAChR-mediated function (Fig. 4C and Table 3). Compound 2 is a full agonist. However, like Compound 1, the EC$_{50}$ value for this compound (4.97 $\mu$M) was significantly higher than the corresponding value observed for $\alpha 4\beta 2^$ (0.68 $\mu$M) and $\alpha 6\beta 2^$ (0.05 $\mu$M) responses. Compounds 3 and 5 are full agonists with EC$_{50}$ values of 0.15 and 4.1 $\mu$M, respectively. Partial agonist activity was noted for the remaining compounds with efficacies ranging from 17% to 63%. In general, EC$_{50}$ values for $\alpha 7$-nAChR activation were markedly higher than those for $\alpha 4\beta 2^$- and $\alpha 6\beta 2^$-nAChR mediated responses, although the ratio of EC$_{50}$ to $K_i$ value ($77 \pm 14$, $n = 11$) was similar to that for $\alpha 4\beta 2^$-nAChR. ### 3.7. $\alpha 3\beta 4^$-nAChR-mediated responses $\alpha 3\beta 4^$-nAChR mediated responses were measured by $[^3\text{H}]$-ACH release from IPN synaptosomes. Nine of the 11 compounds tested show some agonist activity (Fig. 4C and Table 3). Compounds 1, 2, 3, 4, 5 and 7 were full or nearly full agonists, while Compounds 8, 10 and 11 were partial agonists. The EC$_{50}$ for Compound 8 was a very high 218 $\mu$M. Both Compound 6 and Compound 9 were full antagonists, with Compound 6 exhibiting high potency ($K_i = 0.66$ $\mu$M). ### 3.8. Evaluation of effect of structural differences on interaction with nAChR subtypes Compound 8 and Compound 9 are both classified as metanicotines, analogs of nicotine in which the pyrrolidine ring is opened and a double bond introduced adjacent to the pyridine. This results in a more flexible molecule than nicotine and increases the distance from the cationic center to the hydrogen bond acceptor. Relative to nicotine, Compound 8 possesses decreased affinity at $\alpha 4\beta 2^$, $\alpha 7$ and $\alpha 6\beta 2^$ subtypes. Like nicotine, Compound 8 displayed selectivity for the $\alpha 4\beta 2^$ subtype, consistent with previous reports (Bencherif et al., 1996). In terms of functional activity, Compound 8 is even more efficacious than nicotine at $\alpha 4\beta 2^$, but displays no measurable activity at $\alpha 6\beta 2^$ and weak partial activity at $\alpha 3\beta 4^$ and $\alpha 7$-subtypes. Introduction of a phenyl ring at the 5’ position of the pyridine (Compound 9) through an alkyne linker further reduced binding affinity across subtypes, but maintained selectivity for the $\alpha 4\beta 2^$ sites. This modification also resulted in antagonism at all subtypes, though antagonism at $\alpha 6\beta 2^$ was partial (~50% inhibition). It remains to be seen whether this compound selectively inhibits one of the complex $\alpha 6\beta 2^$-nAChR subtypes (i.e., $\alpha 6^$ receptors with or without an $\alpha 4$ subunit incorporated). Constraining the basic structural elements of Compound 8 (pyridine, alkene, aminomethyl) into an azabicyclo[3.2.1]octene ring and adding a 5’-bromo substituent results in Compound 10. This conformational constraint increased the binding affinity by more than an order of magnitude at all four subtypes, while still retaining modest selectivity for $\alpha 4\beta 2^$. These modifications also returned partial agonist activity at all subtypes measured. In fact, Compound 10 appears unique among the compounds studied here in having partial agonist activity across all subtypes. Relative to Compound 8, Compound 10 exhibited significantly reduced efficacy (25% of Compound 8) at both $\alpha$-CtxMII-resistant DA release and $\alpha 4\beta 2^$-mediated $^{86}\text{Rb}^+$ efflux, but increased the potency 83- and 250-fold, respectively. Compound 10 demonstrated considerable potency-based functional selectivity (~100-fold) for the $\beta 2^$ (both $\alpha 4$ and $\alpha 6$) containing subtypes over both $\alpha 7$ and $\alpha 3\beta 4^$-subtypes. This selectivity might be expected to reduce side effect liabilities relative to less selective ligands, particularly with regard to the $\alpha 3\beta 4^$ subtype. Replacement of the pyrrolidine ring of nicotine by the azabicyclo[2.2.2]octane (quinuclidine) ring system (Compound 1) has multiple steric and electronic effects. The basicity of the cationic center nitrogen is greatly enhanced, steric bulk around the cationic center is also greatly increased, and the resulting molecule is considerably more rigid. These structural modifications conferred enhanced binding affinity across all four receptor subtypes (~10–40-fold increase). With respect to efficacy and potency, Compound 1 is a partial agonist at both DA release (28%) and Rb efflux (31%) measures of $\alpha 4\beta 2^$ function, but is very potent (EC$_{50}$ 0.034 $\mu$M for $[^3$H]-DA release, 0.043 $\mu$M for $^{86}$Rb$^+$ efflux). Although the efficacy for $\alpha 4\beta 2^$ function by Compound 1 is fairly low, this compound is a potent, full agonist for the component of dopamine release mediated by $\alpha 6\beta 2^$ (109%, 0.0074 $\mu$M EC$_{50}$). Compound 1 is highly efficacious at the $\alpha 3\beta 4^$ and $\alpha 7$ subtypes (106% and 89%, respectively), but the EC$_{50}$ values (0.43 $\mu$M and 0.66 $\mu$M) are 10- to 100-fold higher than those for $\alpha 4\beta 2^$ and $\alpha 6\beta 2^$-receptors. By this measure, Compound 1 represents a functionally highly selective and efficacious $\alpha 6\beta 2^$ agonist, though less selective by binding affinity measures. The Compound 1 template was further elaborated at the 5'-pyridine position, to explore the effects of aromatic bulk across the various receptor subtypes. Introduction of a phenyl ring gave Compound 6, which exhibited decreased affinity for all four subtypes (Fig. 4A and Table 1). This decrease was modest ($\sim 4–5$-fold) for $\alpha 4\beta 2^$ and for $\alpha 6\beta 2^$, but approximately 10-fold for $\alpha 3\beta 4^$. The largest effect was noted for the $\alpha 7$ subtype, where affinity decreased approximately 50-fold. The presence of the phenyl ring markedly affects functional activity for several subtypes. Agonism was abolished at $\alpha 4\beta 2^$ or $\alpha 6\beta 2^$, resulting in full, potent antagonists. Compound 6 was also a full antagonist at $\alpha 3\beta 4^$, but retained weak partial agonist activity at $\alpha 7$ (18% E$_{max}$ 29 $\mu$M). Extension of the 5'-position of Compound 1 with a 4-cyanophenoxy group provided Compound 7. This modification was quite well tolerated, retaining affinity comparable to that of the parent Compound 1 for $\alpha 4\beta 2^$, $\alpha 6\beta 2^$ and $\alpha 7$ subtypes, while decreasing affinity for the $\alpha 3\beta 4^$ subtype by $\sim 10$-fold. Like Compound 6, Compound 7 was a potent, full antagonist at $\alpha 4\beta 2^$ and $\alpha 6\beta 2^$. In fact, at $\alpha 6\beta 2^$ it was 40 times more potent than Compound 6. At $\alpha 3\beta 4^$ and $\alpha 7$, the agonism profile more closely matched that of parent Compound 1, with full agonism at $\alpha 3\beta 4^$ and partial at $\alpha 7$ (103% and 63%, respectively). Compound 5 and Compound 11 both retain the azabicyclo[2.2.2]octane ring of Compound 1, but extend the pyridine group away from the basic nitrogen by a carbon or one carbon and one oxygen atom, respectively. For Compound 5, the affinity was markedly decreased at all four sites relative to Compound 1. The smallest change was observed for $\alpha 7$ ($\sim 7$-fold reduction), while the $\alpha 6\beta 2^$ affinity decreased 80-fold. Compound 5 was a full antagonist at both $\alpha 4\beta 2^$ and $\alpha 6\beta 2^$-subtypes while maintaining full but less potent agonism at the $\alpha 7$ and $\alpha 3\beta 4^$-subtypes. Additional extension of the methylene spacer by introduction of an oxygen atom and translocating the spacer from the 2- to the 3-position on the quinuclidine yielded Compound 11 (which also has a 5'-Cl substitution in the pyridine ring). This further reduced affinity at all four binding sites compared to Compound 5 (further 7- to 26-fold decrease). Similar to Compound 5, full antagonism was observed at $\alpha 4\beta 2^$ and $\alpha 6\beta 2^$, but potency was reduced somewhat (16 and 2-fold, respectively). Surprisingly, a loss of agonism was observed at both $\alpha 7$ and, more profoundly, $\alpha 3\beta 4^$ (E$_{max}$ = 31% and 8%, respectively). We cannot yet distinguish the individual contributions of the 5-chloro substituent and the oxygen atom relative to the increase in linker length alone, because the corresponding analogs were not available for evaluation. A one-carbon reduction in the bridging ethyl group of Compound 1 afforded the corresponding 1-azabicyclo[2.1.1]heptane (Compound 2). This resulted in markedly reduced binding affinity for all four sites: $\sim 20$-fold at $\alpha 4\beta 2^$, $\alpha 6\beta 2^$ and $\alpha 3\beta 4^$. Compound 2 did retain agonism at the $\alpha 6\beta 2^$, $\alpha 7$ and $\alpha 3\beta 4^$ subtypes as well as partial agonism at $\alpha 4\beta 2^$, but was less potent than Compound 1. Compound 2 also retained the full, potent agonism at $\alpha 6\beta 2^$ observed for Compound 1 (114%, 0.050 $\mu$M), and the $\alpha 6\beta 2^$ functional selectivity is even higher due to the reduced potency at $\alpha 4\beta 2^$-subtype. A corresponding one-carbon increase in the bridging ethyl group of Compound 1 afforded the corresponding 1-azabicyclo[3.2.2]nonane (Compound 3). The affinity of Compound 3 resembled Compound 1; however, a notable 6-fold reduction in affinity at the $\alpha 3\beta 4^$ site was achieved. The functional profile again resembled that observed for the previously discussed analogs: a shift to antagonism at $\alpha 4\beta 2^$ and $\alpha 6\beta 2^$, but retention of $\alpha 7$ and $\alpha 3\beta 4^$ full agonism. In $\alpha 6\beta 2^$ $[^3$H]-DA release, assays, only partial antagonism was observed for Compound 3 ($-71\%$ I$_{max}$, 0.052 $\mu$M). One possible explanation for this observation is selective inhibition of only one of the complex $\alpha 6\beta 2^$-nAChR subtypes. Finally, addition of two carbons to the Compound 1 ring system and altering the bridge connectivity produced the highly constrained 1-azatricyclo[220.127.116.11,7]decane (aza-adamantane), Compound 4. The binding affinity of Compound 4 was markedly reduced across all subtypes, quite similar to the profile observed for Compound 2. The increase in steric bulk surrounding the cationic center apparently resulted in full antagonism of $\alpha 4\beta 2^$. At the $\alpha 6\beta 2^$ subtypes, full antagonism was also observed, in contrast to the partial antagonism of Compound 3. Compound 4 exhibited a reduction of efficacy and large loss of potency at $\alpha 3\beta 4^$ and $\alpha 7$ (88%, 34 $\mu$M and 27%, 8.5 $\mu$M, respectively). This efficacy-potency shift again affords a selective antagonist. The potency is highest for $\alpha 4\beta 2^$ (0.069 $\mu$M), with some antagonism for $\alpha 6\beta 2^$ (0.57 $\mu$M), and less at $\alpha 7$ (34 $\mu$M) and $\alpha 3\beta 4^$ (8.5 $\mu$M). ### 3.9. Evaluation of effects of compounds in vivo In order to assess the effects of selected compounds in vivo, we used mice with gain-of-function mutations in $\alpha 4$ and $\alpha 6$ subunits. Mice with the $\alpha 4L9'A$ or $\alpha 6L9'S$ mutations respond to very low concentrations of nicotine that have no measurable effect in wild type mice and allow an assessment of whether a compound is bioavailable as well as whether it activates or inhibits a specific subtype of nAChR in vivo. For the $\alpha 4L9'A$ mice, injection of 0.03 mg/kg nicotine produces a 3 °C temperature decrease, while this dose elicits no hypothermia in wild type mice (Tapper et al., 2007). Thus this procedure measures an effect of nicotine restricted to the $\alpha 4^$-nAChRs. For the $\alpha 6L9'S$ mice, low doses of nicotine (0.02–0.15 mg/kg ip) result in locomotor activation (~ 350% of saline activity for 0.15 mg/kg nicotine), while in wild type there is no effect of these doses of nicotine, and, in fact, higher doses (0.5–2.0 mg/kg ip) in wild type mice as well as doses over 1 mg/kg in $\alpha 6L9'S$ mice produce locomotor suppression (Drenan et al., 2008). In addition, the $\alpha 6L9'S$-gain-of-function mice have the same temperature depression responses as wild type mice (unpublished data; see Tapper et al., 2007 for wild type), <1 °C temperature decrease with a dose of 0.1 mg/kg nicotine. Thus, this measurement isolates an $\alpha 6^$-nAChR-mediated physiological effect. Representative experiments using Compound 1, identified as a partial agonist at $\alpha 4\beta 2^$ and a full agonist at $\alpha 6\beta 2^$ in the in vitro assays are shown in Fig. 6. Compound 1 proved active in vivo and stimulated both $\alpha 4L9'A^$ nAChRs, with 0.03 mg/kg inducing ~8° temperature drop and $\alpha 6L9'S^$-nAChRs where 0.01 mg/kg resulted in ~290% increase in activity over saline. Subsequently, the agonists Compounds 2, 8 and 10 were evaluated for their ability to elicit hypothermia or locomotor activation in $\alpha 4L9'A$ and $\alpha 6L9'S$ mice. As shown in Table 4, each of these compounds elicited responses in both mutant mice expressing hyperactive nAChRs. Compounds 3, 4 and 7, which were identified as antagonists, blocked the effects of 0.1 mg/kg nicotine in vivo. Data for nicotine and varenicline are provided for comparison in Table 4. ### 4. Discussion The CNS nAChRs have various roles in normal brain function. These receptors are activated by the natural neurotransmitter, acetylcholine, and their activity may also be modified by the presence of nicotine (Perez et al., 2008). Nicotine from tobacco smoking occupies a large fraction of the $\alpha4\beta2^$-nAChR (Brody et al., 2008). Such data are not available for the $\alpha6\beta2^$-nAChRs, but if nicotine occupies a lower percentage of these receptors, or desensitizes them less readily, nicotine use could produce an altered balance between GABAergic and dopaminergic function. To better understand the role of the $\alpha6\beta2^$ and to define the optimal profile for therapeutics targeting nicotine addiction as well as other disorders that are potential targets for nicotinic receptor-based therapy, selective ligands are necessary. The lack of available data around $\alpha6\beta2^$ SAR and limited structure–function data for other subtypes led us to prepare and/or characterize a number of known and novel ligands across various nicotinic receptor subtypes. Our data show that commonly studied nicotinic agonists including nicotine, acetylcholine, cytisine and A-85380, bind to $\alpha4\beta2^$-nAChR subtype with higher affinity than to $\alpha6\beta2^$, and, generally, had lower affinity at both the $\alpha7$ and $\alpha3\beta4^$-subtypes (see Fig. 4A and Table 1). However functional measurements (Fig. 4B and Table 2) reveal that several agonists activate $\alpha6\beta2^$-nAChR at lower concentrations than $\alpha4\beta2^$-nAChR. Thus, the relationship between binding affinity and functional potency differed markedly between the $\alpha6\beta2^$- and $\alpha4\beta2^$-nAChRs (see also Salminen et al., 2005). Presumably this disparity arises from inherent differences in relationships among binding, activation and desensitization. Further study will be required to understand this topic. Furthermore the $\alpha6\beta2^$-subtype actually comprises several receptors, including $\alpha4\alpha6\beta2\beta3$, which is activated by lower concentrations of nicotine than the $\alpha6\beta2\beta2$ or the $\alpha4$(non-$\alpha6$)$\beta2^$-nAChR (Salminen et al., 2007). Varenicline (currently marketed as a smoking cessation aid) was also evaluated in our assays. We found that varenicline is a partial agonist at both $\alpha4\beta2^$ and $\alpha6\beta2^$-nAChRs, but a full agonist at both $\alpha7$ and $\alpha3\beta4^$ subtypes; these conclusions (for $\alpha4\beta2^$, $\alpha7$ and $\alpha3\beta4^$ subtypes) agree with data from oocyte-expressed nAChRs (Mihalek et al., 2006) and from rat brain slices (Rollema et al., 2007). Note that the structurally-related compound cytisine, is also a partial agonist at $\alpha4\beta2^$-nAChRs (37%); however, cytisine is more efficacious at $\alpha6\beta2^$ (71%) (Salminen et al., 2004). For varenicline, efficacy is not significantly different between these subtypes for this screen (26 ± 2% and 39 ± 17%, respectively). We found a ~8-fold ratio of EC$_{50}$ values between $\alpha7$ and $\alpha4\beta2^$-subtypes, the same as previously reported for oocyte-expressed receptors (Mihalek et al., 2006). According to our data in mouse tissue, varenicline is somewhat selective for $\alpha4\beta2^$-nAChR when assessed with binding affinity (2-fold over $\alpha6\beta2^$, 9-fold over $\alpha7$ and 24-fold over $\alpha3\beta4^$) though considerably less selective than reported for rat brain $\alpha4\beta2^$ compared to $\alpha7$ in IMR32 cells (Rollema et al., 2007). Our data on varenicline generally agree with published data from other laboratories (see Supplementary Table 1 for a compilation of data with species, method and source) in finding that it is a partial agonist at $\alpha4\beta2^$, with higher efficacy at $\alpha7$ and $\alpha3\beta4^$-nAChR. There may be some species or methods differences in these data. The structures of a series of nicotine-related compounds that were evaluated in this study are shown in Fig. 1. Within this series, the basic pharmacophoric elements of nicotine (cationic center, hydrogen bond acceptor and aromatic ring) were retained, but elaborated into a set of chemically diverse analogs: 1) the distance from the pyridine to the cationic center is varied, 2) steric bulk of the molecule (particularly the region around the cationic center) is explored, and 3) flexibility is varied from compounds with many degrees of freedom (the metanicotines Compounds 8 and 9) to highly constrained (3-pyridinylazatricyclo[18.104.22.168,3,7]decane) Compound 4. Some data on affinity, potency and efficacy have been previously published for certain of these compounds and a comparison of these values, along with species and references, is presented in Supplementary Table 2. As with varenicline, some differences may result from methods or species used. Despite the wide variety of techniques and species, there is considerable agreement where comparable data exist. The data presented here suggested several observations about the role of structure in affinity and efficacy. Generally, constraining the cationic nitrogen into certain ring variations enhances affinity across all subtypes relative to the open-chain metanicotine. Increasing the conformational constraint further by capturing the cationic center into bicyclic ring systems further enhances affinity. This affinity enhancement is illustrated clearly in the progression from Compound ### Table 4 Physiological effects in mice with hypersensitive $\alpha4\beta2^$ or $\alpha6\beta2^$-nAChR. \| Compound \| $\alpha4L9\beta2^$ \| $\alpha6L9'S\beta2^$ \| \|-------------------\|---------------------\|-----------------------\| \| Nicotine \| hypothermia (0.01)$^a$ \| activation (0.1)$^b$ \| \| Varenicline \| hypothermia (0.001) \| activation (0.1) \| \| Compound 1 RJR2429/TC2429 \| hypothermia (0.03) \| activation (0.01)$^b$ \| \| Compound 2 \| hypothermia (0.03) \| activation (0.1) \| \| Compound 3 TC1698 \| block (0.002) \| \| \| Compound 4 \| block (0.01) \| \| \| Compound 5 \| no effect \| \| \| Compound 6 TC6951 \| block (0.01) \| block (0.1) \| \| Compound 7 TC2242 \| block (0.01) \| block (0.1) \| \| Compound 8 RJR2403/TC2403 \| hypothermia (0.2) \| activation (1.0)$^b$ \| \| Compound 9 \| no effect \| \| \| Compound 10 \| hypothermia (0.1) \| activation (0.1) \| \| Compound 11 \| inconclusive \| \| Doses are given as mg/kg. $^a$ From Tapper et al. (2007). $^b$ From Drenan et al. (2008). 8 to nicotine to Compound 10 to Compound 3 and finally Compound 1, where the $K_i$ values decrease between one and three orders of magnitude. Binding affinities for the $\alpha6\beta2^$ and $\alpha7$ receptors are most affected by these structural changes. (Compound 2 and Compound 4 are excluded from this comparison since they represent more significant changes in pyridine-nitrogen orientation and steric effects, respectively.) It is not clear what factors are responsible for this affinity shift, since these structural changes alter the character of the molecule in several ways. For example, the cationic center is changed from secondary to tertiary, basicity is increased, lone nitrogen electron pair orientation altered, steric bulk is added (which can be both repulsive or provide positive hydrophobic interactions), and bond distances and orientation are all altered. Increasing the distance between the pyridine nitrogen and the cationic nitrogen also appears to greatly reduce affinity across all subtypes. This is qualitatively observed in comparing the properties of nicotine to those of Compound 8, and the properties of Compound 1 to those of structurally related azabicycles, Compounds 5 and 11. Comparing efficacy trends within the range of structures examined, here we noted that agonist activity is more readily retained for both the $\alpha7$ and $\alpha3\beta4^+$-nAChR subtypes than the $\alpha4\beta2^$ and $\alpha6\beta2^$-nAChR subtypes. This suggests that the binding pockets of the latter subtypes have stricter structural requirements for activation than the former. For example, in the series of Compounds 2, 1, 3 and 4, the azacyclic portion of the molecule is made progressively more sterically demanding. Functional activity at $\alpha4\beta2^$ shifts to partial agonism and antagonism across the series (43%, 30%, –97%, –100% efficacy compared to nicotine, Fig. 4C and Table 3). Efficacy at the $\alpha6\beta2^$-nAChR subtype appears slightly more tolerant of structural modifications to its ligands relative to the $\alpha4\beta2^$-nAChR. Here, the decrease in efficacy is more gradual within the series (114%, 109%, –71%, –98%). In contrast, at $\alpha7$ and $\alpha3\beta4^+$, these same compounds all retain agonism, with very gradually decreasing efficacy (respective efficacy for $\alpha7$, 108%, 89%, 106%, 27%; for $\alpha3\beta4^+$, 118%, 106%, 95%, 88%). In vitro* functional assays for $\alpha4\beta2^$- and $\alpha6\beta2^$-mediated responses identified the reference compounds, nicotine and varenicline, as full and partial agonists, respectively. Consistent with this identification, both of these compounds induced hypothermia in $\alpha4L9^A$ and locomotor hyperactivity in $\alpha6L9^S$ hypersensitive mice. Likewise, Compounds 1, 2 and 10, identified as full or partial $\alpha4\beta2^$ and $\alpha6\beta2^$ agonists in vitro, elicited hypothermia and locomotor activation in mice expressing hypersensitive nAChRs (Table 1). Compound 8 with high efficacy at $\alpha4\beta2^$ also induced hypothermia in $\alpha4L9^A$ mice. Though this compound displayed no measurable activity at $\alpha6\beta2^$-nAChR in WT mice in vitro, it did elicit a response in $\alpha6L9^S$ mice, consistent with its agonist activity in vitro in tissue from these mutant mice (Drenan et al., 2008). Compounds 3, 4 and 7, which were identified in vitro as $\alpha4\beta2^$ and $\alpha6\beta2^$ antagonists, blocked the effects of nicotine in vivo, supporting the premise that they are, indeed, bioavailable antagonists. Results with these agonists and antagonists show that they effectively elicit the expected behavior in mice expressing the mutated receptors. However several compounds identified as antagonists in vitro (Compounds 5, 9, and 11) did not have intrinsic activity, nor did they block the effect of nicotine at the doses tested. In the absence of data on bioavailability, it is not possible to determine whether the lack of effect was receptor-based or, more likely, due to low concentration in the brain. It should be emphasized that these mice were designed to respond to agonists at doses much lower than the doses required for wild-type mice, so that $\alpha4^$ and $\alpha6^$-dependent behavioral responses can be studied in the absence of effects on other AChRs. The hypersensitive mutations are located in the M2 transmembrane domain, some 60 Å from the agonist binding site. Thus while the present in vivo data serve well for a qualitative assignment of agonist vs. antagonist, the dose dependence in vivo is not relevant to the wild type nAChRs. In addition, correlation between the EC$_{50}$ values measured in vitro and the effective concentrations in vivo cannot be accurately assessed since potential differences in pharmacokinetics, metabolism and distribution leading to different exposures have not been taken into account. The functional characterization reported here has allowed us to achieve an important goal for this project, namely, the identification of an agonist selective for the $\alpha6\beta2^$-receptor. Both Compounds 1 and 2 fulfilled the requirement for functional selectivity for $\alpha6\beta2^$ over $\alpha4\beta2^$, $\alpha7$ and $\alpha3\beta4^+$ subtypes, although greater binding selectivity might be desirable. Additionally, both compounds exhibited in vivo* activity consistent with their in vitro profiles. Major questions remain in the design of a safe and effective smoking cessation aid. Which natural functions of nicotinic systems must be preserved to avoid unwanted effects? What minimum level of occupancy is effective for a smoking cessation aid? Is a short-acting agent with high occupancy administered frequently better than one with a long half-life and low occupancy? Is it more effective to activate receptors, to desensitize them, or to chaperone them within intracellular compartments (Lester et al., 2009)? Will selectively targeting $\alpha6\beta2^$ nAChR prove advantageous relative to other individual or multiple subtypes? Availability of relatively selective, bioavailable compounds such as Compound 1 and 2 or compounds designed on the SAR data reported here may enable research to help answer these questions. Acknowledgements* Portions of this work were presented as an abstract at the Society for Nicotine and Tobacco Research annual meeting 2008, rapid response poster: Synaptosomal assays as methods for identifying alpha/beta2-nAChR selective compounds by SR Grady, C Wageman, I Fernandez, P Whiteaker, D Yohannes, M Bencherif, HA Lester, MJ Marks. The authors thank Allan C. Collins for many helpful discussions. Supported by National Cooperative Drug Discovery Group U19 DA019375 from the National Institutes of Health to HAL, MJM and MB. The Institute for Behavioral Genetics animal colony is supported by NIH grant DA015663 to Allan C. Collins and MJM. Three of the authors (SRB, DY, MB) are employees of Targacept, Inc., which holds patents on several of the compounds studied in this paper. All studies conducted at Targacept, Inc., and reported here were supported by DA019375. Appendix. 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Rouhe, Aku; Grönroos, Stig-Arne; Virpioja, Sami; Creutz, Mathias; Kurimo, Mikko Morfessor-enriched features and multilingual training for canonical morphological segmentation Published in: Proceedings of the 19th SIGMORPHON Workshop on Computational Research in Phonetics, Phonology, and Morphology DOI: https://doi.org/10.18653/v1/2022.sigmorphon-1.16 Published: 01/01/2022 Document Version Publisher's PDF, also known as Version of record Published under the following license: CC BY Please cite the original version: Rouhe, A., Grönroos, S.-A., Virpioja, S., Creutz, M., & Kurimo, M. (2022). Morfessor-enriched features and multilingual training for canonical morphological segmentation. In Proceedings of the 19th SIGMORPHON Workshop on Computational Research in Phonetics, Phonology, and Morphology (pp. 144-151). Association for Computational Linguistics. https://doi.org/10.18653/v1/2022.sigmorphon-1.16 Morfessor-enriched features and multilingual training for canonical morphological segmentation Aku Rouhe\textdagger, Stig-Arne Grönroos\textdagger\textdagger, Sami Virpioja\textdagger\textdagger, Mathias Creutz\textdagger\textdagger, Mikko Kurimo\textdagger\textdagger \textdagger Department of Signal Processing and Acoustics, Aalto University, Finland \textdagger\textdagger Department of Digital Humanities, University of Helsinki, Finland \textdagger\textdagger Silo.AI, Finland firstname.lastname@example.org email@example.com Abstract In our submission to the SIGMORPHON 2022 Shared Task on Morpheme Segmentation, we study whether an unsupervised morphological segmentation method, Morfessor, can help in a supervised setting. Previous research has shown the effectiveness of the approach in semi-supervised settings with small amounts of labeled data. The current tasks vary in data size: the amount of word-level annotated training data is much larger, but the amount of sentence-level annotated training data remains small. Our approach is to pre-segment the input data for a neural sequence-to-sequence model with the unsupervised method. As the unsupervised method can be trained with raw text data, we use Wikipedia to increase the amount of training data. In addition, we train multilingual models for the sentence-level task. The results for the Morfessor-enriched features are mixed, showing benefit for all three sentence-level tasks but only some of the word-level tasks. The multilingual training yields considerable improvements over the monolingual sentence-level models, but it negates the effect of the enriched features. 1 Introduction Current use of subword segmentation in neural natural language processing (NLP) with unsupervised segmentation methods such as BPE (Sennrich et al., 2015), SentencePiece (Kudo and Richardson, 2018), and Morfessor (Creutz and Lagus, 2002; Virpioja et al., 2013) mainly focuses on finding short and frequent subwords that give good performance in the NLP application, while putting less weight on linguistic correctness. The level of segmentation varies by the frequency of the word: frequent words retain their affixes, while rare words, such as rare proper names, are heavily segmented into syllable-like units or even characters. These methods typically perform surface segmentation, meaning that the subwords can be concatenated back into the surface form of the word without any transformation to account for phonological processes e.g. profibrotic $\mapsto$ pro + fibr + ot + ic. However, when linguistic fidelity is of importance—for example because the segments are analyzed statistically as opposed to using a neural model—a supervised segmentation method may be more suitable. The goal is to output morphemes, the smallest meaning-bearing linguistic units. In canonical morphological segmentation (Kann et al., 2016), instead of segmenting into surface forms of morphemes, the different allomorphs are mapped into a single canonical form, reversing any phonological changes. e.g. profibrotic $\mapsto$ pro + fibre + osis + ic. It is not always possible to give a single correct analysis for any particular surface form. A surface form may be homonymous, with inflections or derivations from two or more lemmas. In order to disambiguate the meanings to choose a single analysis from several alternatives, it is necessary to use the surrounding sentence context. In Task 2 of this shared task, such sentence level segmentation is performed. e.g. she rose up $\mapsto$ she rise + ed up a red rose $\mapsto$ a red rose. Word-level morpheme segmentation is more widely studied than sentence-level morpheme segmentation. In part, the focus on word level segmentation is due to the historically limited ability of models to exploit all of the available context. With neural sequence to sequence (seq2seq) models, this limitation can easily be lifted. Limited availability of labeled data for the sentence level task provides a second reason for the popularity of word-level segmentation. This work presents the AUUH (Aalto University - University of Helsinki) team submission to the SIGMORPHON 2022 Shared Task on Morpheme Segmentation (Batsuren et al., 2022). In this shared task, the imbalance of training data persists. For the word-level Task 1, there is ample training data, ranging from 15 000 labeled words for the lowest resourced language, Mongolian, to hundreds of thousands of words for the higher resourced languages. Task 1 has between 3 and 30 times as much data as in sentence-level Task 2. In addition to the labeled data, an order of magnitude more unlabeled data can easily be sourced. Considering that these types of data are available in very different amounts, there is an opportunity to improve especially the sentence-level performance by exploiting the other types of data. In this work, we use large amounts of unlabeled data to enrich the input with features from an unsupervised segmentation model. This feature set augmentation approach, which combines the strengths of generative and discriminative models, has previously been applied for word-level surface segmentation (Ruokolainen et al., 2014; Grönroos et al., 2019). Additionally, we use the word-level labeled data through multi-task and multi-lingual training. Our systems are fully data-driven and language-independent, requiring no linguistic resources beyond the training data. All the software used in the systems has open-source implementations. 2 Methods Our approach for the shared tasks consists of a neural seq2seq model, enrichment of data with features learned in an unsupervised manner, and multi-task and multilingual training. We submitted six different configurations, which we refer to as Systems A–F in the following. 2.1 Seq2seq model We apply a sequence-to-sequence (seq2seq) model to map from character sequences to character sequences. In our baseline models, the input is the character sequence of the surface form of the word. In our enriched models, the surface form is augmented with predicted segmentation boundary symbols. In all cases, the output is the sequence of canonical morphemes and segmentation boundary symbols, decoded on character level. We treat the boundary marker “@@” as a single symbol$^1$. In the original output format, the morphemes are separated by a space, which we simply ignore in the seq2seq data and add back in the detokenization step. Our seq2seq models are implemented using the Marian NMT (Junczys-Dowmunt et al., 2018) Neural Machine Translation framework. Even though the amount of data is of a standard size for segmentation, it is small compared to typical machine translation data sets. Therefore, when designing the neural network architectures, we experiment with neural architectures from the literature on low-resource neural machine translation. Following Sennrich and Zhang (2019), our models C–F use a bidirectional GRU bideep (Miceli Barone et al., 2017) architecture. We modify the architecture slightly by lowering the embedding dimension from 512 to 128, as we have a character-level model instead of a subword model. Inspired by Araabi and Monz (2020), we try reducing the capacity of Transformer-base (Vaswani et al., 2017) to better suit the small data setting, reducing the number of layers in both encoder and decoder to 5, reducing the feed-forward dimension to 512, reducing the number of attention heads to 2, increasing dropout to 0.3, adding 0.1 target dropout (and in our implementation 0.1 source dropout as well), and increasing label smoothing to 0.5. However, in preliminary experiments this performed worse than Transformer-base. Instead, a smaller Transformer-base modification, which we title Transformer-base$_{mod}$, where we reduce the feed-forward dimension to 1024, and add 0.1 source and target dropout, yields our best Transformer results in preliminary experiments. For the monolingual word-level tasks we use the bideep GRU architecture, as that architecture worked reliably even with limited data. For the multi-task, multi-lingual models A–B, which are trained with considerably more data overall, we use the Transformer-base$_{mod}$ architecture. The seq2seq models are trained for 50 epochs with the cross-entropy loss, with early stopping based on validation criterion improvement stalling. As a validation criterion, we use the official evaluation F-measure. This choice yielded consistent improvements over the cross-entropy criterion in preliminary experiments. $^1$For clarity, represented later in the paper as a single symbol @. 2.2 Enrichment with unsupervised features The feature enrichment process is shown in Figure 1. For training the unsupervised features, the training data consists of a large word list extracted from an unlabeled corpus. Morfessor Baseline (Creutz and Lagus, 2002; Virpioja et al., 2013), an unsupervised generative model, is trained using the unlabeled data only. The words in the labeled training set are first pre-segmented using the Morfessor Baseline model. The predicted segmentation is turned into features by adding a reserved unicode character at the predicted segmentation boundaries, and then concatenating to form the new input string. For example, the input string “subneural” is segmented by Morfessor as \[ \text{subneural} \mapsto s u b \sqcup n e u r a l. \] The seq2seq model then takes this feature representation as input, and outputs the canonical segmentation: \[ s u b \sqcup n e u r a l \mapsto s u b @ n e u r o n @ a l. \] At decoding time a two-step procedure is used: first the features for the desired words are produced using the Morfessor Baseline model. The final segmentation can then be decoded from the seq2seq model. The idea is that the features from the unsupervised generative model allow the statistical patterns found in the large unannotated data to be exploited. Two tasks remain for the seq2seq model to learn: determining when the predictions of Morfessor are reliable in order to correct its mistakes, and finding the mapping from predicted surface morphemes to the canonical forms of morphemes. We hypothesize that these two tasks are easier to learn as part of a pipeline system, compared to learning the mapping from the unsegmented surface form into canonical morphemes directly as an end-to-end task. 2.2.1 Morfessor Morfessor is a family of language-independent unsupervised and semi-supervised morpheme segmentation models. The first variant, later called Morfessor Baseline, was introduced by Creutz and Lagus (2002). It is an unsupervised algorithm that makes use of a context-insensitive maximization criterion based on unigram probabilities. A Python implementation and extensions were provided by Virpioja et al. (2013) with further improvements by Grönroos et al. (2020). Further unsupervised variants introduce context-sensitive segmentation, identifying possible prefixes, stems and suffixes as a biproduct. The so-called Morfessor Categories-MAP model (Creutz and Lagus, 2005, 2007) produces a hierarchical segmentation structure, which later evolved into a flat structure in Morfessor Flat-Cat (Grönroos et al., 2014). Kohonen et al. (2010) extended to semi-supervised learning for situations where small amounts of linguistic gold standard analyses are available. In this work, we focus on using Morfessor Baseline, leaving comparison of different Morfessor variants for future work. 2.2.2 Training data For training the Morfessor models, we use the official word-level training sets, sentence-level training sets for the languages that had them available, and, in addition, Wikipedia dumps from 2022-04-01. The word-level data is added as is. From the sentence-level data, we include tokens that contained only letters in a script suitable for the language (Cyrillic for Mongolian, and Latin for English and Czech). Wikipedia dumps are processed with wikiextractor (Attardi, 2015). Only those tokens that have the correct script (Cyrillic for Mongolian and Russian, Latin for the rest) are included. In addition, to further reduce non-words and foreign words, we restrict word length to 40, word frequency to 3 for English and 2 for the rest, and either include only lowercase words (English) or lowercase the words (rest). Finally, the words from the different sources are combined together for training Morfessor. The frequencies of the words are ignored in training. Table 1 shows the numbers of unique word forms in the data sets. We observe that with the exception of the Czech language, all subtasks of this shared task consist of canonical segmentation. For some words, the label sequence concatenates directly into the surface form, i.e. the canonicalization mapping of each morpheme is the identity function. The proportion of training words having this property vary by language, from 7.6% for Italian to 99.7% for Latin. However, for the Czech language, all the words in the training data have this property of concatenating directly into the surface form. As the Czech language does exhibit allomorphy (see e.g. Ševčíková, 2018), we conclude that the task for Czech was surface segmentation rather than canonical segmentation. ### 2.2.3 Hyper-parameter tuning We use grid search to find the optimal corpus weight hyper-parameter for the Morfessor models. We test values in the range from 0.001 to 2.0. The word-level development sets are used for evaluation. However, the official evaluation scripts expect canonical segmentation, while Morfessor produces surface segmentation. Thus we rely on the EMMA-2 evaluation method and maximize the $F_1$-score between the model and reference segmentations.\footnote{Implementation available at \url{https://github.com/svirpioj/morphometrics}.} EMMA-2, proposed by Virpioja et al. (2011), is a variant of the EMMA (Evaluation Metric for Morphological Analysis) introduced by Spiegler and Monson (2010). Both methods solve the problem of comparison of two different label sets by creating a mapping between the predicted and reference labels. The original EMMA method finds one-to-one assignment between the labels using the Hungarian algorithm, but the computational complexity prevents using it for large test sets. In contrast, EMMA-2 makes separate one-to-many assignments when calculating the precision and recall. ### 2.3 Multi-task and multilingual training We train models that use two types of multi-task objectives. In the first one, we combine the word-level Task 1 with the sentence-level Task 2. In the second one, we train a multilingual model with the concatenation of all languages available in Task 2. To distinguish tasks from each other, we use task selector tokens prefixed to the input, similar to Johnson et al. (2017). The language selector token is first, if used, and then in word tasks a special token is used. Sentence tasks do not have a separate selector token: no selector token implies a sentence task. The multilingual model is then finetuned for an additional 50 epochs on each individual language. In a preliminary experiment, the additional training time did not by itself yield a better model. In finetuning, the sentence-level and word-level multi-task objective was kept. We finetuned models separately with word- and sentence-level validation data. ### 2.4 Systems Table 2 lists the differences between the systems. In the official competition, some of our submitted systems were trained on slightly different data than we intended, due to human error, and some \| System \| Morfessor features \| Architecture \| Multilingual \| Multitask \| \|--------\|--------------------\|-----------------------\|--------------\|-----------\| \| A \| ✓ \| Transformer-base\textsubscript{mod} \| ✓ \| ✓ \| \| B \| — \| Transformer-base\textsubscript{mod} \| ✓ \| ✓ \| \| C \| ✓ \| Bideep GRU \| — \| ✓ \| \| D \| — \| Bideep GRU \| — \| ✓ \| \| E \| ✓ \| Bideep GRU \| — \| — \| \| F \| — \| Bideep GRU \| — \| — \| Table 2: Differences between the six submitted systems. systems were missing simply due to running out of time. The results in this description paper have been produced with corrected systems. The results that changed, or were added after the competition deadline, are marked with the symbol $$ in the tables. 3 Results Tables 3 and 4 list the results of Tasks 1 and 2 respectively. Systems A and B, C and D, and E and F each form comparable pairs, where the former (e.g. System A) uses Morfessor-enriched features, and the latter (e.g. System B) is the same system without enriched features. In the result tables, these comparable pairs are separated with horizontal divider lines. Some of our systems have the highest score of all shared task participants in specific subcategories of the evaluation. Our system B has the highest $F_1$-score (96.31%) and lowest Levenshtein distance (1.39) for the English sentence-level task. Our system A has the highest $F_1$-score (93.23%) for the English word-level evaluation category 001, i.e. compound words without inflectional or derivational affixes. Tables 5 and 6 show Task 1 results by morphological category, for systems A–B and E–F respectively. For English, Russian, and Hungarian, the system using the Morfessor-enriched features performs better for most categories involving compounding, in particular the 001 category (only compounding). Of the languages in this shared task, only Hungarian and English vocabularies contain a substantial portion of compound words (17.32% and 6.79% respectively). 4 Discussion The multilingual model without Morfessor-enriched features (System B) gives the best results in both tasks for the three languages (ces, eng, mon) for which we trained such a system. When using multilingual training, the Morfessor-enriched features are not beneficial. The unsupervised features may be less useful with the increased amount of training data in the multilingual setup, and varying granularities of the unsupervised segmentations for the different languages could confuse the multilingual model. Without multilingual training, the results for enriched features are inconclusive for the word-level task, but clearly beneficial for the sentence-level task. The enriched features give better results for 5 languages (ces, eng, rus, mon, hun) in Task 1 and all three languages (ces, eng, mon) in Task 2. Consistent with previous work (Grönroos et al., 2019), we find that Morfessor-features are useful for modeling the boundary between compound parts, which is challenging for supervised discriminative models on their own. Except for the corpus weight hyper-parameter of the Morfessor model, we did not tune many parameters of the setup, such as thresholds for the words in the Wikipedia dumps, different weightings for the corpora, or use of the word frequencies in Morfessor training. More extensive optimization could lead to some improvements for the unsupervised features. It would also be possible to use the part of the data, for which the canonical morphemes correspond to surface morphemes as annotations for training semi-supervised Morfessor variants (Kohonen et al., 2010). It is possible that using a different $\beta$ for the $F_\beta$-score may result in better tuning. Finding the optimal value for $\beta$ is left for future work. While computationally more burdensome, instead of searching for the best $F_\beta$-score of EMMA-2 for Morfessor’s output, some parameters could also be optimized on the results of the final seq2seq model. \| \| ces \| eng \| fra \| ita \| lat \| rus \| mon \| hun \| spa \| \|-------\|------\|------\|------\|------\|------\|------\|------\|------\|------\| \| System A† \| 93.65 \| 92.32 \| - \| - \| - \| - \| 98.19 \| - \| - \| \| System B \| 93.68 \| 93.24 \| - \| - \| - \| - \| 98.29 \| - \| - \| \| System E† \| 90.71 \| 87.10 \| 90.78 \| 92.39 \| 98.71 \| 94.33 \| 96.06 \| 98.36 \| 96.22 \| \| System F \| 90.28 \| 86.40 \| 90.81 \| 92.56 \| 98.85 \| 93.68 \| 95.32 \| 98.34 \| 97.25 \| Table 3: Word-level (Task 1) results (F1-measure [%]) on the official test sets. Results marked with * were not submitted to the official competition. Systems marked with † use Morfessor features. \| \| ces \| eng \| mon \| \|-------\|------\|------\|------\| \| System A† \| 88.60 \| 96.22 \| 82.19 \| \| System B \| 90.42 \| 96.31 \| 82.59 \| \| System C† \| 59.77 \| 93.44 \| 74.08 \| \| System D \| 59.08 \| 88.07 \| 71.82 \| \| System E† \| 61.92 \| 85.04 \| 72.67 \| \| System F \| 51.47 \| 82.34 \| 66.38 \| Table 4: Sentence-level (Task 2) results (F1-measure [%]) on the official test sets. Results marked with were not submitted to the official competition. Systems marked with † use Morfessor features. \| Category \| Inflection \| Derivation \| Compounding \| System \| eng \| mon \| \|----------\|------------\|------------\|-------------\|--------\|------\|------\| \| 000 \| — \| — \| — \| A† \| 80.39 \| 87.16 \| \| 000 \| — \| — \| — \| B \| 82.63 \| 87.76 \| \| 001 \| — \| — \| ✓ \| A† \| 93.23 \| 100.00 \| \| 001 \| — \| — \| ✓ \| B \| 93.02 \| 100.00 \| \| 010 \| — \| ✓ \| — \| A† \| 93.35 \| 91.39 \| \| 010 \| — \| ✓ \| — \| B \| 93.86 \| 91.46 \| \| 011 \| — \| ✓ \| ✓ \| A† \| 95.60 \| — \| \| 011 \| — \| ✓ \| ✓ \| B \| 94.98 \| — \| \| 100 \| ✓ \| — \| — \| A† \| 89.27 \| 99.35 \| \| 100 \| ✓ \| — \| — \| B \| 89.97 \| 99.69 \| \| 101 \| ✓ \| — \| ✓ \| A† \| 94.03 \| 100.00 \| \| 101 \| ✓ \| — \| ✓ \| B \| 95.76 \| 100.00 \| \| 110 \| ✓ \| ✓ \| — \| A† \| 95.51 \| 99.56 \| \| 110 \| ✓ \| ✓ \| — \| B \| 96.91 \| 99.50 \| \| 111 \| ✓ \| ✓ \| ✓ \| A† \| 92.51 \| — \| \| 111 \| ✓ \| ✓ \| ✓ \| B \| 94.33 \| — \| Table 5: Task 1 results for Systems A and B by morphological category (subsets of words containing inflection, derivation, compounding, or combinations of these). System A marked with † uses Morfessor features. References Ali Araabi and Christof Monz. 2020. Optimizing transformer for low-resource neural machine translation. In Proceedings of the 28th International Conference on Computational Linguistics, pages 3429–3435. Giuseppe Attardi. 2015. Wikiextractor. https://github.com/attardi/wikiextractor. Khuyagbaatar Batsuren, Gábor Bella, Aryaman Arora, Viktor Martinović, Kyle Gorman, Zdeněk Žabokrtský, Amarsanaa Ganbold, Šárka Dohnalová, Magda Ševčíková, Kateřina Pelegrinová, Fausto Giunchiglia, Ryan Cotterell, and Ekaterina Vylomova. 2022. The sigmorphon 2022 shared task on morpheme segmentation. In 19th SIGMORPHON Workshop on Computational Research in Phonetics, Phonology, and Morphology. Mathias Creutz and Krista Lagus. 2002. Unsupervised discovery of morphemes. In Proceedings of the ACL-02 Workshop on Morphological and Phonological Learning (MPL), volume 6, pages 21–30, Philadelphia, Pennsylvania, USA. Association for Computa\| Category \| Inflection \| Derivation \| Compounding \| System \| eng \| fra \| ita \| rus \| mon \| hun \| spa \| \|----------\|------------\|------------\|-------------\|--------\|------\|------\|------\|------\|------\|------\|------\| \| 000 \| — \| — \| — \| E† \| 76.34 \| 65.96 \| 63.35 \| 63.38 \| 83.78 \| 98.29 \| 56.95 \| \| 000 \| — \| — \| — \| F \| 72.59 \| 66.32 \| 64.34 \| 59.85 \| 87.76 \| 81.41 \| 63.69 \| \| 001 \| — \| — \| ✓ \| E† \| 90.85 \| 74.40 \| 39.53 \| 65.35 \| 100.00 \| 80.25 \| 17.14 \| \| 001 \| — \| — \| ✓ \| F \| 89.61 \| 78.01 \| 41.38 \| 57.73 \| 100.00 \| 80.09 \| 14.95 \| \| 010 \| — \| ✓ \| — \| E† \| 87.56 \| 78.88 \| 84.11 \| 80.88 \| 87.63 \| 93.21 \| 67.10 \| \| 010 \| — \| ✓ \| — \| F \| 87.07 \| 78.43 \| 84.75 \| 80.96 \| 84.02 \| 92.62 \| 75.87 \| \| 011 \| — \| ✓ \| ✓ \| E† \| 92.50 \| 76.60 \| 50.67 \| 83.33 \| — \| 86.52 \| 41.38 \| \| 011 \| — \| ✓ \| ✓ \| F \| 90.79 \| 73.43 \| 54.55 \| 78.48 \| — \| 85.55 \| 43.75 \| \| 100 \| ✓ \| — \| — \| E† \| 84.48 \| 91.21 \| 90.70 \| 93.75 \| 98.62 \| 97.83 \| 96.52 \| \| 100 \| ✓ \| — \| — \| F \| 84.91 \| 91.22 \| 90.28 \| 93.02 \| 97.87 \| 97.87 \| 97.12 \| \| 101 \| ✓ \| — \| ✓ \| E† \| 95.09 \| 77.46 \| 59.04 \| 80.31 \| 100.00 \| 98.39 \| 44.44 \| \| 101 \| ✓ \| — \| ✓ \| F \| 91.03 \| 79.30 \| 66.67 \| 78.86 \| 100.00 \| 98.47 \| 83.95 \| \| 110 \| ✓ \| ✓ \| — \| E† \| 89.37 \| 96.05 \| 95.82 \| 95.83 \| 97.09 \| 99.29 \| 97.71 \| \| 110 \| ✓ \| ✓ \| — \| F \| 89.07 \| 96.25 \| 96.22 \| 95.15 \| 96.57 \| 99.30 \| 98.64 \| \| 111 \| ✓ \| ✓ \| ✓ \| E† \| 89.72 \| 89.89 \| 72.94 \| 83.07 \| — \| 99.09 \| 88.20 \| \| 111 \| ✓ \| ✓ \| ✓ \| F \| 85.77 \| 85.55 \| 67.47 \| 84.14 \| — \| 98.81 \| 89.57 \| Table 6: Task 1 results for Systems E and F by morphological category (subsets of words containing inflection, derivation, compounding, or combinations of these). System E marked with † uses Morfessor features. Results marked with * were not submitted to the official competition. Mathias Creutz and Krista Lagus. 2005. Inducing the morphological lexicon of a natural language from unannotated text. In Proceedings of the International and Interdisciplinary Conference on Adaptive Knowledge Representation and Reasoning (AKRR’05), pages 106–113, Espoo, Finland. Mathias Creutz and Krista Lagus. 2007. Unsupervised models for morpeme segmentation and morphology learning. ACM Transactions on Speech and Language Processing, 4(1). Stig-Arne Grönroos, Sami Virpioja, and Mikko Kurimo. 2019. North Sami morphological segmentation with low-resource semi-supervised sequence labeling. In Proceedings of the Fifth International Workshop on Computational Linguistics for Uralic Languages, pages 15–26. Stig-Arne Grönroos, Sami Virpioja, and Mikko Kurimo. 2020. Morfessor EM+Prune: Improved subword segmentation with expectation maximization and pruning. 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Martins, and Alexandra Birch. 2018. Marian: Fast neural machine translation in C++. In Proceedings of ACL 2018, System Demonstrations, pages 116–121, Melbourne, Australia. Association for Computational Linguistics. Katharina Kann, Ryan Cotterell, and Hinrich Schütze. 2016. Neural morphological analysis: Encoding-decoding canonical segments. In Proceedings of the 2016 Conference on Empirical Methods in Natural Language Processing (EMNLP), pages 961–967. Association for Computational Linguistics. Oskar Kohonen, Sami Virpioja, and Krista Lagus. 2010. Semi-supervised learning of concatenative morphology. In Proceedings of the 11th Meeting of the ACL Special Interest Group on Computational Morphology and Phonology, SIGMORPHON ’10, page 78–86, USA. Association for Computational Linguistics. Taku Kudo and John Richardson. 2018. SentencePiece: A simple and language independent subword tokenizer and detokenizer for neural text processing. In Proceedings of the 2018 Conference on Empirical Methods in Natural Language Processing: System Demonstrations, pages 66–71, Brussels, Belgium. Association for Computational Linguistics. Antonio Valerio Miceli Barone, Jindrich Helcl, Rico Sennrich, Barry Haddow, and Alexandra Birch. 2017. Deep architectures for neural machine translation. In Second Conference on Machine Translation, pages 99–107. Association for Computational Linguistics. Teemu Ruokolainen, Oskar Kohonen, Sami Virpioja, and Mikko Kurimo. 2014. Painless semi-supervised morphological segmentation using conditional random fields. In European Chapter of the Association for Computational Linguistics (EACL), pages 84–89, Gothenburg, Sweden. Association for Computational Linguistics. Rico Sennrich, Barry Haddow, and Alexandra Birch. 2015. Neural machine translation of rare words with subword units. In Proceedings of the Annual Meeting of the Association for Computational Linguistics (ACL). Rico Sennrich and Biao Zhang. 2019. Revisiting low-resource neural machine translation: A case study. In Proceedings of the 57th Annual Meeting of the Association for Computational Linguistics, pages 211–221. Magda Ševčíková. 2018. Modelling morphographic alternations in derivation of Czech. The Prague Bulletin of Mathematical Linguistics, 110(1):7–42. Sebastian Spiegler and Christian Monson. 2010. EMMA: A novel evaluation metric for morphological analysis. In Proceedings of the 23rd International Conference on Computational Linguistics (Coling 2010), pages 1029–1037, Beijing, China. Coling 2010 Organizing Committee. Ashish Vaswani, Noam Shazeer, Niki Parmar, Jakob Uszkoreit, Llion Jones, Aidan N. Gomez, Lukasz Kaiser, and Illia Polosukhin. 2017. Attention is all you need. In Advances in Neural Information Processing Systems, pages 6000–6010. Sami Virpioja, Peter Smit, Stig-Arne Grönroos, and Mikko Kurimo. 2013. 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Elisabeth M. McOmber (10615) Katherine R. Nichols (16711) Annika L. Jones (16483) Snell & Wilmer L.L.P. 15 West South Temple, Suite 1200 Salt Lake City, Utah 84101 801.257.1900 email@example.com firstname.lastname@example.org email@example.com Will Sachse (pro hac vice) Dechert LLP Cira Centre, 2929 Arch Street Philadelphia, Pennsylvania 19104-2808 215.994.2496 firstname.lastname@example.org Erik Snapp (pro hac vice forthcoming) 35 West Wacker Drive, Suite 3400 Chicago, Illinois 60601-1608 312.646.5828 312.646.5858 email@example.com Attorneys for Respondents Purdue Pharma L.P., Purdue Pharma Inc., and The Purdue Frederick Company BEFORE THE DIVISION OF CONSUMER PROTECTION OF THE UTAH DEPARTMENT OF COMMERCE IN THE MATTER OF: PURDUE PHARMA L.P.; PURDUE PHARMA INC.; THE PURDUE FREDERICK COMPANY INC.; RICHARD SACKLER, M.D.; and KATHE SACKLER, M.D., Respondents. REQUEST FOR LEAVE TO ISSUE NOTICE OF ORAL AND VIDEO DEPOSITION OF THE STATE OF UTAH AND FOR EXPEDITED CONSIDERATION DCP Legal File No. CP-2019-005 DCP Case No. 107102 Pursuant to Utah Administrative Code R151-4-602(1), -603(2)(a), -603(2)(b)(ii)—(iii), and -603(4)(d), Respondents Purdue Pharma L.P., Purdue Pharma Inc., and The Purdue Frederick Company Inc. (collectively, “Purdue”), by and through the undersigned counsel, submit this Request for Leave to Issue Notice of Deposition of the State of Utah and for Expedited Consideration, and allege the following in support thereof: 1. Purdue respectfully requests leave to depose the State of Utah (the “State”) through representatives chosen by the State or the State’s counsel (the Office of the Attorney General), on the topics set out in the proposed Notice of Oral and Video Deposition attached hereto as Exhibit 1, pursuant to Utah Administrative Code R151-4-602(1), -603(2)(a), and -603(2)(b)(ii)–(iii). Such depositions are explicitly permitted by the Rules governing the Division of Consumer Protection (the “Division”), UTAH ADMIN. CODE R151-4-603(4)(d), and routine in civil cases in Utah district courts. See UTAH R. CIV. P. 30(b)(6) (“A party may name as the witness a corporation, a partnership, an association, or a governmental agency, describe with reasonable particularity the matters on which questioning is requested, and direct the organization to designate one or more officers, directors, managing agents, or other persons to testify on its behalf.”). Purdue has noticed such depositions in similar opioid-related cases, including an action brought by the South Carolina Attorney General, who is represented by the same private counsel as the Division here. 2. Good cause exists for this Request because Purdue reasonably believes that the State and its agencies have knowledge of matters probative of the Division’s claims and Purdue’s defenses, including, but not limited to, the alleged opioid abuse crisis that is the subject of this administrative proceeding, its causes, and Purdue’s statute-of-limitations defense. On April 23, 2019, the Presiding Officer ordered the Division to include with its Initial Disclosures a good faith list of the representations that form the basis of the Division’s claims. The Division’s list includes approximately 150 representations, all of which were specifically approved by the FDA, occurred well over ten years ago, and/or have no connection to Utah; some are unconnected to any time, place, or person whatsoever. Additionally, the Division did not begin producing documents to Purdue until July 24, 2019—two months after Purdue first served its Requests for Production. Despite this lack of discovery, Purdue has been diligently collecting and investigating publicly available documents concerning the State’s opioid-related knowledge and activities as far back as the 1990s. Purdue has managed to put together some of the pieces of the State’s extensive regulation of opioid prescribing practices and its responses to Utah’s opioid abuse crisis, including (but not limited to) the State’s implementation and funding (or lack of funding) of its Controlled Substances Database beginning in 1995, and a massive and ongoing legislative effort to overhaul the State’s opioid prescribing Guidelines beginning in 2007. These documents confirm that depositions are necessary to determine the State’s knowledge of and actions relating to prescription opioid medications and the causes and effects of Utah’s opioid abuse crisis. 3. Moreover, the Division’s counsel has represented to Purdue’s counsel that requests for informal interviews of witnesses will be futile in this matter. Indeed, because the State and its agencies have an incentive to testify adversely to Purdue, any questioning not taken under oath would serve no meaningful purpose. 4. Purdue respectfully seeks expedited consideration of this Request. The State no doubt will require time to identify and prepare appropriate representatives, many of whom must testify on matters going back over two decades, and Purdue will require time to conduct a follow-up investigation of facts revealed during the depositions. It is therefore essential that the State receive the Notice and the Parties schedule the deposition(s) as soon as possible. IT IS THEREFORE REQUESTED that the Presiding Officer grant Purdue leave to issue the attached Notice of Oral and Video Deposition of the State of Utah, pursuant to Utah Administrative Code R151-4-602(1), -603(2)(a), -603(2)(b)(ii)—(iii), and -603(4)(d). DATED: July 31, 2019. SNELL & WILMER L.L.P. /s/ Elisabeth M. McOmber Elisabeth M. McOmber Katherine R. Nichols Annika L. Jones Will Sachse Erik Snapp (pro hac vice forthcoming) DECHERT LLP Attorneys for Respondents Purdue Pharma L.P., Purdue Pharma Inc., and The Purdue Frederick Company Inc. CERTIFICATE OF SERVICE I hereby certify that on July 31, 2019, I caused a copy of the foregoing to be served by electronic mail upon the following: Bruce L. Dibb, ALJ Heber M. Wells Building, 2nd Floor 160 East 300 South Salt Lake City, Utah 84114 firstname.lastname@example.org Patrick E. Johnson Paul T. Moxley COHNE KINGHORN, P.C. 111 E. Broadway, 11th Floor Salt Lake City, Utah 84111 email@example.com firstname.lastname@example.org Maura Monaghan Susan Gittes DEBEVOISE & PLIMPTON LLP 919 Third Avenue New York, NY 10022 email@example.com firstname.lastname@example.org Douglas J. Pepe, Gregory P. Joseph, Christopher J. Stanley, Mara Leventhal, Roman Asudulayev JOSEPH HAGE AARONSON 485 Lexington Avenue, 30th Floor New York, NY 10017 email@example.com; firstname.lastname@example.org; email@example.com; firstname.lastname@example.org; email@example.com Attorneys for Respondents Richard Sackler, M.D. and Kathe Sackler, M.D. Chris Parker, Acting Director Utah Division of Consumer Protection 160 East 300 South, 2nd Floor Salt Lake City, Utah 84111 firstname.lastname@example.org Robert G. Wing, Kevin McLean UTAH ATTORNEY GENERAL’S OFFICE 160 East 300 South, 5th Floor PO Box 140872 Salt Lake City, Utah 84114-0872 email@example.com; firstname.lastname@example.org Linda Singer, Lisa Saltzburg, Elizabeth Smith, David Ackerman MOTLEY RICE LLC 401 9th St. NW, Suite 1001 Washington, DC 20004 email@example.com; firstname.lastname@example.org; email@example.com; firstname.lastname@example.org N. Majed Nachawati, Matthew R. McCarley, Misty Farris, Jonathan Novak, Ann Saucer FEARS NACHAWATI, PLLC 5473 Blair Road Dallas, Texas 75231 email@example.com; firstname.lastname@example.org; email@example.com; firstname.lastname@example.org; email@example.com Glenn R. Bronson PRINCE YEATES & GELDZAHLER 15 West South Temple, Suite 1700 Salt Lake City, UT 84101 firstname.lastname@example.org Attorneys for the Division /s/ Annika L. Jones EXHIBIT 1 17076340.1 LITIGATION BEFORE THE DIVISION OF CONSUMER PROTECTION OF THE UTAH DEPARTMENT OF COMMERCE IN THE MATTER OF: PURDUE PHARMA L.P.; PURDUE PHARMA INC.; THE PURDUE FREDERICK COMPANY INC.; RICHARD SACKLER, M.D.; and KATHE SACKLER, M.D., Respondents. NOTICE OF ORAL AND VIDEO DEPOSITION OF THE STATE OF UTAH DCP Legal File No. CP-2019-005 DCP Case No. 107102 TO: THE STATE OF UTAH AND THE OFFICE OF THE UTAH ATTORNEY GENERAL. PLEASE TAKE NOTICE that, pursuant to Utah Administrative Code R151-4-602(1), -603(2)(a), -603(2)(b)(ii)–(iii), and -603(4)(d) and Utah Rule of Civil Procedure 30(b)(6), Purdue Pharma L.P., Purdue Pharma Inc., and The Purdue Frederick Company Inc. (collectively, “Purdue”), by and through the undersigned counsel, will take the videotaped deposition of the State of Utah on the matters listed in Exhibit A, attached hereto. The deposition will commence at 9:00 a.m. on Monday, August 19, 2019, at Snell & Wilmer, LLP, 15 W. South Temple, Suite 1200, Salt Lake City, Utah 84101. Pursuant to Utah Administrative Code R151-4-603(4)(d), the State of Utah shall designate one or more of its officers, directors, managing agents, or other persons who consent to testify on its behalf concerning the matters identified in Exhibit A. The persons so designated shall testify as to all information related to the matters listed in Exhibit A that is known or reasonably available to the State. The deposition shall be recorded by stenographic and videographic means and taken before a person authorized by law to administer oaths, pursuant to Utah Administrative Code R151-4- 603(2)(a), and -603(2)(b)(ii)-(iii). The videotaped deposition shall continue from day-to-day, excluding Saturdays, Sundays, and holidays recognized by the Presiding Officer, until the examination is completed. DATED: July 31, 2019. SNELL & WILMER L.L.P. /s/ Elisabeth M. McOmber Elisabeth M. McOmber Katherine R. Nichols Annika L. Jones Will Sachse Erik Snapp (pro hac vice forthcoming) DECHERT LLP Attorneys for Respondents Purdue Pharma L.P., Purdue Pharma Inc., and The Purdue Frederick Company EXHIBIT A 17076340.1 LITIGATION MATTERS OF INQUIRY 1. The Utah State Legislature’s budgeting decisions related to reducing abuse, addiction and death associated with prescription pain medication, including but not limited to the decision to increase funding to the Department of Health (“DOH”) in 2007, decrease DOH funding from 2010 to 2014, and increase DOH funding from 2015 to the present, and for each decision: (1) information and data sources considered in and the rationale for determining the funding in each year; (2) the specific amount of funds allocated each year; (3) the state agencies, departments, or divisions that received increased funding; (4) any cost vs. benefit and/or outcomes analyses; and (5) any analysis or discussion of other state needs that affecting, , in whole or part, DOH funding. 2. The Office of the Legislative Auditor General’s investigations, findings, recommendations, and conclusions regarding prescription pain medication abuse, addiction, and death in Utah. 3. The Utah Prescription Pain Medication Program (“PPMP”), including: (1) its purpose; (2) persons responsible for the decisions of the PPMP; (3) its budget; (4) information and data sources considered when determining which actions and initiatives to pursue through or in conjunction with the PPMP; (5) actions the PPMP has taken or recommended generally; (6) the PPMP’s role in developing Utah’s 2009 Utah Clinical Guidelines on Prescribing Opioids, 2016 updates, and/or 2018 Utah Clinical Guidelines on Prescribing Opioids for Treatment of Pain (collectively the “Guidelines”); and (7) actions considered or recommended but not taken. 4. The Guidelines, including: (1) the selection of persons responsible for the creation and publication; (2) information and data sources considered; (3) the legislative focus that precipitated the Guidelines (2007 HB 137; 2018 HB 192), including but not limited to reports, discussions, objections, or endorsements that influenced the passage of each house bill and each guideline; (4) the content/substance; (5) recommendations considered but not included; (6) efforts by the State in assessing the continued medical appropriateness of the Guidelines; and (7) interactions with others (within or outside of Utah). 5. The State’s (or any entity, department or division associated with the State’s) consideration, endorsement (in whole or part), and/or rejection of the 2004 prescribing guidelines distributed by the Federation of State Medical Boards and/or any prior iterations thereof. 6. The State’s (or any entity, department or division associated with the State’s) consideration, endorsement (in whole or part), and/or rejection of the CDC’s “Guidelines for Prescribing Opioids for Chronic Pain.” 7. The Utah Attorney General’s “Opioid Task Force” including: (1) its formation; (2) persons responsible for its creation and implementation; (3) information and data sources considered in connection with its formation as well as its operation; (4) recommendations made and/or actions taken (5) actions considered and not taken; (6) budgetary support and/or constraints; and (7) interactions with others (within or outside of Utah). 8. Utah’s prescription medication “Take Back Program” including: (1) its purpose and formation; (2) persons responsible for its creation and implementation; (3) information and data sources considered in connection with its formation as well as its operation; (4) recommendations made and/or actions taken; (5) actions considered and not taken; (6) budgetary support and/or constraints; (7) interactions with others (within or outside of Utah). 9. The Utah Violence & Injury Prevention Program (“VIPP”), including: (1) information and data sources considered when analyzing the impact of opioid prescribing including, but not limited to, sources and data considered in connection with VIPP’s “Opioid Prescribing Practices in Utah” publication(s); (2) recommendations made and/or actions taken with respect to opioid-related injuries, including but not limited to, VIPP’s “Utah Coalition for Opioid Overdose Prevention,” “Utah Pharmaceutical Drug Crime Project,” and “Utah Pharmaceutical Drug Community Project”; (3) actions and recommendations considered but not taken with respect to opioid-related injuries; (4) budgetary support and/or constraints; and (5) interactions with others (within or outside of Utah), including but not limited to, the Intermountain Opioid Community Collaborative. 10. Any public service announcements, public education initiatives, and/or media campaigns conducted by the State (or any entity, department or division associated with the State) relating to opioid awareness specifically and drug abuse and misuse generally, including but not limited to the “Use Only as Directed” and “Stop the Opidemic” initiatives, and for each: (1) persons responsible for creating, recommending, and implementing each initiative; (2) information and data sources considered in and rationale for each initiative; (3) initiatives considered but not made or undertaken; (4) the role of budgetary support and/or constraints; and (5) analysis of any data or information concerning the results or effects of each initiative. 11. The investigation, prosecution, and/or discipline of physicians, pharmacists, clinics, or other health care providers in the State relating to prescription pain medication including: (1) the standards, practices, and policies that governed such investigations (2) the facts underlying each investigation, prosecution, or disciplinary action; (3) the persons responsible for initiating the investigation, prosecution, or disciplinary action; (4) the information and data sources considered and the rationale for initiating the investigation, prosecution, or disciplinary action; (5) the outcome of each investigation, prosecution, and disciplinary action; (6) the communication of those outcomes to the public or to any pharmaceutical manufacturer, distributor, dispenser, or prescriber; and (7) any investigations, prosecutions, and disciplinary actions considered but not initiated and/or completed. 12. The State’s (or any entity, department or division associated with the State’s) participation and involvement in any action by the National Association of Attorneys General (“NAAG”) relating to prescription pain medication, including but not limited to the 2005 Letter Re: DEA Withdrawal of Pain Management Prescription Guidelines from the NAAG to the Drug Enforcement Administration. 13. The Office of Legislative Research and General Counsel’s Opioid Misuse: Options for Prevention, Identification, and Treatment (Apr. 21, 2016) including: (1) persons responsible for conceiving and directing its creation; (2) the facts, data, and other factors considered in and rationale for conceiving and directing its creation; (3) information and data sources considered; (4) options considered but not included; and (5) the results and/or actions taken. 14. The Utah Controlled Substance Database Program (“CSD”), including: (1) persons responsible for its creation and enforcement, (2) the amount and type of data collected; (3) the number of practicing physicians and/or pharmacists using the CSD; (4) the number of individuals with access to the CSD; (5) funding received by the state or federal government; (6) information and data sources considered when determining CSD requirements, including the review of other prescription drug monitoring programs in other states; (7) data-collection and compliance requirements for physicians and pharmacies; (8) actions or compliance requirements considered but not imposed; (9) support or opposition from pharmacies or physicians to the CSD’s requirements; and (10) interactions with others (within or outside of Utah). 15. The policies, procedures, operations, and activities of the DOH, or its divisions, related to prescription pain medications specifically, and licit and illicit drug misuse and abuse generally, including: (1) any collection, investigation, or analysis of relevant data and the resulting findings; (2) budgetary support and/or constraints; (3) any follow-up report, recommendation, or action, including C. Porucznik, Studying Adverse Events Related to Prescription Opioids: The Utah Experience (2011); and (4) any investigation, collection, or analysis that was considered but not conducted. 16. The policies, procedures, operations, and activities of the Office of the Medical Examiner (“OME”), related to prescription pain medications specifically, and licit and illicit drug misuse and abuse generally, including: (1) drug testing, (2) determining and reporting cause of death, (3) determining and reporting association between death and particular drugs or drug categories; and (4) determining and reporting suicides vs. other unintentional causes of death. 17. The DOH’s 2005 Workgroup that produced the report authored by David N. Sundwall and Robert T. Rolfs titled: Prescription Opioid Medication Deaths in Utah, Summary of Findings, Workgroup Meeting (Oct. 24–25, 2005), including: (1) its formation and purpose; (2) persons responsible for its creation and implementation; (3) information and data sources considered in connection with its formation and operation; (4) recommendations made and/or actions taken; (5) actions considered and not taken; (6) budgetary support and/or constraints; and (7) follow-up workgroup meetings or investigations related to abuse, addiction, and death associated with prescription pain medication in Utah. 18. The policies, procedures, operations, and activities of the Utah Department of Human Services (“DHS”), or its divisions, including the Division of Substance Abuse & Mental Health (“DSAMH”), related to prescription pain medications specifically, and licit and illicit drug misuse and abuse generally, including: (1) any collection, investigation, or analysis of relevant data and the resulting findings, including those in the DSAHM Annual Report, Executive Summary, or equivalent; (2) budgetary support and/or constraints; (3) any follow-up report, recommendation, or action; and (4) any investigation, collection, or analysis that was considered but not conducted. 19. The Division of Disease Control and Prevention ("DDCP"), including: (1) any collection, investigation, or analysis of facts or data relating to abuse, addiction, and death associated with prescription pain medication; (2) information and data sources considered; (3) budgetary support and/or constraints; (4) the results of any such collection, investigation, or analysis; (5) the disbursement or distribution of the results in a report or otherwise; (6) any follow-up report, recommendation, or action; and (7) any investigation, collection, or analysis that was considered but not conducted. 20. County-by-county differences in prescribing, abuse, addiction, and death associated with prescription pain medications specifically and licit and illicit drugs generally, including: (1) the State’s collection and/or analysis of such data; (2) information and data sources considered in the State’s collection of data; (3) efforts to collect information and data that were considered but not undertaken; (4) the persons responsible for the State’s decision(s); and (5) the substance of any findings or conclusions. 21. The policies, procedures, operations, and activities of any State-run healthcare facility, including prisons, hospitals, and emergency rooms, related to prescription pain medications specifically, and licit and illicit drug misuse and abuse generally, including: (1) the diagnosis and treatment of pain and use of pain medications, including prescription opioids; (2) the use of “pain scales,” and of pain “the fifth vital sign;” (3) the use of patient satisfaction surveys or similar evaluation tools; and (4) restrictions on detailing by pharmaceutical manufacturers, including manufacturers of prescription opioids. 22. Complaints, reports, or petitions submitted from any source to the Utah Division of Consumer Protection, relating to prescription opioid marketing, and as to each: (1) the substance of the complaint, report, or petition and the date on which the State received it; (2) the persons responsible for reviewing, evaluating, and addressing the complaint, report, or petition; (3) any and all information considered and the initial or final recommendation or decision; and (4) any reporting to or communications with any company with regard to its opioid marketing practices. 23. The Attorney General Office’s knowledge of the May 2007 Guilty Plea Agreement in the matter of United States v. The Purdue Frederick Co., Inc., 1:07-cr-29 (W.D. Va. May 10, 2007), and any settlement agreement(s) or consent judgment(s) entered into by Purdue and any State AG other than the AG of Utah. 24. The policies, procedures, operations, and activities associated with Utah’s Medicaid program related to prescription pain medications, including: (1) decision(s) to include or exclude any prescription pain medication in a formulary or preferred drug list and to require prior authorization before reimbursing prescriptions for any pain medication, including but not limited to the decisions of any Pharmacy and Therapeutics (“P&T”) Committee or Drug Utilization Review Board (“DURB”); (2) information and data sources considered for each decision, including budgetary support and/or constraints; (3) information and data considered and rationale for approving or not approving prescriptions for any prescription pain medication submitted for reimbursement; (4) any prospective or retrospective drug utilization reviews and the results of those reviews; and (5) the State’s involvement in, and actions taken with, the Sovereign States Drug Consortium (“SSDC”) relating to prescription pain medication, including but not limited to the SSDC’s role in any formulary or rebate policies or decisions. 25. The policies, procedures, operations, and activities associated with the Utah Employee Benefits and Insurance Program related to prescription pain medications, including: (1) decision(s) to include or exclude any prescription pain medication in a formulary or preferred drug list and to require prior authorization before reimbursing prescriptions for any pain medication, including but not limited to the decisions of any P&T Committee or DURB; (2) information and data sources considered for each decision, including budgetary support and/or constraints; (3) information and data considered and rationale for approving or not approving prescriptions for any prescription pain medication submitted for reimbursement; and (4) any prospective or retrospective drug utilization reviews and the results of those reviews. 26. The policies, procedures, operations, and activities associated with Utah Workers’ Compensation Insurance related to prescription pain medications, including: (1) decision(s) to include or exclude any prescription pain medication in a formulary or preferred drug list and to require prior authorization before reimbursing prescriptions for any pain medication, including but not limited to the decisions of any P&T Committee or DURB; (2) information and data sources considered for each decision, including budgetary support and/or constraints; (3) information and data considered and rationale for approving or not approving prescriptions for any prescription pain medication submitted for reimbursement; and (4) any prospective or retrospective drug utilization reviews and the results of those reviews. 27. The policies, procedures, operations, and activities associated with the Children’s Health Insurance Program related to prescription pain medications, including: (1) decision(s) to include or exclude any prescription pain medication in a formulary or preferred drug list and to require prior authorization before reimbursing prescriptions for any pain medication, including but not limited to the decisions of any P&T Committee or DURB; (2) information and data sources considered for each decision, including budgetary support and/or constraints; (3) information and data considered and rationale for approving or not approving prescriptions for any prescription pain medication submitted for reimbursement; and (4) any prospective or retrospective drug utilization reviews and the results of those reviews. 28. The State’s funding of addiction or overdose treatment and/or prevention, including: (1) persons responsible; (2) information and data sources considered; (3) analysis of facts and data; (4) how dollars were allocated, including but not limited to medical and law enforcement efforts; (5) options that were considered but not provided or funded; and (6) any collection and analysis of data or information concerning the results of treatment or prevention options provided or funded. 29. Neonatal Abstinence Syndrome ("NAS"), including: (1) the State’s knowledge, collection, investigation, and analysis of facts and data concerning NAS or its causes, including but not limited to the State’s knowledge of persons diagnosed with NAS who have been in the State’s care or custody; and (2) the results of any analysis concerning NAS and its causes. 30. Crimes in Utah and/or changes in crime rates that the State believes are associated with prescription pain medications including: (1) information and data sources considered and how they were collected and analyzed; (2) the persons responsible for the collection and analyses; (3) any conclusions reached and actions resulting therefrom; (4) any actions considered by the State as a result of the State’s findings, but not taken; and (5) any specific findings or conclusions specifically linking alleged prescription pain medication crimes to alleged false or misleading statements by Purdue.
Activelets and sparsity: A new way to detect brain activation from fMRI data Ildar Khalidov\textsuperscript{1}, Dimitri Van De Ville\textsuperscript{1}, Jalal Fadili\textsuperscript{2}, and Michael Unser\textsuperscript{1} \textsuperscript{1}Biomedical Imaging Group, Ecole Polytechnique Fédérale de Lausanne (EPFL), Switzerland \textsuperscript{2}ENSI Caen, France ABSTRACT FMRI time course processing is traditionally performed using linear regression followed by statistical hypothesis testing. While this analysis method is robust against noise, it relies strongly on the signal model. In this paper, we propose a non-parametric framework that is based on two main ideas. First, we introduce a problem-specific type of wavelet basis, for which we coin the term “activelets”. The design of these wavelets is inspired by the form of the canonical hemodynamic response function. Second, we take advantage of sparsity-pursuing search techniques to find the most compact representation for the BOLD signal under investigation. The non-linear optimization allows to overcome the sensitivity-specificity trade-off that limits most standard techniques. Remarkably, the activelet framework does not require the knowledge of stimulus onset times; this property can be exploited to answer to new questions in neuroscience. Keywords: fMRI, wavelets, exponential-spline wavelets, sparse approximations 1. INTRODUCTION Functional magnetic resonance imaging (fMRI) has become a predominant modality for imaging human brain function. The blood-oxygenation-level-dependent (BOLD) signal, which originates from an overcompensation in oxygenated hemoglobin following neuronal activity by the neurovascular system, can be measured and localized using fast acquisition of T2* MRI volumes. The analysis of these large spatio-temporal datasets is difficult due to noise, measurement artifacts, and the variability of the BOLD response. The classical approach puts forward a linear model to explain a voxel’s time course. The modeled BOLD response is the convolution of the hemodynamic response function (HRF) with the stimulus function, which can be a train of boxcar functions (block-based paradigm) or Dirac delta-functions (event-related paradigm). A widely used model for the HRF is the sum of two gamma-functions. Finally, voxels are declared as activated based on the results of statistical hypothesis testing.\textsuperscript{1} The variability of the BOLD response is particularly important in event-related fMRI (efMRI). It has been shown that (1) the inter-subject differences in BOLD response are stronger than spatial ones inside one subject; (2) the intra-subject variability is stronger in space than in time; and (3) task-related responses have more coherent shapes than other activations, such as cardiac and respiratory ones.\textsuperscript{2} Several extensions have been proposed to the classical approach to deal with variations in BOLD response. Friston et al. include the orthonormalized versions of first partial derivatives of the HRF model with respect to parameters in the regression procedure.\textsuperscript{3} Adding more regressors reduces the number of degrees of freedom and requires looking for an optimal trade-off between sensitivity (ability to identify the active voxels) and specificity (ability to identify non-active voxels). Friman et al. use canonical correlation analysis to find basis functions having this optimal trade-off.\textsuperscript{4} To get ultimate adaptivity, one could build up the model for the HRF directly from the data. The FIR basis approach constructs the HRF as an FIR filter using statistical significance as an optimization criterion. Finally, we mention PCA and ICA methods that consider the problem as blind deconvolution of multiple sources. This strategy provides a data-dependent decomposition based on an information-theoretic criterion. Further author information: (ildar.khalidov, dimitri.vandeville, michael.unser)@epfl.ch firstname.lastname@example.org In this paper, we propose a new dictionary of building blocks (activelets) that approximate well a class of gamma-function HRF models, instead of having a single HRF model. Recently, a family of exponential-spline wavelets has been introduced.\textsuperscript{5} Their properties are essentially transpositions of polynomial-related properties of traditional wavelets to the exponential-polynomial (gamma functions) setting. This makes exponential-spline wavelets natural candidates that can be tuned for our purpose. Another important ingredient of our approach is the usage of sparsity-driven algorithms to recover (in a data-dependent way) the underlying activations. To get the minimum-budget building atoms of the event-related activation response, our problem is formulated as finding the sparsest solution to an underdetermined linear system of equations, which is the solution with the smallest number of nonzero elements. Therefore, we would like to solve a sparsity-promoting optimization problem, where a quadratic data fidelity term is optimized under a sparsity-budget constraint as measured by the $l_1$ norm. Solving such problems is the area of an active research work. We validated this approach as follows. An initial experiment consisted into approximating arbitrary shifts of a single gamma function. For the noiseless case, we found that the exponential-spline wavelet basis allowed a very good approximation with as few as 4 coefficients. Interestingly, traditional B-spline wavelets required more than 30 coefficients to obtain the same approximation quality. To further demonstrate the feasibility of our approach, we evaluated its performance using a stochastic signal simulator. Three synthetic activations were generated as HRFs with random onset and parameters (time-to-peak and decay) and corrupted with additive white noise. The sparsity algorithms nicely detected all the activations within the presence of noise, even at SNRs at 15dB. Note that the activations were detected without any prior knowledge on the stimulus function, as opposed to model-based approaches. In addition, our method appears to cope well with the variability of BOLD responses. This paper is organized as follows. In Section 2, we use the gamma-function model for the fMRI time series to find an appropriate wavelet (activelet) basis that could be used for the analysis. The activelet dictionary is used to formulate the sparse optimisation problem in Section 3. We outline our algorithm in Section 4 and show the validation results in Section 5. Finally, in Section 6, we discuss current challenges and the potential usage of the activelet method in neuroscience. \section{Activelets Representation} Consider a number of neuronal events at the time points $t_k$, which can be modeled by a train of Dirac delta-functions as $$s(t) = \sum_{k=1}^{N} \delta(t - t_k).$$ In efMRI, the timings $t_k$ are known by the stimulation pattern. If we further assume the canonical HRF model with the linear-shift-invariant assumption, we can then expect the induced BOLD signal $x(t)$ to be $$x(t) = s * h(t),$$ where $h(t)$ is the canonical HRF that is described by a difference of gamma functions: $$h(t) = g(t; \tau_1, l_1) - \frac{1}{6}g(t; \tau_2, l_2), \quad g(t; \tau_l) = \frac{l^l \tau_l^{l-1} e^{-lt}}{\Gamma(\tau)}.$$ The parameters of the Gamma functions are chosen by specifying the delay to peak ($\tau/l$) and the dispersion ($\tau/l^2$). The standard parameters are: delay=6s, dispersion=1s for the initial peak, and delay=16s, dispersion=1s for the undershoot.\textsuperscript{1} Therefore, $x(t)$ can be rewritten as $\sum_{k=1}^{N} h(t - t_k)$. The measured (noisy) data corresponds to $$y[k] = x(k) + n[k],$$ where $n[k]$ represents the additive gaussian noise. In traditional fMRI analysis, the relevant question is whether the voxel is active or not with respect to the known stimulus function. This question is answered by measuring the strength of the signal (1) in the data $y[k]$. A regression is fitted to the data: the resulting signal weight is subject to statistical testing for each voxel, using its corresponding $t$-value. In the case of eMRI, this method can be very sensitive to HRF variations: inaccurate estimation of the parameters $\tau_1$ and $\tau_2$ could lead to a false negative response. At the same time, $\tau_1$ and $\tau_2$ are fixed for the whole volume. In order to account for the variability of $h(t)$, state-of-the-art data analysis tools, such as SPM, include the partial derivatives $dx/dt$ and $dx/d\tau_1$ in the regression. This makes the model more flexible; note, however, that each added regressor increases the risk of fitting non-stimuli related components in the signal, potentially giving way to false positive responses. Selection of regressors always boils down to setting a trade-off between sensitivity and specificity. In this paper, we choose a different approach, which does not rely on the prior knowledge of the timings $t_k$. We note that the gamma-functions in (2) are piecewise exponential polynomials. A convenient tool to compactly represent such signals is the exponential-spline wavelet (ESW) transform.\textsuperscript{5} This transform is governed by a vector parameter $\vec{\alpha}$; similar to traditional wavelets, it provides a stable representation of $L_2(\mathbb{R}) = \oplus_{i=-\infty}^{\infty} W_i$ in terms of orthogonal wavelet spaces $W_i = \text{span}\{\psi_i(t - 2^k k)\}_{k \in \mathbb{Z}}$. As compared to the traditional case, the wavelets become scale-dependent. Nevertheless, the ESW transform can still be performed by means of fast Mallat’s filterbank algorithm with scale-dependent filters. Qualitatively, the ESW transform shows the same properties regarding exponential polynomials as the traditional wavelet transform has for polynomial functions. In particular, for piecewise exponential polynomials, it has the energy-compaction property, leading to sparse representation in the ESW domain. All these favourable properties of exponential-spline wavelets make them a natural tool for fMRI time-course analysis. One degree of freedom is the choice of the ESW parameter $\vec{\alpha}$. We have optimized $\vec{\alpha}$ by minimizing the reconstruction error of the canonical HRF from $K$ wavelet coefficients averaged over an interval of values for $\tau_1$ and $\tau_2$. With the optimal choice of $\vec{\alpha} = \{-0.6, -0.6, -0.6, -0.6\}$, we are able to reconstruct the HRF from as little as $K = 4$ coefficients with an average SNR of 30dB. We coin the term \textit{activelets} the corresponding HRF-adapted exponential-spline wavelets. In comparison, to obtain the same quality using regular B-spline wavelets, which corresponds to setting $\vec{\alpha} = \{0, 0, 0, 0\}$, we need about 30 coefficients. The activelet transform gives us a representation that concentrates the energy of an fMRI time course on few coefficients. In the next section, we describe a way detect BOLD activity in the noisy signal by means of a sparse optimization problem. ### 3. OPTIMIZATION PROBLEM We observe the noisy measurements $y[k]$ of the signal $x(t)$ as in (3), and we would like to find the sparsest set of wavelet coefficients $\beta_0$ that fits $y[k]$ best after reconstruction. Mathematically, we can state this as a constrained optimisation problem $$\min_{\beta} \\| \beta \\|_0 \quad \text{subject to} \quad \\| y - \Phi \beta \\|_2 \leq \epsilon,$$ where $\Phi$ is the inverse ESW transform matrix, $\epsilon$ is a constant of the same order as the noise norm, and the $\ell_0$ quasi-norm of a vector is the number of its non-zero components. Unfortunately, the functional to be optimized here is not convex, which makes the problem (4) NP-hard, demanding exorbitant computational efforts in general. This is why authors in\textsuperscript{4} advocated the convexified $\ell_1$ form: $$\min_{\beta} \\| \beta \\|_1 \quad \text{subject to} \quad \\| y - \Phi \beta \\|_2 \leq \epsilon,$$ Problem (5) can be also stated in the augmented lagrangian form $$\beta_0 = \arg \min_{\beta} \\| y - \Phi \beta \\|_2^2 + \lambda \\| \beta \\|_1,$$ where $\lambda$ is a regularisation parameter. The best choice of $\lambda$ is determined by the actual noise level, which is estimated using e.g. the MAD.\textsuperscript{7} Table 1. Mean and standard deviation of random parameters in the synthetic experiment. \| Parameter \| Mean \| Standard deviation \| \|-----------\|------\|--------------------\| \| $a_1, a_2, a_3$ \| 1 \| 0.2 \| \| $\tau_1$ \| 6 \| 1.5 \| \| $\tau_2$ \| 16 \| 1.5 \| Note that the problems (6) and (4) are equivalent under an appropriate correspondence of parameters; that is, for a given $0 \leq \lambda < +\infty$ there exists $\epsilon > 0$ such that the two problems share the same solution, and vice versa. Formulation (6) is a (perturbed) linear programming problem known as BPDN.\footnote{It has been shown in [6, Theorem 3.1] that if the noiseless ideal signal $x$ is sufficiently sparse with $\\|\beta\\|_0 \leq (\mu_g^{-1} + 1)/4^$, then $\beta_0$ is the unique maximally sparse representation of $x$, and stable recovery is possible by minimizing (5). As far as the solution to (6) is concerned, Tropp [8, Theorem 8 and Corollary 9] proved that if $x$ is sufficiently sparse in $\Phi$ with $\\|\beta\\|_0 < \mu_g^{-1}/2$, and if the regularization parameter $\lambda$ is chosen higher than the noise level, then the support of the solution to (6) is either contained or identical to the support of $\beta_0$. In summary, if the signal has a sufficiently sparse representation, then, by minimizing either (5) or (6), we obtain a solution that (i) is the unique sparsest solution, (ii) is recovered with the appropriate sparsity pattern, and (iii) is stable to noise.} It has been shown in [6, Theorem 3.1] that if the noiseless ideal signal $x$ is sufficiently sparse with $\\|\beta\\|_0 \leq (\mu_g^{-1} + 1)/4^$, then $\beta_0$ is the unique maximally sparse representation of $x$, and stable recovery is possible by minimizing (5). As far as the solution to (6) is concerned, Tropp [8, Theorem 8 and Corollary 9] proved that if $x$ is sufficiently sparse in $\Phi$ with $\\|\beta\\|_0 < \mu_g^{-1}/2$, and if the regularization parameter $\lambda$ is chosen higher than the noise level, then the support of the solution to (6) is either contained or identical to the support of $\beta_0$. In summary, if the signal has a sufficiently sparse representation, then, by minimizing either (5) or (6), we obtain a solution that (i) is the unique sparsest solution, (ii) is recovered with the appropriate sparsity pattern, and (iii) is stable to noise. The optimisation in (6) can be cast as a (perturbed) linear program, and solved using general purpose solvers such as simplex and interior point methods which are slow for large-scale problems. There has also been interest in the statistical community in fitting regression models while imposing $\ell_1$-norm constraints on the regression coefficients. In [9–11] the Lasso, LARS and Homotopy methods were proposed to solve (6) in the overdetermined case for all $\lambda \in [0, \\|\Phi^T y\\|_\infty]$. In this paper, we propose an approximate path-following algorithm which identifies groups of atoms at each iteration using a stagewise iterative-thresholding (IT) variant of LARS, where the sequence $\{\lambda_k\}_{k \geq 0}$ is not data-adapted, but allowed to be strictly decreasing.\footnote{We now have all the tools needed for the activelet method, which is outlined in the next section.} It can be shown that the computational complexity of IT-LARS is $O(KV)$. Here, $K$ is the number of non-zero coefficients in the solution, and $V$ is the cost of the ESW decomposition. 4. THE ACTIVELET APPROACH The algorithm takes the fMRI time course $y[k]$ as input, which is fed into the sparse-solution search algorithm that uses the activelet decomposition routine to perform fast dictionary search. We use the undecimated wavelet (activelet) transform in order to gain shift-invariance. In addition, large-scale B-splines are incorporated in the dictionary to fit the fMRI baseline signal. In case when the the voxel’s time course encodes brain activity, the activelet part of the representation becomes non-zero but still remains sparse. The full reconstruction contains BOLD signal both due to activation and baseline. Contrarily, for a pure noisy voxel, coefficients of the activelet decomposition are kept to zero by the sparsity-pursuing algorithm and the fit reduces essentially to the baseline component. 5. SYNTHETIC EXPERIMENT As a proof of concept, we have validated our approach on a synthetic dataset with 3 stimuli occurring at non-regularly spaced time moments. The variability is of HRF has been modelled by randomizing the amplitudes $a_1, a_2, a_3$ and the canonical HRF parameters $\tau_1, \tau_2$ of the 3 responses. The means and standard deviations of these variables in our experiment are shown in Table 1. The data was corrupted by gaussian white noise with standard deviation $\sigma = 0.15$. In Figure 1, we show a typical activelet fit to a noisy dataset. We observe good visual quality of the reconstructed signal and a significant gain (+6 dB on average) in the SNR, despite the strong noise level in the original data. Importantly, as seen in Figure 2, a simulated pure-noise time course does not have a sparse activelet representation, and the algorithm detects no activations. We repeat the same experiment using traditional B-spline wavelets (cf. Fig. 3 and Fig. 4). The important degradation of results stresses the importance of a Figure 1. Activelet fit to a noisy fMRI time-course. Thin line: original signal. Dashed line: noisy measurements. Thick line: reconstruction from sparse activelet representation. Figure 2. Activelet fit (thick line) to pure noisy data (dashed line). No activations are detected. Figure 3. Wavelet fit to a noisy fMRI time-course. Thin line: original signal. Dashed line: noisy measurements. Thick line: reconstruction from sparse wavelet representation. Figure 4. B-spline wavelet fit (thick line) to pure noisy data (dashed line). Noise is partially fitted by the traditional wavelets. properly designed, problem-adapted wavelet basis. In particular, sparse optimisation with traditional wavelets cannot distinguish pure noise from the activity-related signal. 6. CONCLUSION AND OUTLOOK We have presented a novel approach for detecting activity in fMRI. The fMRI time course is decomposed in the newly designed activelvet basis that concentrates activity-related energy on few wavelet coefficients; these coefficients are then identified by means of a sparse search algorithm. The activelvet representation and the sparse search algorithm are the two main ingredients for our method. From the sensitivity-specificity viewpoint, activelts alone are nothing but a very flexible model; used with a least-squares fit, they would “detect” the whole signal. At the same time, we have shown that sparse optimisation with traditional wavelets can not fit the signal properly. Undecimated wavelet transform has a disadvantage of having highly correlated elements in the dictionary. This has a double negative impact on the algorithm: on one hand, the computation time amounts up to 5 sec/voxel; on the other hand, the noise could eventually well fitted by a linear combination of correlated elements. A potential improvement to the algorithm would consist in taking advantage of the knowledge of the dictionary structure and avoiding selection of correlated elements. Interestingly, unlike traditional fMRI time-course processing methods, our algorithm does not use the knowledge of the stimulus times $t_k$. This opens a new horizon to the usage of fMRI in neuroscientific applications, such as mental chronometry, where $t_k$ could be estimated from the time course itself. ACKNOWLEDGMENTS This work was supported by the Center for Biomedical Imaging (CIBM) of the Geneva - Lausanne Universities and the EPFL, the foundations Leenaards and Louis-Jeantet, as well as by the Swiss National Science Foundation under grant 200020-109415. REFERENCES 1. R. Frackowiak, J. Ashburner, W. Penny, S. Zeki, and K. Friston, Human Brain Function, Second Edition, Academic Press, 2003. 2. M. Menz, J. Neumann, K. Mueller, and S. Zysset, “Variability of the BOLD response over time: An examination of within-session differences,” NeuroImage 32, pp. 1185–1194, September 2006. 3. K. J. Friston, P. Fletcher, O. Josephs, A. Holmes, M. Rugg, and R. Turner, “Event-related fMRI: Characterizing differential responses,” NeuroImage 7, pp. 30–40, January 1998. 4. O. Friman, M. Borga, P. Lundberg, and H. Knutsson, “Adaptive analysis of fMRI data,” NeuroImage 19(3), pp. 837–845, 2003. 5. I. Khalidov and M. Unser, “From differential equations to the construction of new wavelet-like bases,” IEEE Trans. Signal Process. 54, pp. 1256–1267, April 2006. 6. D. Donoho, M. Elad, and V. Temlyakov, “Stable recovery of sparse overcomplete representations in the presence of noise,” IEEE Trans. Inform. Th. 52, pp. 6–18, 2006. 7. S. S. Chen, D. L. Donoho, and M. A. Saunders, “Atomic decomposition by basis pursuit,” SIAM Journal on Scientific Computing 20(1), pp. 33–61, 1999. 8. J. Tropp, “Just relax: convex programming methods for identifying sparse signals in noise,” IEEE Trans. Inform. Th. 52, pp. 1030–1051, March 2006. 9. R. Tibshirani, “Regression shrinkage and selection via the Lasso,” Journal of the Royal Statistical Society 58(1), pp. 267–288, 1996. 10. B. Efron, T. Hastie, I. Johnstone, and R. Tibshirani, “Least angle regression,” Annals of Statistics 32(2), pp. 407–499, 2004. \footnote{$\mu_\Phi$ is the mutual coherence of $\Phi$, that is the maximal off-diagonal element in magnitude of its Gram matrix, $1/\sqrt{T} \leq \mu_\Phi \leq 1$, where $T$ is the number of data samples.} 11. M. R. Osborne, B. Presnell, and B. A. Turlach, “A new approach to variable selection in least squares problems,” IMA J. Numerical Analysis 20, pp. 389–403, 2000. 12. M. J. Fadili and J.-L. Starck, “Sparse representation-based image deconvolution by iterative thresholding,” in Astronomical Data Analysis IV, F. Murtagh and J.-L. Starck, eds., (Marseille, France), 2006.
Trading Off Diversity and Quality in Natural Language Generation Hugh Zhang * 1,2 Daniel Duckworth * 1 Daphne Ippolito 1,3 Arvind Neelakantan 4 Abstract For open-ended language generation tasks such as storytelling and dialogue, choosing the right decoding algorithm is critical to controlling the tradeoff between generation quality and diversity. However, there presently exists no consensus on which decoding procedure is best or even the criteria by which to compare them. We address these issues by casting decoding as a multi-objective optimization problem aiming to simultaneously maximize both response quality and diversity. Our framework enables us to perform the first large-scale evaluation of decoding methods along the entire quality-diversity spectrum. We find that when diversity is a priority, all methods perform similarly, but when quality is viewed as more important, the recently proposed nucleus sampling (Holtzman et al., 2019) outperforms all other evaluated decoding algorithms. Our experiments also confirm the existence of the ‘likelihood trap’, the counter-intuitive observation that high likelihood sequences are often surprisingly low quality. We leverage our findings to create and evaluate an algorithm called selective sampling which tractably approximates globally-normalized temperature sampling. 1. Introduction Generative language models are applicable for a wide variety of tasks including writing articles, composing Shakespearean sonnets, or engaging in conversation. For nearly all of these goals, human judgments are the sole way to credibly evaluate the quality of the generated text, rendering it prohibitively expensive to optimize directly over the desired objectives. Researchers typically address this issue by adopting a two-stage process. At train time, models seek to imitate a human-written text corpus as a proxy for the true objective (e.g. higher quality samples). At inference time, models generate text sequences via a decoding algorithm that better optimizes the desired success criteria given the original predictions from the network. Nearly all major breakthroughs in image and language generation over the past few years (Radford et al., 2019; Zhang et al., 2019; Fan et al., 2018) have adopted this two stage process where the model probability distributions differ between train and inference time. This work examines decoding methods for language models, which are well known to be critical for performance in language generation (Ippolito et al., 2019a). Recent efforts for improving generative language models models have focused primarily on altering the model architecture (Vaswani et al., 2017; Gehring et al., 2017), training method (de Masson d’Autume et al., 2019) and model size (Radford et al., 2019; Adiwardana et al., 2020). While effort has also been made towards improving decoders (Vijayakumar et al., 2016; Li & Jurafsky, 2016; Ippolito et al., 2019b), there has been significantly less progress towards evaluating improvements in decoder performance, especially for open-ended generative tasks where successful models must generate a diverse spectrum of high quality answers rather than merely a single output. For many tasks, these two criteria of quality and diversity are not always equally important. In machine translation, the most important criteria is to produce an accurate, high quality translation of the input; generating a variety of alternative translations is also useful, but not if it comes at the cost of correctness. Meanwhile, in open domain dialogue the goal is often to sustain an enjoyable conversation with a human conversational partner and as such, a higher premium is placed on diversity. To give a concrete example for the case of dialogue, the phrase “I don’t know” is usually a perfectly reasonable remark, and it appears quite often during normal human conversation. However, a chatbot that repeats “I don’t know” on every turn of dialogue makes for a very poor conversationalist. In such open-ended domains, being able to converse about a wide variety of topics with the occasional odd remark is highly preferred to merely repeating the safest possible remark over and over (Li et al., 2016). To simultaneously capture both of these criteria, we propose framing the goal of generative language models as a multi-objective optimization over both quality and diversity. The proposed framework is flexible enough to encompass tasks that traditionally place low emphasis on diversity such as machine translation or summarization and others with high diversity such as storytelling. Furthermore, the proposed framework enables us to evaluate existing decoding algorithms by comparing their performance along the entire quality-diversity spectrum. We compare a variety of commonly-used decoding algorithms in the first large-scale study of decoder quality, utilizing over 38,000 ratings on almost 10,000 samples. We find that when diversity is highly valued, all decoders perform similarly, but when quality is viewed as more important, the recently proposed nucleus sampling (Holtzman et al., 2019) outperforms all other evaluated decoding algorithms. Additionally, we use our framework to investigate the commonly held intuition that model likelihood is directly correlated with human quality judgments. First, we explicitly test this belief by measuring the relationship between the quality of a sentence as judged by human raters and its likelihood under a generative model. Our findings confirm the existence of a likelihood trap, the counter-intuitive observation that the highest likelihood sentences are of surprisingly low quality, despite a generally positive relationship between model likelihoods and human quality judgments. While this finding has been observed across a wide variety of language generation tasks and models ranging from news generation to machine translation (Cohen & Beck, 2018; Holtzman et al., 2019), to our knowledge we are the first to explicitly quantify the relationship between the two at all points in the model probability space. Secondly, we propose and evaluate selective sampling, selective sampling, a decoder which emphasizes high probability sentences by drawing samples from the global temperature-adjusted model distribution. While this has traditionally been considered intractable due to the difficulty of computing the partition function, we propose a procedure that uses rejection sampling to directly sample from the desired distribution without explicitly computing the partition function. When evaluating this decoder alongside existing token-by-token decoders, we discover that it performs poorly even when taking the likelihood trap into account, suggesting that local token-by-token decoders may be capable of capturing structure that a global decoder does not. 2. Framework In this section, we introduce a framework for trading off quality and diversity in language generation. Let $ \mathcal{X} $ denote the space of all possible generated sentences. We consider autoregressive language models that decompose the likelihood of a sequence $(x_1, x_2, \ldots, x_n) = x_{1:n} \in \mathcal{X}$ token-by-token in a left-to-right fashion (Hamilton, 1994; Sutskever et al., 2014). Specifically, the (conditional) likelihood of the sequence is: \[ p_{\text{model}}(x_{1:n} \mid c) = \prod_{i=1}^{n} p_{\text{model}}(x_i \mid x_{1:i-1}, c) \] where $c$ is any additional conditioning signal, such as the previous turn of dialogue. Random sampling is the decoding procedure that follows naturally from the factorization of the model’s joint distribution where tokens are sampled one-at-a-time according to the model’s conditional distribution, $p_{\text{model}}(x_i \mid x_{1:i-1}, c)$. Often $p_{\text{model}}$ is not sampled from directly; it is first post-processed by a decoder to bias it toward already high-likelihood tokens. In the proposed framework, we evaluate the quality of a single sentence $x \in \mathcal{X}$ by asking humans for a quality judgment $HJ(x)$. We can define the quality $Q$ of a model as the expected human “quality” judgment for sentences drawn from it: \[ Q(p) = \mathbb{E}_{x \sim p}[HJ(x)] \] We measure the diversity of a model via the Shannon entropy $H$ (Shannon, 1948), a diversity metric widely used across many fields beyond computer science including biology, economics, chemistry, and physics. Shannon entropy is given by: $$H(p) = -\mathbb{E}_{x \sim p}[\log p(x)]$$ This allows us to define our multi-objective optimization problem as maximizing the following goal $G$: $$G(p) = Q(p) + \lambda H(p)$$ where $\lambda$ is the task-specific measure of the relative importance of diversity and quality. For open-ended tasks such as dialogue that place a premium on variety, decoder performance under large $\lambda$ is critical. For more closed domain tasks such as summarization or machine translation, performance under smaller $\lambda$ (including possibly 0) is more important. Ideally, one would optimize directly over goal $G$, but its dependence on human judgments makes direct optimization infeasible in practice. Instead, prior works optimize a proxy objective (such as the KL divergence) then employ a decoding algorithm to “warp” model $p_{\text{model}}$ post-hoc towards higher values of $G$. In the following section, we relate our objective $G$ to existing decoders and investigate a novel decoding algorithm that normalized globally across all possible sequences rather than simply token-by-token. ### 3. Selective Sampling #### 3.1. The Likelihood Trap Sequence likelihood is commonly used as a heuristic for selecting high-quality generations. In the extreme, beam search approximates finding the single most likely generation $x^* = \arg \max_x \log p_{\text{model}}(x)$ and is the approach principally adopted in machine translation (Koehn, 2004). However, prior work has suggested that this assumption of a monotonically positive relationship between sequence likelihood and sequence quality breaks down at the extremes. For example, it is well known in the machine translation and image captioning communities that after a certain point, increasing the beam size hurts BLEU scores and other measures of quality (Stahlberg & Byrne, 2019; Koehn & Knowles, 2017; Vinyals et al., 2016). More recently Holtzman et al. (2019) observe similar phenomena for open-ended generation where the highest likelihood sentences degenerate into extreme repetition. We empirically quantify the relationship between sequence likelihoods and human quality judgments by sub-sampling a large number of context-response pairs representing a wide variety of model log likelihoods. We then request human crowdworkers to rate the quality of each response given the context on a five-point “Terrible”-to-“High Quality” scale. Figure 1 plots these ratings as a function of $\log p_{\text{model}}$ and confirms that on average the highest quality generations are not the most likely. Specifically, we find that response quality is generally positively related with $\log p_{\text{model}}(x)$ up until an inflection point after which it becomes negatively related. In our experiments, this inflection point occurs at $\log p_{\text{model}}(x) = -58.09$. Our findings suggest that while model likelihoods form a good proxy for response quality, naively maximizing over sentence likelihood leads to sub-optimal response quality. We term this phenomenon the likelihood trap. Examples of the likelihood trap can be seen in Table 2. Text sequences with extremely high likelihood tend to devolve into either extreme repetition or other nonsense, which some have attributed to either model biases (Holtzman et al., 2019) or aberrations in the training data (Ott et al., 2018). We do not examine the underlying causes of the likelihood trap in this paper. #### 3.2. Global Temperature Sampling Motivated by our findings that human judgments $HJ$ are positively correlated with model likelihoods for some interval of likelihoods, we investigate whether using $\log p_{\text{model}}$ as a proxy for $HJ$ would lead to a better decoding algorithm. Specifically, we create a proxy quality function, $$\hat{Q}(p) = \mathbb{E}_{x \sim p} \left[ \begin{array}{ll} \log p_{\text{model}}(x), & \text{if } \log p_{\text{model}} < \alpha, \\ -\infty, & \text{otherwise.} \end{array} \right]$$ where $\alpha$ is selected as a hyperparameter. Using globally-normalized temperature sampling, we can then approximate optimizing for $G$ through instead optimizing for the proxy objective $\hat{G}(p) = \hat{Q}(p) + H(p)$. This is due to the following proposition. Proposition 1. Let $p$ be a probability distribution over some finite set $\mathcal{X}$. Let $H$ be the Shannon entropy function. The probability distribution $Q$ which minimizes the reverse KL Divergence $D_{KL}(Q \parallel P)$ subject to $H(Q) = K$ for any achievable constant $K$ has the form, $$Q(x) = \frac{P(x)^{1/\tau}}{\sum_{x \in \mathcal{X}} P(x)^{1/\tau}}$$ for some temperature $\tau \in [0, 1]$. Proof. Proof included in Appendix A.1 When applied to autoregressive models, global temperature sampling is usually dismissed as intractable due to the need to sum over the exponentially large space of all possible sequences in pursuit of the partition function $Z = \sum_x p_{\text{model}}(x \mid c)^{1/\tau}$. Instead, past work typically \| Context \| Response \| $\log p(x)$ \| Classification \| \|------------------------------------------------------------------------\|--------------------------------------------------------------------------\|-------------\|----------------\| \| The Atlanta Falcons have started the 2015 season 4-0 under new head coach Dan Quinn. Quarterback Matt Ryan has the ... \| ... mental Tough O'Rourke Tough apology assessment category of virtue from Boser' Blog here. It's got letters and images on it and is utterly ... \| -177 \| Nonsense \| \| \| ... team afloat and looks closer to the 2010 Atlanta Falcons. Starting cornerback Desmond Trufant was one of the top players on the 2014 ... \| -74 \| Reasonable \| \| \| ... team in the thick of the NFC South race. The Atlanta Falcons have started the 2015 season 4-0 under new head coach Dan Quinn. Quarter... \| -14 \| Repetition \| \| They have changed the phone menu to try to deflect us to email, but you can still get a live ... \| ... answer from a female administratoria llalusshoss@rahpx Sandra PJ Jenniea nightiopq HamidF daroyqg S') ... \| -229 \| Nonsense \| \| \| ... message or call on line, so I suppose they are just using that as an excuse. Yet they are still telling people to change their telephone number... \| -86 \| Reasonable \| \| \| ... link to a phone number here. They have changed the phone menu to try to deflect us to email, but you can still get a live link to... \| -23 \| Repetition \| Table 1. Examples of sentences at various model likelihoods. Sentences with very low log $p_{\text{model}}$ generate nonsense, while sentences that have high likelihood under the model often devolve into extreme repetition. Nonsense and repetition classifications shown here are only for illustrative purposes. Crowdworkers simply rated sentences for overall quality. See Appendix for more details. decomposes sentences into tokens in a left-to-right autoregressive fashion and then use a local approximation, $$\hat{Z} = \prod_{i=1}^{n} \sum_{x_i} p_{\text{model}}(x_i \| x_{1:i-1}, c)^{\frac{1}{\tau}}$$ where models are normalized locally over each set of tokens. This results in the well known (local) temperature sampling algorithm. Unfortunately, while replacing the global partition function with a series of local ones transforms an exponential problem into a linear one, this approximation may bias the model towards favoring local structure over global structure. Indeed, we show via the following example that for some joint distributions, it is impossible to represent globally-normalized temperature sampling via local temperature sampling, even if local temperature sampling is allowed to use a different temperature $\tau$ at each timestep. Proposition 2. There exists a probability distribution $p$ and global temperature $\tau$ such that no choice of parameter allows local temperature sampling to match the joint distribution $p(x)^{1/\tau}$. Proof. Figure 2 illustrates one such choice of $p$. By construction, local temperature sampling is forced to set $p_{\text{local}}(A) = p_{\text{local}}(B)$ regardless of the temperature hyperparameter used at that timestep. Setting a global temperature of $\tau = 0.5$ results in $$P(A) = \frac{0.1^2 + 0.4^2}{0.1^2 + 0.4^2 + 0.25^2 + 0.25^2} = 0.5763$$ $$P(B) = \frac{0.25^2 + 0.25^2}{0.1^2 + 0.4^2 + 0.25^2 + 0.25^2} = 0.4237$$ which is not imitable by any local temperature setting. □ Our core insight is that one can sample from the globally-normalized temperature sampling distribution without estimating the partition function $Z$ via rejection sampling. Rejection sampling (Forsythe, 1972) gives an algorithm from sampling from an (unnormalized) energy distribution $p_{\text{energy}}$ if there exists a proposal distribution $q$ and constant $M$ such that $Mq \geq p_{\text{energy}}$. We observe that $p_{\text{model}} > p_{\text{model}}^{\frac{1}{\tau}}$ for $\tau \in (0, 1)$ and $0 \leq p \leq 1$. This allows us to use $p_{\text{model}}$ as the proposal distribution since the unnormalized probabilities of the global temperature sampling are given by $p_{\text{global}} \propto p_{\text{model}}^{\frac{1}{\tau}}$. Selective sampling, by design, significantly increases the chances of sampling sequences with large values of $\log p_{\text{model}}$. To avoid falling into the likelihood trap, we propose explicitly discarding generations $x$ where $\log p_{\text{model}}(x)$ is greater than a chosen hyperparameter $\alpha$. An additional positive side effect of the cutoff is that the envelope constant $M$ can be chosen to create a tight bound on $p_{\text{energy}}$, which increases acceptance probabilities by several orders of magnitude. A priori, it is not obvious how to choose $\alpha$ effectively. We propose collecting human judgments for a selection of random samples from $p_{\text{model}}$ as illustrated in Figure 1 and setting $\alpha$ equal to the discovered inflection point. Note, that while this results in our procedure ignoring the set of sentences that individually have the highest probabilities, the total probability mass of this set is quite low: less than 0.5% in our experiments. At the extremes of their hyperparameter ranges, these algorithms all converge to greedy decoding and random sampling, respectively. To sweep across the quality-diversity curve, we consider several hyperparameter settings per decoding algorithm below. We refer to each decoding algorithm-hyperparameter combination as a ‘decoding configuration’. 4.1. Setup We apply each decoding algorithm to the 774M parameter variant of GPT-2 (Radford et al., 2019), a publicly-released language model. To ground samples in a common context, we select a set of 48 examples from the GPT-2 test set to condition upon. As samples are evaluated by human raters, we filter out examples containing explicit content or web markup. Samples are drawn by conditioning on a ‘prompt’ consisting of the first 20 space-delimited words of a test example. As sample quality becomes ambiguous when samples are terse (Ippolito et al., 2019a), we explicitly require all sampling methods to generate exactly 30 tokens, a length approximately equal to the prompt. To estimate the expected Human judgment score $\mathbb{E}_p[HJ(x)]$ of the probability distributions induced by each decoding algorithm, we enlist a qualified pool of 146 Amazon Mechanical Turk (AMT) workers selected by satisfactory performance on a qualification task. Workers are presented sets of five samples, each conditioned on the same prompt and drawn from five different algorithm-hyperparameter configurations and asked to assign qualitative scores to each sample ranging from human-like to gibberish. The exact prompts, as shown to crowdworkers, are included in the Appendix. Prior work has found that human annotaters have significant trouble in directly separating out machine and human generated responses when they are of similar quality, as the task of assessing sentence quality is highly subjective (Ippolito et al., 2019a). We found that constructing pairwise preference ratings by randomly pairing samples evaluated at the same time significantly reduced the variance of our results. Specifically, if one sample is rated higher than the other, one is assigned a score of +1 and the other -1. If both are rated equally, both are assigned a score of 0. The score assigned to a decoding configuration is its average score across all pairwise preference ratings. The average scores for each decoding strategy setting we experimented with are shown in Figure 6. 4.2. Results We now introduce the first large-scale study comparing decoding algorithms and their hyperparameters. Unlike all prior work (Holtzman et al., 2019; Ippolito et al., 2019b), we explicitly put decoding algorithms on equal footing by comparing sample quality at equal points of diversity. We consider five hyperparameter configurations per decoding algorithm for a total of twenty decoding algorithm-hyperparameter configurations. For each configuration and prompt, we draw ten samples. In total, workers rate nearly 10,000 samples resulting in over 38,000 paired ratings. ![Figure 4. Human judgment scores as a function of decoding algorithm’s entropy. Each point represents a single choice of decoding algorithm and hyperparameter. Error bars represent 95% bootstrap confidence intervals.](image) Our main results are summarized in Figures 4 and 5. We empirically estimate the entropy of the probability distribution induced by each decoding configuration. Reassuringly, both entropy and human judgment scores vary smoothly with decoding algorithm hyperparameter. As expected, random sampling directly from the model $p_{\text{model}}(x)$ is simultaneously the highest entropy and the lowest quality. This is empirically consistent with the longstanding intuition that decoding algorithms are critical to improving sample quality. Why are samples from random sampling such poor quality? Language models such as GPT-2 are trained to minimize the KL-divergence between a training set and the model distribution $p_{\text{model}}$, an objective that prioritizes recall over precision (Arjovsky et al., 2017). As a result, models tend to ensure that high quality sequences have high likelihood without insisting that all high likelihood sequences also have high quality. When we evaluate samples from the model, we evaluate the latter condition. Our second conclusion is that sample quality varies significantly with entropy for all decoding algorithms. Moreover, when aligned on entropy, sample quality between all autoregressive decoding algorithms is comparable across a wide range. It is only when entropy is low – when decoding algorithms heavily influence sampling – that sample quality between algorithms diverge. In this regime, we find that nucleus sampling outperforms top-$k$, which in turn outperforms temperature sampling. Observing such a difference should be unsurprising: the entropy of a distribution alone does not determine its sample quality. We conclude that a fair comparison of decoding algorithms must not only compare at the same level of entropy but at a range of entropy levels. Finally and most surprisingly, we find that, in spite of its theoretical appeal, selective sampling consistently underperforms all other decoding algorithms considered. 4.3. Selective Sampling Why does selective sampling underperform? Our error analysis yields at least two potential causes: priors induced by decoding algorithms and a context-dependent likelihood trap. We first consider the implicit priors of autoregressive decoding algorithms. Autoregressive decoding algorithms naturally favor sequences $x$ where each token $x_i$ has high model likelihood with respect to its conditional distribution $p_{\text{model}}(x_i \| x_{1:i-1})$. Note that this is not necessarily the same as favoring all high-likelihood sequences with high joint likelihood $p_{\text{model}}(x)$; a criteria selective sampling targets at low temperatures. We hypothesize that autoregressive decoding algorithms are inducing additional structure beyond high joint likelihood. To test this hypothesis, we construct a human rating experiment that pairs random samples from a decoding algorithm with another random samples from the model distribution $p_{\text{model}}$ such that the two samples have the same joint sentence likelihoods. In this way, we are able to control for differences in the distribution of $p_{\text{model}}$ that different decoders induce and explicitly test only how various decoding algorithms promote different sequences with the same overall joint likelihood. We draw samples from three commonly-used decoding configurations conditioned on all 48 prompts and compare each against random sampling by ask crowdworkers to rate which of the paired responses is of higher quality. In Figure 6, we see that temperature sampling with $t = 0.7$ is undeniably preferred to otherwise equivalent samples drawn directly from $p_{\text{model}}$, though for other decoding configurations, the difference is currently less clear. Selective Figure 5. Human judgment scores for each decoding algorithm and hyperparameter choice. "Selective" is selective sampling and "model" is sampling directly from the probability distribution outputted by the language model. A score of 0 represents no preference. Selective sampling underperforms other more computationally efficient strategies. Figure 6. Human judgment scores for paired samples of equal log likelihood. 95% bootstrap confidence intervals. Dotted line represents random judgments. For all decoding strategies it can be seen that decreasing diversity tends to lead to higher-judged outputs. Figure 7. Distribution of prompt-conditional sample log likelihoods for five different prompts. The dotted-line represents the cutoff $\alpha$ used in experiments. sampling, a method with proposals drawn from $p_{\text{model}}$, does not share this prior of its autoregressive locally normalized decoding counterparts. We can thus conclude that the success of a decoding algorithm involves more than promoting high joint likelihood; in this way, selective sampling is deficient. Second, we consider the distribution over sample log likelihoods conditioned on a fixed prompt as show in Figure 7. Depending on the prompt, the distribution over log likelihoods varies from prompt to prompt. In selective sampling, we’ve elected to choose a single, global maximum likelihood constant $\alpha$. For some prompts, this has nearly no impact – nearly all samples have likelihood below the cutoff. For others, this may eliminate nearly half of samples, leaving only those of lower quality. This suggests that a fixed cutoff $\alpha$ for all prompts may not be ideal. Based on the prior experiments, we find that choice of decoding algorithm and its hyperparameter has a significant impact on sample quality and diversity. Further, we find that sample quality and diversity can be traded for one another, and that the merit of a decoding algorithm requires comparing it to others at equivalent levels of diversity. We also given evidence that autoregressive decoding algorithms induce additional preference beyond promoting samples with high joint likelihood; a beneficial preference selective sampling does not share. 5. Related Work Encouraging Diversity Several recent work have proposed strategies for increasing the diversity of text generated by language models. These approaches fall into two broad categories: (1) algorithmic changes to the decoding algorithm and (2) methods that involve training auxiliary language models or modifying the training paradigm for the main language model in some way. The advantage of changing the decoding algorithm is that improvements can be rapidly be implemented on top of any already trained language model. Vijayakumar et al. (2016), Li & Jurafsky (2016), Tam et al. (2019), and Kulikov et al. (2018) all propose modifications to beam search to force it to explore a more diverse set of beams. In contrast, modifications to random sampling that have been proposed aim to reduce diversity and thereby increase quality (Fan et al., 2018; Holtzman et al., 2019). Ippolito et al. (2019b) compare many of these algorithmic advancements on the tasks of open-ended dialog and image captioning, concluding that the quality-diversity tradeoff makes it nearly impossible to say that any one of these methods is ubiquitously best. We choose to evaluate three commonly used decoding methods: nucleus sampling (Holtzman et al., 2019), top-k sampling (Fan et al., 2018), and temperature sampling. All three of these methods control the relative tradeoff between quality and diversity with a single hyperparameter. Top-k sampling samples from only the top-k most likely tokens at a timestep, proportionally according to the original probability. Nucleus sampling (also called top-p) sampling operates similarly, but chooses an adaptive $k$ such that the top-k tokens comprise of the top-p percent of the total probability mass at each timestep. Temperature sampling divides the logits of each token by the temperature hyperparameter before normalizing and converting the logits into sampling probabilities. In terms of diversity-promoting approaches that require training new language models, (Li et al., 2016) use a language model that predicts the source sequence given the target sequence to rank candidate generations, penalizing generations that are too generic (have low $P(\text{source} \mid \text{target})$). Welleck et al. (2019) propose a novel loss function which discourages the model from assigning too high probability to repetitive wording. Zhang et al. (2018) and Xu et al. (2018) use adversarial learning methods to encourage diversity. Though these methods are promising, the extra complexity of training makes them less attractive for quickly improving upon existing language models. The concept of oversampling generations and then ranking them has been popular since the days of statistical machine translation (Shen et al., 2004) but has also been used more recently in other domains (Li et al., 2016; Ippolito et al., 2019b; Kriz et al., 2019). Our particular contribution is to relate our sampling algorithm to the reverse KL divergence and competing objectives maximization. We are also able to use this method to give approximate probability density estimates for sampled sentences, which typically cannot be done for algorithms that oversample generations. Likelihood Trap We are far from the first to observe evidence of the likelihood trap. In particular, the machine translation and image captioning communities have long known that using higher beam sizes often leads to lower BLEU scores (Cohen & Beck, 2018; Vinyals et al., 2016; Yang et al., 2018). In open-ended generation, Holtzman et al. (2019) find similar results, observing that maximizing the likelihood generates extremely repetitive sentences. In addition to finding corroborating evidence that low quality generations appear at both the low and high probability extremes, our main contribution towards understanding the likelihood trap is the first explicit measurement of the relationship between model likelihoods and human quality judgments at all points in the model probability space, not just the endpoints. Ott et al. (2018) attempt to quantify the reasons behind the likelihood trap, proposing that the underlying issue is low quality examples in the training data. They demonstrate that the likelihood trap can be avoided when restricting themselves to a significantly smaller dataset where each training point is carefully examined to guarantee that it is high quality. However, given the recent interest in training increasingly large language models on increasing large datasets, it seems infeasible to guarantee the quality of every example included in the dataset. Frameworks Note that our framework is related, but not identical to many frameworks such as Hashimoto et al. (2019); Kingma & Welling (2013); Goodfellow et al. (2014) which ask that generative models mimic the training distribution exactly. While some tasks do require indistinguishability as the ultimate goal (e.g. representation learning (Bengio et al., 2013), Turing Test (Turing, 2009; Ippolito et al., 2019a), etc.), this is typically not the case for most generation tasks. Humans make errors, but a “perfect” model would not seek to imitate these mistakes. Because we ground quality evaluations in human judgments rather than on any statistical measure, our framework is easily able to capture the possibility of superhuman performance in ways that frameworks based solely on a statistical divergence would find difficult. ### 6. Conclusion In this paper, we propose a framework for credibly evaluating decoding algorithms and use it to conduct the first large scale evaluation of decoding algorithms by measuring their performance along the entire quality-diversity frontier. Our findings suggest that existing decoding algorithms are more or less interchangeable in high diversity settings, but that nucleus sampling performs best when quality is valued over diversity. Additionally, we provide evidence for the existence of a likelihood trap and are the first to explicitly measure the relationship between $\log p_{\text{model}}$ and human judgments. Finally, we propose and evaluate selective sampling, the first algorithm that can tractably estimate globally normalized temperature sampling. In the future, we hope to extend our work to additional generative language models as well as other modalities such as image and music generation. Additionally, we leave questions of whether selective sampling can be improved via choice of an adaptive cutoff that can vary based on the prompt or proposal distributions other than random sampling for future discovery. References Adiwardana, D., Luong, M.-T., So, D. R., Hall, J., Fiedel, N., Thoppilan, R., Yang, Z., Kulshreshtha, A., Nemade, G., Lu, Y., et al. Towards a human-like open-domain chatbot. arXiv preprint arXiv:2001.09977, 2020. Arjovsky, M., Chintala, S., and Bottou, L. Wasserstein gan. arXiv preprint arXiv:1701.07875, 2017. Bengio, Y., Courville, A., and Vincent, P. Representation learning: A review and new perspectives. 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Welleck, S., Kulikov, I., Roller, S., Dinan, E., Cho, K., and Weston, J. Neural text generation with unlikelihood training. arXiv preprint arXiv:1908.04319, 2019. Xu, J., Ren, X., Lin, J., and Sun, X. Diversity-promoting gan: A cross-entropy based generative adversarial network for diversified text generation. In Proceedings of the 2018 Conference on Empirical Methods in Natural Language Processing, pp. 3940–3949, 2018. URL https://www.aclweb.org/anthology/D18-1428. Yang, Y., Huang, L., and Ma, M. Breaking the beam search curse: A study of (re-) scoring methods and stopping criteria for neural machine translation. arXiv preprint arXiv:1808.09582, 2018. Zhang, Y., Galley, M., Gao, J., Gan, Z., Li, X., Brockett, C., and Dolan, B. Generating informative and diverse conversational responses via adversarial information maximization. In Advances in Neural Information Processing Systems, pp. 1815–1825, 2018. Zhang, Y., Sun, S., Galley, M., Chen, Y.-C., Brockett, C., Gao, X., Gao, J., Liu, J., and Dolan, B. Dialogpt: Large-scale generative pre-training for conversational response generation. 2019. A. Appendix A.1. Proof of Proposition 1 Notice first that, subject to $H(Q) = K$, $$\arg \min_Q D_{KL}(Q \parallel P) = \arg \max_Q \sum_{x \in X} Q(x) \log P(x)$$ Properly choosing $K^$ allows us to write the Lagrangian dual for the above constrained optimization problem as $$L(Q, \lambda, \mu) = \lambda (\sum_{x \in X} Q(x) \log P(x)) - K^)$$ $$+ H(Q) + \mu ((\sum_{x \in X} Q(X)) - 1) = 0$$ For any $x \in X$ $$\nabla_{Q(x)} L(Q, \lambda, \mu)$$ $$= \lambda \log P(x) + \log Q(x) + 1 + \mu = 0$$ $$\Rightarrow Q(x) = \frac{P(x)^{-\lambda}}{e^{1+\mu}}$$ Setting $\lambda = -\frac{1}{\tau}$ and $\mu = -1 + \log \sum_{x \in X} P(x)^{\frac{1}{\tau}}$ immediately gives us temperature sampling. Finally, observing that positive temperatures give us the local maxima and negative temperatures give us the local minima completes the proof. A.2. Experimental Design In this section, we describe the design of experiments presented in Section 4 in greater detail. We begin by describing the task presented to crowdsourced raters. A sample task is shown in Figure 9. Each task consists of a “context” sequence of the first 20 words in a news article.\footnote{News articles are sourced from GPT-2’s WebText dataset. https://github.com/openai/gpt-2-output-dataset} We then present the rater with five continuations of 30 word-piece tokens. The rater assigns a label of “High Quality”, “Decent”, “Passable”, “Bad” or “Terrible” to each. We note that these labels are inherently subjective, and include a description and reference example before each task to calibrate the rater. The same description and example is repeated in Figure 8. In preliminary experiments, we found examples and instructions insufficient for achieving repeatable results. Manual inspection of rater responses revealed a failure to interpret the labels correctly as well as spammers who would always choose the same response for every prompt. As a result, we crafted a qualification exam of five continuations. Only raters which rated all five continuations correctly or nearly correctly\footnote{Raters which incorrectly labeled at most one continuation with a label at most one level off (e.g. if the correct answer is “Bad”, acceptable errors are “Passable” and “Terrible”) are counted as “nearly correct”.} were allowed to participate in further experiments. Of the 550 crowdsourced workers surveyed, 136 met this criteria. We refer to this set of raters as the “qualified rater pool” below. Even with a qualification exam, we found raters often disagree on the appropriate label for a given continuation. However, when asked to choose which of two continuations was higher quality quality (if any), raters were better aligned. With this in mind, we choose to analyze pairs of ratings given in the same task. From five absolute ratings, we construct twenty pairwise preference ratings: two per pair of continuations. If two continuations receive the same label, they are assigned a preference of 0. If the first continuation is rated higher than the second, a the pair (first, second) is assigned a score of +1 and the pair (second, first) a score of -1. All analyses comparing multiple decoding methods use this methodology. Even with the precautions above, care is needed to ensure repeatable results. To measure this, we performed an “A/A” experiment prior to data collection. This experiment consists of having the same tasks rated by two different pools of raters. Identical analyses are performed on both rating results, and the experimental setup is deemed valid if conclusions are consistent. To achieve this, we constructed 150 tasks\footnote{The large-scale experiment includes 1,930 tasks.} using a subset of the context sequences and decoding methods from our primary experiment. We artificially split the qualified worker pool in two by sending the same tasks for evaluation at midnight and at noon.\footnote{All tasks within each experiment were rated within 4 hours and 1.5 hours, respectively.} We submit the same set of tasks to both rater pools. An analysis of results from both sets of ratings (Figure 10) reveals a statistically consistent preference of top-$p$ over top-$k$ and (local) temperature sampling, and a severe disapproval of random sampling from the model. These results are also consistent with the same statistics gathered in the full-scale experiment presented in the main text and another experiment described below. To further validate the reliability of our methodology, we explicitly measure inter-rater agreement on the same set of 150 tasks in a follow-up experiment after large-scale data collection. In this experiment, we ask each task be rated by five distinct raters. We measure Fleiss’s Kappa, a measure inter-rater agreement, on the resulting pairwise ratings. We obtain a score of 0.1964 – an indication that a correlation between raters exists but that the task is far from unambiguous. While this may initially appear concerning, we argue that this is an indication of the task’s difficulty. Unlike image classification, for example, a universally agreeable criteria for text quality does not exist. A measure of Cohen’s Kappa on the A/A experiment above produces a score of 0.19578 – nearly identical to the inter-rater agreement experiment described here. The similarity of these two statistics gives evidence that the proposed experimental design is repeatable in spite of the task’s ambiguity. These results underscore the importance of large-scale, repeatable studies like that presented here. We conclude by measuring rater preference between each pair of sampling method and hyperparameter on the five-raters-per-task inter-rater agreement experiment described above. Results, as shown in Figure 12, indicate that the same trends presented in the full-scale experiment (Figure 5) hold, - Top-$p$ is preferred to all other sampling methods, - Increased diversity correlates with lower human judgement scores, and - Random sampling directly from the model produces the lowest human judgement scores by a large margin. Given the following context, please rate the next 5 continuations: "Clinton talks about her time of 'reflection' during sick days Hillary Clinton returned to the campaign trail Thursday afternoon, debuting a " \| High Quality \| Decent \| Passable \| Bad \| Terrible \| \|--------------\|--------\|----------\|-----\|----------\| \| Clinton talks about her time of 'reflection' during sick days Hillary Clinton returned to the campaign trail Thursday afternoon, debuting a three-minute video that will try to put a human face on her first days out of the spotlight after accepting the Democratic presidential nomination. Sitting on... \| \| Clinton talks about her time of 'reflection' during sick days Hillary Clinton returned to the campaign trail Thursday afternoon, debuting a new ad in which she talks about her time as a first lady and her time as secretary of state. "I've been reflecting on my time... \| \| Clinton talks about her time of 'reflection' during sick days Hillary Clinton returned to the campaign trail Thursday afternoon, debuting a new campaign ad that details her time as secretary of state. The ad, which was released by her campaign, features Clinton talking about her time as... \| \| Clinton talks about her time of 'reflection' during sick days Hillary Clinton returned to the campaign trail Thursday afternoon, debuting a pair of ads attacking Republican presidential candidate Donald Trump for taking time off from the campaign trail to deal with a terminal illness. Hide Caption 7 of 7... \| \| Clinton talks about her time of 'reflection' during sick days Hillary Clinton returned to the campaign trail Thursday afternoon, debuting a new television ad that takes a closer look at her hardscrabble childhood. They are of a different color, however. In his childhood,... \| Figure 9. Sample crowdworker task used for the main evaluation results. Raters assign a label on a scale from “Terrible” to “High Quality” to each of five continuations sharing a common context of twenty words. Each continuation is generated by a different sampling method and hyperparameter. Figure 10. Average Human judgement scores for each sampling method, aggregated across sampling method hyperparameters. In spite of being collected by different raters on different sets of tasks and different points in time, rater preference remains consistent. \| Experiment \| Num Ratings \| Kappa \| \|----------------\|-------------\|----------------\| \| A/A \| 2,968 \| 0.1957 (Cohen’s) \| \| Five-Rater \| 14,760 \| 0.1964 (Fleiss’s) \| Figure 11. Inter-rater agreement between pairwise preference ratings as measured in a preliminary A/A experiment and an explicit, five-raters-per-task inter-rater agreement experiment. While agreement is low, Kappa is strongly consistent between both experiments. Figure 12. Human judgement scores for each decoding algorithm and hyperparameter choice, as measured in the inter-rater agreement experiment. Preference between sampling methods remains consistent with large-scale experiment shown in Figure 5 in spite of using only decodes generated by a subset of context sequences.
SHIRE OF WANDERING MINUTES OF THE ORDINARY COUNCIL MEETING Wandering Shire Council Chambers, 22 Watts Street, Wandering 17 August 2017 3.30pm # Table of Contents SHIRE OF WANDERING ORDINARY MEETING OF COUNCIL ................................................................. 3 CHIEF EXECUTIVE OFFICER ........................................................................................................... 3 1. DECLARATION OF OPENING / ANNOUNCEMENT OF VISITORS ............................................. 4 2. RECORD OF ATTENDANCE / APOLOGIES / LEAVE OF ABSENCE ............................................ 4 3. DISCLOSURE OF INTERESTS ...................................................................................................... 4 4. PUBLIC QUESTION TIME .......................................................................................................... 6 5. 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REPORTS OF OFFICERS ........................................................................................................... 8 10.1 CHIEF EXECUTIVE OFFICER ............................................................................................ 8 10.1.1 USE OF COMMON SEAL AND ACTIONS PERFORMED UNDER DELEGATED AUTHORITY FOR THE MONTH OF JULY 2017 ................................................................. 8 10.1.2 REQUEST FOR WAIVING OF COMMUNITY CENTRE FEES TO SUPPORT WANDERING PRIMARY SCHOOL FUNDRAISER ................................................................. 10 10.1.3 COUNCIL CHRISTMAS CLOSING 2017 ..................................................................... 13 10.1.4 APPOINTMENT OF ACTING CEO TO COVER CEO SICK LEAVE ................................ 16 10.1.5 CHANGE OF MEETING DATE TO SUPPORT GOVERNANCE FUNCTIONS POST THE LOCAL GOVERNMENT ELECTIONS ON THE 21 OCTOBER 2017 ......................... 19 10.1.6 SUPPORT OF WHEATBELT SOUTH REGIONAL ROAD GROUP CHAIR PERSON HONORARIUM OF $1,800.00 PER YEAR ................................................................. 22 10.1.7 REQUEST FOR WAIVING OF CASUAL VENDOR/TRADER FEES FOR THE PROVISION OF SEAFOOD SALES TRIAL .................................................................................. 24 10.2 BUILDING AND PLANNING REPORTS .............................................................................. 27 10.3 COMMUNITY SERVICES REPORTS .................................................................................. 27 10.4 CORPORATE SERVICES .................................................................................................... 27 12. ELECTED MEMBERS MOTIONS OF WHICH PREVIOUS NOTICE HAS BEEN GIVEN ............... 27 13. NEW BUSINESS OF AN URGENT NATURE INTRODUCED BY DECISION OF MEETING .......... 27 14. CONFIDENTIAL ITEMS ........................................................................................................... 27 15. TIME AND DATE OF NEXT MEETING ..................................................................................... 27 16. CLOSURE OF MEETING ........................................................................................................... 27 Dear Councillor Notice is hereby given that an Ordinary Meeting of Council of the Shire of Wandering will be held on 17 August 2017 at Shire of Wandering Council Chambers, 22 Watts Street, Wandering. Commencing at 3.30 pm The business to be transacted is shown in the Agenda. Amanda O'Halloran CHIEF EXECUTIVE OFFICER DISCLAIMER The recommendations contained in the Agenda are subject to confirmation by Council. The Shire of Wandering warns that anyone who has any application lodged with Council must obtain and should only rely on written confirmation of the outcomes of the application following the Council meeting, and any conditions attaching to the decision made by the Council in respect of the application. No responsibility whatsoever is implied or accepted by the Shire of Wandering for any act, omission or statement or intimation occurring during a Council meeting. 1. DECLARATION OF OPENING / ANNOUNCEMENT OF VISITORS The Shire President, Cr B Whitely declared the meeting open at 3.30pm 2. RECORD OF ATTENDANCE / APOLOGIES / LEAVE OF ABSENCE Councillors: Cr B Whitely President Cr W Gowland Cr J Price CR J Parsons Cr M Watts Cr C Ferguson Staff: Ms A O'Halloran Chief Executive Officer Mrs H Mark Administration Officer Visitors: Nil Apologies: Cr B Dowsett Deputy President On Leave of Absence: Nil 3. DISCLOSURE OF INTERESTS Nil DECLARATION OF INTERESTS (NOTES FOR YOUR GUIDANCE) (updated 13 March 2000) A member who has a Financial Interest in any matter to be discussed at a Council or Committee Meeting, which will be attended by the member, must disclose the nature of the interest: (a) In a written notice given to the Chief Executive Officer before the Meeting or; (b) At the Meeting, immediately before the matter is discussed. A member, who makes a disclosure in respect to an interest, must not: (c) Preside at the part of the Meeting, relating to the matter or; (d) Participate in, or be present during any discussion or decision-making procedure relative to the matter, unless to the extent that the disclosing member is allowed to do so under Section 5.68 or Section 5.69 of the Local Government Act 1995. NOTES ON FINANCIAL INTEREST (FOR YOUR GUIDANCE) The following notes are a basic guide for Councillors when they are considering whether they have a Financial Interest in a matter. I intend to include these notes in each agenda for the time being so that Councillors may refresh their memory. 1. A Financial Interest requiring disclosure occurs when a Council decision might advantageously or detrimentally affect the Councillor or a person closely associated with the Councillor and is capable of being measured in money terms. There are exceptions in the Local Government Act 1995 but they should not be relied on without advice, unless the situation is very clear. 2. If a Councillor is a member of an Association (which is a Body Corporate) with not less than 10 members i.e. sporting, social, religious etc), and the Councillor is not a holder of office of profit or a guarantor, and has not leased land to or from the club, i.e., if the Councillor is an ordinary member of the Association, the Councillor has a common and not a financial interest in any matter to that Association. 3. If an interest is shared in common with a significant number of electors or ratepayers, then the obligation to disclose that interest does not arise. Each case needs to be considered. 4. If in doubt declare. 5. As stated in (b) above, if written notice disclosing the interest has not been given to the Chief Executive Officer before the meeting, then it MUST be given when the matter arises in the Agenda, and immediately before the matter is discussed. 6. Ordinarily the disclosing Councillor must leave the meeting room before discussion commences. The only exceptions are: 6.1 Where the Councillor discloses the extent of the interest, and Council carries a motion under s.5.68(1)(b)(ii) or the Local Government Act; or 6.2 Where the Minister allows the Councillor to participate under s5.69 (3) of the Local Government Act, with or without conditions. INTERESTS AFFECTING IMPARTIALITY DEFINITION: An interest that would give rise to a reasonable belief that the impartiality of the person having the interest would be adversely affected, but does not include an interest as referred to in Section 5.60 of the ‘Act’. A member who has an Interest Affecting Impartiality in any matter to be discussed at a Council or Committee Meeting, which will be attended by the member, must disclose the nature of the interest; (a) in a written notice given to the Chief Executive Officer before the Meeting; or (b) at the Meeting, immediately before the matter is discussed. IMPACT OF AN IMPARTIALITY CLOSURE There are very different outcomes resulting from disclosing an interest affecting impartiality compared to that of a financial interest. With the declaration of a financial interest, an elected member leaves the room and does not vote. With the declaration of this new type of interest, the elected member stays in the room, participates in the debate and votes. In effect then, following disclosure of an interest affecting impartiality, the member’s involvement in the Meeting continues as if no interest existed. 4. PUBLIC QUESTION TIME Nil 5. APPLICATIONS FOR LEAVE OF ABSENCE Nil 6. CONFIRMATION OF MINUTES OF PREVIOUS MEETINGS 6.1 MINUTES OF THE ORDINARY MEETING OF COUNCIL – 20 JULY 2017 ATTACHMENT 6.1.1 COUNCIL DECISION – ITEM 6.1 MOVED: Cr Parsons SECONDED: Cr Price That the minutes of the Ordinary Meeting of Council held on 20 July 2017, be confirmed as a true and accurate record. CARRIED 6/0 7. ANNOUNCEMENTS BY THE PRESIDING PERSON WITHOUT DISCUSSION Nil 8. PETITIONS/DEPUTATIONS/PRESENTATIONS/SUBMISSIONS Nil 9. REPORTS OF COUNCILLORS/COMMITTEES HWEDA AGM Attended by Cr Whitely, Cr Gowland, Cr Parsons, Cr Watts and CEO Ms O’Halloran - Greg Cavanah re-elected as Chair - Discussions held regarding employing someone for the role of Executive Officer once the role has been defined. - The group accepted Wandering’s position in regards to only being able to offer $7,500. - South 32 has agreed to commit $7,500 as well and Newmont is considering. - Work on the Self Drive Trails is progressing well. - The new constitution was adopted - The group needs to find its way forward in relation to lobby direction and next major project to consider. Local Government Week Cr Whitely, Cr Watts and CEO Ms O’Halloran attended the Local Government week. The WALGA AGM was interesting and demonstrated an emphasis on working more closely and collaboratively with Government and the importance of Councillor training. Most interesting Speaker was Dr Ernesto Sirolli, regarding Economic Development in communities and how to understand what a community is saying and needs, he had fascinating insights into the trials and tribulations of Foreign Aid programmes in Africa and has translated these into how to help a community and its local business’s develop their own economy and prosper. The “State of Play” Session – with Liam Bartlett, Paul Murray and Jessica Strutt, was very interesting and informative. Cr Whitely attended the Mayors and Presidents Forum, with interesting presentations from the Auditor General and Director General of the Department of Local Government. Cr Whitely and CEO Ms O’Halloran attended the speed dating opportunity to meet the various director Generals and discuss issues with them one on one. They met with the Director General for Local Government and the Director General of Planning and Lands and both were very interested in Wandering’s issues and opportunities for the future. Good networking opportunity as always Regional Road Group Attended by CEO Ms O’Halloran; no Councillors were available. The key topics were - flood damage, secondary freight routes and supporting an honorarium for the Chair of the Road Group. Bushfire Workshops There was an amazing turn out of the Fire Brigade Captains, Controller’s and Officers and their support is duly noted by the Shire. Members of the public were average in their attendance; however we did get to spend time with a few residents and land owners that have had issues in the past, which will hopefully support safety and action being taken this season. Ian Turton did a great job facilitating both of the recent Bush Fire Workshops and Council will send a letter thanking him for his support of the venture. 10. REPORTS OF OFFICERS 10.1 CHIEF EXECUTIVE OFFICER 10.1.1 USE OF COMMON SEAL AND ACTIONS PERFORMED UNDER DELEGATED AUTHORITY FOR THE MONTH OF JULY 2017 FILE REFERENCE: 22.214.171.124 PROONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 2 August 2017 PREVIOUSLY BEFORE COUNCIL: N/A AUTHORS NAME & POSITION: Amanda O'Halloran, CEO NATURE OF COUNCIL’S ROLE IN THE MATTER: - [x] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT The purpose of this agenda item is to report to Council for information, Use of the Common Seal and actions performed under delegated authority requiring referral to Council, for the month of July 2017. BACKGROUND Council has authorised the updated delegations register at the July 2016 Ordinary Meeting of Council. The procedure associated with the register is to report to Council the activities or actions that have been performed under the Delegated Authority. A report will be completed for Council at each meeting that identifies (1) use of the Common Seal, and (2) actions performed under the Delegated Authority requiring referral to Council as per the Shire of Wandering Delegated Authority Register 2016. COMMENT/ DETAILS Actions performed under delegation during July 2017 are provided below: - Food Stall Holders Licence - Rosa’s Recipe – 9/9/17 – “Wandering Annual Fair” - MJZ Ice Cream – 9/9/17 – “Wandering Annual Fair” - Pickled Partners – 9/9/17 – “Wandering Annual Fair” - Wandering Lions Club – 9/9/17 – “Wandering Annual Fair” - Planning Approval: - Nil - Building Licences Issued: - Nil - Health: - Nil - Payments: - Payments to be presented at the September meeting. CONSULTATION Planning and Building Specialists Shire of Kalamunda Environmental Health Officer STATUTORY/ LEGAL ENVIRONMENT Local Government Act 1995 Section 9.49A POLICY IMPLICATIONS Affixing the Shire of Wandering Common Seal Policy Shire of Wandering Delegations Register 2016 Purchasing and Tendering Policy FINANCIAL IMPLICATIONS Nil – all payments have been approved in the 2017/18 Annual Budget. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and effective Organisation Outcome 5.2: Accountable decision making and resource allocation through effective governance. Strategy 5.2.1: Ensure the Council’s decision making process is effective and transparent. Strategy 5.2.2: Ensure that the organisation’s governance structure, policies and procedures are current and relevant. VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council ACCEPT the report “Use of Common Seal and Actions Performed under Delegated Authority” for the month of July 2017. COUNCIL DECISION – ITEM 10.1.1 MOVED: Cr Gowland SECONDED: Cr Ferguson That Council ACCEPT the report "Use of Common Seal and Actions Performed under Delegated Authority" for the month of July 2017. CARRIED 6/0 10.1.2 REQUEST FOR WAIVING OF COMMUNITY CENTRE FEES TO SUPPORT WANDERING PRIMARY SCHOOL FUNDRAISER FILE REFERENCE: 8.1.1 PROPONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 10 August 2017 PREVIOUSLY BEFORE COUNCIL: Nil AUTHORS NAME & POSITION: Amanda O'Halloran, CEO NATURE OF COUNCIL'S ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person's rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT The Wandering Primary School has requested the waiving of the Community Centre Function fees to host a fundraiser to support the 2018 Senior School Camp. The event proposed will be a Karaoke and Games night. BACKGROUND The Shire has a policy that all education activities that are undertaken in or on Council facilities do not generally incur a fee. This event is requesting that the School, and other service clubs work together to provide a community evening, with proceeds going to the School and the charitable purposes of the specific clubs involved. It is proposed that Alcohol will be sold under the appropriate statutory constraints. The Shire has previously waived fees and made donations to the 2016 School Camp fundraising Committee, when it waived the fee for the Community Centre kitchen for the Camp Committee to provide lunches one day per week for a term in an effort to raise funds. The Shire also engaged the Committee to provide the Council lunch on two occasions during that time in an effort to support the fundraising effort. COMMENT/ DETAILS Council has made provision in the budget to support community groups and lifestyle initiatives such as these. This cause is considered to meet the strategic implications of the Shires Strategic Community Plan, in which particular emphasis is placed on increasing patronage of our facilities and supporting the provision of activities for youth and the community as a whole. The Shire Administration has reviewed the request and recommends that Council supports the initiative; activities such as these build community culture and atmosphere and provide an opportunity for the greater wide community to support the school children during their education. CONSULTATION Nil STATUTORY/ LEGAL ENVIRONMENT Nil POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS Council has made provision for donations within 2017/18 Budget to accommodate requests such as these. The School will be required to pay the usual bonds and ensure that the facility is left in a clean and tidy way, ready for rehiring prior to vacating the premises and the returning of the bond. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 1 – A community that is involved and caring Outcome 1.1: Community Facilities that suit the community Strategy 1.1.1: Promote community programmes in the Community Centre to increase patronage Outcome 1.2: A community that celebrates and participates together Strategy 1.2.1: Actively promote and assist community groups and clubs Outcome 1.3: A supportive and inclusive community for all ages Strategy 1.3.3: Support and promote activities for the Aged Goal 5 – A strong and effective Organisation Outcome 5.2: Accountable decision making and resource allocation through effective governance. Strategy 5.2.1: Ensure the Council’s decision making process is effective and transparent. VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council 1. Authorises the waiving of the Community Centre Foyer Fee for the Wandering Primary School to host a Karaoke and Games night to raise funds for the 2018 Senior School Camp. 2. Requests in return for the waiving of the fee that the Wandering Primary School maintains the Community Centre, kitchen, hall and toilets to a clean standard, for immediate use prior to vacating the premises and returning of the bond. COUNCIL DECISION – ITEM 10.1.2 MOVED: Cr Watts SECONDED: Cr Gowland That Council 1. Authorises the waiving of the Community Centre Foyer Fee for the Wandering Primary School to host a Karaoke and Games night to raise funds for the 2018 Senior School Camp. 2. Requests in return for the waiving of the fee that the Wandering Primary School maintains the Community Centre, kitchen, hall and toilets to a clean standard, for immediate use prior to vacating the premises and returning of the bond. CARRIED 6/0 10.1.3 COUNCIL CHRISTMAS CLOSING 2017 FILE REFERENCE: 1.3.2 PROPONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 18 July 2017 PREVIOUSLY BEFORE COUNCIL: Nil AUTHORS NAME & POSITION: Amanda O’Halloran, CEO NATURE OF COUNCIL’S ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT Council traditionally significantly reduces its operations over the Festive Season. This year it is proposed to close Shire Depot Operations from Thursday 21 December 2017 2.00pm, and the Shire administration Operations from Friday 22 until Monday 8 January 2018. Postal services and emergency support will be provided during this time and Staff will be allocated accordingly. BACKGROUND Council traditionally reduces its service delivery over the festive season. The Works department generally shuts down to essential services only and the Office provides postal services as required, enabling all other staff to plan leave with their families. This year it is proposed to continue with the tradition and provide ample opportunity for advertisement within the community. COMMENT/ DETAILS Christmas and the associated public holidays fall quite differently in the calendar this year, Council services generally close for 2 weeks. This gives most staff a genuine break and reduces leave imposts and the associated financial burden on Council. During the Christmas and New Year period it is proposed that the Shire Office will open for the collection of mail and postal services (as per our contract with Australia Post) however the majority of staff will be asked to take leave over this period. While mail and postal services will continue to operate during this period the CRC, licensing and other Shire services will not be available. The proposed period of reduced operations is as follows – - Shire Depot team to close on Thursday 21 December 2017 from 2.00pm until Monday 8 January 2018. - Shire Office administration to close on Friday the 22 December 2017 from 2.00pm until Monday 8 January 2018, with sufficient notification the community will be able to make alternate arrangements for licensing and other payments. Staff will be allocated to provide call out services and any essential services during the proposed closure. All other staff will be required to take leave over this period. Staff will be required to take either annual leave or RDO’s during this period and the proposed office hours will be as follows: \| Date \| Day \| Time \| \|------------\|--------------\|-----------------------\| \| 22 December\| Friday \| 8.30am – 2.00pm Official Closing \| \| 23 December\| Saturday \| Closed \| \| 24 December\| Sunday \| Closed \| \| 25 December\| Monday \| Public Holiday \| \| 26 December\| Tuesday \| Public Holiday \| \| 27 December\| Wednesday \| Australia Post Public Holiday \| \| 28 December\| Thursday \| 10.00am – 2.00pm (mail and postal services only) \| \| 29 December\| Friday \| 10.00am – 2.00pm (mail and postal services only) \| \| 30 December\| Saturday \| Closed \| \| 31 December\| Sunday \| Closed \| \| 1 January \| Monday \| Public Holiday \| \| 2 January \| Tuesday \| 10.00am – 2.00pm (mail and postal services only) \| \| 3 January \| Wednesday \| 10.00am – 2.00pm (mail and postal services only) \| \| 4 January \| Thursday \| 10.00am – 2.00pm (mail and postal services only) \| \| 5 January \| Friday \| 10.00am – 2.00pm (mail and postal services only) \| \| 6 January \| Saturday \| Closed \| \| 7 January \| Sunday \| Closed \| \| 8 January \| Monday \| Normal Services for all Departments \| Notification of the office opening times will be published in the Wandering Echo, Shire Office and Noticeboards in the months leading up to Christmas. CONSULTATION CEO Manager Works Manager Communities STATUTORY/ LEGAL ENVIRONMENT Nil POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS Nil STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and effective Organisation Outcome 5.1. Accessible customer services and information systems Strategy 5.1.1: Promote and deliver responsive customer services Outcome 5.4. Effective provision of customer services and engagement with the community and stakeholders. Strategy 5.4.1: Promote and deliver responsive customer services VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council: 1. Endorse the proposed reduction in Shire Operations for the Festive Season 2017/18 as follows: - Shire Works Services close at 2.00pm on Thursday 22 December 2017 to Sunday 7 January 2018 inclusive and reopen 7.30 on Monday 8 January 2018 - Shire Administration Services close at 2.00pm on Friday 22 December 2017 to Sunday 7 January 2018 inclusive and reopen 8.30 on Monday 8 January 2018 - Post services reduced to 10.00am – 2.00 pm on the 28 & 29 December 2017 and the 2,3,4 & 5 January 2018 2. That staffing requirements and contact details are put into place for the closure period to deal with any emergency issues that may arise. COUNCIL DECISION – ITEM 10.1.3 MOVED: Cr Price SECONDED: Cr Ferguson That Council: 3. Endorse the proposed reduction in Shire Operations for the Festive Season 2017/18 as follows: - Shire Works Services close at 2.00pm on Thursday 22 December 2017 to Sunday 7 January 2018 inclusive and reopen 7.30 on Monday 8 January 2018 - Shire Administration Services close at 2.00pm on Friday 22 December 2017 to Sunday 7 January 2018 inclusive and reopen 8.30 on Monday 8 January 2018 - Post services reduced to 10.00am – 2.00 pm on the 28 & 29 December 2017 and the 2,3,4 & 5 January 2018 4. That staffing requirements and contact details are put into place for the closure period to deal with any emergency issues that may arise. CARRIED 6/0 10.1.4 APPOINTMENT OF ACTING CEO TO COVER CEO SICK LEAVE FILE REFERENCE: 1.4.11 PROONENTS: NIL DISCLOSURE OF INTEREST: Author is the CEO DATE: 10 August 2017 PREVIOUSLY BEFORE COUNCIL: N/A AUTHORS NAME & POSITION: Amanda O'Halloran Chief Executive Officer NATURE OF COUNCIL’S ROLE IN THE MATTER: - [x] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT For the Council to consider the appointment of Monica Treasure to act in the position of Chief Executive Officer (CEO) for a period up to four weeks commencing the 5 September 2017. BACKGROUND The CEO requires sick leave to undergo surgery, which may require up to 6 weeks recovery. It is anticipated that the worst case scenario may consist of 4 full weeks of sick leave and two weeks of half days recovery. To ensure the duties of the position are carried out it is necessary to appoint an acting CEO for the four weeks of sick leave. COMMENT/ DETAILS Monica is currently in the role of Manager of Communities and has been with the Shire of Wandering for over 4 years. Monica has previously acted in the position of CEO covering annual leave in May 2016. Monica provided good governance and sound decision making during this time, and it is proposed that the opportunity to gain further experience in this regard if again afforded to Monica. Monica is keen to undertake the role and it is proposed that Monica be paid 100% of the current CEO's salary as higher duties and will work five days a week during this time. Support mechanisms will be discussed with the CEO and Shire President and will be formalised during the proposed handover meeting including all three parties on the 4 September 2017. CONSULTATION Shire President Manager Communities Manager Works STATUTORY/ LEGAL ENVIRONMENT 5.36. Local government employees (1) A local government is to employ — (a) a person to be the CEO of the local government; and (b) such other persons as the council believes are necessary to enable the functions of the local government and the functions of the council to be performed. (2) A person is not to be employed in the position of CEO unless the council — (a) believes that the person is suitably qualified for the position; and (b) is satisfied* with the provisions of the proposed employment contract. 5.41. Functions of CEO The CEO’s functions are to — (a) advise the council in relation to the functions of a local government under this Act and other written laws; and (b) ensure that advice and information is available to the council so that informed decisions can be made; and (c) cause council decisions to be implemented; and (d) manage the day to day operations of the local government; and (e) liaise with the mayor or president on the local government’s affairs and the performance of the local government’s functions; and (f) speak on behalf of the local government if the mayor or president agrees; and (g) be responsible for the employment, management supervision, direction and dismissal of other employees (subject to section 5.37(2) in relation to senior employees); and (h) ensure that records and documents of the local government are properly kept for the purposes of this Act and any other written law; and (i) perform any other function specified or delegated by the local government or imposed under this Act or any other written law as a function to be performed by the CEO. POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS There are no additional financial implications as the provision for leave is included in the annual budget provisions. Provision was made for contractor CEO cover and whilst Acting Staff will receive an allowance for the extra duties and responsibilities during the time they will be acting in the CEO role, this is much less than employing a contractor to act in the role. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and effective organisation Outcome 5.2: Accountable decision making and resource allocation through effective governance. Strategy 5.2.1: Ensure Council’s decision making process is effective and transparent Strategy 5.2.2: Ensure the organisation’s governance structure, policies and procedures are current and relevant. Outcome 5.3: Professional, committed and multi-skilled staff Strategy 5.3.2: Promote and implement a relevant and practicable staff development program VOTING REQUIREMENT Absolute Majority OFFICER RECOMMENDATION That Council: 1. Approves the sick leave for the Chief Executive Officer for the period 5 September 2017 to the 3 October 2017 (inclusive); 2. Authorises Monica Treasure to be Acting Chief Executive Officer of the Shire of Wandering from the 5 September 2017 to the 3 October 2017 (inclusive); 3. That Monica Treasure Manager of Communities be paid 100% higher duties for the duration of the period of Acting CEO. COUNCIL DECISION – ITEM 10.1.4 MOVED: Cr Parsons SECONDED: Cr Watts That Council: 1. Approves the sick leave for the Chief Executive Officer for the period 5 September 2017 to the 3 October 2017 (inclusive); 2. Authorises Monica Treasure to be Acting Chief Executive Officer of the Shire of Wandering from the 5 September 2017 to the 3 October 2017 (inclusive); 3. That Monica Treasure Manager of Communities be paid 100% higher duties for the duration of the period of Acting CEO. CARRIED 6/0 10.1.5 CHANGE OF MEETING DATE TO SUPPORT GOVERNANCE FUNCTIONS POST THE LOCAL GOVERNMENT ELECTIONS ON THE 21 OCTOBER 2017 FILE REFERENCE: 9.1.1 PROONENTS: DISCLOSURE OF INTEREST: Nil DATE: 9 August 2017 PREVIOUSLY BEFORE COUNCIL: Nil AUTHORS NAME & POSITION: Amanda O’Halloran CEO NATURE OF COUNCILS ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT Seek Council’s opinion and decision regarding the October 2017 Ordinary Meeting of Council. Council is scheduled to conduct a Council meeting on the 19 October 2017. The Council Elections are due to be held on the 21 October 2017 this requires the election of a new Shire president and deputy and the swearing in of new Councillors. Rather than holding a special meeting the Shire administration is proposing to postpone the October Council Meeting until the 26 October 2017 rather than call a special meeting of Council. BACKGROUND Ordinary local government elections are held on the third Saturday in October every two years (21 October 2017), this year the Shire of Wandering has four Councillors up for election. COMMENT/ DETAILS This year’s Council election falls within 2 days of the scheduled Ordinary Meeting of Council in October. It is important in the interests of good governance to swear the newly elected Councillors in, and elect the Shire President and Deputy as soon as possible post the election. In some instances a special meeting is called to facilitate this. The Shire Administration is proposing that the planned 19 October 2017 meeting be postponed until the 26 October 2017 rather than call a special meeting. CONSULTATION Shire President Councillors STATUTORY/ LEGAL ENVIRONMENT Local Government Act 1995 Section 5.4 Calling Council Meetings An ordinary or a special meeting of a council is to be held – (a) If called for by either (i) The mayor or president; or (ii) At least 1/3 of the councillors, In a notice to the CEO setting out the date and purpose of the proposed meeting; or (b) If so decided by the council. Section 5.5 Convening Council Meetings (1) The CEO is to convene an ordinary meeting by giving each council member at least 72 hours’ notice of the date, time, and place of the meeting and an agenda for the meeting. (2) The CEO is to convene a special meeting by giving each council member notice, before the meeting, of the date, time, place and purpose of the meeting. POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS Nil STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and Effective Organisation Strategy 5.2.1: Ensure Council’s decision making process is effective and transparent Strategy 5.2.2: Ensure the organisation’s governance structure, policies and procedures are current and relevant VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council: 1. Authorise the postponement of the 19 October 2017 Council Meeting until the 26 October 2017 to accommodate the swearing in of Councillors and Shire President post the 2017 State wide Local Government Elections, and 2. Authorise the CEO to advertise the change within the community. COUNCIL DECISION – ITEM 10.1.5 MOVED: Cr Price SECONDED: Cr Gowland That Council: 1. Authorise the postponement of the 19 October 2017 Council Meeting until the 26 October 2017 to accommodate the swearing in of Councillors and Shire President post the 2017 State wide Local Government Elections, and 2. Authorise the CEO to advertise the change within the community. CARRIED 6/0 10.1.6 SUPPORT OF WHEATBELT SOUTH REGIONAL ROAD GROUP CHAIR PERSON HONORARIUM OF $1,800.00 PER YEAR FILE REFERENCE: 33.1.23 PROPOSERS: DISCLOSURE OF INTEREST: Nil DATE: 9 August 2017 PREVIOUSLY BEFORE COUNCIL: Nil AUTHORS NAME & POSITION: Amanda O'Halloran CEO NATURE OF COUNCILS ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person's rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT The Wheatbelt South Regional Road Group (WBS RRG) has requested Council's formal decision regarding support of the Regional Road Group Chairperson being paid an annual honorarium of $1,800.00 as a contribution to the considerable activities required to undertake the role. BACKGROUND The Shire of Cuballing moved a motion for Council Members of the WBS RRG to contribute to an annual honorarium of $1,800.00 in support of the considerable time and effort required to carry out the role. The role of Chairperson of the WBS RRG is a time consuming, volunteer role that delivers significant outcomes for the members of the group. The role will always be additional to the considerable activities required of a Councillor of a member Shire. The Role of the Chair Person consists of the following: - Attending and chairing 2/3 WBS RRG meetings per year; - Attending and chairing 2/3 technical group meetings per year; - Attending and representing the WBS RRG at an annual meeting of all RRG Chairs; - Actively participating and representing the WBS RRG in projects such as the Secondary Freight Network Project; and - Prepare and present a report on WBS RRG activities to 5 central Country Zone Meetings each year. COMMENT/ DETAILS An honorarium is not expected to cover the full cost to the recipient but be recognition of the effort undertaken and a contribution to the expense of carrying out the duties and activities required by the role. The honorarium of $1,800 per year represents a contribution of $100.00 per year from each WBS RRG member Council. The WBS RRG has no financial capability or capacity to pay the chair person, therefore the motion suggests that the Shire that the Chairperson is a Councillor for will invoice the other member shires to collect the monies and then pay the Chair person through their Elected Member payment system. CONSULTATION Regional Road Group Shire of Cuballing STATUTORY/ LEGAL ENVIRONMENT Nil POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS Council has discretionary funding to cover this expense if supported by Council. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and Effective Organisation Strategy 5.2.1: Ensure Council’s decision making process is effective and transparent Strategy 5.2.2: Ensure the organisations governance structure, policies and procedures are current and relevant VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council authorise the annual payment of $100.00 towards the honorarium of $1,800 for the Wheatbelt South Regional Road Group Chair Person. COUNCIL DECISION – ITEM 10.1.6 MOVED: Cr Parsons SECONDED: Cr Watts That Council authorise the annual payment of $100.00 towards the honorarium of $1,800 for the Wheatbelt South Regional Road Group Chair Person. CARRIED 6/0 10.1.7 REQUEST FOR WAIVING OF CASUAL VENDOR/TRADER FEES FOR THE PROVISION OF SEAFOOD SALES TRIAL FILE REFERENCE: 126.96.36.199 PROPOUNENTS: The Fresh Fish Van – Tracey McGowan DISCLOSURE OF INTEREST: Nil DATE: 1 August 2017 PREVIOUSLY BEFORE COUNCIL: Nil AUTHOR’S NAME & POSITION: Amanda O’Halloran, CEO NATURE OF COUNCIL’S ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT A request has been made from Tracey McGowan proprietor of the Fresh Fish Van, to operate in Wandering. Ms McGowan is seeking a waiving of the Casual Vendor/trader fees for the first month to establish if there is a need and/or market in the Wandering area. BACKGROUND The Fresh Fish Van is currently registered as a medium risk Food Business in the Boddington Shire and operates regularly throughout the Southern Wheatbelt, providing fresh and frozen seafood to Narrogin, Wagin, Williams and Boddington. The Fresh Fish Van has stated that Wandering Residents have requested that the service be provided locally and they are keen to trial the service. COMMENT/ DETAILS The Fresh Fish Van has requested the following – - They are proposing to come to Wandering once a fortnight on a Thursday afternoon. - The hours will be 1.30 – 4.30 pm. - They would like to park in the car park opposite the Shire office. - If possible they would like to access power from the power outlet that is there (which they are willing to pay for accordingly) therefore reducing the noise from their generator. - If possible they would like to trade on a trial basis of four weeks. If after this time they find that the trading level is satisfactory they are willing to backdate the time and pay the vendors fee ongoing. The requests for site can be negotiated and will depend on access to the fuel station etc., the Shire is positive that an appropriate site can be arranged. The Fresh Fish Van has been able to provide appropriate insurance and permits to support trading in the Wandering Shire and the Environmental Health Officer has dealt with them in the two other Shires that he provides services to. CONSULTATION Gordon Tester EHO STATUTORY/ LEGAL ENVIRONMENT Nil POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS Council has not budgeted to receive funds in this area, as the Van is prepared to pay for Power, two weeks trial trade will not incur any significant budget implications. If the trial was successful this may result in a revenue stream that will add value to the 2017/18 Budget. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and effective Organisation Outcome 5.2: Accountable decision making and resource allocation through effective governance. Strategy 5.2.1: Ensure the Council’s decision making process is effective and transparent. The Strategic Plan does not specifically refer to the increase in commercial service provision to the Wandering Community; however the Shire Administration has been working to increase service provision and is of the opinion that an increase in service delivery opportunities in Wandering is a significant positive that can lead to increased economic return for the region. VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council: 1. Authorises the waiving of the Casual Traders/Vendor fee on two occasions in the first month of trade to support a fortnightly service during this time, should takings be sustainable during the trial, the Fresh Fish Van will be authorised to trade on going and will from then on pay the appropriate fees and charges. 2. Requests that the Fresh Fish Van back pay the casual traders/vendors fee should the takings during the trial reach a sustainable level. 3. Requests that the Fresh Fish Van pay a $10.00 power fee per 3 hours of trade to reimburse Council for the power used during trading. COUNCIL DECISION – ITEM 10.1.7 MOVED: Cr Ferguson SECONDED: Cr Gowland 1. Authorises the waiving of the Casual Traders/Vendor fee on two occasions in the first month of trade to support a fortnightly service during this time, should takings be sustainable during the trial, the Fresh Fish Van will be authorised to trade on going and will from then on pay the appropriate fees and charges. 2. Requests that the Fresh Fish Van back pay the casual traders/vendors fee should the takings during the trial reach a sustainable level. 3. Requests that the Fresh Fish Van pay a $10.00 power fee per 3 hours of trade to reimburse Council for the power used during trading. CARRIED 5/1 10.2 BUILDING AND PLANNING REPORTS Nil 10.3 COMMUNITY SERVICES REPORTS Nil 10.4 CORPORATE SERVICES Nil 12 ELECTED MEMBERS MOTIONS OF WHICH PREVIOUS NOTICE HAS BEEN GIVEN Nil 13 NEW BUSINESS OF AN URGENT NATURE INTRODUCED BY DECISION OF MEETING Nil 14 CONFIDENTIAL ITEMS Nil 15 TIME AND DATE OF NEXT MEETING Next Ordinary Council meeting to be held on 21 September 2017 at 3:30pm. 16 CLOSURE OF MEETING The Shire President declared the meeting closed at 4.25pm These Minutes were confirmed at the Ordinary Council Meeting on Thursday 21 September 2017. Signed: [Signature] Presiding Person at the meeting at which the minutes were confirmed Date: 21/9/2017 SHIRE OF WANDERING MINUTES OF THE ORDINARY COUNCIL MEETING Wandering Shire Council Chambers, 22 Watts Street, Wandering 20 July 2017 3.30pm # Table of Contents SHIRE OF WANDERING ORDINARY MEETING OF COUNCIL ................................................................. 3 CHIEF EXECUTIVE OFFICER ........................................................................................................... 3 1. DECLARATION OF OPENING / ANNOUNCEMENT OF VISITORS ............................................. 4 2. RECORD OF ATTENDANCE / APOLOGIES / LEAVE OF ABSENCE ............................................ 4 3. DISCLOSURE OF INTERESTS ...................................................................................................... 4 4. PUBLIC QUESTION TIME .......................................................................................................... 6 5. APPLICATIONS FOR LEAVE OF ABSENCE ............................................................................... 6 6. CONFIRMATION OF MINUTES OF PREVIOUS MEETINGS ....................................................... 6 6.1 MINUTES OF THE ORDINARY MEETING OF COUNCIL – 15 JUNE 2017 ....................... 6 7. ANNOUNCEMENTS BY THE PRESIDING PERSON WITHOUT DISCUSSION .......................... 6 8. PETITIONS / DEPUTATIONS / PRESENTATIONS / SUBMISSIONS ............................................. 6 9. REPORTS OF COUNCILLORS / COMMITTEES ........................................................................... 7 10. REPORTS OF OFFICERS ........................................................................................................... 8 10.1 CHIEF EXECUTIVE OFFICER ............................................................................................. 8 10.1.1 USE OF COMMON SEAL AND ACTIONS PERFORMED UNDER DELEGATED AUTHORITY FOR THE MONTH OF JUNE 2017 ................................................................. 8 10.2 BUILDING AND PLANNING REPORTS .............................................................................. 11 10.3 COMMUNITY SERVICES REPORTS .................................................................................. 11 10.3.1 SALE OF LOCAL AUTHORITY NUMBER PLATES ......................................................... 11 10.4 CORPORATE SERVICES .................................................................................................... 15 10.4.1 FINANCIAL STATEMENTS FOR THE PERIOD ENDED 30 JUNE 2017 ....................... 15 10.4.2 ADOPTION OF THE 2017/18 BUDGET ..................................................................... 18 12. ELECTED MEMBERS MOTIONS OF WHICH PREVIOUS NOTICE HAS BEEN GIVEN ............... 28 13. NEW BUSINESS OF AN URGENT NATURE INTRODUCED BY DECISION OF MEETING .......... 28 13.1 INTRODUCTION OF CONFIDENTIAL ITEM AS NEW BUSINESS OF AN URGENT NATURE .... 28 13.2.1 CONFIDENTIAL ITEM – NON PAYMENT OF RATES – AUTHORITY TO SELL LAND ........ 29 14. CONFIDENTIAL ITEMS ........................................................................................................... 30 15. TIME AND DATE OF NEXT MEETING ..................................................................................... 30 16. CLOSURE OF MEETING ........................................................................................................... 30 Dear Councillor Notice is hereby given that an Ordinary Meeting of Council of the Shire of Wandering will be held on 20 July 2017 at Shire of Wandering Council Chambers, 22 Watts Street, Wandering. Commencing at 3.30 pm The business to be transacted is shown in the Agenda. Amanda O'Halloran CHIEF EXECUTIVE OFFICER DISCLAIMER The recommendations contained in the Agenda are subject to confirmation by Council. The Shire of Wandering warns that anyone who has any application lodged with Council must obtain and should only rely on written confirmation of the outcomes of the application following the Council meeting, and any conditions attaching to the decision made by the Council in respect of the application. No responsibility whatsoever is implied or accepted by the Shire of Wandering for any act, omission or statement or intimation occurring during a Council meeting. 1. DECLARATION OF OPENING / ANNOUNCEMENT OF VISITORS The Shire President, Cr B Whitely declared the meeting open at 3.33pm 2. RECORD OF ATTENDANCE/APOLOGIES/LEAVE OF ABSENCE Councillors: Cr B Whitely President Cr B Dowsett Deputy President Cr W Gowland Cr J Price CR J Parsons Cr M Watts Cr C Ferguson Staff: Ms A O'Halloran Chief Executive Officer Mrs H Mark Administration Officer Visitors: Mr M Wilkins, Wandering Lions Club Apologies: Nil On Leave of Absence: Nil 3. DISCLOSURE OF INTERESTS Nil DECLARATION OF INTERESTS (NOTES FOR YOUR GUIDANCE) (updated 13 March 2000) A member who has a Financial Interest in any matter to be discussed at a Council or Committee Meeting, which will be attended by the member, must disclose the nature of the interest: (a) In a written notice given to the Chief Executive Officer before the Meeting or; (b) At the Meeting, immediately before the matter is discussed. A member, who makes a disclosure in respect to an interest, must not: (c) Preside at the part of the Meeting, relating to the matter or; (d) Participate in, or be present during any discussion or decision-making procedure relative to the matter, unless to the extent that the disclosing member is allowed to do so under Section 5.68 or Section 5.69 of the Local Government Act 1995. NOTES ON FINANCIAL INTEREST (FOR YOUR GUIDANCE) The following notes are a basic guide for Councillors when they are considering whether they have a Financial Interest in a matter. I intend to include these notes in each agenda for the time being so that Councillors may refresh their memory. 1. A Financial Interest requiring disclosure occurs when a Council decision might advantageously or detrimentally affect the Councillor or a person closely associated with the Councillor and is capable of being measured in money terms. There are exceptions in the Local Government Act 1995 but they should not be relied on without advice, unless the situation is very clear. 2. If a Councillor is a member of an Association (which is a Body Corporate) with not less than 10 members i.e. sporting, social, religious etc), and the Councillor is not a holder of office of profit or a guarantor, and has not leased land to or from the club, i.e., if the Councillor is an ordinary member of the Association, the Councillor has a common and not a financial interest in any matter to that Association. 3. If an interest is shared in common with a significant number of electors or ratepayers, then the obligation to disclose that interest does not arise. Each case needs to be considered. 4. If in doubt declare. 5. As stated in (b) above, if written notice disclosing the interest has not been given to the Chief Executive Officer before the meeting, then it MUST be given when the matter arises in the Agenda, and immediately before the matter is discussed. 6. Ordinarily the disclosing Councillor must leave the meeting room before discussion commences. The only exceptions are: 6.1 Where the Councillor discloses the extent of the interest, and Council carries a motion under s.5.68(1)(b)(ii) or the Local Government Act; or 6.2 Where the Minister allows the Councillor to participate under s5.69 (3) of the Local Government Act, with or without conditions. INTERESTS AFFECTING IMPARTIALITY DEFINITION: An interest that would give rise to a reasonable belief that the impartiality of the person having the interest would be adversely affected, but does not include an interest as referred to in Section 5.60 of the ‘Act’. A member who has an Interest Affecting Impartiality in any matter to be discussed at a Council or Committee Meeting, which will be attended by the member, must disclose the nature of the interest; (a) in a written notice given to the Chief Executive Officer before the Meeting; or (b) at the Meeting, immediately before the matter is discussed. IMPACT OF AN IMPARTIALITY CLOSURE There are very different outcomes resulting from disclosing an interest affecting impartiality compared to that of a financial interest. With the declaration of a financial interest, an elected member leaves the room and does not vote. With the declaration of this new type of interest, the elected member stays in the room, participates in the debate and votes. In effect then, following disclosure of an interest affecting impartiality, the member’s involvement in the Meeting continues as if no interest existed. 4. PUBLIC QUESTION TIME Nil 5. APPLICATIONS FOR LEAVE OF ABSENCE Nil 6. CONFIRMATION OF MINUTES OF PREVIOUS MEETINGS 6.1 MINUTES OF THE ORDINARY MEETING OF COUNCIL – 15 JUNE 2017 ATTACHMENT 6.1.1 COUNCIL DECISION – ITEM 6.1 MOVED: Cr Price SECONDED: Cr Parsons That the minutes of the Ordinary Meeting of Council held on 15 June 2017, be confirmed as a true and accurate record. CARRIED 7/0 7. ANNOUNCEMENTS BY THE PRESIDING PERSON WITHOUT DISCUSSION Nil 8. PETITIONS/DEPUTATIONS/PRESENTATIONS/SUBMISSIONS Mel Durack and Steve Fisher A/CEO of the Peel Harvey Catchment Council gave a presentation on the work the Council has been carrying out over the last few years, the level of involvement in Wandering, and the opportunities that have been gained through their work in the Shire of Wandering. The Council also discussed future engagement and the way forward into the future they also discussed that they would like to harness opportunities and pin down possible funding and inkind support going forward. Mal Wilkins, President Wandering Lions Club gave a presentation on The Wologin Gully Interpretative Trail Project Community project which has been formulated to capture the history and story of the area and be a lovely environment for a walk and enhance the opportunities of the Caravan Park It will include – - Removal of weeds and non-native trees - Tree planting will be a significant facet of the project – local residents and the local school has agreed to be involved - Signage along gravel pathways, bollards will line the pathways and they can have names of residents on them in plaque form. This will be a Lions project to help fund the project. - Seating and tables - Art Work Indigenous engagement and expertise is being provided by Alistair and Harold Humes, Costings have been done; Monica Treasure and Mel Durack helped apply for funding through NRM, though it will be December before they will know if grant has been approved. Mal Wilkins, Steve Bullock, Tony Edwards co-ordinating and lead contacts on the project. Mr Wilkins left the meeting at 3.54 pm 9. REPORTS OF COUNCILLORS/COMMITTEES CENTRAL COUNTRY ZONE Cr Parsons attended the recent meeting of the Central Country Zone which was held in Pingelly on the 23 June 2017. Items discussed: - Concessional License issues and the way forward - Future of a Healthy Wheatbelt Region, need more representation from the region with only two locals on the board. - Flood Damage – WANDARRA 743 - Discussion regarding the formulation of a working group to discuss and work through Councillor and CEO Issues. - Guest Speakers - Small Business/Agri business declining numbers - Rest Areas for trucks was discussed – Not enough areas for big trucks to pull off the road, and rest up. 10. REPORTS OF OFFICERS 10.1 CHIEF EXECUTIVE OFFICER 10.1.1 USE OF COMMON SEAL AND ACTIONS PERFORMED UNDER DELEGATED AUTHORITY FOR THE MONTH OF JUNE 2017 FILE REFERENCE: 188.8.131.52 PROONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 2 JULY 2017 PREVIOUSLY BEFORE COUNCIL: N/A AUTHORS NAME & POSITION: Amanda O’Halloran, CEO NATURE OF COUNCIL’S ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT The purpose of this agenda item is to report to Council for information, Use of the Common Seal and actions performed under delegated authority requiring referral to Council, for the month of June 2017. BACKGROUND Council has authorised the updated delegations register at the July 2016 Ordinary Meeting of Council. The procedure associated with the register is to report to Council the activities or actions that have been performed under the Delegated Authority. A report will be completed for Council at each meeting that identifies (1) use of the Common Seal, and (2) actions performed under the Delegated Authority requiring referral to Council as per the Shire of Wandering Delegated Authority Register 2016. COMMENT/ DETAILS Actions performed under delegation during June 2017 are provided below: - Food Stall Holders Licence: - Wandering P&C – 23/6/17 – “Cuppa for Cancer” - Sweet Streets – 9/9/17 – “Wandering Annual Fair” - Planning Approval: - Nil - Building Licences Issued: - A#450/BL170 Lot 91 O’Connell Road, Wandering – P & R Sachse – Shed - Health: - Nil - Payments: Payments made from the Municipal Account as per financial report attached at 10.4.1 of this Agenda. CONSULTATION Planning and Building Specialists Shire of Kalamunda Environmental Health Officer STATUTORY/ LEGAL ENVIRONMENT** Local Government Act 1995 Section 9.49A POLICY IMPLICATIONS Affixing the Shire of Wandering Common Seal Policy Shire of Wandering Delegations Register 2016 Purchasing and Tendering Policy FINANCIAL IMPLICATIONS Nil – all payments have been approved in the 2016/17 Annual Budget. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and effective Organisation Outcome 5.2: Accountable decision making and resource allocation through effective governance. - Strategy 5.2.1: Ensure the Council’s decision making process is effective and transparent. - Strategy 5.2.2: Ensure that the organisation’s governance structure, policies and procedures are current and relevant. VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council ACCEPT the report “Use of Common Seal and Actions Performed under Delegated Authority” for the month of June 2017. COUNCIL DECISION – ITEM 10.1.1 MOVED: Cr Price SECONDED: Cr Ferguson That Council ACCEPT the report “Use of Common Seal and Actions Performed under Delegated Authority” for the month of June 2017. CARRIED 7/0 10.2 BUILDING AND PLANNING REPORTS Nil 10.3 COMMUNITY SERVICES REPORTS 10.3.1 SALE OF LOCAL AUTHORITY NUMBER PLATES FILE REFERENCE: 184.108.40.206 PROPONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 13 July 2017 PREVIOUSLY BEFORE COUNCIL: 15 November 2007 AUTHOR'S NAME & POSITION: Monica Treasure, Manager of Communities NATURE OF COUNCIL'S ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person's rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT The sale of Local Authority number plates has previously been restricted at 2000WD, to review the restriction and suggest the sale of Local Authority Plates up to 9999WD. BACKGROUND In November 2007, the sale of Local Authority plates went before council and it was moved that the sale of plates over 2000WD be restricted from sale, as per the resolution below. RESOLUTION 082:2007/08 Moved Cr McNeil seconded Cr Price 1. That the following policy be adopted by Council in regards to the sale and allocation of Local Authority number plates: - That the numbers 1000.WD to 2000.WD be made available for tender by local residents at the minimum price of $155.00 comprised of the cost price of $130.00 plus $25 being Council’s revenue from the sale. - That any number beginning with the prefix “0” not be made available for order by local residents. - That the numbers 00.WD and 000.WD not be made available for order by local residents. - That all proceed from the sale of Local Authority Plates be allocated to a new Reserve Fund to be called the “Wandering Townscape Development Reserve” for the purpose of future projects that improve the amenity of the townsite. 2. The Chief Executive Officer to write to Mr M Watts advising of the above decision. 3. The tender period to be 1st December 2007 to 28th February 2008. Carried: 5:2 There has been six plates purchased and processed over 2000WD since 2007 and requests for numbers over 2000WD have been received and declined over the past five years. During the past two financial years, 2015/16 two Local Authority plates were purchased and 2016/2017 six plates were purchased. The costs of the plates are $252, comprising of; $200 Department of Transport's commission and $52 Council's revenue, which is part of licencing commissions in general revenue. ATTACHMENT 10.3.1.1 COMMENT/ DETAILS No formal policy regarding this matter has been put in place since the 2007 decision of Council and this has left the matter open to misinterpretation, which has resulted in plates over 2000WD being issued over the past 10 years. Management of the plates has been by verbal explanation handed on from one administration officer to the next and with significant changes within the administration area over the years a clear consistent message has not resulted. From further review and analysis there appears to be a consistent level of misunderstanding regarding the issue and this item is hoping to set clear direction on the way forward and inform of the rules and regulations regarding these plates. Council's interpretation of the situation: - Council has jurisdiction over the sale of the plates – owns them affectively – this is not the case, the plates come under the management of the Department of Transport and they do not restrict the release of Local Authority Plates and accept applications regardless of Council's internal policies or decision making. - Council has thought that the sale of the plates over 2000WD was restricted – when in fact they are not. - Confusingly if Council was to formally restrict the sale of the Local Authority Plates to 2000WD, the restriction is only on the commission as such ensuring that Council gets the commission for sale of these plates, however it does not restrict the sale of plates above the 2000WD and these would in actual fact be available from any licencing centre around the state as a custom order. • Council is limiting its opportunity to capture the potential income possible from the sale of the higher numbered plates with commissions going direct to the department of transport for unguarded or restricted plates. • The current situation has resulted in an unfair and inequitable situation within the community as some higher numbered plates have been released. Administration is therefore suggesting that the best way forward for the management of the Shire of Wandering includes the following - 1. Open up general sales to the community to include 2001WD to 9999WD 2. Council purchase the remaining plates with the prefix 0_WD, namely 01WD, 02WD, 03WD, 04WD, 05WD, 06WD, 07WD, 09WD at the cost of $200 per plate to be either retained under the Shire of Wandering or attached to Council vehicles and trailers. These plates would not be available for purchase at any other time by the public once bought by the Council and would maintain the value previously placed on those low number plates sold by auction. This would remove the need to have any internal policy regarding the matter, improve the fairness and equity of the situation and increases the income potential from a greater range of possible sales. CONSULTATION Department of Transport – Plates CEO – Amanda O’Halloran Councillor Dowsett STATUTORY/ LEGAL ENVIRONMENT The setting of any restrictions on the issuing of Local Authority plates is a policy decision of the Council and is not covered by any relevant legislation. POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS At present the cost of each plate is $252, with Council retaining $52 from each plate sold and $200 being paid to the Department of Transport. If Council were to purchase the eight plates starting with 0_WD this would incur a cost of $1600.00. There is provision to manage this cost under the insurance GL which is currently in surplus due to proposed increases not going ahead as planned. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 - A Strong and Effective Organisation Outcome 5.1: Accessible customer services and information systems Strategy 5.1.1: Promote and deliver responsive customer services Outcome 5.2: Accountable decision making and resource allocation through effective governance Strategy 5.2.1: Ensure the Council’s decision making process is effective and transparent Strategy 5.2.2: Ensure the organisation’s governance structure, policies and procedures are current and relevant Outcome 5.4: Effective provision of customer services and engagement with the community and stakeholders Strategy 5.4.1: Promote and deliver responsive customer services VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council authorises 1. That Local Authority Plates from 0 to 9999WD be available to the Shire of Wandering for general sale to the community at the cost of $252. 2. That the Shire of Wandering purchase the following plates to be either retained or attached to Council vehicles: 01WD, 02WD, 03WD, 04WD, 05WD, 06WD, 07WD, 09WD, at a cost of $200 per plate. Amendment Moved: Cr Dowsett; Seconded Cr Watts that the Officers recommendation section 1. be changed to read 1. "That Local Authority Plates from “1 to 9999WD be available to the Shire of Wandering for general sale to the community at the cost of $252”, and remove point 2 “That the Shire of Wandering purchase the following plates to be either retained or attached to Council vehicles: 01WD, 02WD, 03WD, 04WD, 05WD, 06WD, 07WD, 09WD, at a cost of $200 per plate”. Amendment to the Amendment Moved: Cr Price and seconded Cr Parsons that point 2 be changed to read “That the Shire of Wandering purchase the following plates to be either retained or attached to Council vehicles: 01WD, 02WD, 03WD, 04WD, 05WD, 06WD, 07WD, 09WD and, 3000WD, 4000WD, 5000WD, 6000WD, 7000WD, 8000WD, 9000WD at a cost of $200 per plate”. LOST 3/4 The presiding member then put the amendment. CARRIED 4/3 The presiding member then put the amended motion which became the substantive. COUNCIL DECISION – ITEM 10.3.1 That Local Authority Plates from “01 to 9999WD” be available to the Shire of Wandering for general sale to the community at the cost of $252 CARRIED 4/3 10.4 CORPORATE SERVICES 10.4.1 FINANCIAL STATEMENTS FOR THE PERIOD ENDED 30 JUNE 2017 FILE REFERENCE: 10.1.16 PROONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 7 July 2017 PREVIOUSLY BEFORE COUNCIL: N/A AUTHORS NAME & POSITION: Amanda O’Halloran CEO NATURE OF COUNCIL’S ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT In accordance with Regulation 34 of the Local Government (Financial Management) Regulations 1996, the Shire is to prepare a monthly Statement of Financial Activity for consideration by Council. Monthly Financial Report, Payment Listing and Bank Reconciliations for the month of 30 June 2017 is presented for Council’s consideration. BACKGROUND In accordance with Local Government (Financial Management) Regulation 1996 34(1), local governments are required to prepare each month, a statement of financial activity reporting on revenue and expenditure for the month in question. The statement of financial activity is to be presented at an ordinary meeting of Council within two (2) months after the end of the month to which the statement relates. COMMENT/ DETAILS Council is requested to accept the Monthly Financial Report, Bank Reconciliations and List of payments for the period ended 30 June 2017, as presented. - Monthly Financial Report 30 June 2017 ATTACHMENT 10.4.1 - List of Payments 30 June 2017 ATTACHMENT 10.4.1.1 - Bank Reconciliations & Bank Statements (Muni A/C) 30 June 2017 ATTACHMENT 10.4.1.2 - Bank Reconciliations & Bank Statements (Investment A/C) 30 June 2017 ATTACHMENT 10.4.1.3 - Bank Reconciliations & Bank Statements (Trust A/C) 30 June 2017 ATTACHMENT 10.4.1.4 - Credit Card Statement 30 June 2017 ATTACHMENT 10.4.1.5 CONSULTATION Finance Officer Finance Contractor STATUTORY/ LEGAL ENVIRONMENT Section 6.4 Local Government Act 1995, Part 6 – Financial Management, and regulation 34 Local Government (Financial Management) Regulation 1996. POLICY IMPLICATIONS Nil FINANCIAL IMPLICATIONS Financial implications and performance to budget are reported to Council on a monthly basis. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and Effective Organisation Outcome 5.2: Accountable decision making and resource allocation through effective governance Strategy 5.2.1: Ensure Council’s decision making process is effective and transparent Strategy 5.2.3: Ensure appropriate funds are available to implement current and future action plans VOTING REQUIREMENT Simple Majority OFFICER RECOMMENDATION That Council: 1. Endorse all cheque, EFT, BPay, salary & wages, transport payments, transfers to investments, credit card payments and other direct debits and transfers as listed from the Municipal and Trust Fund totalling $521,545.40 for the period ending 30 June 2017 respectively. 2. Receive the bank reconciliations & bank statements for the period ended 30 June 2017. 3. Receive the financial statements for the period ended 30 June 2017. COUNCIL DECISION – ITEM 10.4.1 MOVED: Cr Watts SECONDED: Cr Parsons That Council: 1. Endorse all cheque, EFT, BPay, salary & wages, transport payments, transfers to investments, credit card payments and other direct debits and transfers as listed from the Municipal and Trust Fund totalling $521,545.40 for the period ending 30 June 2017 respectively. 2. Receive the bank reconciliations & bank statements for the period ended 30 June 2017. 3. Receive the financial statements for the period ended 30 June 2017. CARRIED 7/0 10.4.2 ADOPTION OF THE 2017/18 BUDGET FILE REFERENCE: 10.4.1.1 PROONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 13 July 2017 PREVIOUSLY BEFORE COUNCIL: N/A AUTHORS NAME & POSITION: Amanda O'Halloran, CEO NATURE OF COUNCILS ROLE IN THE MATTER: Legislative PURPOSE OF THE REPORT To consider and adopt the Municipal Fund Budget for the 2017/18 financial year, together with supporting schedules, including imposition of rates and minimum payments, adoption of fees and charges and other consequential matters arising from the budget papers. BACKGROUND The draft 2017/18 budget has been compiled based on the principles contained within the Strategic Community Plan and the Long Term Financial Plan. The 2017/18 draft budget has been prepared in accordance with the presentations made to Councillors at the budget workshops held between January and June 2017. The proposed differential rates were approved by Council on the 15 June 2017 and advertised for the public to comment by 4:30 pm on 14 July 2017. No submissions were received when the public comment period closed. ATTACHMENT 10.4.2.1 & 10.4.2.2 COMMENT/DETAILS The budget has been prepared to include information required by the Local Government Act 1995, Local Government (Financial Management) Regulations 1996 and the Australian Accounting Standards. The main features of the draft budget include: - The budget has been prepared with an 8% rate increase in line with financial plans contained within the Long Term Financial Plan and operational requirements pertinent to the financial climate and Council's current financial position. This increase applies to all differential general rate categories. \| Rating Category \| Rates in a Dollar \| Minimum Rate Payments \| \|-------------------------\|-------------------\|-----------------------\| \| GRV - Special Use \| $0.11010 \| $1,101 \| \| GRV- Residential \| $0.09129 \| $902 \| \| UV- Rural Residential \| $0.01230 \| $1,090 \| \| UV- Rural Mining \| $0.00665 \| $1,080 \| \| UV - Rural \| $0.00665 \| $1,080 \| - Fees and Charges have been reviewed and where increases have occurred, these have generally increased up to 10% and are itemised in the draft budget. There is the inclusion of a number of new items: - Equipment Hire – PA sound System - Computer use - CRC - 6 month seasons pass – Transfer Station - Council Chambers Hire - Annual Funeral Directors Licence - Single Funeral Permit (Non Funeral Directors) - Group Caravan Park Booking - Food Truck Yearly Operations Fee - Household and commercial waste charges and charges for depositing at the Wandering Waste Transfer Station are proposed to increase 10%. - The recurrent operating budget included an overall increase of 5% (although individual line items may vary from this, based on specific factors affecting each of these) and continues the focus on improved service delivery to the community. There is no increase in staff numbers planned in this budget. Numbers have decreased by 0.4 FTE. - A capital works programme totalling $857,724 is included. Expenditure on road & bridge infrastructure is the major component of the capital budget ($848,724) in line with Council’s strategy to increase the investment in road and associated assets. - A calculated surplus of $364,590 is anticipated as per rates statement of budget to be brought forward from 30 June 2017. However this is unaudited and may change. Any change will be addressed as part of a future budget review. The surplus consists of grants that were received early but are actually for expenditure in the 2017/18 budget and anticipated 2016/17 surplus. - Financial Assistance Grants $255,521 – received 8 June 2016 - General Grants $136,461 - Roads Assistance $119,060 - DFES (Bush Fire Brigade Grant) $8,415.00 – first instalment received 29 June 2015 - FAGS 2016/17 Bridge Allocation $100,000.00 - Principal additional grant funding for the year is estimated from: - Financial Assistance Grant $477,264 - Regional Road Group $447,813 - Roads to Recovery $103,000 - DFES Bush Fire Brigade Grant $30,600 - Department for Regional Development, CRC Service Grant $101,214 CONSULTATION Councillors Chief Executive Officer While no specific community consultation has occurred on the draft 2017/18 budget, community consultation and engagement has previously occurred during the development of the Community Strategic Plan from which other plans and direction have been formulated. In addition, the proposed differential rates were advertised in the West Australian on the 21 June 2017 and the Wandering Echo on the 1 July 2017. Extensive internal consultation has occurred through briefings and workshops with elected members. STATUTORY/ LEGAL ENVIRONMENT Section 6.2 of the Local Government Act 1995 requires that not later than the 31 August in each financial year, or such extended time as the Minister allows, each local government is to prepare and adopt, (Absolute Majority required) in the form and manner prescribed, a budget for its municipal fund for the financial year ending the following 30 June. Division 5 and 6 of Part 6 of the Local Government Act 1995 refer to the setting of budgets and raising of rates and charges. The Local Government (Financial Management) Regulations 1996 details the form and content of the budget. The draft 2017/18 budget as presented is considered to meet statutory requirements. POLICY IMPLICATIONS The Budget is based on the principals contained within the Strategic Community Plan, Corporate Business Plan and Long Term Financial Plan. FINANCIAL IMPLICATIONS Specific financial implications are outlined in the detailed section of this report and as itemised in the draft 2017/18 budget attached for adoption. STRATEGIC IMPLICATIONS Community Strategic Plan 2013-2023 Goal 5 – A strong and effective Organisation Outcome 5.2: Accountable decision making and resource allocation through effective governance Strategy 5.2.1: Ensure the Council’s decision making process is effective and transparent Strategy 5.2.3: Ensure appropriate funds are available to implement current and future action plans. VOTING REQUIREMENT Absolute Majority OFFICER RECOMMENDATION That Council: Officers recommendation changed by Council to approve $5,000 to be allocated to Tourism & Area Promotion for annual HWEDA Subscription in the Municipal Budget 2017/18 PART A – MUNICIPAL FUND BUDGET FOR 2016/17 Pursuant to the provisions of section 6.2 of the Local Government Act 1995 and Part 3 of the Local Government (Financial Management) Regulations 1996, the Council adopt the Municipal Fund budget as contained in ATTACHMENT 10.4.2.1 of this agenda for the Shire of Wandering for the 2017/18 financial year which includes the following: Statement of Comprehensive Income by Nature and Type on page (2) shows a net result for that year of $-124,317.00 Statement of Comprehensive Income by Program on page (3) shows a net result for that year of $-124,317.00 Statement of Cash Flows on page (5) shows the closing cash balance for that year of $303,360.00 Rate Setting Statement on page (6) shows an amount required to be raised from general rates of $934,074.00 Notes to and Forming Part of the Budget on pages (7 to 34) Transfers to and from Reserves as detailed in page (30) ABSOLUTE MAJORITY REQUIRED COUNCIL DECISION – ITEM 10.4.2 PART A MOVED: Cr Watts SECONDED: Cr Dowsett Pursuant to the provisions of section 6.2 of the Local Government Act 1995 and Part 3 of the Local Government (Financial Management) Regulations 1996, the Council adopt the Municipal Fund budget as contained in ATTACHMENT 10.4.2.1 of this agenda for the Shire of Wandering for the 2017/18 financial year which includes the following: Statement of Comprehensive Income by Nature and Type on page (2) shows a net result for that year of $-124,317.00 Statement of Comprehensive Income by Program on page (3) shows a net result for that year of $-124,317.00 Statement of Cash Flows on page (5) shows the closing cash balance for that year of $303,360.00 Rate Setting Statement on page (6) shows an amount required to be raised from general rates of $934,074.00 Notes to and Forming Part of the Budget on pages (7 to 34) Transfers to and from Reserves as detailed in page (30) CARRIED 7/0 PART B – DIFFERENTIAL RATES, INSTALLMENT PAYMENT ARRANGEMENTS 1. For the purpose of yielding the deficiency disclosed by the Municipal Fund Budget adopted at Part A above, Council pursuant to sections 6.32, 6.33, 6.34 and 6.35 of the Local Government Act 1995 impose the following differential general rates and minimum payments on Gross Rental and Unimproved Values. 1.1 Differential Rates - GRV- Special Use 11.010 cents in the dollar - GRV- Residential 9.129 cents in the dollar - UV – Rural Residential 1.230 cents in the dollar - UV – Rural Mining 0.665 cents in the dollar - UV – Rural 0.665 cents in the dollar 1.2 Minimum Payments - GRV - Special Use $1101 - GRV - Residential $902 - UV – Rural Residential $1090 - UV – Rural Mining $1080 - UV – Rural $1080 2. Pursuant to section 6.45 of the Local Government Act 1995 and regulation 64(2) of the Local Government (Financial Management) Regulations 1996, council nominates the following due dates for the payment in full by instalments: - Full Payment and 1st instalment due date 31 August 2017 - 2nd quarterly instalment due date 31 October 2017 - 3rd quarterly instalment due date 2 January 2018 - 4th quarterly instalment due date 5 March 2018 3. Pursuant to Section 6.46 of the Local Government Act 1995, Council offers a discount of 5% to ratepayers who will pay their rates in full, including arrears, waste and service charges, on or before the 31 August 2017. 4. Pursuant to section 6.45 of the Local Government Act 1995 and regulation 67 of the Local Government (Financial Management) Regulations 1996, Council adopts an instalment administration charge of $30.00 for those ratepayers who elect to pay their rates under the four instalment option. 5. Pursuant to section 6.45 of the Local Government Act 1995 and regulation 68 of the Local Government (Financial Management) Regulations 1996, Council adopts an interest rate of 5.5% where the owner has elected to pay rates and service charges through an instalment option. 6. Pursuant to section 6.51(1) and subject to section 6.51(4) of the Local Government Act 1995 and regulation 70 of the Local Government (Financial Management) Regulations 1996, Council adopts an interest rate of 11% for rates (and service charges) and costs of proceeding to recover such charges that remains unpaid after becoming due and payable. ABSOLUTE MAJORITY REQUIRED COUNCIL DECISION – ITEM 10.4.2 PART B MOVED: Cr Parsons SECONDED: Cr Ferguson 1. For the purpose of yielding the deficiency disclosed by the Municipal Fund Budget adopted at Part A above, Council pursuant to sections 6.32, 6.33, 6.34 and 6.35 of the Local Government Act 1995 impose the following differential general rates and minimum payments on Gross Rental and Unimproved Values. 1.1 Differential Rates - GRV - Special Use 11.010 cents in the dollar - GRV - Residential 9.129 cents in the dollar - UV – Rural Residential 1.230 cents in the dollar - UV – Rural Mining 0.665 cents in the dollar - UV – Rural 0.665 cents in the dollar 1.2 Minimum Payments 2. Pursuant to section 6.45 of the Local Government Act 1995 and regulation 64(2) of the Local Government (Financial Management) Regulations 1996, council nominates the following due dates for the payment in full by instalments: - Full Payment and 1st instalment due date 31 August 2017 - 2nd quarterly instalment due date 31 October 2017 - 3rd quarterly instalment due date 2 January 2018 - 4th quarterly instalment due date 5 March 2018 3. Pursuant to Section 6.46 of the Local Government Act 1995, Council offers a discount of 5% to ratepayers who will pay their rates in full, including arrears, waste and service charges, on or before the 31 August 2017. 4. Pursuant to section 6.45 of the Local Government Act 1995 and regulation 67 of the Local Government (Financial Management) Regulations 1996, Council adopts an instalment administration charge of $30.00 for those ratepayers who elect to pay their rates under the four instalment option. 5. Pursuant to section 6.45 of the Local Government Act 1995 and regulation 68 of the Local Government (Financial Management) Regulations 1996, Council adopts an interest rate of 5.5% where the owner has elected to pay rates and service charges through an instalment option. 6. Pursuant to section 6.51(1) and subject to section 6.51(4) of the Local Government Act 1995 and regulation 70 of the Local Government (Financial Management) Regulations 1996, Council adopts an interest rate of 11% for rates (and service charges) and costs of proceeding to recover such charges that remains unpaid after becoming due and payable. CARRIED 7/0 PART C – GENERAL FEES AND CHARGES FOR 2017/18 Pursuant to section 6.16 of the Local Government Act 1995, council adopts the Fees and Charges included at pages 1 to 9 inclusive of the fees & Charges 2017/18 included as ATTACHMENT 10.4.2.2 of this agenda and minutes. ABSOLUTE MAJORITY REQUIRED COUNCIL DECISION – ITEM 10.4.2 PART C MOVED: Cr Ferguson SECONDED: Cr Price Pursuant to section 6.16 of the Local Government Act 1995, council adopts the Fees and Charges included at pages 1 to 9 inclusive of the fees & Charges 2017/18 included as ATTACHMENT 10.4.2.2 of this agenda and minutes. CARRIED 7/0 PART D – OTHER STATUTORY FEES FOR 2017/18 1. Pursuant to section 53 of the Cemeteries Act 1986 the Council adopts the Fees and Charges for the Wandering Cemetery included at page 3 of the draft fees and Charges included as ATTACHMENT 10.4.2.2 of this agenda and minutes. 2. Pursuant to section 245A(8) of the Local Government (Miscellaneous Provisions) Act 1960 the Council adopts a swimming pool inspection fee of $58.45 included at page 7 of the draft 2017/18 fees and charges included as ATTACHMENT 10.4.2.2 of this agenda and minutes. 3. Pursuant to section 67 of the Waste Avoidance and Resources Recovery Act 2007, Council adopt the following charges for the removal and deposit of domestic and commercial waste: 3.1. Residential Premises (including recycling) Wandering Town Site and Wandering Downs 240 litre bin service - per annum - weekly removal of one 240 litre mobile garbage bin and fortnightly removal of one 240 litre mobile recycling bin + 1 tip pass pa (disposal of one trailer 6x4) $423.50 pa 3.2 Commercial Premises Wandering Town Site and Industrial Area 240 litre bin service - per annum - weekly removal of one 240 litre mobile garbage bin and fortnightly removal of one 240 litre mobile recycling bin + 1 tip pass pa (disposal of one trailer 6x4) $423.50 pa 4. Pursuant to section 67 of the Waste Avoidance and Resources Recovery Act 2007, and section 6.16 of the Local Government Act 1995 council adopt the following charges for the deposit of domestic and commercial waste: \| Charge \| Description \| Price \| \|---------------------------------------------\|-----------------------------------------------------------------------------\|--------\| \| Call out Fee \| Opening of Transfer Station out of Hours \| $110.00\| \| Seasons Pass \| Rural rubbish pass - for those properties that do not have a weekly 240 litre mobile bin service - includes 52 standard 240 litre bin drop offs per year of either Household Waste or Recycling Does not have to be weekly \| $143.00\| \| \| Rural rubbish pass - for those properties that do not have a weekly 240 litre mobile bin service - includes 26 standard 240 Litre bin drop offs per year of either Household Waste or Recycling Does not have to be weekly \| $88.00 \| \| Household Waste \| per 240 litre bin \| $16.50 \| \| Household Waste \| per cubic metre \| $44.00 \| \| Household Waste \| per trailer 6x4 \| $44.00 \| \| Household Waste \| per tonne \| $132.00\| \| Building Site Refuse Disposal \| per building licence issued - for dwellings only \| $550.00\| \| Commercial Refuse Disposal \| disposal of commercial waste \| $363.00\| \| Vehicle Body Dumping \| disposal of car bodies at tip - per car \| $181.50\| \| Recycling \| per 240 litre bin \| $16.50 \| \| Recycling \| per cubic metre \| $44.00 \| \| Recycling \| per trailer 6x4 \| $44.00 \| \| Animal Carcasses \| small domestic - per carcase \| $22.00 \| \| Animal Carcasses \| large - cattle, sheep, horse - per carcase \| $44.00 \| \| White goods - fridge, freezer, stoves, washing machine etc... \| per item \| $24.20 \| \| Mattresses \| per item \| $42.05 \| \| Car Tyre \| per tyre \| $11.00 \| \| 4WD Tyre \| per tyre \| $16.50 \| \| Car / 4WD tyre on rim \| per tyre \| $25.30 \| \| 10 Litre waste oil and units thereafter \| 3.30 per 10 litres \| $3.63 \| \| Green Waste \| Must be separated from other waste or household waste charges apply \| No Charge\| \| Clean fill \| Clean sand etc, where it can be used on site \| No Charge\| ABSOLUTE MAJORITY REQUIRED COUNCIL DECISION – ITEM 10.4.2 PART D MOVED: Cr Ferguson SECONDED: Cr Price 1. Pursuant to section 53 of the Cemeteries Act 1986 the Council adopts the Fees and Charges for the Wandering Cemetery included at page 3 of the draft fees and Charges included as ATTACHMENT 10.4.2.2 of this agenda and minutes. 2. Pursuant to section 245A(8) of the Local Government (Miscellaneous Provisions) Act 1960 the Council adopts a swimming pool inspection fee of $58.45 included at page 7 of the draft 2017/18 fees and charges included as ATTACHMENT 10.4.2.2 of this agenda and minutes. 3. Pursuant to section 67 of the Waste Avoidance and Resources Recovery Act 2007, Council adopt the following charges for the removal and deposit of domestic and commercial waste: 3.1. Residential Premises (including recycling) Wandering Town Site and Wandering Downs 240 litre bin service - per annum - weekly removal of one 240 litre mobile garbage bin and fortnightly removal of one 240 litre mobile recycling bin + 1 tip pass pa (disposal of one trailer 6x4) $423.50 pa 3.2 Commercial Premises Wandering Town Site and Industrial Area 240 litre bin service - per annum - weekly removal of one 240 litre mobile garbage bin and fortnightly removal of one 240 litre mobile recycling bin + 1 tip pass pa (disposal of one trailer 6x4) $423.50 pa 4. Pursuant to section 67 of the Waste Avoidance and Resources Recovery Act 2007, and section 6.16 of the Local Government Act 1995 council adopt the following charges for the deposit of domestic and commercial waste: \| Charge \| Description \| Price \| \|-------------------------------\|-----------------------------------------------------------------------------\|---------\| \| Call out Fee \| Opening of Transfer Station out of Hours \| $110.00 \| \| Seasons Pass \| Rural rubbish pass - for those properties that do not have a weekly 240 litre mobile bin service - includes 52 standard 240 litre bin drop offs per year of either Household Waste or Recycling Does not have to be weekly \| $143.00 \| \| \| Rural rubbish pass - for those properties that do not have a weekly 240 litre mobile bin service - includes 26 standard 240 Litre bin drop offs per year of either Household Waste or Recycling Does not have to be weekly \| $88.00 \| \| Household Waste \| per 240 litre bin \| $16.50 \| \| Household Waste \| per cubic metre \| $44.00 \| \| Household Waste \| per trailer 6x4 \| $44.00 \| \| Household Waste \| per tonne \| $132.00 \| \| Building Site Refuse Disposal \| per building licence issued - for dwellings only \| $550.00 \| \| Commercial Refuse Disposal \| disposal of commercial waste \| $363.00 \| \| Vehicle Body Dumping \| disposal of car bodies at tip - per car \| $181.50 \| \| Recycling \| per 240 litre bin \| $16.50 \| \| Recycling \| per cubic metre \| $44.00 \| \| Recycling \| per trailer 6x4 \| $44.00 \| \| Animal Carcasses \| small domestic - per carcase \| $22.00 \| \| Animal Carcasses \| large - cattle, sheep, horse - per carcase \| $44.00 \| \| White goods - fridge, freezer, stoves, washing machine etc... \| per item \| $24.20 \| \| Mattresses \| per item \| $42.05 \| \| Car Tyre \| per tyre \| $11.00 \| \| 4WD Tyre \| per tyre \| $16.50 \| \| Car / 4WD tyre on rim \| per tyre \| $25.30 \| \| 10 Litre waste oil and units thereafter \| 3.30 per 10 litres \| $3.63 \| \| Green Waste \| Must be separated from other waste or household waste charges apply \| No Charge \| \| Clean fill \| Clean sand etc, where it can be used on site \| No Charge \| PART E – ELECTED MEMBERS’ FEES AND ALLOWANCES FOR 2017/18 Pursuant to section 5.99 of the Local Government Act 1995 and regulation 34 of the Local Government (Administration) Regulations 1996, Council adopts the following annual fee for payment of elected members in lieu of individual meeting attendance fees: - Shire President $4,000.00 ABSOLUTE MAJORITY REQUIRED COUNCIL DECISION – ITEM 10.4.2 PART E MOVED: Cr Parson SECONDED: Cr Watts Pursuant to section 5.99 of the Local Government Act 1995 and regulation 34 of the Local Government (Administration) Regulations 1996, Council adopts the following annual fee for payment of elected members in lieu of individual meeting attendance fees: - Shire President $4,000.00 CARRIED 7/0 PART F - MATERIAL VARIANCE REPORTING FOR 2017/18 In accordance with regulation 34(5) of the Local Government (Financial Management) Regulations 1996, and AASB 1031 Materiality, the level to be used in statements of financial activity in 2017/18 for reporting material variances shall be 10% or 5,000 whichever is the greater. COUNCIL DECISION – ITEM 10.4.2 PART F MOVED: Cr Price SECONDED: Cr Ferguson In accordance with regulation 34(5) of the Local Government (Financial Management) Regulations 1996, and AASB 1031 Materiality, the level to be used in statements of financial activity in 2017/18 for reporting material variances shall be 10% or 5,000 whichever is the greater. CARRIED 7/0 Cr Watts left the meeting at 4.42 pm 12 ELECTED MEMBERS MOTIONS OF WHICH PREVIOUS NOTICE HAS BEEN GIVEN Nil 13 NEW BUSINESS OF AN URGENT NATURE INTRODUCED BY DECISION OF MEETING 13.1 INTRODUCTION OF CONFIDENTIAL ITEM AS NEW BUSINESS OF AN URGENT NATURE COUNCIL RESOLUTION MOVED: Cr Dowsett SECONDED: Cr Gowland CARRIED 6/0 13.2 COUNCIL RESOLUTION TO CLOSE THE MEETING COUNCIL RESOLUTION MOVED: Cr Ferguson SECONDED: Cr Dowsett That Council: That Council close the meeting to the public at 4.43pm pursuant to sub section 5.23 (2) (e) of the Local Government Act 1995. CARRIED 6/0 13.2.1 CONFIDENTIAL ITEM – NON PAYMENT OF RATES – AUTHORITY TO SELL LAND FILE REFERENCE: 23.1.2 PROPONENTS: Nil DISCLOSURE OF INTEREST: Nil DATE: 19 July 2017 PREVIOUSLY BEFORE COUNCIL: Nil AUTHORS NAME & POSITION: Amanda O’Halloran CEO NATURE OF COUNCIL’S ROLE IN THE MATTER: - [ ] Advocacy When Council advocates on its own behalf or on behalf of its community to another level of government/body/agency. - [x] Executive The substantial direction setting and oversight role of the Council e.g. adopting plans and reports, accepting tenders, directing operations, setting and amending budgets. - [ ] Legislative Includes adopting local laws, local planning schemes and policies. - [ ] Review When Council reviews decisions made by Officers. - [ ] Quasi-judicial When Council determines an application/matter that directly affects a person’s rights and interests. The judicial character arises from the obligation to abide by the principles of natural justice e.g. local planning applications, building permits, other permits/licences (e.g. under Health Act, Dog Act or local laws) and other decisions that may be appealable to the State Administrative Tribunal (SAT). PURPOSE OF THE REPORT Council has been working to reduce its outstanding rates over the last year. One rate payer, who is more than three years in arrears with rates payments, has continuously broken agreements with Council and the arrears continue to grow. Recent legal action taken did not deliver any debt reduction and Council is requested to give direction under Section 6.64 of the Local Government Act 1995 which outlines the action Council can take for the sale of the land for the non-payment of rates. COUNCIL DECISION – ITEM 13.2.1 MOVED: Cr Gowland SECONDED: Cr Ferguson That Council: 1. Approves the action outlined in Section 6.64 of the Local Government Act 1995 for the sale of land on A#12 owned by 3J's Hi PTY Ltd, for the non-payment of rates 2. Authorises the CEO to act on behalf of Council regarding his matter and negotiate with Legal Counsel as required. 3. Directs the CEO to adequately inform the Shire President and Council regarding this matter throughout the course of proceedings. CARRIED 6/0 COUNCIL RESOLUTION TO RE-OPEN THE MEETING MOVED: Cr Dowsett SECONDED: Cr Parson That Council re-open the meeting to the public at 5.13pm pursuant to sub section 5.23 (2) (e) of the Local Government Act 1995 and read the resolution passed if any public are present. CARRIED 6/0 14 CONFIDENTIAL ITEMS Nil 15 TIME AND DATE OF NEXT MEETING Next Ordinary Council meeting to be held on 17 August 2017 at 3:30pm. 16 CLOSURE OF MEETING The Shire President declared the meeting closed at 5.15pm These Minutes were confirmed at the Ordinary Council Meeting on Thursday 17 August 2017. Signed: ............................................... Presiding Person at the meeting at which the minutes were confirmed Date: .................................................
Evaluation of the iPLEX® Sample ID Plus Panel designed for the Sequenom MassARRAY® system. A SNP typing assay developed for human identification and sample tracking based on the SNPforID panel Johansen, P; Andersen, Jeppe Dyrberg; Børsting, Claus; Morling, Niels Published in: Forensic science international. Genetics DOI: 10.1016/j.fsigen.2013.04.009 Publication date: 2013 Citation for published version (APA): Johansen, P., Andersen, J. D., Børsting, C., & Morling, N. (2013). Evaluation of the iPLEX® Sample ID Plus Panel designed for the Sequenom MassARRAY® system. A SNP typing assay developed for human identification and sample tracking based on the SNPforID panel. Forensic science international. Genetics, 7(5), 482-7. https://doi.org/10.1016/j.fsigen.2013.04.009 Evaluation of the iPLEX® Sample ID Plus Panel designed for the Sequenom MassARRAY® system. A SNP typing assay developed for human identification and sample tracking based on the SNPforID panel P. Johansen, J.D. Andersen, C. Børsting, N. Morling Section of Forensic Genetics, Department of Forensic Medicine, Faculty of Health and Medical Sciences, University of Copenhagen, Frederik V's Vej 11, DK-2100 Copenhagen, Denmark ARTICLE INFO Article history: Received 15 February 2013 Received in revised form 18 April 2013 Accepted 24 April 2013 Keywords: Forensic genetics iPLEX® Sample ID Plus Panel SNPforID SNPs Human identification Multiplex MassARRAY ABSTRACT Sequenom launched the first commercial SNP typing kit for human identification, named the iPLEX® Sample ID Plus Panel. The kit amplifies 47 of the 52 SNPs in the SNPforID panel, amelogenin and two Y-chromosome SNPs in one multiplex PCR. The SNPs were analyzed by single base extension (SBE) and Matrix Assisted Laser Desorption/Ionization-Time of Flight Mass Spectrometry (MALDI-TOF MS). In this study, we evaluated the accuracy and sensitivity of the iPLEX® Sample ID Plus Panel by comparing the typing results of the iPLEX® Sample ID Plus Panel with those obtained with our ISO 17025 accredited SNPforID assay. The average call rate for accurate typing of all but one SNPs in the panel was 90.0% when the data were analyzed automatically using the MassARRAY® Typing 4.0 genotyping software in real time. Two reproducible inconsistencies were observed (error rate: 0.05%) at two different SNP loci. In addition, four inconsistencies were observed once. The optimal amount of template DNA in the PCR was >10 ng. There was a relatively high risk of allele and locus drop-outs when <1 ng template DNA was used. We developed an R script with a stringent set of “forensic analysis parameters” based on the peak height and the signal to noise data exported from the TYPER 4.0 software. With the forensic analysis parameters, all inconsistencies were eliminated in reactions with ≥10 ng DNA. However, when ≤10 ng DNA was used, the detection limit was 60–80%. The iPLEX® Sample ID Plus Panel was tested on 10 degraded samples from forensic case-work. Two samples could not be typed, presumably because the samples contained PCR and SBE inhibitors. The average call rate was generally lower for degraded DNA samples and the number of inconsistencies higher than for pristine DNA. However, none of the inconsistencies were reproduced and the highest match probability for the degraded samples typed with the panel was 1.7E−9 using the stringent forensic analysis parameters. Although the relatively low sensitivity of the iPLEX® Sample ID Plus Panel makes it inappropriate for typing of trace samples from crime scenes, the panel may be interesting for relationship testing and for identification of e.g. samples in biobanks because of the low reagent costs, the limited hands-on time of the iPLEX® assay and the automatic analysis of the mass spectra. © 2013 Elsevier Ireland Ltd. All rights reserved. 1. Introduction SNPs have attracted a lot of attention within the forensic community in the last decade. Several SNP panels have been developed for human identification and relationship testing [1–7] and recently, SNP panels have also been suggested for forensic phenotyping purposes [8–11]. Assays were developed for these panels that involved a large multiplex PCR and a large single base extension (SBE) multiplex. The SBE products were subsequently detected by capillary electrophoresis (CE). PCR and CE are widely used in modern forensic genetic laboratories. Thus, PCR/CE/CE assays were easily implemented and also validated for case work in some laboratories [12–15]. However, analyses of the electropherograms were challenging because the SBE products from the same locus were detected at different spectral wavelengths and appeared in different dye windows of the electropherogram, and because the strengths of the fluorophore emissions from dyes used in the SBE reaction were unbalanced. Consequently, the peak height of one allele may be up to six times higher than the peak height of the other allele in the same locus [12,16]. Furthermore, Corresponding author. Tel.: +45 3532 6225; fax: +45 3532 6289. E-mail address: firstname.lastname@example.org (C. Børsting). small sized peaks from PCR products or PCR primers extended with ddNTPs in the SBE reaction were often detected and these products may be misinterpreted as true alleles [17,18]. The SNPforID consortium (www.snpforid.org) developed a PCR–SBE–CE assay for human identification that made it possible to amplify 52 autosomal SNPs from diminutive amounts of genomic DNA [1]. An optimized version of this assay with 49 of the SNPs was successfully certified according to ISO 17025 standard in 2007 [12]. The SNPforID panel was used by Applied Biosystems to develop the GenPlex™ HID system that amplified 48 of the 52 SNPs and amelogenin. This assay was tested by the forensic community as a possible alternative to the PCR–SBE–CE assay [19–21]. However, a commercial forensic kit was never made available. In 2012, Sequenom launched the iPLEX™ Sample ID Plus Panel that amplifies 47 of the 52 SNPs in the SNPforID multiplex, amelogenin and two Y-chromosome markers, KKYR-1 and HFSY-2. The iPLEX™ protocol involves a large multiplex PCR, a large multiplex SBE reaction and detection of the SBE products by Matrix Assisted Laser Desorption/Ionization-Time of Flight Mass Spectrometry (MALDI-TOF MS). The protocol requires very little hands-on time. All reactions (PCR, Shrimp Alkaline Phosphatase (SAP) treatment, SBE and ion-exchange) are conducted in the same plate up to the point in the protocol, where the SBE products are automatically transferred to the SpectroCHIP® MALDI-TOF MS target. The mass spectra are analyzed and the SNP calls evaluated in real-time by the TYPER software on the MassARRAY™ analyzer system. Furthermore, quality assurance (QA) markers in the PCR mix, the SAP mix and the SBE mix provided internal controls for the different pipetting steps. The QA markers and targets for an SBE primer and three equally sized peaks from the extension products are used as an indication of a successful experiment. In this work, we evaluated the iPLEX™ Sample ID Plus Panel by comparing the SNP typing results with those obtained with an ISO 17025 accredited PCR–SBE–CE protocol [12]. 2. Materials and methods 2.1. Samples, DNA purification and DNA quantification A total of 94 samples from individuals in relationship cases were selected. All samples were previously typed with the SNPforID multiplex assay [12] as part of the case work investigation. DNA was purified from 200 μL of blood using the QIAamp DNA blood mini kit (Qiagen) as recommended by the manufacturer. DNA was eluted in 50 μL of AE buffer. Seven degraded crime case samples were selected based on STR typing results from the case work investigation; for three of these samples DNA was extracted from two different sources of sample material and both preparations were investigated. The crime case samples were purified either by a standard phenol/chloroform extraction protocol [22] or by chelex-100 resin [23]. All DNA concentrations were determined by real-time PCR using the Quantifiler™ Human DNA Quantification kit (Life technologies-Applied Biosystems, LT-AB) on an AB 7900 (LT-AB) according to the manufacturer's recommendations. The work was approved by the Danish ethical committee (H-1-2011-081). 2.2. SNP typing Samples were genotyped using the iPLEX™ Sample ID Plus Panel (Sequenom). The PCR contained: 0.8 μL H₂O, 0.5 μL PCR buffer (20 mM MgCl₂), 0.4 μL 25 mM MgCl₂, 0.1 μL 25 mM dNTP mix, 1 μL forward/reverse primer mix (500 nM each), 0.5 μL QC competitor, 0.5 μL QA spike, 0.2 μL PCR enzyme and 1 μL sample DNA. The PCR was performed in an GeneAmp® PCR system 9700 thermal cycler (LT-AB) with the following conditions: denaturation at 94 °C for 2 min followed by 45 cycles of 94 °C for 20 s, 62 °C for 30 s, 72 °C for 1 min, followed by 72 °C for 3 min. The PCR products were treated with a cocktail of 1.53 μL H₂O, 0.17 μL 10× SAP Buffer and 0.5 μL Shrimp Alkaline Phosphatase (1.7 U/μL) (SAP) (Sequenom) in a GeneAmp® PCR system 9700 thermal cycler (LT-AB) at 37 °C for 40 min followed by 85 °C for 5 min. The SBE reaction contained 7 μL SAP-treated PCR products and 2 μL iPLEX® probe (Sequenom) in a 40 μL PCR mix containing 10 μL iPLEX®-buffer plus, 0.2 μL iPLEX-pro Terminator mix, 0.94 μL primer mix (0.74–1.46 μM Sequenom), 0.041 μL iPLEX®-enzyme, 0.5 μL EXT-QA spike, and 0.119 μL H₂O. The SBE reaction was performed on a GeneAmp® PCR system 9700 thermal cycler (LT-AB) with the following conditions: denaturation at 95 °C for 30 s followed by 40 cycles of 95 °C for 5 s, 52 °C for 5 s, 80 °C for 5 s, 52 °C for 5 s, 80 °C for 5 s, 52 °C for 5 s, 80 °C for 5 s, 52 °C for 5 s, 80 °C for 5 s, followed by 72 °C for 3 min. A total of 41 μL of molecular grade water and ion exchange resin (Sequenom) was added to each sample. Samples were rotated for approximately 5 min on a tube rotator (VWR) and centrifuged at 3600 rpm for 5 min. All SBE products were spotted twice on the SpectroCHIP array (Sequenom) using the RS1000 nanospotter (Sequenom). Results were visualized on the MassARRAY™ analyzer 4 system (Sequenom) using the autorun settings. All samples were typed in duplicate. There were no significant difference between the call rates from the two spots (supplementary table S1, p = 0.11). All analyses were performed with the results from the first spot from each sample. 2.3. Data analysis The MassArray TYPER 4.0 genotyping software analyzed the results in real time using a Gaussian mixture model for cluster analyses. The credibility of the SNP calls were evaluated as a posterior probability using a non-disclosed formula in the MassArray TYPER 4.0 software and the SNP calls were divided into 3 groups; Conservative, Moderate and Aggressive genotype calls. A forth group named Low Probability SNP calls contained genotypes with skewed allele balances or low signal to noise ratios. The Low Probability SNP calls were not accepted as genuine SNP genotypes by the TYPER 4.0 genotyping software. If no extended SBE primers were detected at a locus, the genotype call was categorized as No alleles. For further analyses of the data, the Plate Data File with signal to noise ratios (SNR) and peak heights were exported from TYPER 4.0 and imported into the statistical computing software R v.2.11.0 (http://CRAN.R-project.org/package=PARS) using the ISDA 3.9000005 (v.9-9). The allele balance (AB) was calculated in R as AB = (height of allele 1 + height of allele 2)/(height of allele 1 + height of allele 2). A set of “forensic analysis parameters” for analysis were defined: peak height > 1.5, SNR > 5 and \|AB\| > 0.8 for homozygotes and \|AB\| < 0.2 for heterozygotes. \|AB\| > 0.8 translates to a genotype call where the peak height of one allele was at least 9 times higher than the peak height of the other allele. \|AB\| < 0.2 translates to a heterozygous genotype call where the peak height of one allele was maximally 1.5 times the peak height of the other allele. The signal from the G allele of the SNP rs2111980 was weak (supplementary Fig. S1). For rs2111980, \|AB\| > 0.9 for homozygotes and 0.3 < AB < 0.7 for heterozygotes. The heterozygous genotype calls of rs2111980 were manually changed and marked as a user defined call. 3. Results The iPLEX™ Sample ID Plus Panel was evaluated by duplicate typing of purified DNA from 94 individuals. Two experiments were performed independently of each other on two different days. Two of the 94 samples were only typed once. In one of the experiments, the SAP quality assurance marker in one sample was not detected and the spotting of another sample failed completely. The two samples were subsequently excluded from the analyses described below. The results were analyzed using the MassArray TYPER 4.0 genotyping software in real-time mode. The average call rate for duplicate typing of any one SNP in the iPLEX® Sample ID Plus Panel was 90.0% (for details on each SNP, see supplementary Table S2), 6.5% were typed successfully once and 3.5% were not typed in either experiment. Only one discrepancy between the first and second experiment was observed (in rs873196). The genotyping successes of three SNPs were poor. The SNP rs735155 was only typed in duplicate in one individual (see below) and the call rates for duplicate typing of rs1029047 and rs1031825 were only 57% and 54%, respectively. Without these three SNPs, the average call rate for duplicate typing of any SNP in the panel would be 93.5%. The signal from the rs2111980 G allele was weaker than the signal from the A allele (supplementary Fig. S1) which resulted in a peak height ratio of approximately 3:1 (A:G) for heterozygous individuals. The TYPER 4.0 software did not automatically accept heterozygous allele calls for rs2111980 as genuine and thus, the heterozygous genotype calls were manually changed and marked as user defined allele calls (Fig. 1). The consensus SNP profiles generated from duplicate typing with the iPLEX® Sample ID Plus Panel were compared to those obtained from an ISO/IEC 17025 accredited investigation of the same SNPs [12]. Two reproducibility inconsistencies were detected; one in the rs717302 locus and one in the rs735155 locus (observed in two different individuals). Furthermore, one inconsistency was observed in the rs873196 locus in one of the two experiments, and three inconsistencies were observed (two in rs717302 and one in rs1031825) in loci where the second experiment did not generate any result. Six of the eight inconsistencies were allele drop-outs and two were allele drop-ins (both in rs735155). Three of the eight inconsistencies were detected in the three poorly performing SNPs, rs735155, rs1029047 and rs1031825, and two of the remaining five inconsistencies were found in rs717302. The typing results of the sex markers AMEL, XKRY-1 and HFSY-2 matched the known gender of all 94 individuals. ### 3.1. Forensic analysis parameters The distribution of the five different genotype categories (Conservative, Moderate, Aggressive, Low-probability and No-alleles) reported by the TYPER 4.0 software is shown in Fig. 1A. The peak height, signal to noise and allele balance are clearly important parameters for the evaluation of the typing result. The genotypes of the eight inconsistencies were defined as Conservative (2), Moderate (5) and Aggressive (1). We decided to develop a stringent set of “forensic analysis parameters” based on the peak height and the signal to noise data exported from the TYPER 4.0 software. This way of analyzing the data eliminated all inconsistencies. The R script is available in supplementary Table S3. The minimum requirements for peak height, signal to noise and allele balance may be altered by the user. Also, individual requirements for a given locus may be defined, e.g. for the rs2111980 locus, where the allele balance was approximately 3:1, ![Fig. 1. Distribution of genotype calls. (A) TYPER 4.0 software analysis parameters. (B) Forensic analysis parameters. Red lines represent the ratio restrictions used for the forensic analysis parameters (homozygote allele balance (AB) 0.8 and heterozygote AB 0.2).](image-url) Table 1 The effect of different analysis parameters on the call rate and the distribution of genotype calls. \| Call \| TYPER 4.0 calls \| SNR > 5 \| Peak height > 1.5 \| SNR < 5 and peak height > 1.5 \| Allele balance \| Forensic analysis parameters \| \|--------------------\|-----------------\|---------\|-------------------\|-------------------------------\|----------------\|-------------------------------\| \| Conservative \| 13,155 \| −75 \| −647 \| −663 \| 120 \| −754 (5.7%) \| \| Moderate \| 2519 \| −87 \| −271 \| −280 \| 984 \| −1214 (48.2%) \| \| Aggressive \| 519 \| −30 \| −77 \| −82 \| −493 \| −317 (18.6%) \| \| Low probability \| 932 \| −490 \| −534 \| −549 \| 678 \| −924 (99.1%) \| \| No-alleles \| 235 \| −235 \| −235 \| −235 \| 235 \| 235 (100%) \| \| User defined \| 171 \| 0 \| −7 \| −7 \| 0 \| −7 (4.1%) \| The acceptable allele balance for heterozygotes was set to 0.3–0.7 (see Section 2). The distribution of genotype categories after analysis with the forensic analysis parameters is shown in Fig. 1B. The effect of the individual parameters is shown in Table 1. The numbers of acceptable Moderate and Aggressive calls were reduced considerably mainly by the more stringent requirements on the allele balance. Some Conservative calls were also eliminated, mostly by the increased peak height requirement. The average call rate for duplicate typing of any one SNP in the iPLEX® Sample ID Plus Panel with the forensic analysis parameters was 69.9% (for details on each SNP, see supplementary Table S2). The call rates of five SNPs (rs1029047, rs1490413, rs717302, rs733164 and rs737681) were reduced by more than half when the forensic analysis parameters were used. 3.2. Sensitivity of the iPLEX® Sample ID Plus Panel The sensitivity of the iPLEX® Sample ID Plus Panel was tested by typing five samples in seven different dilutions (40–0.625 ng). The average call rates of the analyzed results using either the TYPER 4.0 software or the forensic analysis parameters are shown in Fig. 2. As expected, the average call rates were lower when the forensic analysis parameters were used. The optimal amount of DNA in the PCR seemed to be >10 ng. Fourteen inconsistencies were observed between SNP profiles analyzed with the TYPER 4.0 software and the SNP profiles generated with the ISO 17025 accredited investigation [12]. All the inconsistencies were detected in the experiments where 1.25 ng or 0.625 ng DNA was used in the PCR. Twelve of the inconsistencies were allele drop-outs and two were allele drop-ins. When the forensic analysis parameters were used, four inconsistencies remained. All of them were allele drop-outs. 3.3. Typing of degraded DNA Seven crime case samples were selected for duplicate typing with the iPLEX® Sample ID Plus Panel. For three of these samples, DNA was extracted from two different areas of the sample material and both preparations were investigated. The samples were previously typed with the AmpF/STR® SEfiler Plus™ PCR amplification kit using the validated protocol for crime case samples [24] and partial STR profiles were obtained in all samples except for sample 8 (Table 2) [25]. Complete SNP profiles were obtained with the iPLEX® PCR–SBE–CE assay [25]. The call rates for the duplicate typing using either the TYPER 4.0 software or the forensic analysis parameters are shown in Table 2 and the SNP profiles from the individual experiments are shown in supplementary Tables S4 and S5. As expected, the call rates were generally lower than those obtained with pristine DNA samples. Nevertheless, the match probabilities for the consensus profiles based on the forensic analysis parameters ranged from 1.7E−09 (sample 1) to 1.2E−16 (sample 6). No reproducible results were obtained for sample 2 and 8 even though the samples were investigated four times. Partial SNP profiles were obtained once but the result could not be repeated. Interestingly, the signals from the QA markers were very weak in the experiments where no signals were detected, Fig. 2. Sensitivity study. Call rates with the TYPER 4.0 software (A) and the forensic analysis parameters (B) using seven different dilutions of DNA (40–0.625 ng). Table 2 Call rates of SNP and STR typing of degraded DNA. \| Sample \| Sample material \| Call rate \| AmpF/STR™ SEfiler Plus™ \| TYPER 4.0 \| Forensic analysis parameters \| \|--------\|--------------------------\|-----------\|-------------------------\|-----------\|------------------------------\| \| 1 \| FFPE tissue$^1$ \| 33% \| 81% \| 53% \| \| 2 \| FFPE tissue$^1$ \| 66% \| 0 \| 0 \| \| 3 \| Nail$^1$ \| 66% \| 60% \| 45% \| \| 4 \| Nail$^1$ \| 25% \| 77% \| 60% \| \| 5 \| Cigaret bud \| 92% \| 64% \| 53% \| \| 6 \| Cigaret bud \| 92% \| 89% \| 81% \| \| 7 \| Blood \| 50% \| 74% \| 60% \| \| 8 \| Muscle$^{a,b}$ \| 100% \| 0 \| 0 \| \| 9 \| Blood \| 75% \| 53% \| 45% \| \| 10 \| Blood \| 66% \| 79% \| 62% \| $^a$ Partial SNP profiles were obtained in one out of four experiments. $^b$ The internal PCR control in the Quantifier® kit was partially inhibited. $^c$ FFPE = formalin fixed paraffin embedded. $^d$ Used in a GenFlex™ HID system interlaboratory exercise [20]. which indicated that the SBE reactions were inhibited. The internal PCR control was inhibited in the real-time quantification reaction of sample 8 (data not shown) which confirmed the presence of PCR inhibitors in the DNA preparation, but no inhibition was observed for sample 2. Twelve inconsistencies were observed between the SNP profiles analyzed with the TYPER 4.0 software and the SNP profiles generated with the SNPerID PCR–SBE–CE assay [25]. They were detected in 11 different loci and none of them were reproducible (Supplementary Table S4). Seven of the inconsistencies were observed in loci where the second experiment did not generate a result. All the inconsistencies were allele drop-outs. Four inconsistencies remained after the iPLEX® Sample ID Plus Panel results were analyzed with the forensic analysis parameters. 4. Discussion Although the forensic community has invested a lot of research in the possible use of SNPs for forensic genetic testing, few laboratories have implemented or validated SNP typing assays [12–15]. The widely used PCR–SBE–CE assay has proved to be an excellent research tool. However, as a routine investigation in a forensic genetic context, the assay is deselected in favor of the constantly improving commercial STR kits. There are presently no commercial PCR–SBE–CE kits for forensic genetic testing. Thus, all maintenance of the assay including testing new primer stocks, the re-validation of each new primer mix etc. must be performed in-house. Also, there is no other commercial software that can analyze the unbalanced signals with different fluorophores efficiently or employ the locus specific guidelines that are important for standardization of the analyses [12] and for detection of mixtures [15]. These inconveniences were overcome with the iPLEX® Sample ID Plus Panel. All reactions in the iPLEX® protocol were performed in the same plate with little hands-on time, the peaks from the two alleles in each locus were of almost equal size and the analyses were performed automatically by the TYPER 4.0 software. The evaluation of the iPLEX® Sample ID Plus Panel described in this work showed that both pristine and degraded crime case samples may be typed accurately with the assay. Clearly, the call rates of some of the SNPs were not impressive. In particular, the rs1029047, rs1031825, rs1490413, rs717302, rs733164, rs735155 and rs737681 loci should either be removed from the panel or the individual SNP assays should be redesigned and optimized. The QA markers were a valuable addition to the assay and may work as an internal control for SBE (and PCR) inhibition. The QA markers required manual inspection, which seemed awkward when they might as well be analyzed automatically with the TYPER 4.0 software. The inconsistencies observed between the iPLEX® Sample ID Plus Panel profiles and the SNP profiles generated with the SNPerID PCR–SBE–CE assay were a matter of grave concern. We developed a set of forensic analysis parameters and re-analyzed the data in the statistical software using an in-house developed script (supplementary Table S3). The forensic analysis parameters were more stringent than the ones used by the TYPER 4.0 software and the majority of the inconsistencies were eliminated. However, the forensic analysis parameters reduced the average call rate considerably (from 90% to 69.8%). For some loci, the call rate was more than halved and the individual SNP assays for these loci should be optimized (see above). High sensitivity is pivotal for crime case investigations because the trace samples collected from crime scenes often contain very little DNA (<1 ng). The iPLEX® Sample ID Plus Panel required ≥10 ng for optimal performance. This is 50–100 times more than the amount of DNA typically used in the PCR of forensic genetic STR kits. Furthermore, allele drop-outs seemed to occur frequently when the PCR was set up with 1 ng or less. Therefore, the iPLEX® Sample ID Plus Panel is not attractive for crime case investigations in its current form. However, it may be useful for relationship testing, especially when the costs of the assay are taken into consideration. The list-price of the iPLEX® Sample ID Plus Panel is 7 Euro/sample (including all reagents and the electropherogram MALDI-TOF MS targets), which is one third of the list-price of the widely used AmpFISTR® NGM Select™ (AB-LT) STR typing kit (not including the cost of the CE). Furthermore, MALDI-TOF MS platforms require less maintenance than the CE-platforms used in most forensic genetic laboratories. 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Factors determining the occurrence of submicroscopic malaria infections and their relevance for control Lucy C. Okell\textsuperscript{1}, Teun Bousema\textsuperscript{2,3}, Jamie T. Griffin\textsuperscript{1}, André Lin Ouédraogo\textsuperscript{4}, Azra C. Ghani\textsuperscript{1} & Chris J. Drakeley\textsuperscript{2} Malaria parasite prevalence in endemic populations is an essential indicator for monitoring the progress of malaria control, and has traditionally been assessed by microscopy. However, surveys increasingly use sensitive molecular methods that detect higher numbers of infected individuals, questioning our understanding of the true infection burden and resources required to reduce it. Here we analyse a series of data sets to characterize the distribution and epidemiological factors associated with low-density, submicroscopic infections. We show that submicroscopic parasite carriage is common in adults, in low-endemic settings and in chronic infections. We find a strong, non-linear relationship between microscopy and PCR prevalence in population surveys ($n=106$), and provide a tool to relate these measures. When transmission reaches very low levels, submicroscopic carriers are estimated to be the source of 20–50% of all human-to-mosquito transmissions. Our findings challenge the idea that individuals with little previous malaria exposure have insufficient immunity to control parasitaemia and suggest a role for molecular screening. \textsuperscript{1}MRC Centre for Outbreak Analysis and Modelling, Department of Infectious Disease Epidemiology, Imperial College London, St Mary’s Campus, Norfolk Place, London W2 1PG, UK. \textsuperscript{2}Department of Immunology and Infection, Faculty of Infectious and Tropical Diseases, London School of Hygiene and Tropical Medicine, Keppel Street, London WCIE 7HT, UK. \textsuperscript{3}Department of Medical Microbiology, Radboud University Nijmegen Medical Centre, 6500 HC Nijmegen, The Netherlands. \textsuperscript{4}Centre National de Recherche et de Formation sur le Paludisme, 01 BP 2208 Ouagadougou 01, Burkina Faso. Correspondence and requests for materials should be addressed to L.C.O. (email: email@example.com). Measuring the prevalence of malaria infection in population surveys underpins surveillance and control of the parasite. During more than a century of malaria research, parasite infection has been assessed by light microscopy of blood films. This wealth of data is widely used to understand malaria epidemiology, to monitor and inform control strategy$^1$, to map the geographical distribution of malaria over time$^2$ and to aid development of mathematical models. Rapid diagnostic tests (RDTs) based on antigen detection are now also used for prevalence surveys. However, both techniques have limited sensitivity. Molecular detection techniques for malaria$^3$ have a much higher sensitivity and are increasingly revealing the widespread presence of infections with parasite densities below the detection threshold of either microscopy or RDTs. These results fundamentally challenge our current view of malaria epidemiology and burden of infection. In a previous systematic review and meta-analysis we found that microscopy misses on average half of all Plasmodium falciparum infections in endemic areas compared with PCR$^4$. There was high variability between surveys and transmission settings. It remains unclear what factors cause this variation in levels of submicroscopic infections, and to what extent such infections are relevant to current efforts to control and eliminate the parasite. From a clinical perspective, low-density infection has been associated with mild anaemia$^5$ and adverse effects during pregnancy$^6$, but rarely causes acute symptoms. Nevertheless, the public health importance of low-density infections may be significant, as experiments have shown that mosquitoes feeding on individuals who are parasite-negative by microscopy can become infected with malaria$^7,8$. The probability of detecting malarial infection is a function of the density of parasites and the volume of blood examined. Parasite densities in the peripheral blood fluctuate considerably over the course of any single P. falciparum infection and may dip under the microscopic detection threshold$^9$ due to sequestration during the second half of the 48 h life cycle and varying effectiveness of the host’s immune response. The volume of blood examined during microscopy slide-reading, if 100 high-power fields are screened, is 0.1–0.25 μl (refs 10–12), whereas for PCR detection DNA is extracted from 5 to 100 μl in most commonly used protocols. On the basis of these volumes, the theoretical detection limit for standard thick film microscopy is approximately 4–10 parasites per μl, and for PCR it is 0.01–0.2 parasites per μl. In practice, a low number of parasitized red blood cells in a sample is often not sufficient to enable detection due to technical factors such as loss of parasites during staining of microscopy slides$^10,13$ or use of single versus nested PCR protocols. Calibration against cultures with known parasite densities has shown realistic detection limits of 10–100 parasites per μl for microscopy$^14$ and 0.05–10 parasites per μl for various PCR assays$^15,16$. From the perspective of control agencies aiming to reduce transmission, the most important question is to what extent do submicroscopic parasite carriers, who are missed during routine surveys, contribute to sustaining transmission? To become infected with malaria, Anopheles vectors need to take up a minimum of one male and one female gametocyte in a 2- to 3-μl bloodmeal. There is still a considerable probability of this happening at parasite densities that will often be missed by microscopy (for example, 1–10 parasites per μl), both according to mathematical theory and data$^17$, and an aggregated distribution of parasites in the blood may assist transmission at very low densities$^18$. During the scale-up of malaria control, public health agencies must decide what screening tools to use in different populations and whether submicroscopic carriers are a priority for intervention$^19$. With sufficient resources, submicroscopic parasites could be detected in active screening programmes$^20$ and included in evaluations where they may alter estimates of how interventions impact the prevalence of infection. Both from a biological and a public health perspective, it is important to understand where and when submicroscopic carriage is mostly likely to occur. Here we compile and analyse epidemiological data sets to assess firstly the prevalence of submicroscopic parasite carriers, and secondly which factors cause these carriers to be more numerous in some areas and population groups. We explore the roles of immunity, antimalarial treatment, level of malaria endemicity and technical test performance. On the basis of 106 PCR prevalence surveys, we develop an analysis tool to estimate how prevalent such carriers are likely to be in any given area. We estimate the contribution of submicroscopic parasite carriers to the onward transmission of malaria by combining survey data with human-to-mosquito transmission studies. Results Submicroscopic parasitaemia across the endemicity spectrum. We compiled survey data in which P. falciparum prevalence was measured by both microscopy and by PCR in the same individuals through updating a previous systematic review$^4$. One hundred and six surveys met our inclusion criteria for analysis, taking place in endemic populations within a defined geographic area where participants were not selected according to malaria symptoms or test results, and where nested PCR or equivalent was used for parasite detection (see also Methods and Supplementary Table S1). Submicroscopic carriers were defined as those individuals with infections detected by PCR but not by microscopy. The specificity of microscopy relative to PCR is very high (98.4% on average$^4$), and given infrequent reporting of specificity in the included studies we assume in our analysis that slide-positive results are also PCR-positive. Microscopy detected, on average, 54.1% (95% confidence interval (CI), 50.3–58.2%) of all PCR-detected infections across the 106 surveys, but this sensitivity varied widely (Fig. 1a) as in previous analysis$^4$. Regression analysis showed that the PCR prevalence of infection has a strong linear relationship with microscopy prevalence on the log odds scale (Fig. 1a). Stratifying by age group improved the fit to the data with microscopy sensitivity being higher in children only (<16 years), lowest in adults (16 + years) and at an intermediate level when both adults and children were included in the survey (Fig. 1a and b). The best estimate of PCR prevalence is obtained from microscopic slide prevalence as follows (Fig. 1a and b): \[ \log \text{odds PCR prevalence} = 0.954 + 0.868 \times \log \text{odds slide} \] \[ - \text{prevalence (all age groups)} \] \[ \log \text{odds PCR prevalence} = 0.755 + 0.984 \times \log \text{odds slide} \] \[ - \text{prevalence (children only)} \] \[ \log \text{odds PCR prevalence} = 1.106 + 0.810 \times \log \text{odds slide} \] \[ - \text{prevalence (adults only)} \] where prevalence is a proportion (on the scale 0 to 1), $\log \text{odds} = \log_e(\text{prevalence}/(1-\text{prevalence}))$ and $\text{prevalence} = e^{(\log \text{odds})/(1+e^{\log \text{odds}})}$. As the effect of age on the sensitivity of microscopy was significant, and most surveys ($n = 86$) included both children and adults, we focussed on these studies with a wide age range for further analysis. We assessed the ability of the regression model to predict PCR prevalence from slide prevalence using a leave-out-one cross validation procedure. The correlation coefficient between observed and predicted values was 0.941, indicating good agreement (Fig. 1c). Using the fitted model, we provide a supplementary spreadsheet tool (Supplementary Software) to estimate PCR prevalence in areas where only slide-prevalence data are available and vice versa, using the equations above, with 95% uncertainty bounds on the prediction that take into account both the uncertainty in our fitted model and the sample size of the user-entered prevalence measure (see Methods). Our tool applies to cross-sectional population surveys with participants from all age groups, and readers should be cautious about using this tool if their data is from a different type of study population. Further details are provided in the Supplementary Software. Our fitted model indicates that the numbers of submicroscopic carriers as a proportion of the total infected population show a striking trend with changing transmission intensity, decreasing from an average of between 70 and 80% in areas with low PCR prevalence to 20% in the highest prevalence areas (Fig. 1d; see also ref. 4). In the following sections we examine the evidence for the potential role of several host and parasite factors in giving rise to low-level parasitaemia and whether these could drive the observed trend over the transmission intensity spectrum. Submicroscopic parasitaemia in malaria-naive individuals. Malaria therapy studies, in which laboratory-infected patients were monitored closely over time, are an important source of information on the within-host dynamics of malaria parasites in non-immune individuals$^{21,22}$. We examined longitudinal data from 89 individuals infected with P. falciparum, who had not previously had malaria and were not treated with anti-malarials at any point. Although only microscopic detection was available at the time, blood slides were taken continually even after a patient had become slide-negative. This showed that most patients experienced a phase when parasite densities fluctuated under and over the microscopic detection threshold, and allowed periods of submicroscopic infection to be identified. The time since infection was an important determinant of parasite density and detectability. The probability of detecting parasites in patients who had not yet had their last episode of slide-positive parasitaemia, that is, they were still infected, showed a clear decline over time (Fig. 2a), dropping to $ \sim 0.85 $ after 50 days, and less than 0.25 after 200 days (Fig. 2a). The fact that parasite densities are reduced below the microscopic detection threshold is likely to reflect an anti-parasitic immune response developing in these individuals as they experience their first malaria infection. Age and acquired immunity. Increasing age has been clearly linked to lower parasite densities$^{12,23}$, and our analysis above also finds a significantly higher proportion of submicroscopic carriers among surveys of adults compared with children (Fig. 1b). For a more detailed analysis of the role of age, we extracted data from 11 studies where prevalence by microscopy and PCR was broken down for three or more age groups. The data shows a general trend for more infections to be submicroscopic in older children and adults compared with young children (Fig. 3). In linear regression analysis, the proportion of all infections detected by microscopy decreased by 0.7% (95% CI, 0.2–1.2%) per year of age. in the pooled age-specific data. This almost certainly represents greater immunity in older individuals, likely due to both cumulative exposure and a more developed immune system. Given the role of immunity in suppressing parasite densities, individuals living in areas of high transmission with greater exposure might be expected to have less readily detectable infections. However, the between-area comparison of 106 surveys shows the opposite, with submicroscopic carriers predominating in areas of lower transmission (Fig. 1d). In the detailed age-specific data (Fig. 3), age and underlying population PCR prevalence remain significant predictors of microscopy sensitivity in linear regression analysis after mutual adjustment $(P < 0.001$ for both factors\). There was no evidence that increasing age had a more pronounced effect on the proportion of submicroscopic infections in areas of higher endemicity, where a larger age-dependent difference in acquired immunity may be expected. Indeed, there was a borderline significant association for a smaller effect of age in higher transmission settings $(P = 0.055)$. These data suggest that other factors override the effects of population immunity to produce on average more detectable, high-density infections in high-transmission areas. To further quantify the relationship between parasite densities and transmission intensity, we examined data from 24 Tanzanian villages where transmission intensity varied across from less than 1 infectious bite per person per year, to ~100 and was reflected by slide prevalence ranging from 2 to 57% $^{24}$. Parasite densities assessed by microscopy show a clear trend of increasing with increasing transmission intensity (Fig. 2b). This is in line with the trend showing more readily detectable infections where transmission in high and with previous observations $^{25}$. As more quantitative PCR data becomes available, it should be possible to confirm whether this relationship holds when submicroscopic densities are taken into account. Antimalarial treatment. When many of the PCR prevalence surveys in the review data were carried out, there was spreading resistance to the most commonly used antimalarial drugs available at the time, chloroquine and sulphadoxine-pyrimethamine. These partially effective treatments could have been a contributing factor to the levels of submicroscopic carriage in the data through allowing persistent, low-level infections $^{26}$. We contrasted national first-line treatment policies at the time of the studies in our review, and found that 21 countries recommended artemisinin combination therapies and 85 recommended non-artemisinin-based treatments such as sulphadoxine-pyrimethamine. There was no significant difference in the proportion of infections that were submicroscopic, in surveys carried out when artemisinin combination therapies were the first-line treatment $(P = 0.186)$, which should have been fully effective at clearing parasitaemia at the times and locations that the surveys were done. Nor was there any trend in changing microscopy sensitivity according to the year the study was carried out $(P = 0.868)$, as might have been expected because of increasing drug resistance over time. These results give no evidence for an important role for suboptimal treatment in explaining the distribution of submicroscopic infections between populations. Parasite detection methods. Variation in microscopy and PCR methodology is known to affect their performance and sensitivity. In the systematic review data, there were borderline significant increases in microscopy sensitivity with the volume of blood examined, as indicated by the number of microscopic fields examined $(P = 0.043)$ or the number of leucocytes counted $(P = 0.046$; see also ref. 4\). There was no association of microscopy sensitivity relative to PCR with the other methodological variables we examined in our analysis: the volume of blood used for DNA extraction (information available for 27 studies), the PCR protocol (Snounou et al. $^{15}$ or McNamara et al. $^{16}$ versus other protocols, $n = 106$ (see also ref. 4)) or the quantity of extracted DNA used in the PCR $(n = 23)$. Some of these variables are known to be important from previous studies, so the number of surveys with the relevant data available may have been too small to detect any associations, or other variation between studies could have obscured them. Indeed, variation between laboratories has been found to be more important than variation between protocols for PCR performance $^{27}$. Using dried blood collected on filter paper for PCR analysis also did not affect sensitivity, in line with previous findings $^{27}$. PCR can be subject to contamination, giving false positives and potentially overestimating submicroscopic carriage $^{28}$. Negative controls should be included during every PCR. However, there was no association between studies reporting use of a negative control and the proportion of submicroscopic infections as previously found\textsuperscript{4}. In addition, assuming any amount of PCR contamination (that is false-positive PCR results) considerably worsened the fit of the model; for example, the deviance information criterion for the model with 5% contamination was 175 larger than the model with no contamination, giving no support for contamination being a significant cause of apparent submicroscopic carriage. Implications for control programmes and elimination. To assess the contribution of submicroscopic infections to malaria transmission, we reviewed human-to-mosquito transmission studies and identified four experiments which included individuals who tested negative for malaria by microscopy in malaria-endemic areas (defined as no asexual parasites nor gametocytes; refs 7,29,30 and ALO, unpublished data; Table 1). Further studies tested the infectiousness of individuals with asexual parasites but no gametocytes; however, we focussed on carriers who would not be identified at all during routine, microscopy-based surveys. Molecular studies have shown that most people with asexual parasites also carry gametocytes\textsuperscript{17,31}, although they are more rarely detected by microscopy because they occur at a lower density\textsuperscript{8}. The results varied from showing an approximate 2-fold to a 16-fold reduction in infectivity in submicroscopically infected versus microscopy-positive individuals. The estimate of a two-fold reduction came from a study where an unusually low proportion of mosquitoes were infected in total; only 0.4% of those fed on slide-positives, increasing the uncertainty of the estimate\textsuperscript{30}. In the analysis, therefore, we used the other three estimates that show a 4- to 16-fold reduction in infectivity (Table 1). We estimated the contribution of the submicroscopic reservoir to sustaining malaria transmission, that is, the proportion of mosquito infections originating from submicroscopic carriers. We combined the average prevalence of submicroscopic infection across different malaria endemicities from the survey data analysis (Fig. 1a) with each of the three studies on infectiousness (Table 1). Two of the infectiousness studies\textsuperscript{7,29} suggest that submicroscopic carriers are relatively unimportant, except when transmission... is very low (Fig. 4). Submicroscopic carriers are estimated to be the source of over 20% of mosquito infections only where slide prevalence is under 4%, for the first of these two studies, or under 0.5% for the second study. The third study suggests submicroscopic infections are the source of over 20% of mosquito infections where slide prevalence is up to 24%, and as much as 50% of mosquito infections in very low-transmission areas (slide prevalence <0.5%). This analysis has limitations and additional estimates on the infectiousness of microscopic and submicroscopic parasite carriers are required, taking into account that the infectiousness of submicroscopic parasite carriers may vary between settings. Despite these uncertainties, all results indicate that submicroscopic infections are important contributors to transmission in areas with low or very low transmission intensity (under ~0.5%) and they may be important when slide prevalence is up to 24%, but contribute considerably less to transmission in areas of high transmission intensity. Discussion Our analysis shows that submicroscopic infections are likely to be important in sustaining transmission in areas where slide prevalence is low (<10–20%). For example, in an area where slide prevalence is 3%, submicroscopic infections are present in a further 8% of the population and, our calculations suggest, are responsible for 14–40% of all mosquito infections (Fig. 4). Submicroscopic carriers will become increasingly important as current control programmes continue to successfully reduce transmission intensity. We find that the prevalence of submicroscopic carriage can be estimated relatively precisely for a given population from microscopic slide prevalence using a simple model. As PCR methods are not yet widely available in the field, such a relationship can provide a useful approximate guide to underlying submicroscopic carriage in areas where only slide prevalence is available. Control and elimination programmes may wish to consider using molecular methods to identify infected individuals; our results warn against a relaxation of control efforts once prevalence of infection appears low according to microscopy. Molecular screening for parasites will be facilitated by the development of newer, field-adapted molecular tests. The common assumption that individuals with little previous exposure to malaria have a limited immune response against parasites and usually experience high-density infections is challenged by molecular data. The prevalence of submicroscopic infections in both low-transmission areas and in children suggests that a parasite-suppressing immune response develops more efficiently than commonly assumed. In malaria therapy patients, a common pattern is that initial high parasite density is followed by a long phase of low-density parasitaemia, which often drops below the microscopy detection threshold. There is evidence that in semi-immune individuals living in endemic areas, new infections similarly cause a phase of higher parasitaemia followed by a chronic low-density phase, although this is difficult to confirm as multiple infections often overlap and most current genotyping methods do not show the contribution of each clone to total parasite density. However, the arrival of new parasite genotypes in a host has been linked to clinical attacks, even in the presence of asymptomatic infection with other parasite clones, reflecting a rise in parasite density. Seasonal patterns also indicate a rise in parasite density during the rainy season when rates of infection are high, even when there is little seasonal variation in parasite prevalence. On the basis of these observations, combined with malaria therapy data, we hypothesize that frequent infection and superinfection in high-transmission areas increase the average parasite density in infected individuals, whereas in lower transmission areas infections are on average older and more likely to have reached a submicroscopic phase. Figure 5 shows a schematic representation of our hypothesis. Although immunity clearly has some role in suppressing parasite densities to low levels (as shown by the age patterns of microscopy and PCR prevalence in Fig. 3), it cannot explain the varying rates of submicroscopic carriage across endemic settings. We hypothesize that the average time since last being infected overrides the effects of immunity in determining the low rate of submicroscopic parasitaemia in high-endemic settings (Fig. 5). The reason that new infections result in higher parasite density and clinical attacks is not fully understood, but suggests hosts may have only partial cross-immunity against different parasite clones. Being infected with multiple clones has also been correlated with higher parasite density. This could simply reflect a higher probability of having a recent infection, or may alternatively demonstrate an... independent effect on parasite density. For example, host immune systems may be overwhelmed by the additional number or variety of parasites, or parasites may facultatively increase their growth rates in the presence of competing clones\textsuperscript{36}. If our hypothesis is correct, the prevalence of submicroscopic infections in an area may reflect recent dynamics of transmission and indeed levels of control interventions\textsuperscript{37}. A high proportion of submicroscopic infections could indicate a recent decrease in transmission. This is consistent with data from northern Tanzania showing high (33%) prevalence of almost entirely submicroscopic infections during a time of declining transmission\textsuperscript{38}. Such dynamics may occur when the local transmission potential is stably reduced, for example, by ongoing vector control. However, submicroscopic infections can be sufficient to restart transmission in the right conditions. For example in Sudan, slide prevalence declines to zero during the long dry season but some PCR-positive cases remain\textsuperscript{26}, who are presumed to explain the resurgence of transmission with the next rainy season once there are sufficient vectors. Therefore, a successful control programme should not be relaxed while submicroscopic infections persist\textsuperscript{39}. There may be additional factors associated with submicroscopic carriage that we could not examine in our current analysis. Haemoglobinopathies and other human polymorphic traits, which protect against malaria, are associated with lower parasite density\textsuperscript{40}. However, such traits are generally more common when malaria transmission is high, which would not explain the lower proportion of submicroscopic infections in these areas as observed in our review data. Parasites may also have varying genetic propensities to reach particular densities when infecting hosts, for example, through different multiplication rates\textsuperscript{41}. Genetic diversity in an area may affect parasite densities. Molecular studies have shown that low genetic diversity is linked with low transmission intensity\textsuperscript{42}, suggesting that after people are infected once, subsequent infections contain antigenically very similar parasites and may therefore be easier to control. There is also a short submicroscopic phase at the beginning of an infection during initial blood-stage parasite multiplication. In adults in endemic areas, this multiplication rate is over three-fold lower than in non-immune hosts\textsuperscript{43}, which could contribute to the age patterns of parasite detectability. Although our analysis did not find a role of partially effective anti-malarial treatment in enhancing low-level parasitaemia, there is evidence from Sudan that chronic submicroscopic infections were associated with recent chloroquine treatment during a time of increasing parasite resistance\textsuperscript{44}; further molecular follow-up data from clinical trials would provide clarification on this. We did not analyse the relationship between RDT and PCR prevalence because of a paucity of surveys reporting both measures. However, the development of large, publicly available prevalence data sets\textsuperscript{45} will provide the opportunity to characterize the relative sensitivity of microscopy and different RDT types, and from there it will be possible to get a clearer idea of RDT–PCR prevalence relationships. In clinical settings, the sensitivity of standard RDTs is generally high but their detection limits are around 100 parasites per μl\textsuperscript{46}; therefore, they will be generally somewhat less sensitive than microscopy in population surveys, where parasite densities are lower. There are also known to be malaria infections with very low density missed by both microscopy and PCR\textsuperscript{47}. The ubiquity of submicroscopic carriers in low-transmission sites indicates that assessing parasite carriage with molecular tools will be critical in monitoring malaria elimination programmes, where microscopy measures are insufficient to assess the scale of public health measures required. Identifying these carriers and their characteristics could also shed new light on ecological or sociodemographic risk factors for malaria in areas where most infections are submicroscopic. The evolutionary advantage to the parasite of these chronic, low-density infections is clear, particularly as mosquitoes can still become infected. In some areas with highly seasonal or sporadic vector populations, the ability to create chronic infections in the human host may be essential for parasite survival\textsuperscript{26}. This advantage also extends to the human host, as such low-density infections cause minimal disease and can maintain immunity\textsuperscript{48}. The increasing quantity of emerging molecular data will continue to enlighten our understanding of human-parasite interactions and their co-evolution. Methods Systematic review update and analysis. We compiled malaria prevalence data where both microscopy and PCR methods had been used to determine infection status, through updating a previous systematic review using the same methods\textsuperscript{4}. We searched from January 2009, when the previous review was completed, to the 1 November 2011, retrieving 636 records using the search terms ‘malaria’ and ‘PCR’, and through searching reference lists in the articles retrieved. Surveys were included if they took place in endemic populations within a defined geographic area, and were excluded if participants were selected according to malaria symptoms or test results, if the survey was gametocyte-specific, or if there was a large-scale intervention before data collection. We also excluded surveys of pregnant women, which are a special case and have been reviewed elsewhere\textsuperscript{49}. After screening titles and abstracts, we retained 73 for full-text evaluation. Fifteen of these were included and yielded 51 microscopy and PCR prevalence survey data pairs. Together with the previous systematic review results, this gave a total of 122 prevalence surveys. We restricted analysis to 106 surveys, which used a nested or semi-nested PCR or a PCR with an additional ligase detection reaction step\textsuperscript{16}, to aim for equivalent sensitivity, and those which provided the age range of survey participants. We extracted information on covariates with potential influence on microscopy sensitivity, including the age range of participants and details of microscopy and PCR procedures. We used the method described by Sharp \textit{et al.}\textsuperscript{50} to fit a linear relationship to the log odds of PCR and microscopy prevalence data: $$\Omega_{Pi} = \Omega_{Mi} + \delta_i$$ (1) $$\delta_i = \delta'_i + \beta_0(\Omega_{Mi} - \bar{\Omega}_M)$$ (2) where $\Omega_{Pi}$ is the log odds of PCR prevalence in trial $i$, $\Omega_{Mi}$ is the log odds of microscopy prevalence, $\delta$ is the log odds ratio (OR) of PCR to microscopy prevalence, $\bar{\Omega}_M$ is the mean log odds of microscopy prevalence across trials, $\delta'$ is the expected log OR PCR:microscopy prevalence when the log odds of microscopy prevalence is equal to the mean across trials, and $\beta_0$ is a regression coefficient. Any prevalence survey showing zero positive results by either microscopy or PCR was assumed to have 0.5 positive individuals, that is, half the detection limit, so they could be included in the analysis. The specificity of microscopy relative to PCR is very high (98.4% on average\textsuperscript{4}), so we assumed in our analysis that all slide-positive results are also PCR-positive. The model was fitted using Bayesian Markov Chain Monte Carlo techniques in Winbugs to allow for the different sample sizes and thus sampling variation in each survey. Each observed prevalence value is assumed to be drawn from a binomial distribution with the sample size of the survey. The log OR of microscopy: PCR prevalence was allowed to vary between surveys, with both the log OR and the log odds of microscopy prevalence assumed to be normally distributed. Uninformative priors were used. We assessed the predictive value of the fitted model using a leave-out-one cross validation procedure. Using the best fitting model, we developed a spreadsheet tool, which converts user-entered slide-prevalence data to PCR prevalence, or vice versa. Uncertainty bounds on the prediction were calculated by applying the delta method to the posterior distributions of fitted parameters and the Bayesian CI of the prevalence data entered by the user. As an amplification technique, any contamination of PCR could have a significant effect on the model; therefore, we tested it as a potential covariate. The observed PCR prevalence $I_{Pi}$ was assumed to contain a constant proportion of contaminated samples $c$, that is, false positives. We fitted the model above with the following modification: $$I_{Pi} = \hat{I}_{Pi} + (1 - \hat{I}_{Pi})c$$ (3) where $\hat{I}_{Pi}$ is the PCR prevalence that would be observed in the absence of contamination, and $\Omega_{D_i}$ in equation 1 above becomes the log odds of $\hat{I}_{Pi}$ rather than the log odds of $I_{Pi}$. We tried both fitting and fixing the proportion of samples that are contaminated. When this was fixed, we used a value of 5% based on reports from laboratories\textsuperscript{28}. We additionally examined whether several other variables, particularly variations in the PCR and microscopy technical methods, influenced microscopy sensitivity using standard random-effects meta-analysis and meta-regression. Malaria therapy data. We analysed data from patients infected with the El-Limon, McLendon or Santee-Cooper (gametocyte-producing) strains of P. falciparum. We excluded patients who were treated or reported a previous infection, and data from the day after the last microscopic detection of parasites for each patient. Infectiousness of submicroscopic relative to microscopic cases was assessed using data from days when a human-to-mosquito transmission experiment was done and no asexual or gametocytes were detected in the patients’ blood by microscopy, and comparing with measures taken when either or both parasite life stages were present in the blood. Mosquito feeding was more likely to be carried out if gametocytes were present and, therefore, we weighted the analysis by gametocyte status and by stage of infection (grouped into days 1–20, 21–40, 41–60, 61–80, 81–100, 101–200 and >200) so that measures were representative of an average infection. Other human infectiousness studies. We searched the literature to find as many studies as possible measuring human-to-mosquito transmission from individuals in malaria-endemic areas with neither asexual parasites nor gametocytes detectable by microscopy, using PubMed and modern transmission studies as starting points and searching through the relevant literature using bibliographies and a review. We identified three further relevant studies in addition to the malaria therapy data. One of these directly measured submicroscopic parasitaemia using quantitative nucleic acid sequence-based amplification as well as slide positivity. Two further human-to-mosquito transmission experiments measured the infectiousness of slide-negative individuals, but their infection status was not tested by molecular methods. We estimated the PCR prevalence in these study populations using the log linear model described in the main text (equation 1, Fig. 1a) and the reported slide prevalence in the study. The prevalence of submicroscopic carriage was calculated as: \[ \text{PCR prevalence} - \text{slide prevalence} \] We assumed all infections from slide negatives arose from these submicroscopic carriers, using them as the denominator in calculating infectiousness. The contribution of slide-positives or submicroscopic carriers to the infectious reservoir was calculated as: \[ \text{Prevalence} \times \text{proportion mosquitoes infected} \] The proportion of mosquito infections which would originate from submicroscopic infections was estimated as: \[ \frac{\text{Contribution of submicroscopic carriers to the infectious reservoir}}{\text{Contribution of slide-positive carriers + contribution of submicroscopic carriers to the infectious reservoir}} \] Age-prevalence data. We extracted the data from all studies which included children and adults and which gave a breakdown of prevalence by microscopy and PCR for at least three age groups. We fit a linear relationship between microscopy sensitivity and age, using the midpoint of the age group, and tested whether underlying population PCR prevalence was a modifying factor. Here we used lag prevalence ratios, as log ORs of microscopy: PCR positivity would decline as PCR prevalence increased, even with constant sensitivity in all settings. References 1. Monitoring and Evaluation to Assess and Use Results Demographic and Health Surveys (MEASURE-DHS), Malaria Indicator Surveys http://www.measuredhs.com/What-We-Do/Survey-Types/MIS.cfm. 2. Hay, S. I. et al. A world malaria map: Plasmodium falciparum endemicity in 2007. PLoS Med. 6, e1000448 (2009). 3. Snounou, G. et al. The importance of sensitive detection of malaria parasites in the human and insect hosts in epidemiological studies, as shown by the analysis of field samples from Guinea Bissau. Trans. R. Soc. Trop. Med. Hyg. 87, 649–653 (1993). 4. Okell, L. C., Ghani, A. C., Lyons, E. & Drakeley, C. J. Submicroscopic infection in Plasmodium falciparum-endemic populations: a systematic review and meta-analysis. J. Infect. Dis. 200, 1509–1517 (2009). 5. Ladeia-Andrade, S., Ferreira, M. U., de Carvalho, M. E., Curado, I. & Coura, J. R. Age-dependent acquisition of protective immunity to malaria in riverine populations of the Amazon Basin of Brazil. Am. J. Trop. Med. Hyg. 80, 452–459 (2009). 6. Arango, E., Maestre, A. & Carmona-Fonseca, J. Effect of submicroscopic or polyclonal Plasmodium falciparum infection on mother and gestation product: systematic review. Rev. Bras. Epidemiol. 13, 373–386 (2010). 7. Young, M. D. et al. The infectivity of native malarias in South Carolina to Anopheles quadrimaculatus. Am. J. Trop. Med. Hyg. 28, 303–311 (1948). 8. Bousema, T. & Drakeley, C. Epidemiology and infectivity of Plasmodium falciparum and Plasmodium vivax gametocytes in relation to malaria control and elimination. Clin. Microbiol. Rev. 24, 377–410 (2011). 9. O’Meara, W. P., Collins, W. E. & McKenzie, F. E. Parasite prevalence: a static measure of dynamic infections. Am. J. Trop. Med. Hyg. 77, 246–249 (2007). 10. Dowling, M. A. & Shute, G. T. A comparative study of thick and thin blood films in the diagnosis of scanty malaria parasitaemia. Bull. World Health Organ. 34, 249–267 (1966). 11. Greenwood, B. M. & Armstrong, J. R. Comparison of two simple methods for determining malaria parasite density. Trans. R. Soc. Trop. Med. Hyg. 85, 186–188 (1991). 12. Bruce-Chwatt, R. W. Essential Malariaiology, 4th edn, (2002). 13. Bejon, P. et al. Thick blood film examination for Plasmodium falciparum malaria has reduced sensitivity and underestimates parasitaemia. Malar. J. 5, 104 (2006). 14. Wongsrirachanalai, C., Barcus, M. J., Muth, S., Sutamihardja, A. & Wernsdorfer, W. H. A review of malaria diagnostic tools: microscopy and rapid diagnostic test (RDT). Am. J. Trop. Med. Hyg. 77, 119–127 (2007). 15. Snounou, G. et al. High sensitivity of detection of human malaria parasites by the use of nested polymerase chain reaction. Mol. Biochem. Parasitol. 61, 315–320 (1993). 16. McNamara, D. T. et al. Diagnosing infection levels of four human malaria parasite species by a polymerase chain reaction/ligase detection reaction fluorescent microsphere-based assay. Am. J. Trop. Med. Hyg. 74, 413–421 (2006). 17. Schneider, P. et al. Submicroscopic Plasmodium falciparum gametocyte densities frequently result in mosquito infection. Am. J. Trop. Med. Hyg. 76, 470–474 (2007). 18. Pichon, G., Awono-Ambene, H. P. & Robert, V. High heterogeneity in the number of Plasmodium falciparum gametocytes in the bloodmeal of mosquitoes fed on the same host. Parasitology 121(Pt 2): 115–120 (2000). 19. malERA Consultative Group on Diagnoses and Diagnostics. A research agenda for malaria eradication: diagnoses and diagnostics. PLoS Med. 8, e1000396 (2011). 20. Stresman, G. H. et al. A method of active case detection to target reservoirs of asymptomatic malaria and gametocyte carriers in a rural area in Southern Province, Zambia. Malar. J. 9, 265 (2010). 21. Jeffery, G. M. & Eyles, D. E. The duration in the human host of infections with a Panama strain of Plasmodium falciparum. Am. J. Trop. Med. Hyg. 3, 219–224 (1954). 22. Collins, W. E. & Jeffery, G. M. A retrospective examination of sporozoite- and trophozoite-induced infections with Plasmodium falciparum: development of parasitologic and clinical immunity during primary infection. Am. J. Trop. Med. Hyg. 61, 4–19 (1999). 23. Sama, W., Owusu-Agyei, S., Felger, I., Dietz, K. & Smith, T. Age and seasonal variation in the transition rates and detectability of Plasmodium falciparum malaria. Parasitology 132, 13–21 (2006). 24. Drakeley, C. J. et al. Estimating medium- and long-term trends in malaria transmission by using serological markers of malaria exposure. Proc. Natl Acad. Sci. USA 102, 5108–5113 (2005). 25. Smith, T. et al. Absence of seasonal variation in malaria parasitaemia in an area of intense seasonal transmission. Acta Trop. 54, 55–72 (1993). 26. Roper, C. et al. Detection of very low level Plasmodium falciparum infections using the nested polymerase chain reaction and a reassessment of the epidemiology of unstable malaria in Sudan. Am. J. Trop. Med. Hyg. 54, 325–331 (1996). 27. Proux, S. et al. Considerations on the use of nucleic acid-based amplification for malaria parasite detection. Malar. J. 10, 323 (2011). 28. Wilson, S. M. Detection of malaria parasites by PCR. Trans. R. Soc. Trop. Med. Hyg. 88, 363 (1994). 29. Jeffery, G. M. & Eyles, D. E. Infectivity to mosquitoes of Plasmodium falciparum as related to gametocyte density and duration of infection. Am. J. Trop. Med. Hyg. 4, 781–789 (1955). 30. Coleman, R. E. et al. Infectivity of asymptomatic Plasmodium-infected human populations to Anopheles dirus mosquitoes in western Thailand. J. Med. Entomol. 41, 201–208 (2004). 31. Ouedraogo, A. L. et al. Substantial contribution of submicroscopical Plasmodium falciparum gametocyte carriage to the infectious reservoir in an area of seasonal transmission. PLoS One 4, e8410 (2009). 32. Schulze, H., Giraud, G., Crain, J. & Bachmann, T. T. Multiplexed optical pathogen detection with lab-on-a-chip devices. J. Biophotonics 2, 199–211 (2009). 33. Babiker, H. A., Abdel-Muhsin, A. M., Ranford-Cartwright, L. C., Satti, G. & Walliker, D. Characteristics of Plasmodium falciparum parasites that survive the lengthy dry season in eastern Sudan where malaria transmission is markedly seasonal. Am. J. Trop. Med. Hyg. 59, 582–590 (1998). 34. Missiani, M. A., Kun, J. F., Lell, B. & Kremsner, P. G. Change in Plasmodium falciparum genotype during successive malaria episodes in Gabonese children. Parasitol. Res. 87, 1020–1023 (2001). 35. Ofosu-Okyere, A. et al. Novel Plasmodium falciparum clones and rising clone multiplicities are associated with the increase in malaria morbidity in Ghanaian children during the transition into the high transmission season. Parasitology 123, 113–123 (2001). 36. Pollitt, L. C. et al. Competition and the evolution of reproductive restraint in malaria parasites. Am. Nat. 177, 358–367 (2011). 37. Gatton, M. L. & Cheng, Q. Interrupting malaria transmission: quantifying the impact of interventions in regions of low to moderate transmission. PLoS One 5, e15149 (2010). 38. Shekalaghe, S. A. et al. A cluster-randomized trial of mass drug administration with a gametocytocidal drug combination to interrupt malaria transmission in a low endemic area in Tanzania. Malar. J. 10, 247 (2011). 39. Karl, S. et al. A sub-microscopic gametocyte reservoir can sustain malaria transmission. PLoS One 6, e20805 (2011). 40. Kiwanuka, G. N. Genetic diversity in Plasmodium falciparum merozoite surface protein 1 and 2 coding genes and its implications in malaria epidemiology: a review of published studies from 1997-2007. J. Vector Borne Dis. 46, 1–12 (2009). 41. Mackinnon, M. J., Gaffney, D. J. & Read, A. F. Virulence in rodent malaria: host genotype by parasite genotype interactions. Infect. Genet. Evol. 1, 287–296 (2002). 42. Schoepflin, S. et al. Comparison of Plasmodium falciparum allelic frequency distribution in different endemic settings by high-resolution genotyping. Malar. J. 8, 250 (2009). 43. Douglas, A. D. et al. Substantially reduced pre-patent parasite multiplication rates are associated with naturally acquired immunity to Plasmodium falciparum. J. Infect. Dis. 203, 1337–1340 (2011). 44. Roper, C. et al. Seasonal changes in the Plasmodium falciparum population in individuals and their relationship to clinical malaria: a longitudinal study in a Sudanese village. Parasitology 116(Pt 6): 501–510 (1998). 45. Gething, P. W. et al. A new world malaria map: Plasmodium falciparum endemicity in 2010. Malar. J. 10, 378 (2011). 46. Ochola, L., Vounatsou, P., Smith, T., Mabaso, M. & Newton, C. The reliability of diagnostic techniques in the diagnosis and management of malaria in the absence of a gold standard. Lancet Infect. Dis. 6, 582–588 (2006). 47. Bretscher, M. T. et al. Detectability of Plasmodium falciparum clones. Malar. J. 9, 234 (2010). 48. Shekalaghe, S. et al. Low density parasitaemia, red blood cell polymorphisms and Plasmodium falciparum specific immune responses in a low endemic area in northern Tanzania. BMC Infect. Dis. 9, 69 (2009). 49. Kattenberg, J. H. et al. Systematic review and meta-analysis: rapid diagnostic tests versus placental histology, microscopy and PCR for malaria in pregnant women. Malar. J. 10, 321 (2011). 50. Sharp, S. J. & Thompson, S. G. Analysing the relationship between treatment effect and underlying risk in meta-analysis: comparison and development of approaches. Stat. Med. 19, 3251–3274 (2000). 51. Alves, J. et al. Epidemiological characterization of Plasmodium falciparum in the Republic of Cabo Verde: implications for potential large-scale re-emergence of malaria. Malar. J. 5, 32 (2006). 52. John, C. C., McHugh, M. M., Moormann, A. M., Sumba, P. O. & Ofulla, A. V. Low prevalence of Plasmodium falciparum infection among asymptomatic individuals in a highland area of Kenya. Trans. R. Soc. Trop. Med. Hyg. 99, 780–786 (2005). 53. Satoguina, J. et al. Comparison of surveillance methods applied to a situation of low malaria prevalence at rural sites in The Gambia and Guinea Bissau. Malar. J. 8, 274 (2009). 54. Cortes, A. et al. Plasmodium falciparum: distribution of msp2 genotypes among symptomatic and asymptomatic individuals from the Wosera region of Papua New Guinea. Exp. Parasitol. 106, 22–29 (2004). 55. Steenkiste, N. et al. Sub-microscopic malaria cases and mixed malaria infection in a remote area of high malaria endemicity in Rattanakiri province, Cambodia: implication for malaria elimination. Malar. J. 9, 108, 2010. 56. Mueller, I. et al. High sensitivity detection of Plasmodium species reveals positive correlations between infections of different species, shifts in age distribution and reduced local variation in Papua New Guinea. Malar. J. 8, 41 (2009). 57. Zwetyenga, J. et al. No influence of age on infection complexity and allelic distribution in Plasmodium falciparum infections in Ndiop, a Senegalese village with seasonal, mesoendemic malaria. Am. J. Trop. Med. Hyg. 59, 726–735 (1998). 58. Owusu-Agyei, S., Smith, T., Beck, H. P., Amenga-Etego, L. & Felger, I. Molecular epidemiology of Plasmodium falciparum infections among asymptomatic inhabitants of a holoendemic malarious area in northern Ghana. Trop. Med. Int. Health 7, 421–428 (2002). 59. Ofula, A. V. et al. Age-related differences in the detection of Plasmodium falciparum infection by PCR and microscopy, in an area of Kenya with holo-endemic malaria. Ann. Trop. Med. Parasitol. 99, 431–435 (2005). Acknowledgements We thank Cally Roper, Brian Greenwood and Geoff Targett for useful discussions on interpretation of data, and Freya Fowkes for advice on statistical analysis. L.C.O. and J.T.G. are funded by the UK Medical Research Council fellowships; T.B. is funded by the European Union FIGHTMAL project of the European Community’s Seventh Framework Programme (FP7/2007–2013; grant PIAP-GA-2008-21816.4). A.L.O. is funded by the Netherlands Fellowship Programme (grant CEF2913/2006); and C.J.D. is funded by the Wellcome Trust (grant 091924). A.C.G. acknowledges Centre support from the Medical Research Council. L.C.O., J.T.G. and A.C.G. also acknowledge support from the Bill and Melinda Gates Foundation Vaccine Modeling Initiative. The funders had no role in the study design, in the collection, analysis and interpretation of data, in the writing of the report, or in the decision to submit the paper for publication. Author contributions L.C.O. updated the systematic review, did the analysis and drafted the manuscript. T.B. reviewed the studies and collected data. J.T.G. advised and contributed to the analysis, A.L.O. contributed data. All authors contributed to interpretation of data, writing and revising the manuscript, and have seen and approved the final version. Additional information Supplementary Information accompanies this paper at http://www.nature.com/naturecommunications Competing interests: The authors declare no competing financial interests. Reprints and permission information is available online at http://npg.nature.com/reprintsandpermissions/ How to cite this article: Okell, L. C. et al. Factors determining the occurrence of submicroscopic malaria infections and their relevance for control. Nat. Commun. 3:1237 doi: 10.1038/ncomms2241 (2012). License: This work is licensed under a Creative Commons Attribution-NonCommercial-Share Alike 3.0 Unported License. To view a copy of this license, visit http://creativecommons.org/licenses/by-nc-sa/3.0/
NARESH KUMAR L M.Sc. CHEMISTRY ACADEMIC YEAR: 2022-24 App. No: 22350423 RECEIPT Date: 08/08/2022 Name of Programme: M.Sc. Chemistry ReceiptNo: Receipt/Batch22-23/2612 Student ID: 22350423 Received with thanks from Mr./Ms: NARESH KUMAR L Batch: 2022 - 2023 \| S.No \| Particulars \| Amount Rs. \| \|------\|------------------------------\|------------\| \| 1 \| Tuition Fee - Sem 1 \| 20000.00 \| \| 2 \| Total Fees Paid \| 20000.00 \| \| S.No \| PaymentMode \| Amount Rs. \| Date \| Reference Number \| Bank Name \| Account Holder Name \| \|------\|-------------\|------------\|----------\|------------------\|-----------\|---------------------\| \| 1 \| Online \| 20000.00 \| 08/08/2022 \| 222012591155 \| \| \| Amount in words: Rupees Twenty Thousand Only SEAL CASHIER PSG COLLEGE OF TECHNOLOGY Coimbatore - 641 004 Ph: 0422 - 4344777, 2572177 Temporary Identity Card Name : NARMADAA R R Roll No. : D22PA03 Programme : I Yr MSC-AM Validity : January 2023 Holder's Signature Dean Academic \| Receipt Number \| 143985 \| \|----------------\|--------\| \| Receipt Date \| 30-06-2022 \| \| Payment Year \| 2022 \| \| Program \| Data Science \| \| S.No \| Description \| Amount \| \|------\|------------------------------------\|---------\| \| 1 \| Caution Deposit (Refundable) \| 2000.0 \| \| 2 \| Tuition Fees \| 80000.0 \| Grand Total : Rs 82000.0 Online Payment - 2200510097 82000.0 Print Receipt Go Back Vellore Institute of Technology (Deemed to be University under section 3 of the UGC Act, 1956) VELLORE CAMPUS Nikitha Ashok 22MDT0060 HOSTELLER App. No: 2022715974 Blood Group: O+ Official Address: Vellore Institute of Technology, Vellore - 632 014, Tamilnadu, India. 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We seek your feedback on the Admission process. Please visit: https://admissionfeedback.manipal.edu/ and tick the appropriate box. With best wishes and warm regards, Director (Admissions), Manipal Academy of Higher Education (MAHE), Manipal 576 104, Karnataka State, INDIA Tel: +91 92437 77700, www.manipal.edu MAHE an Institution of Eminence (IOE), accorded by MHRD, GOI Not interested? Unsubscribe here you will not get any correspondences from Institute related to your application process once unsubscribed. PROVISIONAL ADMISSION NOTICE Dear GAYATHRI G, Greetings from Manipal Academy of Higher Education (MAHE), Manipal Congratulations. We are pleased to inform you that you have been provisionally selected for admission to - M.Sc. Physics program at Department of Sciences, Manipal, Manipal Academy of Higher Education, Manipal. Under GENERAL category, for the academic year 2022-23. Program Fee Payment \| First Year Course Fee (INR) \| Refundable Caution Deposit (INR) \| Total First Year Fee Payable (INR) \| Last Date of Payment \| \|-----------------------------\|----------------------------------\|-----------------------------------\|----------------------\| \| 50,000 \| 5,000 \| 1st Instalment 55,000 \| 16/08/2022 \| \| 47,000 \| ----- \| 2nd Instalment 47,000 \| 22/08/2022 \| Total First Year Fee Rs 1,02,000 Kindly use either of the two options to make the course fee payment Option 1: Online Payment - Click https://sis.manipal.edu/admissions/CourseFeesMAHE.aspx for Online Fee Payment - User ID: your Application Number, Password: your Date of Birth and verification code. - Enter the fee amount, email id & mobile no - You will be redirected to the bank site when you click continue - Please note for the first time you will have to register with the valid – email id and mobile number - On successful payment, students can avail the receipt online immediately. - Do NOT close browser window, as on successful payment, the fee receipt acknowledgment will be generated instantly. Option 2: RTGS / NEFT - RTGS to MAHE ICICI Bank Account - Name: Manipal Academy of Higher Education. No Cash Payments. - Account Number: 007201000089, IFSC Code: ICIC0000072 - On fee transfer to MAHE account, login to - Login credentials (your Application number and Date of Birth) and enter the details - UTR (Transaction Number), Transaction Date, Fee amount, Currency - Course Name, Email ID, Mobile No, Beneficiary Bank Account No: 007201000089 - Remitter name: Candidate Name, Remarks: Fee payment for M.Sc. Physics program NO CASH PAYMENTS MAHE Admissions will email the Roll Number to the registered email id of the candidate within 48 hours of fee payment. Failure to pay the first year Program fees on or before the dates specified will result in the instantaneous forfeiture of the seat. Eligibility Pass in BSc with Physics as major subject from a recognized University, with minimum 50% aggregate marks or equivalent. Documents Required The following documents must be submitted in original along with 1 set of self-attested photocopies, for verification on the day of orientation / reporting to the Department of Sciences, MAHE Manipal - Marks cards of qualifying examination (all semesters/years) - Degree certificate or provisional pass certificate issued by the university - Conduct / Character Certificate issued by school / college - Aadhaar card copy of candidate - PAN card copy of parent/candidate - 2 recent and identical passport size photographs (4.5 cms x 3.5 cms) - Provisional admission notice Kindly note that the admission order will be issued only on submission of all documents in original. Orientation Program Date: Will be informed later. Tentative Course Commencement Date: 12.09.2022 Important Note - The Original documents mentioned above are to be produced for verification before the commencement of classes, for issue of Admission Order. - Subsequent annual course fees must be paid on or before the deadline, specified by the respective Institute. - Provisional admission will be given to candidates awaiting final year/semester results, subject to fulfilling the eligibility criteria on or before the commencement of classes. In case, the candidate fails to secure the required percentage as per the eligibility criteria, the admission gets cancelled automatically. Refund Rules - In case of withdrawal, refund will be processed as per UGC refund policy. Click here for the MAHE 2022 Refund Rules Queries - For any queries related to academics, please contact firstname.lastname@example.org on all working days - For any queries related to admissions, please contact email@example.com on all working days Hostels - Admitted candidates will be informed of Hostel booking, when the hostel booking window opens up Advisory - Admission is subject to fulfilment of all the eligibility conditions by the candidate. - If it is found at a later stage, during active verification, that the candidate has given false information / certificate or is found to have concealed some information, his / her admission will be cancelled without any notice. - Candidates are required to go through all the provisions of admission displayed on the website, like eligibility, fee details, and refund rules etc. Look forward to you joining Manipal family. With best Wishes & Warm Regards, Director (Admissions), Manipal Academy of Higher Education (MAHE), Manipal 576104 Tel: +91 9243777700 Email: firstname.lastname@example.org Web: www.manipal.edu Not interested? Unsubscribe here you will not get any correspondences from Institute related to your application process once unsubscribed. PSG COLLEGE OF TECHNOLOGY Coimbatore - 641 004 Ph: 0422 - 4344777, 2572177 Temporary Identity Card Name : HARITA · A Roll No. : D22 P404 Programme: 1 Yr MSC-AM Validity : January 2023 Holder's Signature Dean Academic NALLAMUTHU GOUNDER MAHALINGAM COLLEGE (AUTONOMOUS) POLLACHI Register No.: 3059 Name: LAKSHNA. S Course: M.Sc. - PHYSICS Semester: 1 2022-2023 FEE RECEIPT Receipt No.: 510 Date: 22/08/2022 \| SNo. \| Particular \| Amount Rs. \| \|------\|------------\|------------\| \| 1 \| Advance \| 11300 \| Total 11300 Rupees Eleven Thousand Three Hundred Only Signature of the Receiver RECEIPT Date: 06/10/2022 Name of Programme: M.Sc. Chemistry ReceiptNo: Receipt/Batch22-23/6493 Student ID: 22350423 Received with thanks from Mr./Ms: NARESH KUMAR L Batch: 2022 - 2023 \| S.No \| Particulars \| Amount Rs. \| \|------\|-----------------------------------\|------------\| \| 1 \| Tuition Fee - Sem 1 \| 5000.00 \| \| 2 \| Amenities and Service Fee \| 20000.00 \| \| 3 \| Total Fees Paid \| 25000.00 \| \| S.No \| PaymentMode \| Amount Rs. \| Date \| Reference Number \| Bank Name \| Account Holder Name \| \|------\|-------------\|------------\|----------\|------------------\|-----------\|---------------------\| \| 1 \| ECS \| 25000.00 \| 06/10/2022 \| 0153 \| \| \| Amount in words: Rupees Twenty-Five Thousand Only CASHIER Seethakathi Estate, GST Road, Vandalur, Chennai - 600 048, TN, India. Tel: +91 (44) 2275 1347, 1348, 1350, 9200 www.crescent.edu Application Form for Admission to MSc Physics - Coimbatore Amrita Vishwa Vidyapeetham - Coimbatore Campus (Data filled by the candidate on 20/03/2022 11:13 AM) PERSONAL INFORMATION \| Field \| Details \| \|------------------------\|----------------------------------------------\| \| Candidate Name \| Jeevika S \| \| Gender \| Female \| \| Date of Birth \| 2001-08-31 \| \| Social Status \| OBC (BGA/BC) \| \| Email Address \| email@example.com \| \| Mobile Number \| +91 9384702838 \| \| Alternate Email \| firstname.lastname@example.org \| \| Aadhar Number \| \| \| Nationality \| Indian \| \| Parent's / Guardian's Name \| \| \| Parent's / Guardian's Mobile No \| +91 9500970280 \| \| How did you know about Amrita? \| Relatives \| ADDRESS FOR CORRESPONDENCE \| Field \| Details \| \|------------------------\|----------------------------------------------\| \| Address Line 1 \| No 11, GRG Chandra Gandhi nagar, 4th cross right, Peelamedu \| \| Address Line 2 \| \| \| Pincode \| 641104 \| \| State \| Tamil Nadu & Puducherry (UT) \| \| District \| Coimbatore \| \| City \| Peelamedu \| DECLARATION I Jeevika S son/daughter of do hereby declare that the facts given by me in the application are true. I shall produce the original certificates at the time of admission or on demand. Place: Date: Signature of the Candidate School of Arts & Sciences - Coimbatore Campus Fee Payment Amrita Vishwa Vidyapeetham (Payment Completed on 30/06/2022 5:34 PM) Payment Receipt Fee Category: Tuition Fee Date: 2022-07-31 \| Fee Category \| Amount Paid \| Campus \| Program \| \|--------------\|-------------\|----------\|---------------\| \| Tuition Fee \| 54890 \| Coimbatore \| MSc Physics \| Jeevika Senthil Kumar CB.PS.P2PHY22010 M.Sc. PHY 2022 - 2024 Valid Upto: 31.08.2024 Dean Engineering National Institute of Fashion Technology ID CARD NO.: MFM/21/692 GAYATREENEE N Master of Fashion Management Blood Group: A +ve Date of Birth: 09.05.1999 Identification Mark: Cut mark near left eye Telephone: 7598506302 Emergency Contact No.: 9443426758 Address: 707, Sembarathi, Dae Township, Anupuram, Chengalpettu District - 603127. Issued On: 25.04.2022 Valid Up to: June, 2023 HOLDERSIGNATURE ISSUING AUTHORITY Instructions: 1. This Card is not transferable and must always be carried 2. This is to be surrendered on discontinuation 3. Card if found may be returned to the address below: National Institute of Fashion Technology Ministry of Textiles - Govt of India NIFT Campus. Rajiv Gandhi Salai, Taramani Chennai - 600 113, India. Ph.: +91-44-22542755/68, fax:22542769 \| Name \| KAVI NIVETHA \| \|---------------\|--------------\| \| Course \| DGJ \| \| Student ID No \| SDI043DGJ \| \| Valid up to \| OCT 2022 \| \| Batch No \| - \| SDI/SOP09/F03 Provisional Allotment Letter (PAL) \| Student Name \| ANJU S \| \|--------------------\|--------\| \| Parent/Guardian Name \| SATHEESH KUMAR L \| \| Student ID \| 572196 \| \| Academic Year \| 2022-2023 \| \| Programme & Branch / Specialization \| M.Tech.-Food and Nutritional Biotechnology [PG - FT - ACADEMIC] \| \| Campus \| Faculty of Engineering and Technology, Kattankulathur \| \| Resident Category \| Domestic \| \| #Scholarship Category \| - \| Fee Estimation \| Fee Particulars \| I Year 2022-2023 \| II Year 2023-2024 \| Total \| \|--------------------------\|------------------\|-------------------\|-------\| \| Tuition Fees \| 160000.00 \| 160000.00 \| 320000.00 \| \| Registration Fee \| 10000.00 \| 0.00 \| 10000.00 \| \| #Scholarship Amount \| 0.00 \| 0.00 \| 0.00 \| \| Total \| 170000.00 \| 160000.00 \| 330000.00 \| Note: a) The Provisional Allotment Letter(PAL) is issued based on the preliminary scrutiny of your application and other documents submitted, subject to the condition that the eligibility criteria is satisfied as per the University norms in the Qualifying examination and submission of the original certificates during Enrollment. b) Other fees are as applicable to the respective campuses. This allotment stands cancelled if the balance fee (if any) is not paid on or before the stipulated time. You are advised to pay the balance tuition fee through RTGS/NEFT/IMPS. This is a system generated receipt. Hence, it does not require any signature. IMPORTANT INSTRUCTIONS: Your Provisional Allotment Letter will stand automatically cancelled under any one or all of the following conditions: a. If the student is found to be not satisfying our eligibility criteria and the eligibility has been determined provisionally purely based on the documents submitted. b. If you do not report to the college on the stipulated date of reporting. c. If at any point of time, the eligibility of the candidate is questioned by an appropriate authority of the university or statutory bodies or the court of law and if found that the eligibility is not satisfied. The university shall not be made liable for any loss or damages. WITHDRAWAL OF ADMISSION AND REFUND POLICY: The refund will as per AICTE norms. Note: Under any circumstances the registration fee is not refundable. Change of campus and branch will not be entertained. Any dispute with regard to admission, eligibility, fees, refund, etc., shall be within the legal jurisdiction of Chennai only. Declaration: I hereby agree and abide by the above rules and regulations of SRMIST. I am also aware that the original documents must be submitted online at the time of enrollment. I have read and understood the refund norms of the University and would abide by the same. Student’s Signature Name: ANJU S Parent’s Signature Name: SATHEESH KUMAR L Dear Ms. Bindya, Sub: Provisional Admission to Ph.D Programme in Evolutionary and Integrative Biology Unit Ref: Your application number : PH231768 We are pleased to inform you on your selection for admission to the Ph.D programme at Jawaharlal Nehru Centre for Advanced Scientific Research (JNCASR). We look forward to your acceptance of our offer of provisional admission and welcoming you as a member of our academic community. As you are aware, JNCASR is one of the premier research Centre in the country. The Centre promotes research at the highest level in frontier and interdisciplinary areas of science and engineering. You have been selected for admission to the Ph.D programme in Evolutionary and Integrative Biology Unit based on your performance in the online interview and your qualifying in the Graduate Aptitude Test in Engineering (GATE 2021). You will work under the guidance of Prof. Amitabh Joshi. Please go through the terms and conditions in Annexure A to F attached with the e-mail for compliance. If you decide to accept our offer, kindly confirm your acceptance by 13th June 2022 by return e-mail to email@example.com. The fees of Rs. 20,000/- is to be paid by logging into the Applicant's Interface in our admission portal on or before 16th June 2022. No correspondence will be entertained after the fees submission deadline. The offer will be sent to the next deserving candidate in the waiting list. You are required to report at Hostel Office, JNCASR on 23rd or 24th July, 2022. The date of arrival needs to be informed to the Academic office sufficiently in advance (minimum 7 days before the reporting date). The Hostel Office will make necessary arrangements accordingly. Kindly note that your admission will be confirmed only after your arrival and verification of all the necessary documents and degree registration pre-requisites of JNCASR. The verification of documents will be done on 25 July, 2022, in the Meeting Room, First Floor, Academic Office. The semester will commence on 1 August, 2022. If you have any queries/need clarifications, please send an e-mail to firstname.lastname@example.org. We look forward to your joining the programme. With best wishes, Academic Coordinator Ms. Bindya R S 2/26, Kothavadi (PO), Kinathukadavu, Coimbatore Tamil Nadu - 642109 दर्शनी देवी एस, Dear Dharshini Devi S, My heartfelt congratulations to you on being provisionally selected for admission to the two year Post graduation Master of Science in Food Technology course. Your admission to the course is totally provisional and is subject to the final approval by AcSIR. Kindly note that the admission will stand cancelled, if at the time of joining, the originals of all the applicable documents listed in this letter are not produced and / or do not match with the documents submitted earlier with the application form. The new academic session commences from Monday, September 19, 2022. You are required to report at HRD department on Thursday, September 15, 2022 at 10:00 AM for document verification. Admission of students to the hostel will be made after completion of admission formalities on Thursday, September 15, 2022. Students and accompanying persons have to make their own arrangements for their stay during the time of admission. You will be required to remit the MOKHITHA S, [Application Number: 2022701437] has been provisionally selected for admission to M.Tech. Biotechnology Programme at VELLORE campus, for the academic year 2022-2023 based on merit performance and selection criteria. The induction programme and commencement of classes will be held from 20-JUL-2022. \| S.No. \| Academic Fees \| 2022-23 \| 2023-24 \| Total \| \|-------\|---------------------------------------------------\|---------\|---------\|---------\| \| 1. \| Tuition Fees (per annum) \| 180000 \| 180000 \| 360000 \| \| 2. \| Caution Deposit (Refundable) \| 3000 \| 0 \| 3000 \| \| A. \| Academics Fees Total \| 183000 \| 180000 \| 363000 \| \| \| Approximate Hostel Fees (if applicable) \| \| \| \| \|-------\|---------------------------------------------------\|---------\|---------\|---------\| \| 3. \| Hostel Establishment Charges & Mess Charges \| 138140 \| 138140 \| 276280 \| \| 4. \| Hostel Caution Deposit (Refundable) \| 15000 \| - \| 15000 \| \| B. \| Estimated Hostel Fees (For 2 years based on Vellore 4 bed AC / Non-Veg Food) \| 153140 \| 138140 \| 291280 \| \| \| Grand Total [A+B] \| 336140 \| 318140 \| 654280 \| RUPEES SIX LAKH FIFTY FOUR THOUSAND TWO HUNDRED AND EIGHTY 1. Please pay your advance tuition fees on or before 27-06-2022 and balance tuition fees on or before 11-07-2022. The payment should be done through online mode only (Refer VIT Vellore Institute of Technology, Vellore-632014, Tamil Nadu, website for online payment details). Non-payment within the deadline will automatically cancel the admission offer. 2. The details and procedure for hostel accommodation will be updated in the VIT Vellore/Chennai/AP/Bhopal websites shortly. 3. Hostel fee is applicable for those who join the hostel. Actuals might vary based on the choice of room and food in the respective campus. 4. If the candidate withdraws from the course before commencement of programme, Rs. 11,800/- (including GST) will be deducted. In case of withdrawal from hostel, refund rules will be announced shortly in VIT website. 5. Score in 10th, 12th class and UG degree need to be 60% and above. This is mandatory for VIT Campus Placement. 6. Change of campus and change of programme is not possible. The sanction of EDUCATION LOAN to the student is recommended subject to the conditions of the lending bank. Director (PG Admissions) Dr. V.Ramasubramanian Agreed and counter signed by Signature of the Candidate with date Signature of the Parent / Guardian with date SNEHA.H, [Application Number: 2022702819] has been provisionally selected for admission to M.Tech. Biotechnology Programme at VELLORE campus, for the academic year 2022-2023 based on merit performance and selection criteria. The induction programme and commencement of classes will be held from 20-JUL-2022. \| S.No. \| Academic Fees \| 2022-23 \| 2023-24 \| Total \| \|-------\|---------------------------------------------------\|---------\|---------\|---------\| \| 1. \| Tuition Fees (per annum) \| 180000 \| 180000 \| 360000 \| \| 2. \| Caution Deposit (Refundable) \| 3000 \| 0 \| 3000 \| \| A. \| Academics Fees Total \| 183000 \| 180000 \| 363000 \| Approximate Hostel Fees (if applicable) \| S.No. \| Hostel Establishment Charges & Mess Charges \| 2022-23 \| 2023-24 \| Total \| \|-------\|--------------------------------------------------\|---------\|---------\|---------\| \| 3. \| Hostel Establishment Charges & Mess Charges \| 138140 \| 138140 \| 276280 \| \| 4. \| Hostel Caution Deposit (Refundable) \| 15000 \| - \| 15000 \| \| B. \| Estimated Hostel Fees (For 2 years based on Vellore 4 bed AC / Non-Veg Food) \| 153140 \| 138140 \| 291280 \| Grand Total [A+B] \| \| 336140 \| 318140 \| 654280 \| RUPEES SIX LAKH FIFTY FOUR THOUSAND TWO HUNDRED AND EIGHTY 1. Please pay your advance tuition fees on or before 27-06-2022 and balance tuition fees on or before 11-07-2022. The payment should be done through online mode only (Refer VIT Vellore Institute of Technology, Vellore-632014, Tamil Nadu, website for online payment details). Non-payment within the deadline will automatically cancel the admission offer. 2. The details and procedure for hostel accommodation will be updated in the VIT Vellore/Chennai/AP/Bhopal websites shortly. 3. Hostel fee is applicable for those who join the hostel. Actuals might vary based on the choice of room and food in the respective campus. 4. If the candidate withdraws from the course before commencement of programme, Rs. 11,800/- (including GST) will be deducted. In case of withdrawal from hostel, refund rules will be announced shortly in VIT website. 5. Score in 10th, 12th class and UG degree need to be 60% and above. This is mandatory for VIT Campus Placement. 6. Change of campus and change of programme is not possible. The sanction of EDUCATION LOAN to the student is recommended subject to the conditions of the lending bank. Director (PG Admissions) Dr. V.Ramasubramanian Agreed and counter signed by Signature of the Candidate with date Signature of the Parent / Guardian with date To, Vemiya M, IITISMMT2204797, email@example.com Sub: Offer for provisional admission to 2 Year M. Tech. in Pharmaceutical Science and Engineering. Dear candidate, This is to inform you that on the basis of your online application form and acceptance on COAP website, you have been provisionally selected for admission to the 2 year M.Tech. in (Pharmaceutical Science and Engineering) at the Indian Institute of Technology (Indian School of Mines), Dhanbad. For acceptance of this offer, you are required to pay the applicable fee amount which is Rs.56,470/- for GEN/OBC/EWS students and Rs. 41,470/- for SC/ST/PwD students. (The fee amount includes a mess fee advance of Rs.15,000/- for Monsoon Semester.) The applicable fee amount needs to be paid necessarily through the IIT(ISM) online application portal between 02 Jul 2022 to 07 Jul 2022 for acceptance of this offer for the provisional admission. Please follow the following instructions to pay the fees online: 1. Login to https://admission.iitism.ac.in/index.php/admission/mtech using your IITISM registration number and credential 2. After login, offer letter can be viewed in the dashboard and proceed for payment. 3. Please select the SBI payment gateway and press “Proceed to payment”. 4. Please keep a copy of Order No. for further reference. Click on “Pay Now” button and you will be navigated to the payment gateway page. 5. Once “Pay Now” is clicked, the system will take to Epay site of SBI Payment gateway 6. Once payment is done, Payment receipt will be displayed. Please keep the payment receipt for future use. Click on the “Close” button 7. You will be navigated to application dashboard where you can download the payment receipt and offer letter. Please note that timely payment of fees is just one of the prerequisites and does not ensure a confirmed admission to the candidate. After the successful payment of fee all such candidates will be required to report for admission in person on August 4, 2022(Thursday), or at a later date as decided by the Institute, at Indian Institute of Technology (Indian School of Mines), Dhanbad along with all the required documents. Please note that failure to submit the applicable fee amount /report in person for admission/ submit the required documents by the scheduled date, will lead to automatic cancellation of this offer. The final admission will be subject to production of the following requisite documents for verification of the fulfilment of the eligibility criteria: a) Copy of the online application form. b) Copy of this seat allotment letter. c) Copy of the fee payment receipt obtained at the acceptance of this Offer. d) One set of self-attested copies (both sides wherever applicable) along with the originals of all the following documents: i) Secondary/Matriculation/High School (10th level) Certificate (for the proof of date of birth). In case, this certificate does not bear the date of birth, the original certificate indicating date of birth must be produced at the time of admission. ii) Higher Secondary/Intermediate (12th level) Marks-Sheet (for checking of subjects) iii) Qualifying Degree Marks-Sheet/Grade Card (7th semester/pre-final year marks-sheet for the ‘appearing candidates’ whose final semester/final year results are awaited). iv) Valid GATE score card as indicated in the application form. v) Certificate for degree equivalence (if applicable). vi) A Medical Fitness certificate from Govt. Hospital as given in Annexure-III of the Information Brochure in original. vii) A Medical certificate separately from Chief Medical Officer (CMO) or Equivalent of a Government Hospital, indicating no colour blindness for candidates of M.Tech. in Opencast mining, Mining engineering, Tunneling & Underground Space Technology and Petroleum engineering in original viii) Caste certificate – applicable only for SC/ST/OBC-NCL candidates. The OBC-NCL certificate should be as per Annexure I (in the Central Government format) of the Information Brochure and should have been issued on or after April 01, 2021. ix) Relevant certificate for the candidates in the sub-category (EWS/PwD). EWS certificate should have been issued on or after April 01, 2021 (in the Central Government format); e) Migration Certificate/College Leaving Certificate in Original. f) 4 passport size and 4 stamp size colour photographs. g) 2-years’s work experience certificate (for candidates of M. Tech. in Mining Engineering as per the Information Brochure) in original. If you fail to submit any of the above mentioned documents at the time of reporting, or if permitted, by September 01, 2022, the provisional admission, if done, will be cancelled by the Institute without any further notice. It is IMPORTANT for the ‘Appearing candidates’ to note that their admission will be provisional which will be confirmed only after submission of Final semester/Final year marks-sheet/grade-card of qualifying degree and college leaving certificate/migration certificate in original latest by September 01, 2022. Such candidates will not be entitled for any scholarship till confirmation of their admission, if otherwise eligible. Failure to submit the requisite document by the stipulated date will lead to cancellation of admission of all such candidates and names of all such candidates will be deleted from the rolls of the Institute w.e.f. September 02, 2021 without further notice. In such cases, the candidate will be refunded only the Caution Money component of the fee deposited at the time of provisional admission. All other formalities related to Identity Card, Hostel accommodation and opening of bank account will be completed subsequently by the candidates immediately after final admission on 04 August 2022. The classes of the M. Tech. Programmes will commence on 08 August 2022 (Monday). Candidates called for admission should report in person for admission on the scheduled day before 10.00 AM. Long distance candidates are advised to reach Dhanbad well in advance to avoid any transit delay. No TA/DA will be paid for attending the Admission process. Candidates should make their own arrangement for travelling and accommodation at Dhanbad during their participation in the Admission process. The admission is liable to be cancelled at a later date, if any adverse fact which could have prevented the candidate from being admitted to IIT (ISM) Dhanbad, is found against the candidate or if it is found at the time of admission or at any time later that the candidate has provided any false information or has committed a gross misconduct/indiscipline in the College/Institution/University attended earlier. Assistant Registrar (Academic) 10 May 2022 Miss Sreepooja SRIKANNAN CI- IDP India (Coimbatore) LTD. 1055/7, First Floor, Gowtham Centre, Avanashi Road Coimbatore Tamil Nadu 641018 INDIA Dear Miss Sreepooja SRIKANNAN Your application to study at Queensland University of Technology (QUT) has been successful and we are pleased to offer you the following study program: - PU86 Master of Public Health Details of your study program are listed on the following pages. The Important Information page provides important information about studying at QUT. The Accepting your offer page provides information to assist you with accepting your offer. Congratulations on choosing QUT to further your education. Vice-President (Administration) and University Registrar Course Details Course: PU86 Master of Public Health CRICOS course code: 084930G Campus: Kelvin Grove Study mode: Full-time - Internal Commencement intake: Semester 2, 2022 (SEM-2-2022) Course start: 25 July 2022 Expected completion: 30 June 2024 Duration: 2 years Study period duration: 4 study periods Study period tuition fees (indicative): AUD$15,850.00 Annual fees (indicative): AUD$31,700.00 Conditions To finalise your acceptance in the above study program you must satisfy the following conditions and requirements: - A copy of the award certificate and your final year transcripts of your Bachelor of Engineering undertaken at Anna University with a final year grade of 45% or higher - The official grading scale for your Bachelor of Engineering, including the award classification and the GPA (grade point average) to percentage conversion formula and / or the grades to percentage distributions. Course Information Please review the details of your course including course requirements on QUT’s website. Important Information Course Fees The Tuition Fees detailed in this letter are indicative fees for a standard full time Study Period. The actual tuition fees that you will be charged will be based on your unit enrolment and the published fees for that year. Tuition fees are reviewed and indexed annually. Please note some units may incur additional costs for non-tuition fee items such as uniforms, equipment or participation in course related activities. Please ensure that you have read QUT's fee and refund policy. A copy is included with this letter. ESOS International student visa holders have specific rights under the Education Services for Overseas Students (ESOS) Act 2000 and National Code 2018. Further information is available from the Australian government website. Overseas Student Health Cover It is a student visa requirement that you have Overseas Student Health Cover for the duration of your visa. You cannot apply for a student visa without having health insurance in place. If you intend to study on a non-student visa, please ensure you have adequate health insurance that meets the conditions of your visa. Financial Capacity You are required to have access to sufficient funds to cover the full cost of your stay in Australia for the duration of your studies. Full cost includes tuition fees, study costs and living expenses. Please refer to the following QUT websites for more information to help you estimate your full study costs and the cost of living in Brisbane. Your Offer This offer replaces any preceding offers you may have been issued. If you defer your commencement to a future date, your eligibility will be re-assessed against the entry requirements for new commencement dates. For students studying onshore this offer is made based on you obtaining a visa or maintaining your current visa. If your visa changes you must notify QUT. Appeals and Reviews QUT is committed to promoting a harmonious and fair environment for study, research and learning. Our student grievance resolution procedures outline the processes and contacts for different types of grievances, including our independent Student Ombudsman service. Students who are dissatisfied by the University’s management of a grievance may apply to external agencies, such as the Queensland Ombudsman, for an external review. This offer, and the availability of complaints and appeals processes in University rules, policies and procedures, does not remove your rights to take action under the Australian Consumer Law. Study Period and Course Dates The Course Start date included in the offer letter are anticipated dates at the time this offer was issued. For the latest information on course start dates, including teaching duration, please visit the Academic Calendar. Getting Prepared To help you to Get Prepared, information is available regarding arrival in Brisbane, airport reception and accommodation, orientation and support services offered by QUT. A compulsory Orientation Program is held prior to your class commencement where you will learn about the university and its services, prepare yourself for tertiary study and determine your enrolment program. Currently studying in Australia If you currently hold an Australian student visa and are seeking to transfer to QUT, you need to follow the transfer procedures and policies of your education provider. You must submit evidence your provider has released you to study at QUT when you accept this offer, if your transfer to QUT is within your education providers’ restricted period. Accepting Your Offer Conditional Offer The conditions on your first Course Details page must be satisfied before you can accept your offer. When do I need to accept my offer by? Check our key dates to find out when you need to accept your offer. Your offer will lapse after this date. Sponsorships If you are obtaining a non-QUT scholarship or sponsorship for your studies, please provide a copy of your Financial guarantee or scholarship letter from your sponsoring organisation. Financial guarantees must be on official letterhead addressed to QUT, and must include: - the student's full name - the course or courses for which the sponsorship is approved - the duration of the sponsorship - whether Overseas Student Health Cover is included. Acceptance Payment Your Acceptance Payment includes the following charges. We will provide information about how to pay after you have met all conditions stated in this letter. Total Acceptance amount: AUD$15,850.00 Deposit for PU86 Master of Public Health: AUD$15,850.00 You have indicated that: I am organising my own OSHC. 1. OVERVIEW 1.1. This policy outlines QUT’s principles and guidelines for international student refunds. 1.2. This policy complies with the Education Services for Overseas Students (ESOS) Act 2000. 1.3. In accordance with QUT policy E7.1 & ‘Student Fees and Charges’, International students are required to pay tuition fees. An international student is defined as a student who is not: - a citizen of Australia or New Zealand; or - an Australian permanent visa holder. 2. REFUNDS English Language Courses (including Packages) 2.1 English language courses include all General English, English for Academic Purposes and University Certificates in Tertiary Preparation Programs. 2.2 A student who withdraws from an English language course, including those withdrawing due to their failure to meet the offer/progression conditions of the next course in their pathway: - before the first day of classes for the teaching period will be charged a cancellation fee of $5,000 or the total deposit amount paid (whichever is the lower); - on or after the first day of classes for that teaching period, will be charged 100% of the tuition fees for that teaching period and a cancellation fee of $5,000. Courses other than English Language Courses 2.3 A student who withdraws from any course other than an English language course, including those withdrawing due to their failure to meet the offer/progression conditions of the next course in their pathway: - before or on the census date of the teaching period will be charged a cancellation fee of $5,000; - after the census date of the teaching period, will be charged 100% of the tuition fees for that teaching period and a cancellation fee of $5,000. Special Circumstances 2.4 A student who withdraws from a course and accepts a new offer to study at QUT, within twelve months of the course withdrawal date, will be exempt from the cancellation fee. A cancellation fee may be reversed and used towards the deposit of accepting a new offer to study at QUT within 12 months of the course withdrawal date. 2.5 A continuing student who withdraws from their course after completing 48 credit points, or six months full-time (or equivalent pro rata) for research time based students, of a foundation program, diploma or degree course will be exempt from the cancellation fee. 2.6 A student may apply with their refund application to have the cancellation fee reduced to $500 if they can provide independent, certified evidence of: - a student visa refusal; or - unexpected serious illness or other compassionate grounds, such as death in the immediate family; or - unexpected political, civil or natural events which would compromise their ability to commence or continue with their study. 2.7 A student who withdraws from a QUT Online course is exempt from the cancellation fee. 2.8 A sponsor who pays for a student’s fees through a financial guarantee or sponsorship arrangement with QUT will be exempt from the cancellation fee. 2.9 A student who is provided with conditional acceptance and a conditional Confirmation of Enrolment and subsequently does not meet these conditions will be exempt from the cancellation fee. 2.10 A student may apply for withdrawal without financial penalty in special circumstances for tuition fees by submitting an application in accordance with the instructions contained on the QUT website. 3. OFFER WITHDRAWN BY QUT 3.1 If an offer of a place is withdrawn by QUT on the basis of incorrect or incomplete information supplied by the applicant/student, QUT reserves the right to charge a cancellation fee of $5,000 or the total deposit amount paid (whichever is the lower). 4. SPONSORED STUDENTS 4.1 Sponsored students fees are subject to the fee and refund conditions contained in this policy. 4.2 QUT will charge sponsors directly for each study period in which the sponsored student is enrolled and for which there is a valid financial guarantee or sponsorship agreement. 4.3 The sponsored student will be liable for any tuition fees for which there is no valid financial guarantee or sponsorship agreement or if the sponsor does not pay fees to QUT by the due date. In these circumstances, sponsored students will be subject to the same conditions for non-payment of fees in accordance with clause 7 of the International Student Fee Policy. 5. REQUEST TO TRANSFER 5.1 Students approved to transfer to another education provider are subject to the fee and refund conditions contained in this policy. 6. EXCLUSION 6.1 The following conditions will apply to students who are excluded from their course for academic performance or misconduct: - If the event that led the exclusion occurred before the census date of the teaching period, the student will be eligible for a full refund of tuition fees for that teaching period and all future teaching periods; - If the event that led to the exclusion occurred after census date of the teaching period, the student will be charged a retention fee of 100% of the tuition fees for that teaching period. 7. AUSTRALIAN PERMANENT RESIDENCY 7.1 If Australian Permanent Resident status is obtained before the Census date of the teaching period in which the student is enrolled, they will be considered for a Commonwealth Supported Place or full fee paying domestic place in the same course subject to availability of places, course quotas and the fulfilling the requirements stated in clause 6.2. 7.2 Students must provide original/certified documentary evidence of their Australian Permanent Resident status (visa date stamp in passport) and pay fees up front by the census date for the teaching period. Students who are offered a Commonwealth Supported Place must also complete a Request for Commonwealth Assistance form by the census date of their first teaching period. 7.3 If a student fails to successfully complete all necessary requirements detailed in clause 6.2 by the Census date of the teaching period, they will remain an international student liable for international student tuition fees for that teaching period. 8. PROVIDER DEFAULT 8.1 In the unlikely event that QUT is unable to deliver a course as offered, the deposit and any other tuition fees paid by student for that course will be refunded in full within 14 days after the agreed starting day of the course or within 14 days after the notification that the course is no longer offered. 8.2 In the unlikely event that QUT is unable to fulfil its obligations in 8.1, the Tuition Protection Service (TPS) will assist the student in finding an alternative course or get a refund from QUT. TPS (tps.gov.au) is an initiative of the Australian Government to assist international students whose education providers are unable to fully deliver their course of study. 9. PAYMENT OF REFUNDS 9.1 Requests for tuition fee refunds must be submitted on the appropriate refund application form together with ant relevant supporting documentation. 9.2 Refunds are paid in Australian dollars to the source account from which the student's original payment was made. 9.3 Refunds will be paid within 28 days of receipt of a complete refund application with all required supporting documentation. 9.4 Students who have paid extra fees may keep the credit balance in their account to offset tuition fees payable for the next teaching period. 9.5 English language students with package offers who meet the English language entry score for their principal course at QUT but who have paid for more English language classes, can have the unused portion of their tuition fees credited towards their principal course. 9.6 Where a student is no longer studying at QUT, has a credit balance on their account, has no future enrolment or future valid offer and has not requested a refund, QUT will attempt to refund the balance to the source account from which the student's original payment was made within six months after the end of the student's last enrolled teaching period. Sponsored Students 9.7 Refunds relating to payments made by sponsors on behalf of sponsored students will be returned to the sponsoring body. Overseas Student Health Cover 9.8 Requests for refunds of Overseas Student Health Cover (OSHC) by onshore students must be made directly to the student's OSHC provider. Offshore students and sponsored students should contact QUT for OSHC refund requests. 10. REVIEW PROCESS 10.1 If a student is not satisfied with the outcome of a University decision made under this policy, the review process described in QUT's policy E/9.2 Grievance Resolution procedure for Student Related Grievances will apply. In the first instance, an appeal of a decision under this policy, should be directed to the Director, Student Business Services. If the student is still not satisfied with the outcome the student should contact the Student Ombudsman. 10.2 This written agreement, and the right to make complaints and seek appeals of decisions and action under various processes, does not affect the rights of the student to take action under the Australian Consumer Law if the Australian Consumer Law applies. 1. I declare that I am a genuine student who intends to obtain a successful educational outcome by undertaking this course at QUT. 2. I declare that the information provided in my application, acceptance of offer form and supporting documentation is correct and complete. I understand that the University Registrar reserves the right to withdraw my admission or terminate my enrolment where false or misleading information has been provided, or where QUT has reason to believe that I am not a genuine student or genuine temporary entrant. 3. I declare that I have access to sufficient funds to cover the full cost of my stay in Australia for the duration of my studies. I understand that full cost includes tuition fees, study costs and living expenses (including dependents). 4. I understand that I must meet my financial commitments in a timely manner in order to continue my studies at QUT. I understand that there is no obligation on QUT or the Australian Government to help me if I require financial assistance and that non-payment of my tuition fees to QUT will result in cancellation of my enrolment. 5. I understand that after I have agreed to QUT all official communication will be sent to my student email account. I must ensure that I regularly monitor my student email account for important messages from QUT. 6. I have read and understood QUT Course progress policy and procedures available at: https://qutinv.tzml4.qut.edu.au/group/students/study/grades-reviews-and-academic-issues/international-students-course-progress 7. I am not an Australian citizen or Permanent Resident, or citizen of New Zealand, nor hold an Australian Permanent Humanitarian Visa, and I agree to notify Manager, Academic Services in writing if I gain Australian Permanent Resident status, New Zealand citizenship or an Australian Permanent Humanitarian visa. 8. I understand that I am required to advise QUT of my address, mobile number (if any), email address (if any) and emergency contact details in Australia within 7 days of my arrival, and that I must update my personal contact and/or emergency contact details if they change at any time during my enrolment, within 7 days of the change. 9. I will abide by the conditions of my visa for studying in Australia, and where I am granted a student visa, I will undertake to maintain my Overseas Student Health Cover (OSHC) for the duration of my visa and understand that by paying my OSHC to QUT, this payment and my details will be forwarded to Medibank Private. I therefore agree to enter into and be subject to the terms and conditions of the Medibank OSHC policy. I can access this policy at www.medibank.com.au 10. I authorise QUT to check details of my migration status (study and/or work entitlements) with the Australian Government. 11. I have read and understand QUT’s International Student Fee and Refund Policy and I agree to abide by the attached policy. 12. I will abide by the QUT policies and procedures available at http://www.mopp.qut.edu.au. 13. I understand that QUT collects personal information for admission and enrolment purposes and that any information I provide to QUT may be made available to Commonwealth and State Government agencies (eg. for the allocation of a CHESSN). All personal information collected by QUT is managed in accordance with the QUT Information Privacy Policy. I have noted how QUT manages students’ personal information, and practices for disclosure, which can be found at https://www.qut.edu.au/additional/privacy/student-privacy-at-qut 14. In addition to the disclosure practices described there, I hereby consent to disclosure by QUT of my personal information to other external agencies such as hospitals, law enforcement agencies, court officers and similar, where necessary to enable QUT to provide student welfare services to me. I further consent to external agencies providing my personal information, including health information, to staff of QUT’s International Student Services unit to enable QUT to provide student welfare services to me. 15. I acknowledge and agree that QUT may release personal information pertaining to my application, enrolment, and academic results to my registered education agent and/or home institution where an agreed articulation arrangement exists with QUT. 16. Additional declaration for sponsored/scholarship students only: a) I authorise QUT to release any information relating to my studies to my sponsor/scholarship provider (or authorised representative) including academic monitoring and progression status. b) I understand that I am not permitted to change my course at QUT without receiving prior written approval from my sponsor/scholarship provider (or authorised representative). c) I understand that if I am a sponsored student and my sponsor/scholarship provider declines to make payment, I will be personally liable for payment of tuition fees in accordance with the tuition fee policy. Dear DEVASHREE S Sub: Provisional Admission to M.Tech. Programme at IIT Madras – July/August 2022 Hearty Congratulations for Securing Admission to IIT Madras. You have been provisionally admitted, under the General category, to the MTech (Four Semesters) Degree Programme in CL1Y Department at IIT Madras. Please download the following documents from the Admission Portal by clicking on the button "Letter Download": 1. Letter of Acceptance 2. Declaration by GATE Candidate (if applicable) 3. General Instructions and Admission Schedule Please fill the Letter of Acceptance form, sign, and upload the scanned (pdf) file through the MTech. Application Portal using your login credential by 08/June/2022. Please keep the original copy and bring them at the time of admission. If the documents are not uploaded in the portal before 08/June/2022, your provisional admission will stand cancelled. For Accommodation in the Hostel: Please report (See P.S.) to the Hostel Management Office (https://ccw.iitm.ac.in/) one day before the admission. Information about the allotted hostel will be displayed on the notice board of the Hostel Management Office. Students who are accommodated into the hostel are required to comply with the rules and regulations of the Hostel Management. Applicants who accept the admission offer are required to be present for registration at IIT Madras, based on the reopening date (See P.S.), along with this letter, valid GATE scorecard, all original certificates, mark sheets, duly completed response to admission offer and undertaking forms and the Physical Fitness Certificate from a registered medical practitioner (Format Enclosed) for verification, failing which your admission will be cancelled. Category Certificate: Applicants admitted to the programmes through GEN-EWS/OBC-NCL must present the Original Category Certificate in the prescribed format (available in the MTech Admission Brochure) issued on or after 01 April 2021. SC/ST/PwD Applicants should present certificates in the prescribed format and valid as per rules. Relieving Certificate: Employed candidates must produce relieving order from the competent authority of the employer at the time of admission, failing which the admission will be cancelled. In case you decide Not to Join the MTech. Programme at IIT Madras, you can login to the Online Application Portal and click on Withdraw button. You will have to confirm your decision by feeding the OTP sent to your registered mobile number. In case a candidate withdraws his/her Offer of Admission, a Processing Fee of ₹ 5000/- will be retained by the Institute, and the remaining amount would be refunded. No refund will be given once the semester starts. We are looking forward to your joining at IIT Madras. With Best Wishes. Yours Sincerely, Chairman, M.Tech. Admission Committee 2022 P.S. The safety of our students and scholars is of paramount importance for their higher studies. Due to the current pandemic, IIT Madras will announce the opening date subject to Covid19 regulations. Registration Confirmation Statement Student ID Number: 22230324 Name: Beryl Jasper Mark Home Address: Pudukottai district Pudukkottai Road Pudukkottai DT Tamil Nadu India 622302 India Term Address: 32 Inishannonagh park newcastle road Galway Ireland GALWAY H91F6YC Ireland Date of Birth: 21st February 2001 You are registered on the course IMEB1 for the Academic Year 2022 which runs from 01-SEP-22 to 31-AUG-23. Course Information Course Name: Master of Engineering in Biomedical Engineering Course Code: IMEB1 Academic Year: 2022 Course Year: 1 Mode of Study: Full Time Credits Required: 60 Credits Selected: 60 Student status: REGISTERED This is an official document from NUI Galway. Caroline Laffan Academic Secretary Ollscoil na hÉireann Gaillimh Oifig an Rúnai Acadúil 11 OCT 2022 National University of Ireland, Galway Office of the Academic Secretary Dear Dhivya Sree, MPH, Master of Public Health (Full Time) HART22 Start date: 26 September 2022 Expected end date: 26 September 2023 Department: School of Health and Related Research I am pleased to offer you a place to study the above course at the University of Sheffield. This offer is Unconditional. Please let us know if you would like to accept or decline the offer by logging back into your original online application. Please do this even if you have previously accepted a Conditional offer. There are no specific deadlines for accepting an offer. However, we encourage applicants to make a decision within three months of receiving an offer, or by the course start date if that is earlier. Postgraduate Online Application Form www.sheffield.ac.uk/postgraduate/online Attached with this letter is a copy of the University's formal Terms and Conditions upon Acceptance of an Offer, which will form part of our contract with you if you accept our offer. You can also view these on our webpages: Terms and Conditions upon Acceptance of an Offer www.sheffield.ac.uk/study/policies/terms If this offer represents an amendment to a previous offer from the University (for example if you have deferred to a later start date), please note that the offer information and terms and conditions provided here supersede any previously issued. Please check our qualifications verification webpage for more information about how we verify the authenticity of qualifications documents: Qualifications verification www.sheffield.ac.uk/study/verification Details of key dates and deadlines for applications to postgraduate courses are available on our webpages: Key dates and deadlines for postgraduate courses www.sheffield.ac.uk/postgraduate/deadlines Course details Module and other information about your course can be found by searching for the course title in our online course listings: Postgraduate taught courses www.sheffield.ac.uk/postgraduate/taught/courses We recommend you save or print this information for your records. From May of the year of entry, formal programme regulations will be available in our Programme Regulations Finder: Programme Regulations Finder www.sheffield.ac.uk/programmeregulationsfinder We recommend you use the ‘Print PDF’ function to save or print these for your records. The content of our courses is reviewed annually to make sure it is current and relevant. Individual modules may be updated or withdrawn in response to discoveries made through our world-leading research, funding changes, professional accreditation requirements, student or employer feedback, curriculum review, staff availability, and variations in student numbers. We may also have to make changes as part of the University’s response to public health advice and government requirements during the COVID-19 coronavirus pandemic. In the event of a material change the University will inform students in good time and will take reasonable steps to minimise disruption. Additional course information can be found in our online taught course listings: Postgraduate taught courses www.sheffield.ac.uk/postgraduate/taught/courses Tuition fees As a result of the questions you answered as part of your application, your provisional fee status is overseas. If we need any more information before we finalise your fee status, we will contact you. More information about fee status is available on our webpages: Fee status at the University of Sheffield www.sheffield.ac.uk/study/fee-status For overseas fee payers, the academic fee for the session commencing September 2022 will be £24400. Information about what your tuition fee covers, and details of any additional costs for your course, are available on departmental course webpages, accessible via our online postgraduate taught course listings at: Postgraduate taught courses www.sheffield.ac.uk/postgraduate/taught/courses More information about fees and funding, including scholarships available for postgraduate students, is available on our finance webpages: Postgraduate taught course tuition fees www.sheffield.ac.uk/postgraduate/taught/fees Postgraduate taught course funding www.sheffield.ac.uk/postgraduate/taught/funding After you accept this offer, you will need to pay a tuition fee deposit of £1000 to confirm your place on the course. The deposit will be deducted from your tuition fee when you register at the University. There is no deadline for paying the deposit, but we will not arrange the CAS number for your UK student visa until we have received it. You can find out how to pay your tuition fee deposit on our webpages: Tuition fee deposits www.sheffield.ac.uk/fees/fee-deposits/requested International student requirements If you need a visa to study in the UK, you will need a Confirmation of Acceptance for Studies (CAS) number from the university you want to study at. You can find information about the CAS application process at Sheffield on our CAS application webpages: CAS number application process www.sheffield.ac.uk/cas-application Student regulations Regulations relating to your rights and responsibilities while studying at the University of Sheffield are set out in the University Calendar: The University of Sheffield Calendar www.sheffield.ac.uk/calendar If you have applied for a degree leading to accreditation with a professional body (for example Medicine or Dentistry) we draw your attention in particular to the General Regulations relating to Student Fitness to Practise. University policies relating to students are accessible via our Policies webpage: Student policies www.sheffield.ac.uk/study/policies Additional information If you want to apply for University of Sheffield accommodation, you can apply online. Applications open from March, and you can apply as soon as you have accepted your offer. University of Sheffield accommodation www.sheffield.ac.uk/accommodation We recommend you check module and other information again from the May before your course is due to start. If you have been unhappy with any aspect of our admissions process please see our Appeals and Complaints Procedure for Applicants, and associated form, which are attached for your information. Information about the support we provide for students with a disability or learning difficulty is available on our Disability and Dyslexia Support Service’s webpages: Disability and Dyslexia Support Service www.sheffield.ac.uk/new-students/disability *We strongly recommend that you save or print this email and copies of all the information attached to it and linked to from it, as this forms the basis of your contract with us.* If you have any questions about this letter, please contact us by following the link below: AskUS www.sheffield.ac.uk/study/askus Yours sincerely Helen Barrett Admissions Manager 01 Jun 2022 Student Number: 22204237 Name: Nandakumar Ravichandran Address: 19, Ishwarya Adithya Apart., 3rd Cross street, AGS Colony, Kottivakkam, Chennai, Tamilnadu India Dear Nandakumar Following your successful application to MPH FT, we are pleased to note that you have accepted the place offered to you. Your student number is 22204237. Please note that your student number is now your login ID for access to the application system. Your password is unchanged. If you have any queries regarding this programme, please contact Public Hlth, Phys & Sports Sci With kind regards and best wishes for your studies in UCD, From Public Hlth, Phys & Sports Sci NB Please click on the link below for details and instructions regarding the next steps in the admissions process, including the procedure for document verification and payment of the deposit (if applicable). Please be advised that this is not relevant for Smurfit Executive Development and the overseas Kaplan and NIBM students who will receive this information from their agency. http://www.ucd.ie/registry/admissions/apply_accept.html 29 June 2022 Prithi Balasubramani EDAYARPALAYAM VELANDIPALAYAM COIMBATORE RURAL TAMIL NADU INDIA 641025 Application Number: 22306188 RE: Unconditional Offer of Admission Dear Prithi, I am pleased to extend to you an unconditional offer of a place in the programme below, as a full-time, non-EU fee paying student for the 2022/23 academic year. I would like to confirm the following details in relation to your programme: Programme Name: Biomedical Engineering (M.Sc. / P.Grad.Dip.) Programme Duration: 1 Year Mode of Attendance: Full-Time Degree Title: Biomedical Engineering Start Date: September 2022 for lectures and tutorials Offer Status: Unconditional Annual Programme Fee: € 24,967.00 Fees Paid to Date: € 500.00 Funding: € 0.00 Fee Balance: € 24,467.00 (A negative value denotes a credit balance) Next Steps This letter contains advice on the next step towards attending Trinity - please read it carefully. You will also find useful guidance in relation to accommodation, fees, visa applications and course registration on our website at www.tcd.ie/study/international. As a candidate for study at Trinity, it is a requirement that you familiarise yourself with regulations pertaining to the University and your course. Current regulations can be found at www.tcd.ie/calendar/graduate-studies-higher-degrees. I would like to take this opportunity to congratulate you on being offered a place at Trinity. If you have any queries or if we can be of any assistance to you, please do not hesitate to contact us. The Academic Registry Team will be available to address your queries which can be logged via the home page of www.my.tcd.ie, clicking on the ASK AR button and selecting the appropriate enquiry category. Yours sincerely, Susan A Power Admissions Officer Academic Registry Watts Building Trinity College Dublin, the University of Dublin Dublin 2, Ireland. +353 1 896 4500 [Academic Registry Support] MyTCD.ie [To Log Student Queries] firstname.lastname@example.org www.tcd.ie/academicregistry PLEASE READ THE INSTRUCTIONS BELOW REGARDING THE ADMISSIONS PROCESS Accepting your Offer All offers are issued through the my.tcd.ie portal. The offer message will be located in the "All Intray Messages" section. Please select the message and follow the 'Offer Acceptance' link provided. In order to accept the offer, you must pay a deposit of € 500.00. Fee payment guidelines are set out below. Study Visa If you are a citizen of a country listed on this webpage — www.ins.gov.ie/en/INIS/pages/visa-required-countries, you will need a Study Visa to come to Ireland, and we recommend that you begin the visa application process as soon as possible. Detailed guidance for Study Visa applications is provided here — https://www.tcd.ie/study/international/before-arrival Please also note that non-EU applicants, whether they are visa required or not, are typically not granted permission to remain in Ireland to pursue a Part-Time programme of study unless they are in possession of EU residency rights or have an alternative immigration status beyond that of a student. Student status for non-EU applicants is typically reserved for those pursuing a Full-Time programme. Registration and Arrival Registration will open in early August. A communication will be sent to the email address you used in your application, inviting you to register on my.tcd.ie. Please ensure that your email and mailing address in the my.tcd.ie portal are correct. Once you register, your registration will be effective from 1 September 2022. Orientation will take place during the week beginning 5th September 2022. You are advised to contact your programme office directly for details of your lecture timetable and any other orientation events. Contact details can be found on the following programme web page: www.tcd.ie/courses/postgraduate/faculty Please note that it will be a requirement to register annually for each year of your programme of study, if the programme duration is longer than one year. Health Insurance Non-EU students are required to have health insurance prior to registration, and maintain cover for the period of their studies. During the online registration process, non-EU students must provide the name of their health insurance provider and current health insurance policy number. The collection of the health insurance policy number is for validation purposes only. Some suggested insurance providers are listed on the Trinity web page below. www.tcd.ie/study/international/trinity-life/arrival/index.php Guidelines for Fee Payment Your invoice will be raised on the my.tcd.ie portal and is viewable in your In-Tray and in your 'My Finance' tab. There are two payment options: - Online (credit/debit cards) Payment can be made using the online payment facility available on the student portal. This is the quickest and easiest way to pay. - EFT (electronic funds transfer) This involves the transfer of funds direct to the Trinity College bank account: Account Name: TCD No.7 Account Account Number: 92771039 Sort Code: 900017 IBAN: IE03 BOFI 9000 1792 7710 39 Swift Code: BOFIE2D Please quote your Application/Student Number as the transaction reference, otherwise the payment will not be deducted from your fee balance. Conditions for Refund of the Offer Acceptance Deposit The deposit is only refundable in the case of a conditional offer should you fail to meet the conditions of the offer. Approximate Cost of Living in Dublin for one Academic Year These figures are estimates only – each individual will have their own financial needs based upon lifestyle and living standards. They exclude items such as holidays and travel to and from Ireland. \| Expense \| Living Costs in Euro* \| \|-------------------------------\|-----------------------\| \| Utilities \| €1,000 \| \| Meals \| €3,000 \| \| Books and Miscellaneous \| €2,500 \| \| Commuting \| €1,000 \| \| Health Insurance \| €500 \| \| Living Costs (excluding accommodation) \| €8,050 \| \| Undergraduate students \| \| \| 1 Year Housing Trinity Hall \| €5,530 — €7,250 \| \| Understanding Ireland: Smart Start (Optional 1-week pre-term programme) \| €400 \| \| Postgraduate students \| \| \| 1 Year Housing Private Accommodation \| €8,000 \| \| 1 Year Housing Kavanagh Court (38 week contract) \| €9,880 \| \| Total Undergraduate Living Costs \| €13,980 — €15,700 \| \| Total Postgraduate Living Costs \| €16,050 \| Living costs are calculated per academic year and will vary by each student’s lifestyle. Holidays, laundry and clothes are excluded. Total costs are calculated based on the higher level of living costs and may vary. Trinity College Dublin, the University of Dublin is Ireland's oldest and highest ranked university. The College is a Body Corporate, with charitable status in receipt of government funding. Trinity College, Dublin is the sole constituent College of the University of Dublin, founded in 1592 by the Royal Charter of Queen Elizabeth I and is recognised by the Government of the Republic of Ireland through its designation under the Irish Government’s Higher Education Authority Act, 1971, the Universities Act, 1997 and the Trinity College, Dublin (Charters and Letters Patent Amendment) Act, 2000. Today it is home to 17,000 undergraduate and postgraduate students from more than 120 countries across all of the major disciplines in the arts and humanities, and in business, law, engineering, science, and health sciences. www.tcd.ie Contact Web: www.tcd.ie/academicregistry Email: email@example.com Tel: +353 (0) 1 896 4500 or login to my.tcd.ie and use the Ask AR button on the homepage to submit a query. If you would like to talk to current students about their experiences of Trinity life, please visit www.tcd.ie/globalrelations/talktostudents April 08, 2022 Dear Rishabh Ramesh Appadurai, We are pleased to offer you admission to the Master of Applied Science: Electrical and Computer Engineering program in the Department of Electronics for the Fall 2022 term. Your offer includes a funding package which may be comprised of a Teaching Assistantship, Research Assistantship and/or Graduate Scholarship. When accepting or declining, you will be able to do so for the first year of the funding only. Your decision will be applied automatically to all subsequent years. The full funding package details can be viewed on the Statement of Standing on Admission. You can view your formal Statement of Standing offer of admission details and specific funding details by clicking "View Offer of Admission". You must accept or decline your offer within 21 days of the date of this letter. Before accepting your offer, you need to read and understand Carleton’s Terms and Conditions of Admission and Funding available online at carleton.ca/fgpa/terms. This information is associated with your offer and has important facts about funding eligibility, criteria, the academic integrity policy and other matters. By accepting this offer, you will be committing yourself to a first-class educational and professional experience. If you have any concerns or questions, please contact the Department of Electronics or the Faculty of Graduate and Postdoctoral Affairs (carleton.ca/fgpa). Yours truly, Patrice Smith, Dean Faculty of Graduate and Postdoctoral Affairs March 24, 2022 Dear Mr. Karthik Boppana: Congratulations! It is a pleasure for me to inform you that you have been admitted to Columbia University’s Fu Foundation School of Engineering and Applied Science as a candidate in the Civil Engineering Master of Science program beginning Fall 2022. You have been admitted to the program as a full-time student, and will be expected to register in a minimum of 12-credits in the Fall 2022 semester. The faculty and staff would like to commend you on your past accomplishments which formed the basis of our admission decision in a highly competitive pool. We encourage you to visit our Welcome to Columbia website at https://gradengineering.columbia.edu/welcome for essential information to assist you with your transition to the Columbia Engineering and Applied Science community. You now have the opportunity to join a School with a rich history and an expanding future. As a School of Engineering and Applied Science, we are fortunate and proud to attract students and faculty from diverse backgrounds, from across the country, and from around the world. As a community, we have the privilege to learn from one another, and to study, work, and live together in the dynamic and vibrant place that defines Columbia. It is a great benefit to be able to gather engineers and scientists of so many different backgrounds and perspectives with a commitment to learning, a focus on pushing the frontiers of knowledge and discovery, and a shared passion for translating our work to impact humanity. It is extremely important that you complete and submit your admission response to indicate if you accept or decline our offer of admission. In order to finalize your student status and to hold your place in the Fall 2022 class, the Office of Graduate Student Affairs must receive your response and $4,000.00 non-refundable tuition deposit by 11:59 p.m. EST 2 weeks from the date of this letter. Click here to respond to the offer. This offer is applicable only to the Fall 2022 semester, and is not transferable to another term. If you require a Student Visa, an Application for Visa Certificate can be obtained from here: http://isso.columbia.edu/ and should be completed and returned as soon as possible to our International Students and Scholars Office. This application must be returned with all required materials including a copy of this letter and financial support documentation. If you choose to accept our offer of admission, enrollment is contingent upon receipt of all outstanding application materials including, official test scores, and official transcripts from all previously attended post-secondary institutions. Transcripts must indicate the conferral of your previous degrees. If transcripts do not indicate degree conferral, a separate degree certificate must be included. Instructions for how to submit all official materials can be found here: https://www.gradengineering.columbia.edu/student-life/new-students. We appreciate your interest in continuing your education at Columbia University and hope to welcome you to campus. For assistance, please do not hesitate to contact the Office of Graduate Student Affairs at firstname.lastname@example.org. We look forward to working with you in your future academic endeavors. Sincerely, Gabrielle Gannon, M.S.Ed. Executive Director of Graduate Admissions The Fu Foundation School of Engineering and Applied Science Columbia University email@example.com Jenny Mak, Ed.D. Senior Associate Dean of Undergraduate and Graduate Student Affairs The Fu Foundation School of Engineering and Applied Science Columbia University May 23, 2022 Pranav Reddy Dareddy Flat No. 401, Symphony Residency Prakash Nagar Kadapa, Andhra Pradesh, 516004 India Dear Pranav Reddy, Congratulations! We are pleased to inform you that you have been admitted to the Graduate School at the University of South Dakota. Your admission was based upon the recommendation of the faculty in the department to which you applied and is a recognition of your academic accomplishments and promise as a scholar. The University of South Dakota is the largest provider of graduate and professional education in the state of South Dakota. Degree: Master of Science in Computer Science Term: Fall 2022 Student ID: 101134583 Tuition Classification: Non-Resident Advisor: KC Santosh, Ph.D., (605) 677-5388, firstname.lastname@example.org We encourage you to work closely with your academic advisor to familiarize yourself with your responsibilities as a graduate student and to develop your program of study. Please review the following information to prepare yourself to begin your graduate program. You are now part of the talented, diverse, and vibrant USD Coyote family. Welcome to the University of South Dakota. Feel free to contact us with any questions you may have at 605-658-6173 or by e-mail, email@example.com. Sincerely, Dr. Elizabeth M. Freeburg Associate Provost and Graduate Dean University of South Dakota Enclosure cc: Computer Science Brookney Delgado, Enrollment Coordinator Additional items to complete your admission: Your admission is contingent upon receipt of the following item(s) by July 1, 2022: - Official final transcript from Anna University Please contact Brookney Delgado at [firstname.lastname@example.org](mailto:email@example.com) or (605) 658-6236 with any questions regarding your admission. 9 March 2022. Mathi Akhass Surendran 6/15 1ST FLOOR, EAST PATEL NAGAR NEW DELHI INDIA 110008 Application Number: 22309800 Dear Mathi Akhass, Re: Management (M.Sc.) - 2022/23 I am pleased to confirm that you have been conditionally offered a place in the above programme as a full-time, non-EU fee paying student, for the academic year 2022/23. The duration of the programme is 1 year(s). Your programme co-ordinator will be Ms. Miriam Di Nardi. Trinity College Dublin is proud to be one of the world's leading Universities. We are confident that you will bring a rich and rewarding contribution to the student body and University Community here and we look forward to welcoming you on campus. You will find useful information in relation to fees, visa requirements and programme registration, as well as contact details for Trinity staff who look after your region, in the Study section of our website at the 'Country/Region Specific Information' section — www.tcd.ie/study/postgraduate/. NEXT STEPS Please note the following important information regarding your offer to study at Trinity. This offer is subject to the fulfilment of the following condition(s): - This offer is subject to you submitting results from one of our required English Language Competency Tests, obtaining the minimum required score. For further information on the minimum requirements please see our website: http://www.tcd.ie/courses/postgraduate/how-to-apply/requirements/international.php. In addition you must submit two satisfactory academic references. Please contact your two nominated referees and ask them to upload their references on your behalf as soon as possible. If you wish to accept this offer, please do so by 30 March 2022 following the instructions in the 'All Intray' message section of the portal via my.tcd.ie. Failure to accept this offer by the above date will result in the offer expiring and your place being re-allocated to another applicant. This offer will be deemed to be formally accepted upon payment of a non-refundable deposit of €500.00. If you do not wish to accept this offer, please indicate this by clicking on the ‘Decline button’ as displayed in the my.tcd.ie intray message section of the portal. Please note that should you fail to meet the conditions of this offer your deposit will be refunded. Fees for the 2022/23 academic year have yet to be finalised. For an indication estimate of the tuition fee and other charges, the 2021/22 Fees can be seen at - www.tcd.ie/academicrogistry/fees-and-payments/. Please note, if you are a non-EU, visa required applicant, we recommend that you begin the visa application process immediately with your offer (conditional or firm) of admission. Please also note, that non-EU applicants whether they are visa required or not, are typically not granted permission to remain in Ireland to pursue a part-time programme of study unless they are in possession of EU residency rights or have an alternative immigration status beyond that of a student. Student status for non-EU applicants is typically reserved for those pursuing a full-time programme of study. All non-EU students are required to have health insurance prior to College registration, and maintain cover for the period of their studies. During the online registration process non-EU students must provide the name of their health insurance provider and current health insurance policy number. The collection of the health insurance number is for validation purposes only. Registration will open from early August. A communication will be sent to the e-mail address you gave during the application process inviting you to log on via my.tcd.ie to complete online registration. Once registered, your registration will be effective from 1st September, 2022. Postgraduate orientation will take place during the week beginning 29th August, 2022. The official start date of the teaching term is 12th September 2022. For further information on accommodation options during your time at Trinity, please visit https://www.tcd.ie/accommodation/ (https://www.tcd.ie/accommodation/) For future communications from Trinity please ensure that your mailing and email address are correct in the my.tcd.ie portal. As the holder of a place for postgraduate study it is a requirement that you familiarise yourself with the regulations of the College pertaining to your programme of study. Current regulations can be found at the www.tcd.ie/calendar/graduate-studies-higher-degrees/ (https://www.tcd.ie/calendar/graduate-studies-higher-degrees/). Please note that it will be a requirement to register annually for each year of your programme of study. I would like to take this opportunity to congratulate you once again on being offered a place at Trinity College Dublin. If you have any queries, please do not hesitate to contact the Academic Registry. Queries can be logged via the home page of my.tcd.ie and clicking on the ASK AR button and selecting the appropriate enquiry category. Yours sincerely, Susan A Power Admissions Officer Academic Registry PLEASE READ THE INSTRUCTIONS BELOW REGARDING THE ADMISSIONS PROCESS Accepting your Offer All offers are issued through the my.tcd.ie portal. The offer message will be located in the "All Intray Messages" section. Please select the message and follow the 'Offer Acceptance' link provided. In order to accept the offer, you must pay a deposit of €500.00. Fee payment guidelines are set out below. Fees for the 2022/23 academic year have yet to be finalised. For an indicative/estimate of the tuition fee and other charges, the 2021/22 Fees can be seen at - www.tcd.ie/academicregistry/fees-and-payments/ (https://www.tcd.ie/academicregistry/fees-and-payments/). Study Visa If you are a citizen of a country listed on this webpage — www.inis.gov.ie/en/INIS/pages/visa-required-countries (http://www.inis.gov.ie/en/INIS/Pages/visa-required-countries), you will need a Study Visa to come to Ireland, and we recommend that you begin the visa application process as soon as possible. Detailed guidance for Study Visa applications is provided here — https://www.tcd.ie/study/international/before-arrival (https://www.tcd.ie/study/international/before-arrival/) Please also note that non-EU applicants, whether they are visa required or not, are typically not granted permission to remain in Ireland to pursue a Part-Time programme of study unless they are in possession of EU residency rights or have an alternative immigration status beyond that of a student. Student status for non-EU applicants is typically reserved for those pursuing a Full Time programme. Registration and Arrival Registration will open in early August. A communication will be sent to the email address you used in your application, inviting you to register on my.tcd.ie. Please ensure that your email and mailing address in the my.tcd.ie portal are correct. Once you register, your registration will be effective from 1 September 2022. Orientation will take place during the week beginning 29th August, 2022. You are advised to contact your programme office directly for details of your lecture timetable and any other orientation events. Contact details can be found on the following web page: www.tcd.ie/courses/postgraduate/faculty (https://www.tcd.ie/courses/postgraduate/faculty/) Please note that it will be a requirement to register annually for each year of your programme of study, if the programme duration is longer than one year. Health Insurance Non-EU students are required to have health insurance prior to registration, and maintain cover for the period of their studies. During the online registration process, non-EU students must provide the name of their health insurance provider and current health insurance policy number. The collection of the health insurance policy number is for validation purposes only. Some suggested insurance providers are listed on the Trinity web page below. www.tcd.ie/study/international/trinity-life/arrival/index.php (https://www.tcd.ie/study/international/trinity-life/arrival/index.php) Guidelines for Fee Payment Your invoice will be raised on the my.tcd.ie portal and is viewable in your In-Tray and in your 'My Finance' tab. There are two payment options: - Online (credit/debit cards): Payment can be made using the online payment facility available on the student portal. This is the quickest and easiest way to pay. - EFT (electronic funds transfer): This involves the transfer of funds direct to the Trinity College bank account: - Account Name: TCD No.7 Account - Account Number: 92771039 - Sort Code: 900017 - IBAN: IE03 BOFI 9800 1792 7710 39 - Swift Code: BOFIRE2D Please quote your Application/Student Number as the transaction reference, otherwise the payment will not be deducted from your fee balance. Conditions for Refund of the Offer Acceptance Deposit The deposit is only refundable in the case of a conditional offer should you fail to meet the conditions of the offer. Approximate Cost of Living in Dublin for one Academic Year These figures are estimates only – each individual will have their own financial needs based upon lifestyle and living standards. They exclude items such as holidays and travel to and from Ireland. \| Expense \| Living Costs in Euro \| \|----------------------------------------------\|-----------------------\| \| Utilities \| €1,000 \| \| Meals \| €3,000 \| \| Books and Miscellaneous \| €2,500 \| \| Commuting \| €1,000 \| \| Health Insurance \| €500 \| \| Living Costs (excluding accommodation) \| €8,050 \| \| Undergraduate students \| \| \| 1 Year Housing Trinity Hall \| €5,530 — €7,250 \| \| Understanding Ireland: Smart Start (Optional 1-week pre-term programme) \| €400 \| \| Postgraduate students \| \| \| 1 Year Housing Private Accommodation \| €9,000 \| \| 1 Year Housing Kavanagh Court (38 week contract) \| €9,880 \| \| Total Undergraduate Living Costs \| €13,980 — €15,700 \| \| Total Postgraduate Living Costs \| €16,050 \| Living costs are calculated per academic year and will vary by each student's lifestyle. Holidays, laundry and clothes are excluded. Total costs are calculated based on the higher level of living costs and may vary. Trinity College Dublin, the University of Dublin is Ireland’s oldest and highest ranked university. The College is a Body Corporate, with charitable status in respect of government funding. Trinity College, Dublin is the sole constituent College of the University of Dublin, founded in 1592 by the Royal Charter of Queen Elizabeth I and is recognised by the Government of the Republic of Ireland through its designation under the Irish Government's Higher Education Authority Act, 1971, the Universities Act, 1997 and the Trinity College, Dublin (Charters and Letters Patent Amendment) Act, 2000. Today it is home to 17,000 undergraduate and postgraduate students from more than 120 countries across all of the major disciplines in the arts and humanities, and in business, law, engineering, science, and health sciences. www.tcd.ie Contact Web: www.tcd.ie/academicregistry Email: firstname.lastname@example.org Tel: +353 (0) 1 896 4500 or login to my.tcd.ie and use the Ask AR button on the homepage to submit a query. If you would like to talk to current students about their experiences of Trinity life, please visit: www.tcd.ie/globalrelations/talktostudents (https://www.tcd.ie/globalrelations/talktostudents) Dear ASMITHA R, We are pleased to inform you that you have been provisionally selected for admission to MBA - MASTER OF BUSINESS ADMINISTRATION. The admission is confirmed only on fulfillment of eligibility requirements in accordance with the rules and regulations stipulated by the University of Madras and Tamil Nadu State Higher Education Council and payment of fees (Annexure I). The fees have to be paid only through online on or before 17-09-2021 by 11:45 PM through Payment Gateway in the Admission Portal (please check the College Website). Online Fee Receipt can be downloaded on payment of fees. Your Mark Statement, Transfer Certificate, Community Certificate (if applicable) along with Online Fee Receipt mentioning Transaction Reference Id/UTR number, are to be uploaded in College Admission portal. Admission is subject to verification of necessary documents and payment of fees. The student and the parent both should upload an 'Undertaking to submit- the original documents for physical verification', as and when called for by the College. Further, both Applicant and Parent should upload individually a Declaration with regard to Anti Ragging and genuineness of the documents and information furnished in the Application, as per the prescribed format. Due to Covid-19 Pandemic and resultant social distancing College is unable to extend Hostel facility to the outstation students. Kindly note that at the time of physical verification of documents if any misrepresentation/suppression of facts are found the admission will summarily be cancelled. Thank You, Best Wishes, September 30, 2021 Aadharsh Jayabharath 2/150-E, Manimekalai Street, Fairlands Salem, 636016 INDIA Dear Aadharsh, Congratulations on your admission to the Master of Science in Marketing at The University of Texas at Dallas' Naveen Jindal School of Management for the Spring 2022 semester! We share your excitement as you begin this next stage in your educational career. Your program director, Alexander Edsel (email@example.com), and academic advisors will be here to assist you with any questions or concerns you may have throughout the course of your program. Please note that as a graduate student, you carry certain responsibilities that may not have been present in your undergraduate experience. Be aware of the information contained in the Graduate Catalog, JSOM Policies page (jindal.utdallas.edu/advising/policy-graduate), and on the Academic Calendar. Failure to read them does not exempt you from the rules and regulations therein pertaining to your academic experience. - As part of your degree program prerequisites, you will need to complete a one credit hour Professional Development course. Details on the course can be viewed at jindal.utdallas.edu/advising/new-students. - Plan time to visit the Advising Office to review the requirements of your degree plan and to remove your advising hold. Please try to plan several visits while you are a student. - You will also receive information about the Jindal School of Management's Graduate Orientation program, please make it a priority to attend this important event. For information on accepting your offer of admission and next steps toward enrollment, visit jindal.utdallas.edu/advising/new-students. Please note that all required supporting documents must be received by the University before you will be able to register for classes. Your out-of-state non-resident tuition status has been determined based on the information that you provided on your admission application. If you have any questions regarding your residency status, please contact the Office of Admission and Enrollment at 972.883.2270 or firstname.lastname@example.org. Our faculty and staff look forward to welcoming you to UT Dallas. Sincerely, Monica S. Powell, Ph.D. Associate Dean, Graduate Programs, Naveen Jindal School of Management PSG COLLEGE OF TECHNOLOGY Coimbatore - 641 004 Ph: 0422 - 4344777, 2572177 Temporary Identity Card Name : HARRENI V Roll No. : D22MV04 Programme : I Yr ME-VLSI Validity : January 2023 Holder's Signature Dean Academic Dear Abhinav, Congratulations on your admission to The University of Texas at Austin Executive Master’s Program in Engineering Management for the fall 2022 semester! You have been admitted into the program with Cohort 45 and will be registered on a full-time status with 12 hours of enrollment credit for your first semester. Attendance for orientation is mandatory. Orientation will be held prior to class in January 2022 and includes a continental breakfast and lunch. Students will be notified of the times and room location once finalized. A UT ID card will be issued to you at this time. Program policies, student resources, and a detailed overview of tuition, billing, and payment procedures will be reviewed. Additionally, a program overview will be conducted in breakout sessions lead by each program director. Class weekends will be conducted on campus in the Earnest Cockrell Jr. Hall (ECJ) Building. Online attendance is also available. Students will attend classes for one weekend per month, Friday – Saturday from 8:00 AM – 5:00 PM with a one-hour lunch break. Your class schedule for Fall 2022 is as follows: \| Course \| Days \| Time \| \|---------------------------------------------\|----------------------------------------------------------------------\|---------------\| \| ENM 382E.3 Engineering Operations Management \| 8/19-20, 9/9-10, 10/7-8, 11/4-5, 12/2-3 \| 8:00 AM - 12:00 PM \| \| ENM 381E.2 Legal Issues and Technology Management \| 8/19-20, 9/9-10, 10/7-8, 11/4-5, 12/2-3 \| 1:00 PM - 5:00 PM \| \| ENM 382E.2 Strategic Decision & Risk Analysis \| 8/26-27, 9/23-24, 10/21-22, 11/18-19, 12/9-10 \| 8:00 AM - 12:00 PM \| \| ENM 381E.3 Finance and Accounting for Engineering \| 8/26-27, 9/23-24, 10/21-22, 11/18-19, 12/9-10 \| 1:00 PM - 5:00 PM \| Please note changes for the following dates: 8/19/2022 – first class day is Monday, August 22 9/9/2022 – home football game v Alabama – Zoom If there are any concerns with the above classes, hours of enrollment, or schedule, please don’t hesitate to reach out to RaDell Gibbs (email@example.com). Students attending the program online will be instructed how to access the class remotely. You can find the detailed class schedule on the [Engineering Management Current Student](#) page online. I will send out more information regarding textbooks and other requirements for these classes as they become available. Please carefully review the following program and admission information: Program Deposit: Due August 15, 2022 A $1000 deposit authorization is required to reserve your place in the program and register you for your classes. Please return the attached Credit Card Authorization Form to our offices no later than August 15, 2022. Failure to pay the deposit, accept the offer of admission, or remain responsive to start-up correspondence from UT Austin staff will render acceptance to the program subject to a rescind decision. An invoice for your tuition will be issued after registration, it can be paid in full or by installment. Accounting staff will review tuition billing and payment policies and procedures in detail at the program orientation. Admission Status Please confirm your intent to enroll through your application status page. Admission Documents All students must submit official transcripts to GIAC by mail or in person prior to registration. International students must also submit their official diploma, which you can bring to the Graduate and International Admissions Center. They will make a certified copy and return the original. Registration During your enrollment in the Engineering Management program, TxEEE staff will register you for your classes each semester based on your responses to our registration survey which will go out towards the end of the prior semester. Please promptly complete the survey to avoid delay. Your registration cannot proceed each semester until all bars are cleared from your student record. You can find a summary of your bars on your Registration Information Sheet (RIS). We will formally register you for your classes during the registration window for new graduate students right before the start of class. You will have access to the Canvas course page once registration is complete. Course of Study Fast-track students who start the program in the fall semester follow a 4-course track per semester. Financial Support No financial support of any kind is offered through our department. However, US Citizens and Permanent Residents may apply for federal financial aid. Additional information can be found through the Office of Financial Aid. Contact Information Please update us about any changes to your email address in order to stay current on future correspondence. Program Notes Program Information You can find program information for current students on the program site. Information includes class schedules, required textbooks, course descriptions, project requirements, and general policies. Previous course syllabi may be found using the course search tool. Projects & Presentation Week Engineering Management students complete two projects during their program (Project I and Project II). In addition to research and a written report, students also present their research towards the end of the semester. Students are required to present the Engineering Management Projects live. Summer Presentations last up to four days and are typically held in August. Students completing Project I are encouraged to attend all presentations. Congratulations again on your admission into the Executive Masters in Engineering Management program! We look forward to meeting you at orientation! Dear Applicant, Greetings from Kumaraguru College of Technology, Coimbatore. Reference is made with your application submitted for admission to PG Programme on M.Tech in Defence Technology and the subsequent selection processes conducted. We are glad to inform that you are provisionally selected for joining the PG Programme MTech in Defence Technology during the academic year 2022-2023 under the specialization “Communications Systems and Sensors”. Kumaraguru College of Technology is one of the few institutions in India approved by AICTE to offer this special programme, in collaboration with DRDO. Hearty Congratulations for qualifying the scrutiny processes conducted and securing provisional admission for this course. You are requested to make a note of the following particulars with regard to this PG Programme and complete the admission formalities, producing the copies of your certificates for verification by the admission committee and paying the prescribed course fee, on or before 07.09.2022. Duration of the Course: Two academic Years/Four Semesters Link for Guidelines prescribed by AICTE and DRDO: https://www.aicte-india.org/sites/default/files/Model_Curriculum/Defence/Syllabi_for_M_Tech_web.pdf Syllabi for M.Tech in Defence Technology & Guidelines 2021 - 2022 3 Syllabi for M.Tech in Defence Technology & guidelines Semester – 1 S. No. Course Code Course of study and scheme of examination M.Tech Course Instructors of Theory Courses: Internal Faculty, Working/Superannuated Scientists of DRDO, Industrial Experts. Mode of Delivery of Theory Courses: Online /off-line modes based on the requirement Conducting Laboratory Courses: Laboratory courses will be conducted in KCT Campus, Selected DRDO Centers, Industries Projects: Projects need to be carried out in the selected DRDO Centers/Industries based on the requirement The course fee is Rs. 1,70,000 (Rupees One Lakhs Seventy Thousand only) per annum. Students will have to pay the first-year fee of Rs 1,70,000 at the time of admission in the form of DD. The demand draft needs to be taken in the name of "Kumaraguru College of Technology". The institute will help the students to avail their study loan (if required) by issuing bonafide certificate. Travel and accommodation expenses for students to travel to DRDO centres for Labs visit and projects are to be incurred by the students and not included in the course fee. The institution will facilitate the students for practical classes/research projects/any other co-curricular and extra-curricular in DRDO Centers and other organizations. It is the responsibility of the students to take care of their personal safety and adhering to the norms of the organizations deputed. Students will have to pay the advance amount of Rs. 25,000/- which will be used for meeting the logistical expenditures during the visit to DRDO centers and other organizations. Transparency will be maintained in utilizing this amount and the balance amount after completion of the course will be refunded to the respective students. All other norms are to be followed as per the rules and regulations of the competent authority of the institution. For any further clarifications the undersigned can be contacted. Please acknowledge the receipt of this mail communication. Dr. Sundararaj K., Professor and Head Department of Aeronautical Engineering Kumaraguru College of Technology Coimbatore 641 049 Tamil Nadu India. Mobile: +91 9488925986 March 08, 2022 Shrihari Gokulachandran 12/230, THIRUVERAGAM, GNANAMANI PANN OPPOSITE TO VG HOSPITAL GN MILLS POST, THUDIYALUR COIMBATORE INDIA Dear Mr. Gokulachandran: I am pleased to inform you that you have been admitted to the Graduate School of The University of Texas at Austin for advanced study in Electrical and Computer Engineering (MSE, PhD). Your admission is for the Fall Semester, 2022. Since the founding of the university in 1883, graduate education at The University of Texas has grown in both number of students and quality of programs, and it now ranks among the very best in the nation. I congratulate you on your admission to a very select program, and hope you will decide to join us in pursuing your educational goals at The University of Texas at Austin. You may learn more about the Graduate School by visiting us online and joining our social networks at https://gradschool.utexas.edu. You may also direct any questions you have to the Graduate Adviser in your graduate program. The Graduate Adviser is a faculty member who represents the faculty governing body for each field of study, the Graduate Studies Committee. A list of graduate advisers is available online at https://gradschool.utexas.edu/academics/programs. I welcome you to the Graduate School and wish you well in your studies. Sincerely, Mark J. T. Smith Dean of the Graduate School Senior Vice Provost for Academic Affairs LETTER OF PROVISIONAL ADMISSION Dear Sindhu Kruttiventi, Greetings from Srishti Manipal Institute of Art, Design & Technology (SMIADT) Bengaluru. Thank you for applying and participating in the admission process. The Admissions Committee has reviewed your performance in the Srishti Manipal Entrance & Aptitude Test (SMEAT) 2022 and as per merit, recommended you for provisional admission to Industrial Arts and Design Practices in PG-Diploma at the Bengaluru Campus. We request you to go through the following instructions. Fee Payment • All fees, due for the course and as stipulated in the Fees Schedule published online should be paid in full. • Non-payment of the fee within the stipulated date will lead to the cancellation of the offer made to you and this seat will be offered to the next candidate in the waitlist, as per merit. Document Submission on Orientation Day • You must submit ◦ Std 10, Std 12 marks / grade sheet in original for UG ◦ Std 10, Std 12 marks / grade sheet and degree certificate and marks/grade sheets in originals for PG along with Transfer / Conduct / Migration Certificates for verification ◦ Failure to submit the originals will lead to cancellation of admission Academics • Your acceptance of admission constitutes an agreement to abide by and respect in full the academic policies and code of ethics mandated by Srishti Manipal Institute of Art, Design and Technology, Bengaluru. This includes our attendance policy, our high academic standards and compliance with our policies of personal and academic integrity (No-ragging, bullying, sexual harassment, plagiarism amongst others) as detailed in our website www.srishtimanipalinstitute.in • Your program of study will constitute both mandatory and choice-based learning units. • Progression from the first semester or year into the second semester or year will be subject to the academic rules, policies & regulations of Srishti Manipal Institute of Art, Design & technology (SMIADT) and MAHE Manipal. Your decision to accept this offer implies that you have considered carefully all of the above and are making an informed and considered acceptance of the admission to the Bridge leading to a PG-Diploma awarded by MAHE Manipal. I look forward to your acceptance of this offer and welcoming you to the Srishti Manipal family. Yours sincerely, Dr. Gautham Dayal Director I have read the terms and conditions in this letter of admission and accept the place in the Bridge leading to a PG-Diploma in Industrial Arts and Design Practices. _________________________________________ _______________________________________ Signature of Applicant Signature of Parent/Guardian _________________________________________ _______________________________________ Name of Applicant Name of Parent/Guardian Place: Place: Date: Date: GW SEAS Scholarship Award Letter From: GW Engineering Graduate Admissions (firstname.lastname@example.org) To: email@example.com Date: Saturday, 5 February 2022, 07:01 am GMT+3 Dear Haritha, Congratulations on your admission to the on-campus M.S. in Cybersecurity in Computer Science program for Fall 2022 at the George Washington University School of Engineering & Applied Science (SEAS)! Due to your outstanding accomplishments, we are pleased to offer you the SEAS Merit Award. This award is a tuition discount of 25.0% that will be applied to a maximum of 9 credit hours per fall and spring semester and a maximum of 6 credit hours per each summer session. The discount only applies to graduate-level on-campus courses within SEAS and does not apply to non-tuition fees. Award recipients may be enrolled in full time or part time study at SEAS and must stay continuously enrolled in their on-campus degree program. This award is valid for the entire duration of your academic program as long as you are in good academic standing at the end of each semester (minimum 3.0 cumulative GPA). To accept your award, you must respond to your offer of admission in your application portal and submit an admissions deposit by April 15, 2022. If you receive any additional funding offers, please notify the Office of Graduate Admissions & Student Services to determine if awards can be received concurrently. George Washington University employees receiving tuition benefits may not concurrently receive this award. Should you have any questions regarding this award, please contact the Office of Graduate Admissions & Student Services at firstname.lastname@example.org or 202-994-1802. Congratulations again, and we look forward to you joining the GW SEAS community! Sincerely, Brittany Wright Director, Graduate Enrollment Management & Advising School of Engineering and Applied Sciences Office of Graduate Admissions & Student Services School of Engineering & Applied Science George Washington University email@example.com \| 202-994-1802 Website \| Facebook \| Twitter \| Youtube \| Instagram \| Weibo Congratulations on your selection for the GW SEAS Scholarship Award! Your academic achievements and commitment to excellence have been recognized, and we are excited to support your continued success in pursuing your educational goals. Please find enclosed the award letter with detailed information about the scholarship, including the amount, duration, and eligibility requirements. Please review the terms and conditions carefully and ensure that you meet all the necessary criteria before accepting the award. If you have any questions or need further assistance, please do not hesitate to contact us at [firstname.lastname@example.org](mailto:email@example.com) or by phone at (202) 994-6183. Thank you again for your dedication and hard work. We look forward to supporting you in achieving your academic aspirations. Sincerely, [Your Name] GW SEAS Scholarship Committee Dear Applicant, Greetings from Kumaraguru College of Technology, Coimbatore. Reference is made with your application submitted for admission to PG Programme on M.Tech in Defence Technology and the subsequent selection processes conducted. We are glad to inform that you are provisionally selected for joining the PG Programme MTech in Defence Technology during the academic year 2022-2023 under the specialization "Communications Systems and Sensors". Kumaraguru College of Technology is one of the few institutions in India approved by AICTE to offer this special programme, in collaboration with DRDO. Hearty Congratulations for qualifying the scrutiny processes conducted and securing provisional admission for this course. You are requested to make a note of the following particulars with regard to this PG Programme and complete the admission formalities, producing the copies of your certificates for verification by the admission committee and paying the prescribed course fee, on or before 07.09.2022. Duration of the Course: Two academic Years/Four Semesters Link for Guidelines prescribed by AICTE and DRDO: https://www.aicte-india.org/sites/default/files/Model_Curriculum/Defence/Syllabi_for_M_Tech_web.pdf Syllabi for M.Tech in Defence Technology & Guidelines Course Instructors of Theory Courses: Internal Faculty, Working/Superannuated Scientists of DRDO, Industrial Experts. Mode of Delivery of Theory Courses: Online /off-line modes based on the requirement Conducting Laboratory Courses: Laboratory courses will be conducted in KCT Campus, Selected DRDO Centers, Industries Projects: Projects need to be carried out in the selected DRDO Centers/Industries based on the requirement The course fee is Rs. 1,70,000 (Rupees One Lakhs Seventy Thousand only) per annum. Students will have to pay the first-year fee of Rs 1,70,000 at the time of admission in the form of DD. The demand draft needs to be taken in the name of “Kumaraguru College of Technology". The institute will help the students to avail their study loan (if required) by issuing bonafide certificate. Travel and accommodation expenses for students to travel to DRDO centres for Labs visit and projects are to be incurred by the students and not included in the course fee The institution will facilitate the students for practical classes/research projects/any other co-curricular and extra-curricular in DRDO Centers and other organizations. It is the responsibility of the students to take care of their personal safety and adhering to the norms of the organizations deputed. Students will have to pay the advance amount of Rs. 25,000/- which will be used for meeting the logistical expenditures during the visit to DRDO centers and other organizations. Transparency will be maintained in utilizing this amount and the balance amount after completion of the course will be refunded to the respective students. All other norms are to be followed as per the rules and regulations of the competent authority of the institution. For any further clarifications the undersigned can be contacted. Please acknowledge the receipt of this mail communication. Dr. Sundararaj K., Professor and Head Department of Aeronautical Engineering Kumaraguru College of Technology Coimbatore 641 049 Tamil Nadu India. Mobile: +91 9488925986 Dear Jasinth Gajendran, Congratulations! I am pleased to notify you that your application for admission to Master of Science in Engineering Data Science at the University of Houston is unconditionally approved as specified above. As a new member of the UH Graduate community, you will undoubtedly have many questions about what comes next. I would recommend that you start by familiarizing yourself with the Graduate Catalog and well as the program’s website. If you have any questions, please contact Prof. Yashashree Kulkarni at firstname.lastname@example.org. We are pleased to offer you a scholarship of $1000 if you achieve a 3.0 or higher GPA in your first term, and maintain full time enrollment in your first year. This financial support also includes a tuition waiver for out-of-state and international students, which allows them to attend at the in-state rate for the academic year in which they receive the scholarship. Graduate costs vary by department, residency status, the amount of courses taken per semester, and etc. For the most accurate estimation of your tuition and fees, please use the graduate, tuition, and fees calculator on the university webpage. Please review this information carefully and take it into account when responding to your offer of admission. If you are an international applicant who requires a Form I-20 for your F-1 visa, please note that the I-20 request will be processed as soon as you have accepted the admissions offer and submitted all required documents. Please note, before enrolling in courses, all new graduate students must submit proof of a completed Bachelor’s degree. If we have not received a completed academic record for you, you will not be able to enroll in classes at this time. If you have any questions regarding what materials are missing or how to establish proof of degree, you may contact email@example.com. The University of Houston is committed to developing a diverse and vibrant community of scholars throughout its many Tier 1 graduate programs. We are excited to invite you to join us. Go Coogs! Respectfully, Yashashree Kulkarni Director of Research Computing, College of Engineering Professor, Department of Mechanical Engineering University of Houston July 14, 2021 Abishek Arumugam Thiruselvi 5/93-H, SANTHANA LAKSHMI NAGAR, BHARATHI PURAM, PALLAPALAYAM-PO., COIMBATORE 641103 Tamil Nadu INDIA Dear Abishek Arumugam Thiruselvi: Congratulations! I am pleased to inform you that, after careful assessment of your application, you have been granted admission to the following program: Master of Engineering Electrical and Computer Engineering This is your official letter of acceptance. As an international student, you are required to obtain a Study Permit and a Quebec Certificate of Acceptance (CAQ). Please read carefully the enclosed “International Students Pre-Departure Guide” to determine the procedures. The attached Offer of Admission gives information about the program to which you have been admitted, any conditions that apply to your admission, and further details regarding financial support. If you have any questions regarding your Offer of Admission, please feel free to contact us via email at firstname.lastname@example.org. Please confirm your acceptance of this Offer of Admission in your Student Centre at www.myc Concordia.ca by August 4, 2021. To learn more about your program, please refer to the Gina Cody School of Engineering & Computer Science website at http://www.concordia.ca/ginacody/programs. Please contact the program assistant for course registration procedures. Contact information can be found in the following pages. You should arrive in Montreal and register for your courses by January 6, 2022. Given your achievements, potential and academic intent, I believe that your academic interests will be well served by this program. I take this opportunity to welcome you to Concordia University and wish you every success in your studies. Sincerely yours, Emad Shihab, Ph.D., P.Eng Associate Dean, Research and Graduate Studies Gina Cody School of Engineering and Computer Science Offer of Admission Student Information Name: Abishek Arumugam Thiruselvi Student ID: 40218896 Date of Birth: May 9, 1998 Program Information Academic Program/Plan: Master of Engineering Electrical and Computer Engineering Minimum Program Length: 45 credits Time Limit: January 5, 2025 Academic Load: Full-Time Session: Winter 2022 commencing January 6, 2022 Expected Graduation Term: Fall 2023 Confirmation Date: August 4, 2021 - You must accept this offer and pay the confirmation deposit through your My Student Centre by this date. To accept your offer, follow these steps: Log in to MyConcordia.ca; Choose "My Student Centre"; Under the "Admissions" section, select "Accept Offer" and follow the prompts; $250, making sure to select "Admissions Confirmation Deposit" as the payment item. This amount will be applied later to your tuition fees. Admission Status: Conditional Conditions: Official Transcript and Proof of Bachelor Degree: Your acceptance is conditional upon the receipt of a final, complete official transcript along with an official university-attested/verified copy of your Bachelor degree certificate conferred from PSG College Of Technology. These must be sent directly from the institution to Concordia University’s Graduate Admissions Application Centre (see options below) and must be received in the first term of your program. By mail: Concordia Graduate Admission Application Centre P.O. Box 2002, Station H Montreal, Quebec, Canada H3G 2V4 By email: email@example.com Documents sent by email will only be accepted as official if they are sent from the university’s official email address. Sealed Documents: If PSG College Of Technology does not mail documents internationally or email documents, you may submit your transcript and attested copy of your degree in a sealed school envelope that has not been opened since it left PSG College Of Technology. You can either mail it to the address above or submit it in person to: Birks Student Service Centre (Concordia University, Room LB-185, 1400 De Maisonneuve Blvd. West). Messages: Please read carefully: It may take several months for your CAQ and Study Permit applications to be processed. We suggest that you apply for your documents as soon as possible. Please note the PDF of your Offer of Admission is required to apply for your immigration visas: CAQ and Study Permit. We no longer issue printed letters. Please note that this (Conditional or Final) Offer of Admission is sufficient when applying for the CAQ and Study Permit. In addition, Concordia University does not re-issue Offers of Admission once conditions (if any) have been fulfilled. Confirmation & Online Registration-Course Based Programs: Once you complete the process of confirming your admission, you will be able to register online. Please ensure that you are registering for specific courses that are required for your program. For registration instructions, please refer to the following link for the Student Hub at: http://www.concordia.ca/students/your-sis.html. If you are not able to join the program for Winter 2022, or if you are no longer interested in taking a particular course, please ensure you drop the course no later than the DNE deadline. If you do not drop the course by the DNE deadline, you will be charged for the course. Please contact your program coordinator (firstname.lastname@example.org) for course registration and program information by the confirmation date indicated above. If you are unable to obtain your Study Permit in time for the start of the session that you have been admitted, you may request to defer your admission once within 1 year. To request a deferral, you may send an email to your Admissions Advisor (email@example.com) no later than your session commencement date, which is indicated in your Offer of Admission letter. Designated Learning Institution (DLI) Please note all Study Permit applications (IMM 1294 and IMM 5709) must now include a Designated Learning Institution number (DLI #). The DLI for Concordia University is O19359011007. Health Insurance and Immigration Procedures An insurance policy, covering hospital expenses and medical fees, is compulsory for all international students registered at Concordia University and the premium is automatically charged to your student account. Please refer to the information regarding compulsory student health and accident insurance in the ISO Pre-Departure Guide at http://www.concordia.ca/iso-pre-departure-guide. If you have any questions relating to immigration, housing or health insurance, please refer to the information provided in the ISO Pre-Departure Guide. You may also contact the International Students Office by email at firstname.lastname@example.org if you still have any questions after consulting the guide. Tuition and Fees The Master’s is a 2-year program. The tuition and other fees for an international student is approximately $7,000.00 per semester for 4 semesters for a total of approximately $28,000.00 for the 45-credit program. Continuation & other fees will be billed in each subsequent term of registration until you apply to graduate. The number of terms that the continuation & other fees are billed will depend on your progress in your program of study. All registered course credits above the 45 nominal credits in your program will be billed on a “per credit” basis in addition to, and concurrently with, other program fees that are billed. The fees quoted above are estimates as the University reserves the right to modify the published scale of fees without prior notice, at any time before the beginning of an academic term. Living expenses for one year, including lodging and utilities, food, clothing, public transportation, books and supplies and miscellaneous expenses, can range from $14,000.00 to $16,000.00. Please refer to Student Accounts website for details on the graduate Tuition & Fee and Financial Regulations at http://www.concordia.ca/admissions/tuition-fees.html. The University reserves the right to modify the published scale of tuition and other fees without prior notice, at any time before the beginning of an academic term. Governmental Requirements: All students are required to have a Permanent Code. To start the process for obtaining one, log on to your Self Service page, and click on the ‘Code Permanent Data Form’ in the Personal Information section. Please complete the on-line form and submit the required supporting document, if applicable. International students must submit the required supporting documentation only after they have received a study permit. For more information concerning the required documentation, please visit http://www.concordia.ca/admissions/tuition-fees/permanent-code.html. As a new graduate student, you are required to complete the Academic Success and Integrity Module. This will become accessible 24 hours after you have accepted your Offer of Admission and paid your confirmation deposit. Please consult the New Student Guide to familiarize yourself with the steps a new graduate student needs to follow from acceptance to graduation. We also invite you to learn more about GradProSKILLS, a suite of skills development workshops designed to enrich the graduate experience and transition into a future career. Visit http://concordia.ca/gradproskills for more information. Sincerely, Emad Shihab, Ph.D., P.Eng Associate Dean, Research and Graduate Studies Gina Cody School of Engineering and Computer Science Please note Concordia University reserves the right to modify its academic programs and regulations. The University also reserves the right to modify the published scale of tuition and other student fees at any time before the beginning of the upcoming academic year. Your admission is subject to the statutes, rules, regulations and policies in place at Concordia University, including the policies contained in the University Calendars available online at www.concordia.ca, the policy on Intellectual Property (VPRGS-9), and those of the programs in which you will be registered. We remind you that your obligations commenced with your application to Concordia University and shall terminate in accordance with the University’s statutes, regulations and policies. All University policies may be consulted on-line at the following address: http://www.concordia.ca/web/policies.html. # ADMISSION RECEIPT : 2021 \| Common Merit Rank \| 300 \| \|-------------------\|-----\| \| Category Merit Rank \| 250 \| \| Category \| OPEN \| \| Name \| HARINAA S \| \| Father Name \| SENTHIL KUMAR P \| \| Mobile No. \| 9171822324 \| Unique ID: MFM/21/300 Programme: Master of Fashion Management Address: 3K, PALANI MURUGAN NAGAR, NAICKER THOTTAM, NOTCHIKATTU VALASU, L.PUDHUR [PO] ERODE TAMIL NADU 638002 --- Counselling Attended On: 19/07/2021 Admission Status Confirmed in OPEN Category for Master of Fashion Management Course at Kannur Campus. --- ## Payment Receipt Details: \| Transaction Number \| Transaction Date \| Payment Mode \| Amount (in INR) \| \|--------------------\|------------------\|--------------\|-----------------\| \| oWCakqOPb9 \| 03/07/2021 \| NB \| ₹167,250.00 \| --- Note: It is the sole responsibility of the candidate to provide the correct information/documents during the admission process as per the Eligibility Criteria. At any stage if it is found that the information provided by him/her is not true, NIFT has the right to cancel his/her candidature/admission and forfeit the fee deposited. Name: NISHITHA R Course: IMIB Appln. No.: # ADMISSION RECEIPT : 2021 \| Common Merit Rank \| Category Merit Rank \| Category \| Name \| Father Name \| Mobile No. \| \|-------------------\|---------------------\|----------\|---------------\|-------------\|------------\| \| 834 \| 35 \| SC \| PRAVEENA SHREE R \| RAVIKUMAR P \| 9843927998 \| Unique ID: MFM/21/834 Programme: Master of Fashion Management Address: H-120 PHASE 2 ANNA NAGAR TRICHY TAMIL NADU 620026 --- Counselling Attended On 20/07/2021 Admission Status Confirmed in SC Category for Master of Fashion Management Course at Chennai Campus. --- ## Payment Receipt Details: \| Transaction Number \| Transaction Date \| Payment Mode \| Amount (in INR) \| \|--------------------\|------------------\|--------------\|-----------------\| \| jPK8SaS20 \| 06/07/2021 \| NB \| ₹167,250.00 \| --- Note: It is the sole responsibility of the candidate to provide the correct information/documents during the admission process as per the Eligibility Criteria. At any stage if it is found that the information provided by him/her is not true, NIFT has the right to cancel his/her candidature/admission and forfeit the fee deposited. कार्ड कम संख्या ID No: MFM/21/37 एस प्रियदर्शिनी A S PRIYADHARRSHINI मास्टर ऑफ फैशन मैनेजमेंट Master of Fashion Management DOB : 28/12/1999 Blood Group : B+ Identification Mark: mole in right heel राष्ट्रीय फैशन धार्मिकी संस्थान National Institute of Fashion Technology मंत्रालय Ministry of Textiles भारत सरकार Govt of India निष्ठा अधिनियम 2006 के तहत एक राजनीतिक निकाय A statutory body under the NIFT Act 2006 HSR Layout, Bengaluru- 560102 पता Residential Address 184, Chidhambararam colony, Erode - 638001 दूरभाष Mobile No - 9487837019 आपत्तिकालीन सम्पर्क Emergency contact No - 9487193216 Issued on जारी तिथि 01/11/2021 Valid upto वैध तिथि 30/07/2023 Signature हस्ताक्षर Issuing Authority प्राधिकरण आर्थिकता # ADMISSION RECEIPT : 2021 \| Common Merit Rank: 4 \| Unique ID: MFT/21/4 \| \|----------------------\|---------------------\| \| Category Merit Rank: 1 \| Programme: Master of Fashion Technology \| \| Category: OBC (Non - Creamy) \| Address: 110J11, MUPPUDATHI AMMAN KOVIL SANNATHI STREET KRISHNAPURAM KADAYANALLUR TENKASI TAMIL NADU 627751 \| \| Name: RAJA BALASARASWATHI S \| \| \| Father Name: SUBRAMANIAN P \| \| \| Mobile No.: \| \| Counselling Attended On 14/07/2021 Admission Status Confirmed in OBC (Non - Creamy) Category for Master of Fashion Technology Course at Bengaluru Campus. ## Payment Receipt Details: \| Transaction Number \| Transaction Date \| Payment Mode \| Amount (in INR) \| \|--------------------\|------------------\|--------------\|-----------------\| \| VCkiuKEYs \| 02/07/2021 \| UPI \| ₹80,000.00 \| \| qN6faXMTqW \| 02/07/2021 \| UPI \| ₹20,000.00 \| \| nn5Dn6Ftmj \| 02/07/2021 \| DC \| ₹67,250.00 \| Note: It is the sole responsibility of the candidate to provide the correct information/documents during the admission process as per the Eligibility Criteria. At any stage if it is found that the information provided by him/her is not true, NIFT has the right to cancel his/her candidature/admission and forfeit the fee deposited. MASTER OF BUSINESS ADMINISTRATION TEMPORARY ID CARD Name : Saji B M Roll No. : T21UTA22 Blood Group : Btve Father Name : Balavenkatesan B Emergency Ph No. : 9865780103 PSG INSTITUTE OF ADVANCED STUDIES Research to Business PSG Institute of Advanced Studies Peelamedu, Coimbatore - 641 004. Ph: 0422-4304400, 4344000 Web: www.psgias.ac.in Attested by Radhakrishnan Director MBA Programme Dr. G. R. DAMODARAN COLLEGE OF SCIENCE (Autonomous) (Autonomous, affiliated to the Bharathiar University and recognized by the UGC) Re-accredited at the ‘A’ Grade level by the NAAC An ISO 9001 : 2015 Certified Institution Civil Aerodrome Post, Avinashi Road, Coimbatore - 641 014 STUDENT Name: SINDHUASREE R Course: IMBA Appln. No.: 20 January 2022 Ms Shree Harshinee Prathakaran 10,11, Anantha Thiruvenkalaswamy Naidu Street Peelemedu Coimbatore 641004 India Programme of Study: MSc Innovation Management and Entrepreneurship Mode of Study: Full-Time Length of Course: 12 Months Entry: 09/2022 CAH3 Code(s): CAH17-01-01, CAH23-01-02 University of Manchester User ID: 11033119 Dear Shree Harshinee Prathakaran, Thank you for your application to study at The University of Manchester. I am delighted to make you a conditional offer of a place on the above course. The conditions of this offer are: - Submit a copy of your final official degree certificate and transcript showing successful completion of your bachelor degree with a final GPA of 8.0/10. Academic Progression must be shown. - The deadline to provide evidence that you meet your offer conditions is 1st August 2022. The University charges different tuition fees depending on whether a student is classified as Home or International, using criteria outlined in the Education (Fees and Awards) (England) Regulations (2007), the Higher Education (Fee Limit Condition) (England) Regulations 2017 and any other relevant regulations. From the information you have provided to us and based on the regulations currently available to us, you have been classified as a Overseas student for tuition fee purposes. Please note that your fee status can be subject to review if other information becomes available and that in exceptional cases your fee status may change. 2022/23 Academic Year: The tuition fee for this course will be GBP 21000.00. The tuition fee will remain the same for every year of study. Most international students will need to obtain a visa via the new Student Route to study in the UK. This offer is not a confirmation of your eligibility for a visa. Further information in relation to visas for international students is available at: International Students. A confirmation of acceptance for studies (CAS) will be sent to you in the event that you accept, and satisfy any conditions set out in, this offer. The University reserves the right to refuse admission should you arrive after the latest date for acceptance onto the course. January 06, 2022 Suma Shruthika Maheshkumar No:11, Kaveri Nagar, Thanceer Panthal Road Peelamedu, Coimbatore 641004 India Dear Suma Shruthika: Congratulations! We are pleased to offer you admission to the Master of Business Analytics degree program in Business Analytics for Fall 2022 at the Graduate School at Penn State. The Directorate of International Student and Scholar Advising (DISSA) issues the Certificates of Eligibility (I-20 or DS-2019) for F-1 and most J-1 visas. You will receive an email from DISSA with instructions on requesting a Certificate of Eligibility through Penn State’s iStart website within 2 – 3 business days of this letter. There may be a delay of two to four weeks in processing completed iStart requests during high volume periods. You will receive the formal admission letter from the Graduate School after your iStart request is processed. • If you are a new graduate student not currently at Penn State: Please follow the instructions in the email and log into the iStart system to request your I-20 or DS-2019. ◦ Students who do not require a Penn State I-20 or DS-2019 for a student visa should also complete the iStart process to decline a document. Contact email@example.com if you need assistance with the instructions. • If you are a current Penn State student completing your bachelor’s degree and planning to enroll in a graduate program (also called “changing level”): Students currently studying on a Penn State I-20 or DS-2019 or on practical training with a Penn State document should submit a Change of Level eForm in iStart. • If you are a current J-1 Visiting Scholar at Penn State: Please contact firstname.lastname@example.org. Transcripts It is important that you submit your official transcripts/marksheets/record of courses according to the deadline(s) outlined on your application status page. The degree awarded and the date of the degree conferral must appear on the respective document; otherwise an attested copy of your degree/certificate/diploma is required. Please do not submit transcripts issued prior to the date of degree conferral. You can submit these documents to: Graduate Enrollment Services The Pennsylvania State University 114 Kern Graduate Building University Park, PA 16802 You will be able to confirm our receipt of these documents from your application status page. If you have already arranged to have your official transcripts sent to us, please disregard this instruction. Once again, congratulations. Penn State is committed to excellence in all facets of graduate education and research. You will find that a challenging, collegial, and supportive environment for personal growth and May 11, 2022 Pravaagini Mani D Block Flat No F2 Royal Sheraton Apartment Nanjundapuram Road, Coimbatore Coimbatore, Tamil nadu 641036 India Dear Pravaagini, Congratulations on your acceptance to the University of Illinois at Chicago. Please review any outstanding items for I-20 issuance that must be completed by July-20-2022. Placement Information: You will be admitted as a Graduate Direct student. Anticipated Major: MS: Business Analytics Remaining Documents for I-20 Issuance: - Successful completion of University with a bachelor’s degree. - Completed Certificate of Finances form - Submission of financial/bank statements - Payment of required deposit amount - Final official academic transcripts meeting entry requirements - Completed I-20 Request form - Completion of Housing Preference Form; See link to form below - Signed and completed Statement of Understanding form Please note: - All final transcripts and proof of graduation in a sealed and stamped envelope issued by the university or an official designated issuing authority, must be submitted upon campus arrival. - Certified translations into English of final transcripts and proof of graduation in sealed envelopes must be submitted upon arrival. - Please complete your housing preference form here: [https://global.uic.edu/graduate/housing-preference/](https://global.uic.edu/graduate/housing-preference/). - You are not eligible to receive any financial assistance from the University during your course of study in UIC Global and until your degree has been completed, including but not limited to financial aid, stipends, graduate assistantships, scholarships, and tuition waivers. Graduate Direct students may be eligible for part-time on-campus term-time employment that does not include tuition and fee waivers. If you wish to continue studies at the University for a further degree, you must inquire with the relevant University of Illinois at Chicago school or department to determine any financial aid that you may become eligible for at that time. Acceptance of Offer: To accept this offer and begin processing your form I-20 for a student visa, please pay the non-refundable deposit of $2,000.00 to UIC Global at the University of Illinois at Chicago. Please reference the [payment instructions](#) for further details. When making a deposit payment via Flywire, you must include your Deposit ID, listed here: 00242422. FlyWire will provide confirmation when your deposit has been received, and will allow the UIC Global office to process your full application faster than with a wire transfer. Tuition and Fees: The costs for program tuition and fees are listed on our website: [https://global.uic.edu/graduate/costs/](https://global.uic.edu/graduate/costs/). Choosing the University of Illinois at Chicago means engaging in challenging academic pursuits and exploring opportunities that will prepare you for your future—any future you can imagine. On behalf of the faculty, administration, and staff, we thank you for your interest and look forward to welcoming you to the University of Illinois at Chicago. Sincerely, --- Marshall Houserman Director of Admissions, UIC Global The University of Illinois at Chicago Dear SUBHIKSHA R, Application No: JUPG22MA12711, Dear Student, Greetings from Centre for Management Studies, JAIN (Deemed-to-be University), Bengaluru! Hope this mail finds you and your family in good health. Congratulations! You have fulfilled the selection criteria of JET process and have been provisionally admitted on merit basis for MA Journalism and Mass Communication at Centre for Management Studies, Jain (Deemed-to-be University) Batch 2022-2024. We welcome you to JAIN (Deemed-to-be University), an intellectual destination that draws inspired students from more than 38 countries to India's Silicon Valley – Bengaluru. The University is granted graded autonomy status by the University Grants Commission (UGC) and has been consistently ranked among the top private universities in the country by "India Today Nielsen Best Universities Survey". Because of its commitment to learning, research, academia and entrepreneurial development, National Assessment and Accreditation Council (NAAC) has awarded A++ Grade to JAIN (Deemed-to-be University). Note: Selection procedure is on Merit Basis, Written Test and Personal Interview. Provisional Admission is subject to fulfilling the following criteria: Your provisional admission to the program will be confirmed only if you obtain an aggregate of 50% and above marks, without any backlogs [as per the norms of Jain (Deemed-to-be University)] in the undergraduate examinations, from a recognized University. Students who are in the final year of their Undergraduate Program should have an aggregate of 50% in undergraduate examinations conducted as on date. Submission of original qualification certificates & marks cards starting from 10th, 12th / Pre-University / Diploma and Under Graduate. Submission of original Transfer Certificate & Migration Certificate. Submission of Caste Certificate (if applicable) issued by Revenue Authorities. Submission of a copy of Passport/ Aadhar card The above listed documents should be submitted before the commencement of the First Semester Classes. Dear Student, Greetings from Department of Media Studies, JAIN (Deemed-to-be University)! We congratulate you on being admitted to Department of Media Studies, JAIN (Deemed-to-be University), a preferred destination for inspired students and scholars from over 40 countries, located in India’s Silicon Valley – Bengaluru. Having been granted graded autonomy by the University Grants Commission (UGC) consequent to National Assessment and Accreditation Council (NAAC) awarding it ‘A++’ Grade with a CGPA of 3.71 on a four point scale. JAIN (Deemed-to-be University) has been ranked 99 in the NIRF Ranking 2021, under the University category and has been consistently ranked among the top private universities in the country by “India Today Nielsen Best Universities Survey” due to its deep commitment to learning, research, academia and entrepreneurial development. We are excited to welcome you as we commence our journey called JAIN 2.0, which will redefine education taking it to the intersection of research and practice. In the new normal post-COVID, education at JAIN will set the benchmarks that others will emulate. Radical rethinking and integration of all the tenets of India’s new National Education Policy (NEP) 2020 will be taking the quality of teaching-learning to the next level. In future, you and we together will make it as exciting, joyful and enriching as it will be relevant, sustainable and value-based. Our endeavors in making you leapfrog in the pursuit of your career, is one of our deep commitments to you. Therefore, we have designed the following innovative and unique activities, that are essential as you commence your education at JAIN: 1. Footsteps: A thorough insight into the University structure (in terms of Faculty-School-Department, the Courses and the new initiatives). We will be sharing with you selected readings/articles/case-lets/videos that will prepare you for your program. 8th – 11th August 2022 \| Timing : 12:00noon – 4:00 PM** (Online mode ONLY) 2. Bridge Course: To equip you with the basic concepts in certain subjects that will form a solid foundation required to make your program seamless and more meaningful. 12th – 16th August 2022 \| Timing : 12:00noon – 4:00 PM (Online mode ONLY) 3. Boot Camp: This Orientation Program will help you realistically manage your own expectations and those of other stakeholder, the efforts and commitment required as we proceed together. 17th – 27th August 2022 \| Timing : 12:00noon – 4:00 PM (offline mode ONLY) Please make note of the following for your needful action; 1. It is mandatory to attend the aforesaid activities. Absenteeism will be treated very seriously and disciplinary action will be initiated which can also lead to the cancellation of your Provisional Admission. 2. The Bootcamp / orientation will be facilitated in an offline mode only. 3. The timings of the activities are given in the schedule. 4. The timings of the regular classes are 12:00 noon to 3:55 pm 5. The dress code is formals for all the activities and regular classes for both boys and girls. 6. Please keep a tab on your registered mail id as you will receive all important information pertaining to the activities and classes only on that email id. Note: You have been offered Provisional Admission to the Masters of Arts Journalism and Mass Communication Program; your admission will be confirmed only if you obtain pass % for merit seat as stipulated by the University from time to time at the 12th board / II PUC / Equivalent examination recognized by UGC. Also, please refer to your Provisional Admission Mail for details. For any further clarification, please mail to: email@example.com We eagerly look forward to your participation. Regards Dr. Dinesh Nilkant Director – CMS Jain (Deemed-to-be University) PROVISIONAL ADMISSION LETTER Dear Ram Varun, Congratulations! You have fulfilled the selection criteria of JET process and have been provisionally admitted on merit basis for MBA at CMS Business School, JAIN (Deemed-to-be University) Batch 2022 - 24. Welcome to JAIN (Deemed-to-be University), an intellectual hub for inspired students from more than 43 countries. The University is granted autonomy status by UGC and has been consistently ranked among the top private universities in India (sources: India Today). The National Assessment and Accreditation Council (NAAC) has awarded ‘A+’ Grade to the University in the year 2021. The University has been ranked 91-95 among the top Indian Universities by QS Top Universities Rankings, and awarded 5 stars in the Young University Category in Karnataka by KSURF iCARE Ratings. The CMS Business School, an integral part of JAIN (Deemed-to-be University) is India’s leading business school with an international perspective. Approved by AICTE, CMS Business School has been awarded ‘A’ at National Level and ‘A’ at State Level by CRISIL. Please note that the admission is provisional and is subject to submission & verification of the following documents on or before the commencement of the First Semester Classes: - Submission of original qualification certificates/marks cards starting from 10th / Pre-University / Diploma & UG. - Submission of original Transfer Certificate, Migration Certificate and Competitive Exam Score Card. (if applicable) - Caste Certificate (if applicable) issued by Revenue Authorities. - Aadhar card and three passport size photographs. Note: - Specialization/Branch will be given from second semester onwards based on merit. \| Study Campus \| Instalment \| Amount (INR) \| Payment Date \| \|------------------------------\|-------------------------------------------------\|----------------\|-----------------------\| \| CMS Business School Sheshadri Road \| Registration Fee (One Time) \| 20,000 \| Paid \| \| \| I Year Fee (Partial) \| 80,000 \| Paid \| \| \| I Year Fee (Remaining) \| 4,50,000 \| 25-May-2022 to 10-June-2022 \| \| \| II Year Fee \| 5,25,000 \| 25-May-2023 to 10-June-2023 \| \| \| Total \| 10,75,000 \| \| * In case of admission cancellation, fees will be refunded as per JU Refund Policy. Refer website www.jainuniversity.ac.in for student Admission Cancellation & Refund Summary Students can pay the fees using any one of the following modes of payment: - Student Application Portal – By logging in to the student application portal and selecting the payments option. - Cash - The fee can be remitted in cash at the Office of Student Fee Services, Jayanagar 9th Block or at the Administration Office, CMS Business School, Sheshadri Road. - Demand Draft (DD) - Drawn in favor of CMS Business School, payable at Bangalore and should be submitted at the Admissions Office, Jayanagar 9th Block in person or at the Administration Office, CMS Business School, Sheshadri Road in person. In the event of any unforeseen/inevitable circumstance(s) including Force Majeure, the Management of JAIN (Deemed-to-be-University) may feel constrained to conduct the MBA Program in an Online mode/or any other mode, as it deems fit, keeping the best interests of the Academics in mind, and within the matrix of its resources. For any further information, please call +91 73376 20222 or email firstname.lastname@example.org. Best Wishes, Dr. Dinesh Nilkant This is a computer-generated letter. No signature is required. February 8, 2021 Harikrishnan Boopathi 2/315-31, Sri Sai Lakshmi Nagar Palanigoundenpudthur, Pannimadai Post Coimbatore, 641017 INDIA Dear Harikrishnan, Congratulations! You have met the requirements for admission to the Master of Science in Business Analytics at The University of Texas at Dallas' Naveen Jindal School of Management for the Fall 2021 semester. We share your excitement as you begin this next stage in your educational career. Your program director, Gaurav Shekhkar (email@example.com), and academic advisors will be here to assist you with any questions or concerns you may have throughout the course of your program. Please note that as a graduate student, you carry certain responsibilities that may not have been present in your undergraduate experience. Be aware of the information contained in the [Graduate Catalog](#), [JSOM Policies page](#), and on the [Academic Calendar](#). Failure to read them does not exempt you from the rules and regulations therein pertaining to your academic experience. - As part of your degree program prerequisites, you will need to complete a one credit hour Professional Development course. Details on the course can be viewed on the [Jindal School of Management page](#). - Plan time to visit the Advising Office to review the requirements of your degree plan and to remove your advising hold. Please try to plan several visits while you are a student. - You will also receive information about the Jindal School of Management's Graduate Orientation program, please make it a priority to attend this important event. - When you reach the final semester of degree plan requirements you must fill out a graduation application by the posted deadline of your graduating semester. Failure to apply for graduation by the applicable deadline will delay your graduation by a semester. Our faculty and staff look forward to assisting you during your educational journey. We are confident that your experience at UT Dallas will include a welcoming environment, an intellectual challenge and a first-rate faculty in your field of study. Sincerely, Monica S. Powell, Ph.D. Associate Dean, Graduate Programs, Naveen Jindal School of Management Naveen Jindal School of Management \| 972.883.2750 \| [jindal.utdallas.edu/masters-programs](#) June 23, 2021 Akhilesh Kota 45-233, Street Number 2 NMDC Colony, East Anandbagh Malkajigiri Hyderabad TG500047 India Dear Mr. Kota, Congratulations. We are pleased to offer you admission to the Master of Engineering in Automotive Engineering program for the Fall 2021 semester. This letter constitutes your official admission document; please bring it with you when you arrive at the University of Michigan. You have been assigned student number 92929075. Enclosed is your I-20 form. Please note that on the I-20 document your major is listed as ‘Systems Engineering’. The United States Citizenship and Immigration Services (USCIS) has a limited number of fields of study (majors) to be listed on I-20 documents. The USCIS uses ‘Systems Engineering’ for your field, Automotive Engineering. IMPORTANT: We require you to submit your official final transcript and certificate of graduation from PSG College of Technology (Anna University). We must receive these documents by the end of your first semester at the University of Michigan, that is by December 10, 2021, or your admission is subject to cancellation. If you have any questions, please contact our office. The email address is firstname.lastname@example.org. Best wishes as you pursue your graduate studies. Sincerely, Betsy Dodge College of Engineering Registrar Mr Nithin Pranav Balachandar Si-Uk Date of this letter: Wednesday 13 January 2021 Please respond within 4 weeks to reserve your place Your applicant number is: 219327909 Please quote this in correspondence Dear Mr Balachandar OFFER OF ADMISSION TO POSTGRADUATE STUDY AT THE UNIVERSITY OF BATH Thank you for your application to study at the University of Bath. I am very pleased to offer you a conditional place in the School of Management, on the MSc Management (full-time) programme. It will start on 4 October 2021 and is expected to end on 3 October 2022. We strongly advise all new students to arrive by Monday 27 September at the latest, as induction is an important part of the process of settling in to university life and achieving academic success. Standard terms and conditions We hope that you will accept this offer but please make sure that you read and fully understand the Terms & Conditions first. You will receive a copy via email and you can also [read our Terms & Conditions](#) on our webpage. If you accept this offer you are agreeing to these terms. Your offer is conditional upon the following requirements: - provide the School of Management with a payment of £1000 for your programme Deposit Fee. Further details can be found below in the Deposit information section of this offer letter. - provide the Admissions Office with evidence (a copy or scan) that you have achieved and been awarded a final result in your undergraduate degree of at least CGPA 7.5 awarded by Anna University We will contact you again to confirm your place once you have met the condition(s) specified above. Please do not wait until you have met the conditions before confirming that you wish to accept the place offered to you. Documents required for enrolment This process is carried out after you have arrived at the University and completed on-line registration. In order to enrol you may be required to present ORIGINAL documents to the Admissions Office (photocopies are not acceptable). Please check 'My Enrolment Requirements' box on your Bath Application Tracker to see which documents you may need to bring. Please note that any English language certificate required must be dated within two years of the start date of your programme. Failure to provide the required documentation will mean that you will be unable to register at the University of Bath. Fees and finance Your fees status has been assessed as Overseas. Please contact us immediately if you think this is incorrect. Fees payable for this programme in the 2021/2 academic year (fees in subsequent years may rise by up to 5% each year for every further year of study): £22000 - Tuition Fee - Full time & Sandwich Courses Tuition fee rates are published on the Student Finance Office and Study website each year. Your tuition fee is an annual charge that may be subject to an increase in each year of study. Further information can be found in the [Tuition Fee and Charges Guidelines](#). Please note that, if your fees are to be paid by a sponsor other than the University or a UK Research Council, you will be required to provide the University with written evidence from your sponsor confirming the amount of money to be paid before you will be able to complete registration. Replying to your offer You must indicate whether you wish to accept your place in the ‘Track Application Progress’ box on your [Bath Application Tracker](#). Right to cancel You have the right to cancel your contract with the University within 14 days if you decide to accept this offer to study. This is the point that you formally accept your offer to study via your Bath Application Tracker. If you change your mind and wish to cancel the contract then please notify the University within 14 days of your formal acceptance of this offer. Further information, including a cancellation form, can be found on our website. Any deposit paid to confirm your place to study at the University of Bath will be refunded if you cancel within this 14 day period. Cancellations outside of the 14 day period are non-refundable. Deposit information If you are accepting your place you will need to pay a deposit of £1000. This will be deducted from the course fee when you register at the University. The deposit of £1000 is non-refundable unless you cancel within the 14 day period as mentioned above, you fail to meet the conditions of the offer or fail to get a visa, if required. Please visit the online store to make your payment. Please note, to secure your place on the programme you must accept your place on your Bath Application Tracker and pay the £1000 deposit. You must do this within 4 weeks of the date of this letter. Accommodation information Providing that you make the application for accommodation by the guarantee deadline, new students classified as ‘overseas’ for fees purposes will be offered accommodation in University of Bath residence, some of which is on-campus and some of which is off-campus in the city of Bath. Further details are available from the University Accommodation Office web page. Visa information If you require a visa to study in the UK then we will contact you by email about a Confirmation of Acceptance for Studies (CAS) statement once you have met any conditions of your offer and your place has been confirmed (i.e. your application has become ‘unconditional firm’). We will not contact you earlier than six months before the start of your course. There is no need to contact us to start this process. Further details can be found on our visa advice webpages. You may be required to show your passport and any relevant immigration documents as part of registration when you enrol. You are encouraged to visit the University website, the address of which is given below. I look forward to hearing from you soon, and to welcoming you to the University in due course. If in the meantime you have any questions, please do not hesitate to contact us. Yours sincerely Mrs Dee Mahil Head of MSc Operations MSc Office, 8West Level 1 University of Bath School of Management Claverton Down, Bath BA2 7AY Tel: +44 (0) 1225 383757 Fax: +44 (0) 1225 386473 email: email@example.com Web: www.bath.ac.uk/management/msc_management/ PROVISIONAL OFFER OF ADMISSION Programme: MBA Application No: 216214075 Dear VAISHAK M Congratulations! You have been provisionally selected for the MBA Bangalore Central Campus Programme at CHRIST (Deemed to be University), CENTRAL CAMPUS for the Academic Year 2021-2022. In order to confirm your Admission kindly pay the Fees and download the E-Admission Card. Due to restrictions announced because of COVID 19, you are only required to make online fee payment for the first year along with admission registration fee by 20-Jul-2021, else the offer of admission stands withdrawn. Read the Steps for Admission Process before you proceed further. 1. Pay the fees by the mode selected. 2. Download and print the E-ADMISSION card. 3. Further instructions will be updated via your registered email. Please note: a) Fee payment is only through Net Banking / NEFT / RTGS. b) There may be a nominal change in the fee paid subject to final verification of data during admission process. c) Only Payment / Transfer of fees does not guarantee the admission if eligibility criteria are not fulfilled. d) Payment through foreign exchange Centres/Cash will not be accepted. Essential information CHRIST Deemed to be University encourages cashless (digital) mode of payment for all its transactions. The Students of the CHRIST Deemed to be University are issued a Smart ID Card linked to their Savings Bank Account to be opened at CHRIST Deemed to be University Branch of South Indian Bank Ltd (SIB-CU), which may be used for all required payments within or outside the Campus. Hence it is necessary that the students must have an account with SIB-CU. The University will enable opening of SB Account with SIB-CU and for the purpose will issue necessary introduction. The Students will be required to complete the EKYC process with the Bank by furnishing all necessary information/documents as may be required. If the student already has an existing SB account at SIB -CU the details there of is required to be furnished. It may be noted that the CHRIST Deemed to be University will be sharing the relevant 'student data' with the Bank. If you already have an account with South Indian Bank, CHRIST Deemed to be University branch then enter 16 digit account no: Do you have Aadhar Card? * Yes Aadhar Number (Optional) : 513429550543 Name As per Aadhaar/Enrollment (Optional) : PAN No (if available) : Passport Details (if available) Passport No: Passport Issuing Country: India Passport Valid up to: (DD/MM/YYYY) Fees Payment - Payment/Transfer of fees does not guarantee admission. - CHRIST Deemed to be University does not collect any type of Capitation/Donation. - This is only the FIRST year fees. For subsequent years, fee demand slip will be issued through the student’s ERP login. - For any further clarifications please call 9243080800 Select mode through which you will pay the fees. (Candidates using NEFT / RTGS will have to make Bank to Bank transfers only. Transfer through Exchange centres will not be accepted) - ONLINE (Click here for paying the fees through payment gateway) - NEFT/RTGS (Fund transfer generally takes 24 hours. Kindly arrange to pay at least one working day before the date you have selected to process the admission). - Fund Transfer facility for South Indian bank customers (If you do not have an internet banking facility of south Indian bank. Kindly approach your South Indian bank branch with your cheque leaf for fees transfer. Fees transfer details are given as follows). DETAILS OF FUND TRANSFER Admission registration fee is non-refundable in the event of cancellation of admission. This fee will be apart from cancellation charges if any applicable.* DOWNLOAD ADMISSION CARD CLOSE February 1, 2021 Student ID: 40198766 Jagadeshwar Baskararaja No 21, MM Nagar Extension, Sholinghur, Vellore 631102 Tamil Nadu INDIA Dear Jagadeshwar Baskararaja: Congratulations! I am pleased to inform you that, after careful assessment of your application, you have been granted admission to the following program: Master of Engineering Mechanical Engineering This is your official letter of acceptance. As an international student, you are required to obtain a Study Permit and a Quebec Certificate of Acceptance (CAQ). Please read carefully the enclosed "International Students Pre-Departure Guide" to determine the procedures. The attached Offer of Admission gives information about the program to which you have been admitted, any conditions that apply to your admission, and further details regarding financial support. If you have any questions regarding your Offer of Admission, please feel free to contact us via email at firstname.lastname@example.org. Please confirm your acceptance of this Offer of Admission in your Student Centre at www.myconcordia.ca by May 1, 2021. To learn more about your program, please refer to the Gina Cody School of Engineering & Computer Science website at http://www.concordia.ca/ginacody/programs. Please contact the program assistant for course registration procedures. Contact information can be found in the following pages. You should arrive in Montreal and register for your courses by September 7, 2021. Given your achievements, potential and academic intent, I believe that your academic interests will be well served by this program. I take this opportunity to welcome you to Concordia University and wish you every success in your studies. Sincerely yours, Emad Shihab, Ph.D., P.Eng Associate Dean, Research and Graduate Studies Gina Cody School of Engineering and Computer Science Offer of Admission Student Information Name: Jagadeshwar Baskararaja Student ID: 40198766 Date of Birth: February 3, 2000 Program Information Academic Program/Plan: Master of Engineering Mechanical Engineering Minimum Program Length: 45 credits Time Limit: September 6, 2024 Academic Load: Full-Time Session: Fall 2021 commencing September 7, 2021 Expected Graduation Term: Summer 2023 Confirmation Date: May 1, 2021 - You must accept this offer and pay the confirmation deposit through your My Student Centre by this date. To accept your offer, follow these steps: Log in to MyConcordia.ca; Choose "My Student Centre"; Under the "Admissions" section, select "Accept Offer" and follow the prompts; $250, making sure to select "Admissions Confirmation Deposit" as the payment item. This amount will be applied later to your tuition fees. Admission Status: Conditional Conditions: Successful Completion of Bachelor Degree: Your acceptance is contingent upon the successful completion of your Bachelor degree requirements, maintaining or exceeding your current overall average, prior to the commencement of your studies at Concordia University. Official Transcript and Proof of Bachelor Diploma: You must provide / Your acceptance is contingent upon the receipt of a final, complete official/sealed and verified attested transcript containing all university stamps and/or seals and official signatures, along with official proof of Bachelor degree conferred/awarded by Anna University, sent directly from that institution to Concordia University's Graduate Admissions Application Centre as shown below, and under normal circumstances, received by the commencement of your studies at Concordia. Transcripts issued to the Student are not considered official. Original documents are not accepted. All documents must be sent in the original language if other than English, with official certified translations in English or French. Official documents must be sent by one or more of the following methods: 1) Mailed Documents: Mailed documents must be sent directly from the institution/organization to Concordia University's Graduate Admissions Application Centre as shown below, and under normal circumstances, must normally be received prior to the commencement of your studies at Concordia. For Mailed Documents: Concordia Graduate Admission Application Centre P.O. Box 2002, Station H Montreal, Quebec, Canada H3G 2V4 2) Sealed Documents (Only when the University is opened): If your institution does not mail documents internationally, the above documents may be submitted in a sealed school envelope that has not been opened since it left the institution. This may be submitted directly to Birks Student Service Centre as shown below, when you arrive in Montreal. Original documents are not accepted. For Sealed Documents (Only when the University is opened): Birks Student Service Centre-Concordia University, Room LB-185, 1400 De Maisonneuve Blvd. West 3) Electronic documents: Official electronic transcripts can be sent by email only from the institutional domain name (Gmail, etc. addresses are not accepted). For Electronic Emailed Documents: email@example.com IMPORTANT NOTE: Admission Conditions Compliance-Registration Restriction: You must comply with the Conditional terms of your admission. You must arrange for official/sealed/electronic copies of documents to be submitted as outlined in this letter above. Please note that failure to comply with admission conditions will result in a registration restriction being placed on your file. Please read carefully: PDF/Conditional Offers of Admission, Confirmation and Registration: Please note that Concordia does not mail a hard copy print of the Offer of Admission letter. The PDF attachment of the Conditional or Final Offer of Admission is required to apply for your Study Permit and CAQ. Also note that your conditional offer of admission is sufficient when applying for these immigration authorizations. Concordia University does not re-issue Final Offers of Admission once conditions have been met /are fulfilled. Please also note that it may take a few weeks for your CAQ and Study Permit applications to be processed. To avoid having to defer your admission, we suggest that you apply for your documents as soon as possible. Confirmation & Online Registration-Course Based Programs: Once you complete the process of confirming your admission, you will be able to register online for a maximum of two (2) courses per term, depending on the program. Refer to the 2021-2022 Class Schedules on the Concordia Homepage under Quick Links when it becomes available. Please check your Concordia Student Portal for posted registration dates for September/fall 2021 of the 2021-2022 academic year, and for registration instructions, please refer to the following link for the student Hub at: http://www.concordia.ca/students/your-sis.html Please ensure that you are registering for specific courses that are required for your program. Remember that core program courses are normally taken in the first term of admission. Please check the Graduate Calendar for the 2021-2022 academic year on the Concordia Homepage under Quick Links when it becomes available. IMPORTANT NOTE: If you are not able to join the program for September 2021, or if you are no longer interested in taking a particular course that you have registered for in the fall term, please ensure you drop the course(s) no later than the DROP/DNE deadline for the fall 2021 session. If you do not drop the course(s) by the DROP/DNE deadline for the fall 2021 session, you will be charged for the course(s). Refer to the Concordia Homepage under Quick Links for Important Academic Dates for 2021-2022. Please check these and other Important Deadline Dates for the 2021-2022 academic year on the Concordia Homepage under Quick Links when the dates become available. The Class Schedules and Graduate Calendar are also posted here. Please contact your program coordinator, Ms. Charlene Wald at (firstname.lastname@example.org) for course registration and program information by the confirmation date indicated above. Designated Learning Institution (DLI) Please note all Study Permit applications (IMM 1294 and IMM 5709) must now include a Designated Learning Institution number (DLI #). The DLI for Concordia University is O19359011007. Health Insurance and Immigration Procedures An insurance policy, covering hospital expenses and medical fees, is compulsory for all international students registered at Concordia University and the premium is automatically charged to your student account. Please refer to the information regarding compulsory student health and accident insurance in the ISO Pre-Departure Guide at http://www.concordia.ca/iso-pre-departure-guide. If you have any questions relating to immigration, housing or health insurance, please refer to the information provided in the ISO Pre-Departure Guide. You may also contact the International Students Office by email at email@example.com if you still have any questions after consulting the guide. Residence Are you a Graduate Student looking for a place to live in Montreal? Residence Life at Concordia University may have a home for you. Please contact the Residence Life Office concordia.ca/residence for information and availability. Tuition and Fees The Master’s is a 2-year program. The tuition and other fees for an international student is approximately $7,000.00 per semester for 4 semesters for a total of approximately $28,000.00 for the 45-credit program. Continuation & other fees will be billed in each subsequent term of registration until you apply to graduate. The number of terms that the continuation & other fees are billed will depend on your progress in your program of study. All registered course credits above the 45 nominal credits in your program will be billed on a "per credit" basis in addition to, and concurrently with, other program fees that are billed. The fees quoted above are estimates as the University reserves the right to modify the published scale of fees without prior notice, at any time before the beginning of an academic term. Living expenses for one year, including lodging and utilities, food, clothing, public transportation, books and supplies and miscellaneous expenses, can range from $14,000.00 to $16,000.00. Please refer to Student Accounts website for details on the graduate Tuition & Fee and Financial Regulations at http://www.concordia.ca/admissions/tuition-fees.html. The University reserves the right to modify the published scale of tuition and other fees without prior notice, at any time before the beginning of an academic term. Governmental Requirements: All students are required to have a Permanent Code. To start the process for obtaining one, log on to your Self Service page, and click on the ‘Code Permanent Data Form’ in the Personal Information section. Please complete the on-line form and submit the required supporting document, if applicable. International students must submit the required supporting documentation only after they have received a study permit. For more information concerning the required documentation, please visit http://www.concordia.ca/admissions/tuition-fees/permanent-code.html. As a new graduate student, you are required to complete the Academic Success and Integrity Module. This will become accessible 24 hours after you have accepted your Offer of Admission and paid your confirmation deposit. Please consult the New Student Guide to familiarize yourself with the steps a new graduate student needs to follow from acceptance to graduation. We also invite you to learn more about GradProSKILLS, a suite of skills development workshops designed to enrich the graduate experience and transition into a future career. Visit http://concordia.ca/gradproskills for more information. Sincerely, Emad Shihab, Ph.D., P.Eng Associate Dean, Research and Graduate Studies Gina Cody School of Engineering and Computer Science Please note Concordia University reserves the right to modify its academic programs and regulations. The University also reserves the right to modify the published scale of tuition and other student fees at any time before the beginning of the upcoming academic year. Your admission is subject to the statutes, rules, regulations and policies in place at Concordia University, including the policies contained in the University Calendars available online at www.concordia.ca, the policy on Intellectual Property (VPRGS-9), and those of the programs in which you will be registered. We remind you that your obligations commenced with your application to Concordia University and shall terminate in accordance with the University’s statutes, regulations and policies. All University policies may be consulted on-line at the following address: http://www.concordia.ca/web/policies.html. Conditional Offer for a Full Time Postgraduate Programme April 10, 2021 Conditional Offer for a Full Time Postgraduate Programme Application Reference: 000302543 Dear Nithwin Saillesh Ramesh I am pleased to inform you that Loughborough University would like to offer you a place on the following postgraduate programme: M.Sc. Automotive Engineering. The conditions of your offer are: - Provide a copy of a valid passport for visa purposes. - PT Complete your degree with a grade of 7.5 or above The course will commence on 4th October 2021, and has an expected end date of 4th October 2022. Please be aware there may be induction activities that you are expected to attend before the start of the programme. If applicable, your School will write to you with more information. For tuition fee purposes you will be classed as an International student. The tuition fee for your programme in 2021 is £25450. Please note that if you choose to defer your entry the tuition fee will be subject to an inflationary increase and will be confirmed before you begin your studies. Loughborough Scholarship You may be eligible for a scholarship to help you meet the cost of your tuition fees if you are a self-funded student and you meet the academic conditions set out at www.lboro.ac.uk/study/postgraduate/fees-funding/masters-funding/departmental-bursaries-scholarships/aeronautical-automotive-engineering/ What’s Next? Our postgraduate offer webpages www.lboro.ac.uk/study/pg-offer/ provide helpful guidance on the next steps in the admissions process, as well as further information about the University. To accept this offer you should return to the On-line Application Portal www.lboro.ac.uk/registry/pgapps. You can view your offer conditions and accept it by clicking on 'View' and then selecting 'Reply to Offer'. We will also need certified documentary evidence for all your academic qualifications if you have not already done this. All documents must be in their original language plus a certified translation into English, and must be uploaded via the Application Portal. The University checks all academic documents to ensure that they are genuine. If necessary, we may request originals to be submitted and may also confirm with the awarding institution the information contained in the documents. Important Information If you decide to accept our offer to study at Loughborough, you will be considered to have agreed to our Terms and Conditions of Study. Together with the appropriate programme specification, these set out the formal terms of our offer as well as your rights/responsibilities. You are advised to read both documents carefully: - Terms and Conditions of Study: www.lboro.ac.uk/study/apply/supporting/terms-conditions - Programme Specification: www.lboro.ac.uk/students/programme-specifications/2020/ Declaration of Criminal Convictions As per the Terms and Conditions of Study, if you have any criminal convictions as outlined in our Policy and Procedure for Applicants with a Criminal Conviction www.lboro.ac.uk/study/apply/support/criminal-convictions/, you will be asked to disclose these after you accept this offer via the firm or provisional route. Right to Cancel Acceptance As outlined in the Terms and Conditions of Study, if you choose to accept your offer of a place, you have the right to cancel your acceptance within a period of 14 calendar days starting from the day after we receive notification of your acceptance of your offer. To meet the cancellation deadline, you can email your cancellation of your acceptance of an offer to us at firstname.lastname@example.org or you can use the following cancellation form www.lboro.ac.uk/study/apply/support/cancellation-policy/ The right to cancel is a statutory right under the United Kingdom’s Consumer Contracts (Information, Cancellation and Additional Charges) Regulations 2013. Applicants with a disability, medical condition, mental health issue or specific learning difference The University is keen to support you from an early stage in your course and life at University, including accommodation. If you indicated in your application that you have a disability, or did not indicate this in your application but may need additional support while you study, you should now log on to www.lboro.ac.uk/dh-portal. This will give us the opportunity to assess your requirements and arrange support as necessary in time for your studies to start. Contact Us If any of the information in this letter or within the terms and conditions document is unclear, please contact us for clarification as soon as possible. If you wish to communicate with us about your application, please ensure you always quote your application number located at the top of this letter in all correspondence. We very much hope to be able to welcome you to Loughborough University. Yours sincerely Wendy MacDonald Admissions Manager (Postgraduate Taught) Email: email@example.com For details of postgraduate programmes, scholarships, open days and other useful information please visit www.lboro.ac.uk/study/postgraduate/masters-degrees/ Dear Mr. Ragul Siddharth Kathirvelu: I am pleased to inform you of your acceptance into the Graduate School of Engineering at Northeastern University as a Full-time Regular student in the Masters degree program. This action is by recommendation of the Admissions Committee following a thorough examination of your preparation and qualifications for graduate work. In accordance with your undergraduate studies, your degree designation will be Master of Science in Engineering Management and will begin the first day of classes of the Fall 2021 term. Please go to Northeastern’s Office of the University Registrar website to view the university calendar. Please also refer to the below student advising and registration information for important information regarding your studies including your initial point of contact in your department of admission. Note that your offer of admission is contingent upon your satisfaction of all local, state and federal laws. The Graduate School of Engineering is available to assist you with any questions that you might have concerning your studies. On behalf of the Graduate Admissions Committee, I welcome you to the Graduate School of Engineering at Northeastern University. Sincerely, Dr. Waleed Meleis Associate Dean for Graduate Education To Whom It May Concern: Please note that Ragul Siddharth Kathirvelu (DOB: 08/31/1998; Student ID: 002958039) is admitted as a full time student to the Graduate School of Engineering at Northeastern University beginning the Fall 2021 term. Their program of admittance is the following: Master of Science in Engineering Management. The Master of Science in Engineering Management program is a 32 semester hour program. It is expected that Ragul Siddharth Kathirvelu will complete their program in May of 2023. The cost per semester hour of credit for graduate engineering courses for the 2020-2021 academic year is $1,664 U.S.D. Reference: http://www.northeastern.edu/financialaid/tuitionandfees/ Estimate of Expenses for the 2021-2022 Academic Year (based on 2020-2021 Academic Year expenses) for Graduate Engineering Programs* Tuition and Fees: $27,268 Living Expenses: $22,905 Total: $50,173 U.S.D. These figures are estimates and are subject to change by Northeastern University’s Board of Trustees. The above information provides an estimate of expenses for one academic year only. The total cost of pursuing the Master of Science in Engineering Management program over two years, including tuition, health insurance, fees, and personal expenses is estimated not to be more than: $100,346 U.S.D. If you have questions regarding this student’s admission status, or anything in this letter, please contact Graduate School of Engineering Admissions using this link. Sincerely, Graduate School of Engineering College of Engineering Boston, Massachusetts 02115 U.S.A. 4/13/2021 Ragul Siddharth Kathirvelu 19, Poombugar Nagar Thudiyalur Post Coimbatore, Tamil Nadu 641034 India NU ID No.: 002958039 CONTACT: firstname.lastname@example.org START Term: Fall 2021 CAMPUS: Boston STATUS: Full-time DEGREE LEVEL: Master of Science CONCENTRATION: Not Applicable ACADEMIC PROGRAM POINT OF CONTACT NAME: Prof. Himlona Palikhe EMAIL: email@example.com You are encouraged to visit the department or program website for your program of acceptance and to read the Degree Requirements section carefully. If you have questions pertaining to your program of acceptance, please direct them to the person named above under ACADEMIC PROGRAM POINT OF CONTACT. Questions pertaining to health insurance, immunization requirements, and student tuition, billing and accounts should be directed to the appropriate offices referenced below. Otherwise for answers to common admissions questions (e.g. orientation, registration, visa-related) or to send an inquiry, visit https://coe.northeastern.edu/admissions/help NEW STUDENT INFORMATION The below information is provided to assist you during your preparation to begin or to continue your graduate studies at Northeastern University. It is important to note that new students should not register for courses until orientation or until receiving official guidance (typically provided via email within a month of the start of the term). Meanwhile, feel free to visit our new student information page to review pre-orientation information that was provided to new students who began here over the past year. This page will be updated as your term of entry approaches. Also visit https://coe.northeastern.edu/admissions/help for answers to common questions or to send an inquiry. Accept or Decline Your Enrollment: Please CLICK HERE to ACCEPT or to DECLINE* this offer of acceptance. If you decide to Accept this offer, you will be prompted to provide a non-refundable deposit to confirm your attendance. This deposit is applied towards student fees, which all students will eventually incur upon enrollment. For planning purposes, we ask that you confirm your enrollment by paying the deposit by the enrollment deposit deadline. Print a receipt for your records. Your enrollment deposit deadline: May 15, 2021 Activate Your Northeastern University Student Account (myNortheastern): - If eligible, you will receive an email from Northeastern to your personal email ID that you used during the application process, and is associated with your Applicant ID/Record: firstname.lastname@example.org - The email is/was launched on or around the date published on this decision letter: 4/13/2021 - The email will come from the following generic Northeastern email ID: email@example.com - The subject of the email is Claim Your Northeastern University Online Account, and will contain a unique link, which will be valid for 30 days from the date of the email - Claiming your myNortheastern account will allow you to check your brand new Northeastern email account, and will allow you access to a variety of university services, systems, and resources If you need assistance or have questions about claiming your online account, or for any of your Northeastern technology needs, the university’s IT Service Desk is available to support you 24/7 by phone at 617.373.HELP (4357) or email at firstname.lastname@example.org. If you send an email, include the personal email address that you provided on your application, include your NUID (referenced above as NU ID No.), and include your first name, last name, and your phone number. For more information on how to claim your student account, please [visit this website](https://studentfinance.northeastern.edu/). Student Financial Services: For tuition and fee, billing, payment methods, and financial aid information, go to: [https://studentfinance.northeastern.edu/](https://studentfinance.northeastern.edu/). I-20/F-1 Visa Request Process and Instructions: If you are a current citizen or permanent resident of the United States, you do not need to complete an I-20 request. The I-20/F-1 visa process is relevant for most admitted, international students and may be initiated by following the below instructions. - The request process is entirely electronic. Instructions to obtain your I-20 document via secured mail will be sent to your Northeastern inbox once your request is approved. - New students who would like to request an I-20 should confirm their enrollment by paying the confirmation of enrollment deposit using the above instructions under the header: Accept or Decline Your Enrollment. - Generally new students who submit a complete electronic request will receive their I-20 within 2-4 weeks of submitting their request. - Our electronic system is referred to as myOGS. - The name myOGS is derived from the office at Northeastern that serves international students: the Office of Global Services (OGS). - To use the myOGS system, you must first activate your myNortheastern account using the above instructions. - To login to the myOGS system, you will use your myNortheastern Username and your myNortheastern Password. - You will be prompted to upload several documents into the myOGS system to complete the I-20 process. You will need electronic copies of the following: 1. Color copy of the identity page of your passport 2. Financial documents that meet the following criteria to avoid denial of your request: - Dated within 9 months of the program start date - Maturity date does not exceed the program start date - If fixed deposits: funds must mature before start date or confirm in writing that they may be withdrawn at any time Financial documents and letters of financial support must be printed in English and the names of sponsors should be printed and signed in English. You may complete the myOGS process over several sessions. To begin using the myOGS system, [CLICK HERE](#). Problems? If you attempt to use the myOGS system within 48 hours of setting up your myNortheastern account, you may experience technical problems since university systems typically take 1-2 days to update. If 2 days pass after you set up your myNortheastern account, and you experience problems with myOGS, send an email to: email@example.com for assistance. If you send such email, include the following information in the body of your email: (1) your NUID number (accessible by logging into your myNortheastern account), (2) the link that you are trying to use which is not working/causing problems, (3) a screen shot of the error, and (4) your email address. Office of Global Services (OGS) orientation is mandatory for all international students. Please visit [www.northeastern.edu/ogs/](http://www.northeastern.edu/ogs/) for further information. Graduate Cooperative Education (Co-op) Program: The [Graduate Cooperative Education program](http://www.coe.neu.edu/graduate-co-op/graduate-co-op-eligibility-and-requirements) in the Northeastern University College of Engineering provides students with the preparation for professional work experiences and enables students who are eligible to participate in a cooperative education experience. Cooperative education policies and eligibility requirements are provided at: [http://www.coe.neu.edu/graduate-co-op/graduate-co-op-eligibility-and-requirements](http://www.coe.neu.edu/graduate-co-op/graduate-co-op-eligibility-and-requirements) Completing Your Official Admissions File: As soon as you decide that you plan to enroll at Northeastern University, arrange to send to us your official GRE and/or TOEFL/IELTS scores if required of you as an applicant, and if you have not done so already. Official test scores are those that are sent from the appropriate testing agency directly to Northeastern University. Also please arrange to mail to us your official transcripts (or their equivalent) to complete your official admissions file. Official transcripts are those that are sent from your previous institution directly to Northeastern University. Your goal should be to complete your admissions file/record before you enroll in courses, if possible. Mail to: ATTN: Admissions Graduate School of Engineering Northeastern University 130 Snell Engineering Center 360 Huntington Avenue Boston, MA 02115 Official transcripts should include information on all courses, grades, and credits taken at any and all university-level institutions attended and if a degree was conferred, the transcripts should include information about the degree conferred and date of conferral. If your transcripts do not reflect your degree conferred and date of conferral, please also arrange to provide your final, official diploma or degree certificate. If your documents are in a language other than English, arrange also to send to us official English language translations. Note that any documentation that you submit to Northeastern University becomes the property of Northeastern University and cannot be returned. If you already made the appropriate arrangements to complete your file, please do not be concerned with your status as shown on your electronic application, as it may take us several weeks to update our records. If additional information is needed, you will be contacted. Health Insurance: The Commonwealth of Massachusetts requires that all students who are matriculating, carry a course load of nine credits or more or are enrolled in a full-time program have hospital insurance. Students who are covered under comparable insurance may request to waive the health insurance fee. The University Health and Counseling Services Center, Northeastern's student health services, coordinates care for all students enrolled in the health insurance plan. Graduate students who have waived participation in the insurance are eligible for services if they have paid the student health fee. Please refer to the University Health and Counseling Services Center's web site for further information, [http://www.northeastern.edu/uhcs/](http://www.northeastern.edu/uhcs/) Immunization Requirements: In accordance with state law, full-time students must provide documentation of immunity to certain diseases. Students will be blocked from registration for the next semester until this requirement is met. Contact your clinician for completion of the Health Form: [http://www.northeastern.edu/uhcs/wp-content/uploads/2016/03/2016-17-Health-Report-Meningitis-Waiver.pdf](http://www.northeastern.edu/uhcs/wp-content/uploads/2016/03/2016-17-Health-Report-Meningitis-Waiver.pdf). You can contact the [University Health and Counseling Services Center](http://www.northeastern.edu/uhcs/) for further information. On-Campus Housing: All full-time students enrolled in a graduate program at Northeastern may apply to live in campus housing. Because space is limited, housing is not guaranteed. The application form is available on the On-Campus Housing and Residential Services web site, [https://www.northeastern.edu/housing/university-housing/](https://www.northeastern.edu/housing/university-housing/) Off-Campus Housing: Students may search for housing, sublets, and roommates through the listings and message boards on [http://www.northeastern.edu/offcampus/](http://www.northeastern.edu/offcampus/) This free service requires account registration with your Northeastern e-mail account. Contact a Current Student! You are invited to contact one or more currently enrolled Graduate School of Engineering students to learn more about the graduate student experience at Northeastern! For more information, visit: [http://web.northeastern.edu/coe-graduate-student-ambassadors](http://web.northeastern.edu/coe-graduate-student-ambassadors) Northeastern Videos: [http://www.youtube.com/user/Northeastern](http://www.youtube.com/user/Northeastern) Attend a Northeastern Admitted Student Webinar You are invited to an upcoming webinar to learn more about important next steps in the enrollment process. The webinars are open to admitted students from any and all colleges and programs at Northeastern and are not specific to the Graduate School of Engineering. For more information, visit: [https://pages.northeastern.edu/COMPOLEWBR2019-08-06AdmittedStudentWebinar_LP1.html](https://pages.northeastern.edu/COMPOLEWBR2019-08-06AdmittedStudentWebinar_LP1.html) Greetings from BIM, Tiruchirappalli. We are in receipt of your payment of Rs.45,000/= towards your confirmation for BIM-MBA Admissions 2021. Further communication will be sent to you soon. Regards Team Admissions BIM (Bharathidasan Institute of Management), Tiruchirappalli MHD Campus, BHEL Complex TIRUCHIRAPPALLI - 620 014 Mob.: 94433 18296 From: Alvin Mathews <firstname.lastname@example.org> Sent: 29 March 2021 18:55 To: Admission <email@example.com> Subject: Regarding payment of admission fees [Quoted text hidden] Dear Candidate Sub: Shortlisted to Management Program – Reg. Greetings from PSG Institute of Management! We appreciate your interest in studying at PSG Institute of Management and are pleased to inform you that you are shortlisted for our program. You are required to indicate your acceptance/non-acceptance of our offer within 2 weeks of receipt of this mail. For further details you may contact the admissions office between 9.00 AM to 5.00 PM on weekdays (Phone Number: 0422 - 430 4447 / 4433, Email: firstname.lastname@example.org). We look forward to hearing from you. With Best Wishes Admissions Office Dear MATHANKUMARS Sub: Provisional Admission to M.Tech. Programme at IIT Madras – July/August 2021 Hearty Congratulations for Securing Admission to IIT Madras. You have been provisionally admitted, under the OBC-NCL category, to the MTech (Four Semesters) Degree Programme in ME3Y Department at IIT Madras. Please download the following documents from the Admission Portal by clicking on the button "Letter Download": 1. Letter of Acceptance 2. General Instructions and Admission Schedule Please fill the Letter of Acceptance form, sign, and send the scanned (pdf) file through an e-mail attachment to email@example.com with the subject "Offer Acceptance" by 11/Jul/2021. Please keep the original copy and bring them at the time of admission. If the document does not reach us in e-mail before 11/Jul/2021, your provisional admission will stand cancelled. For Accommodation in the Hostel: Please report (See P.S.) to the Hostel Management Office (https://ccw.iitm.ac.in/) one day before the admission. Information about the allotted hostel will be displayed on the notice board of the Hostel Management Office. Students who are accommodated into the hostel are required to comply with the rules and regulations of the Hostel Management. Applicants who accept the admission offer are required to be present for registration at IIT Madras, based on the reopening date (See P.S.), along with this letter, valid GATE scorecard, all original certificates, mark sheets, duly completed response to admission offer and undertaking forms and the Physical Fitness Certificate from a registered medical practitioner (Format Enclosed) for verification, failing which your admission will be cancelled. Category Certificate: Applicants admitted to the programmes through GEN-EWS/OBC-NCL must present the Original Category Certificate in the prescribed format (available in the MTech Admission Brochure) issued on or after 01 April 2020. SC/ST/PwD Applicants should present certificates in the prescribed format and valid as per rules. Relieving Certificate: Employed candidates must produce relieving order from the competent authority of the employer at the time of admission, failing which the admission will be cancelled. In case you decide Not to Join the M.Tech. Programme at IIT Madras, you can login to the Online Application Portal and click on Withdraw button. You will have to confirm your decision by feeding the OTP sent to your registered mobile number. In case a candidate withdraws his/her Offer of Admission, a Processing Fee of ₹ 5000/- for General/OBC/EWS candidates and Rs.4350/ for SC/ST/PWD candidates will be retained by the Institute, and the remaining amount, if any, would be refunded. No refund will be given once the semester starts. We are looking forward to your joining at IIT Madras. With Best Wishes. Yours Sincerely, Chairman, M.Tech. Admission Committee 2021 P.S. The safety of our students and scholars is of paramount importance for their higher studies. Due to the current pandemic, IIT Madras will announce the reopening date subject to Covid19 lockdown restrictions and the Government rules. 08 December 2020, (CS) Mr Manikandan Yogaraja 27, Bharathi Nagar 2nd Cross Ganapathy Coimbatore India 641006 Dear Mr Yogaraja, Application number: 219049078 Further to your recent application, I am pleased to make you a Conditional offer of a place on the MSc Business and Management programme. Full details of the offer are attached. You should accept/decline your offer within 21 days of this letter. If you need more time, please contact the academic department. Contact details for your department can be found on your course web page at https://www.strath.ac.uk/courses/. Please quote your Application Number (219049078) on any correspondence. If we have not heard from you within 21 days, the University reserves the right to withdraw this offer. Please note that this offer is made on the understanding that in accepting it you undertake to abide by the Charter, Statutes and Ordinances of the University, and also to abide by the rules and regulations which the University makes for its students from time to time. It should be noted that this offer is subject to the acceptance by you of the terms and conditions set out in the University's Calendar, available at http://www.strath.ac.uk/seees/educationenhancement/qualityassurance/ and then clicking on University Regulations. You must therefore read these terms and conditions before accepting any offer. Please note, evidence of a full and valid scholarship/sponsorship or payment of a deposit is required to be received within 28 days of fulfilling all academic conditions of this offer. If the programme start date is within 28 days of fulfilling all academic conditions, payment is required within 14 days. Payment of the deposit can be made using the 'Make a web payment' link next to the Finance Condition on your online offer in Pegasus. You can also upload evidence of a scholarship/sponsorship via your online application form. We deem a sponsor to be an embassy, Government Office, educational establishment or an employer. Information on alternative methods of payment and providing evidence of a full and valid scholarship/sponsorship can be found at https://www.strath.ac.uk/studywithus/feesfunding/howtopay/tuitionfees/. Please note that if you do not use the online payment method, the payment may take a number of days to update in our system. If you have any difficulty paying the deposit, please contact Finance. Please see the following link for contact details https://www.strath.ac.uk/professionalservices/finance/financeheretohelpyou/ As you require a Tier 4 (General) visa it will also be necessary for you to demonstrate evidence of financial support to United Kingdom Visas & Immigration (UKVI) to satisfy their maintenance requirements. Please see https://www.gov.uk/tier-4-general-visa for further details. Please note that all monetary figures are subject to increase in future years. Please note that all monetary figures are subject to increase in future years. Yours sincerely, Sarah Black Admissions Team Student Lifecycle Services University of Strathclyde For Internal Use Only: OFFER-T4 Application number: 219049078 Course Title: MSc Business and Management, full-time (HECOS Code 100079 \| CAH17-01-02 \| 50% 100089 \| CAH17-01-04 \| 50%) Course start date: 13 September 2021 Expected course end date: 13 September 2022 Tuition fees for ACADEMIC YEAR 2021/2022: TUITION FEE £23,050 Tuition fees are payable at the time of registration and are subject to change in subsequent years. DEPOSIT REQUIRED: £ 2,000 Academic Conditions IELTS 6.5 nothing less than 5.5 or equivalent test https://www.strath.ac.uk/studywithus/englishlanguagerequirements/ tests are valid for two years. Successful completion of Bachelors Degree with minimum First Class award or final score 60% or equivalent CGPA/Grade from PSG College of Technology. Provide good quality, authenticated copies of your qualifications as stated in your application. Administrative Conditions When all of the conditions have been met, Admissions will check that your application complies with United Kingdom Visas and Immigration requirements. Finance Conditions Provide evidence of a full Scholarship or pay a deposit, which will be deducted from your tuition fee. The deposit will be refunded if your visa is refused or the University withdraws your offer. Notes The University of Strathclyde is strictly governed by the UK Visas and Immigration when sponsoring international students and must be informed if you are currently or have previously studied in the UK. Failure to disclose this information could result in a visa application refusal which could have serious consequences for your study plans. This information should be emailed to: firstname.lastname@example.org quoting your application number. The following conditions have been met or no longer apply Receipt of two satisfactory references Provide a good quality copy of the page of your passport containing your photograph and passport number. Please see https://www.gov.uk/tier-4-general-visa for further details. March 18, 2021 Srimanth Ramesh 43, Vivekananda Nagar Extension, Singanallur Coimbatore, 641005 INDIA Congratulations! You have met the requirements for admission to the Master of Science in Supply Chain Management at The University of Texas at Dallas' Naveen Jindal School of Management for the Fall 2021 semester. We share your excitement as you begin this next stage in your educational career. Your program director, David Widdifield (email@example.com), and academic advisors will be here to assist you with any questions or concerns you may have throughout the course of your program. Please note that as a graduate student, you carry certain responsibilities that may not have been present in your undergraduate experience. Be aware of the information contained in the Graduate Catalog, JSOM Policies page, and on the Academic Calendar. Failure to read them does not exempt you from the rules and regulations therein pertaining to your academic experience. - As part of your degree program prerequisites, you will need to complete a one credit hour Professional Development course. Details on the course can be viewed on the Jindal School of Management page. - Plan time to visit the Advising Office to review the requirements of your degree plan and to remove your advising hold. Please try to plan several visits while you are a student. - You will also receive information about the Jindal School of Management's Graduate Orientation program, please make it a priority to attend this important event. Your out-of-state, non-resident tuition status has been determined based on the information that you provided on your admission application. If you have any questions regarding your residency status, please contact the Office of Admission and Enrollment at 972.883.2270 or firstname.lastname@example.org. Our faculty and staff look forward to welcoming you to UT Dallas. We promise you a welcoming environment, intellectual challenges, great faculty in your field of study, and a diverse University family. Sincerely, Monica S. Powell, Ph.D. Associate Dean, Graduate Programs, Naveen Jindal School of Management Naveen Jindal School of Management \| 972.883.2750 \| jindal.utdallas.edu/masters-programs Application Number: 22501212 .: Congratulations! :. Dear AFIFAH ZAYNAB, Based on the performance on the Higher degree test conducted by BITS, Pilani and the preferences given by you, you are provisionally selected for admission to M.E Mechanical [MG]-Goa Campus for the Academic year 2022-2023. • CLICK HERE to See/download/print Instructions/Medical exam proforma. With best wishes, DEAN, AGSRD Click Here to Proceed for Fee Payment>> Dear Akash Greetings from SRM Online Education! Congratulations on your Enrollment! Your admission is confirmed for Master of Business Administration (MBA) Marketing program. Your application number is 222111707. This application number is unique and please refer the application number for all future correspondence. Your login credentials for SRM online learning platform would be sent to your registered E-mail id before the start of the session. The session will be starting in accordance with the UGC academic calendar and will be notified accordingly. In mean time you will be provided with: 1. Enrollment Number (Register Number) 2. Official SRMIST Mail ID 3. SRM ONLINE LEARNING PORTAL (LMS) ACCESS LINK 4. Refresher course access in Learning portal (LMS) Happy On boarding, For any queries please write us email@example.com For any query click on the below link. CLICK Best wishes, SRM Online Education Not interested? Unsubscribe here you will not get any correspondences from Institute related to your application process once unsubscribed. ATTESTATION D'INSCRIPTION / REGISTRATION CERTIFICATE Je soussigné, Patrice HOUDAYER, Directeur des Programmes, de l'International et de la Vie étudiante de SKEMA Business School, certifie que : I, Patrice HOUDAYER, Vice Dean for Programmes, International development and Student service for SKEMA Business School, hereby certify that: M. / Mr Nitin RANGANATHAN ETHIRAJ Né(e) le / Date of Birth: 08-08-2000 à / in : Coimbatore Nationalité / Nationality : India Est inscrit(e) à SKEMA Business School pour suivre le programme : Is registered at SKEMA Business School for the programme: MSc (Two Year) / DESMI - Global Supply Chain Management and Procurement Pour la période suivante / For the following period : Rentrée Automne - Année académique 2022 – Du 09-09-2022 au 30-12-2024 Intake Fall - Academic Year 2022 – From 09-09-2022 to 30-12-2024 Campus 1ère Année / First year Campus : Paris - SKEMA Business School accompagne ses étudiants dans leur recherche de logement via un service dédié. SKEMA Business School helps its students with finding housing through a dedicated service. - Le montant total des frais de scolarité pour ce programme est de 30000 € The total tuition fees for this programme is 30,000 € La présente attestation d'inscription est délivrée à l'intéressé(e) pour servir et valoir ce que de droit. To whom it may concern. Fait à Paris, le 24-06-2022 Certificate issued in Paris, 24-06-2022 Patrice HOUDAYER Vice Dean for Programmes, International development and Student service SKEMA Business School Dear Mr. Muthusamy Sivakumar, Application Decision Coventry University, Coventry University London, CU Coventry, CU London and CU Scarborough come together to form part of the Coventry University Group (the “University”) with all degrees awarded by Coventry University. With reference to your application to study at the University, we are delighted to offer you a place on the following course which is conditional on the ‘offer conditions’ detailed below being met:- \| Course Title \| MSc Global Finance with Extended Professional Practice (RQF Level 7) \| \|--------------\|---------------------------------------------------------------------\| \| Location \| Coventry University London Campus \| \| Award on Successful Completion \| MSc \| \| Academic Course Start Date (including Induction Week) \| 01 September 2022 \| \| Usual Course Duration \| 1 Year \| \| Total Anticipated Tuition Fees per Academic Stage/Year of the Course \| £19,350.00 as advertised for the 2022/2023 Academic Year [use your student ID as a payment reference] \| \| 1st Tuition Fee Payment for the first Academic Stage (the Deposit to secure your place) \| £4000.00 to be received by the University as part of your offer conditions. On meeting your other offer conditions and by paying this Deposit, you formally accept your offer of a place with the University. \| \| 2nd Tuition Fee Payment for the first Academic Stage/Year to be received by the University before your arrival for enrolment (payable once your Visa has been issued to you) \| Additional £4000.00 of the total tuition fee to be received by the University before enrolment begins on 5 September 2022 \| \| Remaining Tuition payment for the Academic Stage/Year \| £11,350.00 Payment plan breakdown outlined in Tuition Fee Terms and Conditions \| \| Scholarship/Tuition Award (subject to eligibility) \| These are awarded based on specific requirements and are subject to eligibility. Please note final confirmation of any awards/scholarships will be confirmed on your CAS statement. if awarded, this is only valid for your first year of study at the University \| \| Estimated Living Expenses (based on UKVI Guidance)[ UKVI Student Route Policy Guidance ] \| Estimated at £1334.00 per month \| We regularly review our course content, to make it relevant and current for the benefit of our students. Please check the current online course pages to read about the course on which you are being offered a Conditional place. Offer Conditions You are required to accept your offer and meet all the following conditions before 8th August 2022 to be eligible to enrol on your course: - Complete and pass interview assessment with International Student Support team - Pay the £4000.00 deposit to secure your place onto the course, The 2nd payment must be paid and received at the University before your arrival for enrolment. You must have paid a minimum of £8000.00 in order to be able to complete your enrolment. Refunds may be given if you are refused a student visa (subject to the University Policy and Current UKVI Immigration Regulations). You are required to meet the following conditions before enrolment begins on 5th September 2022: - Obtain a UKVI Student Visa to permit you to study in the UK (Please ensure you apply for an ATAS certificate and include it with your visa application if your course requires you to hold one) Send a copy of your ATAS certificate once it’s been issued to you. - Pay the 2nd instalment of your tuition fees which must be received by the University before your arrival for enrolment. [Once you have received your visa, please make arrangements to pay your 2nd instalment before 5th September 2022. Please note, discounts and scholarships cannot be used to fulfil this requirement (they can only be applied towards the fulfilment of your final instalment).] - Ensure you have and bring with you the originals of all the academic documents used in issuing your CAS to you. Photocopies or photos of these on your phone will not be accepted at enrolment Refunds may be given if you are refused a student visa (subject to the University Refund Policy and Current UKVI Immigration Regulations). Important Information-please read Enrolment onto your course is subject to you obtaining the right to study in the UK on a course at the University. Confirmation of Acceptance for Studies ("CAS") On confirmation of evidence that you have met all the entry conditions set out above, save for obtaining a visa, including receipt of your 1st Tuition payment (or an acceptable financial guarantee letter) by our finance department, we will e-mail you your unique CAS number. This will be a PDF copy of the CAS statement generated from the UKVI's SMS portal. You will need your CAS to apply for your student visa. Where applicable, we may be able to issue you an Unconditional Offer Letter as evidence that you have fulfilled all admissions entry requirements. Accepting Our Offer If you wish to accept this offer and firmly reserve a place you must reply by email quoting your name and reference number (as above) and confirming the course you are accepting. Alternatively, on meeting your offer conditions and by paying the Deposit, on receipt of the Deposit by the University you formally accept your offer of a place with the University. This offer has been made on the basis that you are an International Student. If this is not correct, this offer may be withdrawn at any time. If you consider that you are a Home fee paying please contact firstname.lastname@example.org who will review this offer. By accepting your offer of a place, a Student Contract will be formed between you and the University. A copy of the 22/23 Student Contract will be sent in due course, which you will be signing up to when you enrol. A copy of the 21/22 Student Contract can be found on our website. This Offer Letter, the 22/23 Student Contract (and the documents referenced within it), detail the rights and the obligations you will be bound by during your time as a student and contain the obligations that the University will owe to you. You should read the Student Contract before you accept an offer of a place and before you enrol at the University. Your Student Contract with the University begins as soon as you accept your offer. If you want to cancel your place, you have the right to do so within 14 days of accepting the offer. Within that 14 day cooling off period, you do not have to give a reason for cancelling. However, you must tell us that you want to cancel your place in a clear, written statement. If you need help making your statement clear, you can fill out the cancellation form attached to the enclosed 22/23 Student Contract and email it to email@example.com. Enrolment Details Further information will be sent to you by email advising you on how to enrol, most importantly: - Ensure you do bring originals of the academic documents used by the Admissions team to issue your CAS to you [these would be stated on your CAS in the evidence to obtain offer section.] for verification by the University’s Compliance team - Ensure your personal details including your full names and date of birth on your original academic documents do match the same details on your passport. If there are any discrepancies between these documents and your passport you need to provide a supporting letter from your previous institution confirming you are indeed the same person who studied with them and was awarded the qualification. Please note the University does not accept affidavits and these would not be accepted for enrolment. - You must have paid up to £8000.00 before you arrive to enrol. Further information can be found at https://www.coventry.ac.uk/london/student-life/arrival/ Document Verification – Academics and Evidence of English Proficiency At enrolment, we will need to verify your academic and English qualifications stated on your CAS or Unconditional Offer letter. You MUST bring these original documents with you to enrol onto your course. Photocopies or electronic copies will NOT be accepted and you will not be able to enrol. Likewise, you may not be allowed to attend classes if originals of these are not provided. Tuition Fees The University will charge tuition fees in accordance with the ‘Tuition Fee Terms and Conditions and Refund Policy. Please ensure that you read the ‘tuition fee terms and conditions’: https://www.coventry.ac.uk/the-university/key-information/registry/withdrawal-refunds/ International Students (Non-EU) are required to pay a tuition fee deposit at each Academic Stage/Year to secure a place. Before you can fully enrol onto your course, or each Academic Stage/Year, £8000.00 of your full tuition fees for the relevant Academic Stage/Year must be received by the University. Please ensure you allow sufficient time (approx. 7-10 working days) for your payment to be processed by your bank, received by the University and credited in to your student account. You may not be able to attend classes and have full access to University facilities, if you do not fulfil all the requirements for enrolment. If you have to extend your studies beyond the normal duration of the course (e.g. to repeat a year or re-sit examinations) the University reserves the right to charge you fees at a higher rate during the additional period of study. This offer is produced on our understanding that you are an overseas fee payer. If for any reason you believe you are a Home student, you need to complete a fee assessment form and provide all supporting documents for us to assess and confirm your fee status. We will need this completed at least 8 weeks to the start of your course. No applications for fee assessment will be accepted if we will not have enough time to process your request and make an informed decision to confirm your fee status before you are enrolled on the course. If you commence your studies as an overseas fee payer, without a fee assessment, you will remain an overseas fee payer for the duration of your course, unless there is a significant change in your immigration status and at the University’s discretion. Please note you may be asked to provide evidence of your financial documents before your CAS is released to you. Your financial documents must meet the requirements for a student visa application. You can find more information here: https://www.gov.uk/student-visa EU Students If you have the right to live in the UK, including under the UK Government’s EU Settlement Scheme or because you are from the Republic of Ireland, you may be exempt from paying international fees and we encourage you to contact us via firstname.lastname@example.org to discuss this further. Please note you will be required to provide documentation to prove your fee status eligibility. Relevant Unspent Criminal Convictions ‘The University asks all individuals seeking sponsorship by the University to declare any relevant unspent criminal convictions in accordance with its ‘Disclosure of Criminal Convictions Policy and Procedure’. If you accept this offer, you will receive an email with a declaration form which you must return to the University for consideration before your CAS will be issued to you. You can see the ‘Disclosure of Criminal Convictions Policy and Procedure’ here How to Pay (you will need to quote your Student ID number and full names when making payment): - Directly over the phone with an acceptable credit/debit card, by calling us directly on +44 (0)24 7765 2152 - Online (for the London Campus): Here - By bank transfer* and other methods - see information: Here * In some instances, we may need to track your payment in order to process your application further, so please include a scanned copy of your MT103 form when you send us your evidence of payment by email. Please note that students or 3rd parties may no longer be able to pay in Cash deposits at the branch counters at some UK banks. So we strongly advice you make your tuition payment(s) using one of the options highlighted above. Tuition Awards and Scholarships If you have been awarded a tuition award or scholarship, you will only be able to apply them onto your final tuition payment (not towards your second instalment). If paying your full fees upfront, at once before enrolment, we recommend that you deduct the value of the tuition award or scholarship before making your full payment. Refunds could take numerous weeks to process. Academic Progression If you have ever studied in the UK prior to joining the University, you must provide details of any study undertaken, including results and copies of visas held. You should also inform us of any courses you have failed or failed to complete for any reason. Failure to disclose this may result in visa refusal or withdrawal of our sponsorship of your study in the UK. Sponsored Students If you are being sponsored by a UKVI approved organisation (such as your Government or your employer), please ensure you provide us with a formal and acceptable letter of Sponsorship confirming the terms of the sponsorship, in accordance to the tuition and maintenance fees stated above. Please note that the University does not accept MOHE sponsored student onto Undergraduate courses that are less than 3 years in length. Completing the under-18 Parental Consent and Guardianship Form (if required) If you are under the age of 18 at the time you accept this offer, you need your parent or guardian’s consent and you must fill in the form providing us with contact details of a UK-based parent/guardian, who will be accessible to the University should the need arise. We will not issue your CAS letter if this form is not completed fully and returned to us. Alternative Offers Please note that admissions onto our courses are subject to you fulfilling our minimum entry requirements. If we assess your application and qualification(s) (with you providing a portfolio, undergoing a faculty interview where required) for a particular course, we may have offered you an alternative course that is more suitable to you based on your qualifications and skill set. Please note, alternative courses offered may take place at one of our other campuses. Please read the offer details above very carefully. MDes or MEng Programmes are over four years with the possibility of doing an Industry Enhancement year. This is reflected within the exit titles associated with the four-year courses, either Sandwich BAE/BEng (Hons) qualification or an integrated Masters course with an MDes/MEng qualification. The Integrated Masters route is designed for high achieving students to continue their studies and to develop advanced technical skills; as such, achievement attained during level 2 is used to determine suitability for progression. Additionally, a three year BA (Hons) degree is available for those wishing to omit the Industry Enhancement year. We would only issue an offer and CAS for a standard 3 year or 4 year BA/BSc Degree and not for an integrated masters. If you opt to extend the length of your course after your visa has been granted and this extension does not involve an Industrial placement, you will be required to return to your home country in order to extend your student visa. You will be responsible for covering all additional costs associated with this including visa applications and return travel. Data protection The University has a comprehensive Data Protection Policy which can be found on our website. You can find out more about how the University handles student data and your rights in relation to data protection in our Fair Processing Notice for students a copy of which can be found on our website at https://www.coventry.ac.uk/the-university/gdpr-and-data-protection/information-for-students/. It is important that you read this Fair Processing Notice as it will tell you what personal information we collect from you, why, what we do with it and who we may share it with. Personal Details Please notify us if you change your address, email or telephone contact details so that we will keep in touch with you until enrolment. Good luck with your preparations and we hope you will be able to join us at the University soon. If you have any further queries please do not hesitate to contact us. We look forward to having you as a student at Coventry University London. Yours Sincerely Dr Socrates Karidis Pro-Vice-Chancellor and Chief Executive Officer Coventry University London Je soussigné, Patrice HOUDAYER, Directeur des Programmes, de l'International et de la Vie étudiante de SKEMA Business School, certifie que : I, Patrice HOUDAYER, Vice Dean for Programmes, International development and Student service for SKEMA Business School, hereby certify that: M. / Mr Siva Roopan RAMAMOORTHY Né(e) le / Date of Birth: 09-04-2001 à / in : Coimbatore Nationalité / Nationality: India Est inscrit(e) à SKEMA Business School pour suivre le programme : Is registered at SKEMA Business School for the programme: Master in Management - Master in Management Pour la période suivante / For the following period : Rentrée Automne - Année académique 2022 – Du 05-09-2022 au 30-12-2024 Intake Fall - Academic Year 2022 – From 05-09-2022 to 30-12-2024 Campus 1ère Année / First year Campus : Paris - SKEMA Business School accompagne ses étudiants dans leur recherche de logement via un service dédié. SKEMA Business School helps its students with finding housing through a dedicated service. - Le montant total des frais de scolarité pour ce programme est de 31000 € The total tuition fees for this programme is 31,000 € La présente attestation d'inscription est délivrée à l'intéressé(e) pour servir et valoir ce que de droit. To whom it may concern. Fait à Paris, le 21-04-2022 Certificate issued in Paris, 21-04-2022 Patrice HOUDAYER Vice Dean for Programmes, International development and Student service SKEMA Business School Accord préalable d'inscription Confirmation of acceptance/pre-enrollment Attestation « Etudes en France » 'Etudes en France' certificate Nom : RAMAMOORTHY Surname (family) name : Prénom : Siva Roopan First name(s) : Date de naissance : 09/04/2001 Date of birth : Numéro d'identifiant : IN22-03693 Application ID : Dossier suivi par : CampusFrance - Chennai Contact information : BUREAU DE FRANCE, 6th Floor, Bannari Amman Towers, Dr. Radha Krishnan Salai, Mylapore, Chennai - 600004. Etablissement d'accueil : SKEMA Business School - SKEMA Business School - Paris la Défense Host institution : Site : Suresnes Location : Formation demandée : Master in Management - Grande Ecole Programme Course name : Année d'entrée : année 1 Entry year : Après avoir obtenu votre visa de long séjour, vous devrez vous présenter à l'adresse ci-dessous muni(e) de cette attestation et des justificatifs requis par votre établissement d'accueil, le cas échéant, pour finaliser votre inscription. Once you receive your long stay visa, you must come in person to the address below and present this certificate, along with documents required by your host institution, if requested, in order to finalize your enrollment. SKEMA Business School - Paris la Défense - Campus Grand Paris 5, quai Marcel Dassault 92150 Suresnes Suresnes Date de début des cours : 05/09/2022 Course start date : Durée de la formation : 1 an Course duration : Date limite d'arrivée autorisée : Non renseigné Latest authorized arrival date : Informations importantes de la part de votre établissement : Important information provided by host institution : Non renseigné Date de délivrance : 27/07/2022 Date of issue : Cette attestation a été générée par l'application « Etudes en France » du ministère des Affaires Etrangères et du Développement International. Elle doit être présentée à l'ambassade, au consulat ou au centre de dépôt des demandes de visa compétent. Elle est valable sous réserve de présentation des justificatifs demandés par l'établissement et de leur traduction officielle, pour la rentrée qui suit le dépôt de dossier. This certificate is issued by the Etudes en France application provided by the French ministry of Foreign Affairs and International Development. Please present this certificate to the French Embassy, consulate or relevant visa application center. This certificate is valid only for the term indicated, on the condition of submitting documents and official translation requested by your host institution. May 4, 2022 Sooraj Vignesh Kannan Old No.7, New No. 24, Kavimani St, New Pankajam Colony Madurai, Tamil Nadu 625009 India Dear Sooraj Vignesh, We are pleased to inform you that you have been admitted to the Business Administration / Impact (M.B.A.) program at Colorado State University for the Fall 2022 semester. Congratulations! Our graduate programs are recognized world-wide, and an attitude of excitement and optimism is pervasive. We hope you choose to join our CSU community. Review the [next steps to starting your graduate studies](#) to ensure you are ready to register and attend classes. You should create your eID at [eid.colostate.edu](mailto:eid.colostate.edu) using your CSU ID (836164981). You will be provided a new, or you may use an existing, @colostate.edu email address when you create your eID. Be sure to access this email account after you create your eID as all official communications from the University will start being sent to your @colostate.edu email address. If you choose to attend CSU, the following conditions must be met before you complete your first semester. Your post-admission checklist has been updated to reflect conditions as appropriate. Failure to meet these conditions may result in your dismissal from the Graduate School. - Submit official transcripts showing the Bachelor's degree has been awarded. - Submit official diploma showing the Bachelor's degree has been awarded. Submit official documents to: Colorado State University - Graduate School 1005 Campus Delivery Fort Collins, CO 80523-1005 If you have questions, please contact the department representative at: email@example.com. We look forward to welcoming you to Colorado State University and wish you success in the pursuit of your educational goals. Mary Stromberger, Ph.D. Dean, Graduate School Colorado State University Date: 3/9/2022 Dear Arun Srivatsan Swaminathan, Congratulations! We are pleased to inform you of your admission to the University of Wisconsin-Madison Graduate School program for Industrial Engineering MS - Systems Engineering and Analytics for Fall 2022. This offer of admission is approved only for the semester indicated above. If you are unable to attend, please notify your program. If you do not have a Netid, please click the ACTIVATE NETID button on the My UW Madison login page. You will need your Campus ID number, which is listed at the bottom of this communication. The Graduate School must receive your official final transcript and/or academic record showing the degree awarded and the date it was granted. Final documents must be submitted by the end of the third week of classes or a “hold” will be placed on future enrollment. If you are an international student and you require an I-20, you will be receiving an email in the coming week with information about this process. Please also continue to check your status page for additional information as well. Please continue to refer to your Graduate Application Status through MyUW at https://my.wisc.edu. It will inform you of missing materials, updates, residency decisions and orientation information. For enrollment information, go to: http://registrar.wisc.edu/enrollment_information.htm. For information regarding tuition rates, please see https://bursar.wisc.edu/tuition-and-fees/tuition-rates. Welcome to UW-Madison. We wish you success as you further your education. On Wisconsin! Judy Bauman Director of Graduate Admissions Campus ID: 9084654590 June 24, 2022 Jonathan Fernando 1/A2 Gas naicker thottam coimbatore, TN 641004 India Re: Offer of Admission - Master of Engineering Program (MEng), Department of Mechanical and Materials Engineering Dear Jonathan Fernando, Based on your outstanding academic record, I am pleased to offer you admission as a full-time graduate student in the Master of Engineering (MEng) program starting January 2023. You will be provided with the official Offer of Admission electronically from the School of Graduate and Postdoctoral Studies. Due to the competitive nature of this program, the offer must be accepted no later than Friday, July 15, 2022. Failure to do so may result in the cancellation of the admission offer. As outlined by the School of Graduate and Postdoctoral Studies Program Regulations, you are required to maintain an average of at least 70% over all courses taken for credit, with no grade less than 60%. Term and Cumulative averages, and individual marks are assessed at the end of each term. If you fail to meet either of these minimum requirements in any term, you may be asked to withdraw from the MEng program. Throughout the MEng program, you are required to maintain continuous enrolment within your Academic Load (full-time or part-time) as specified in the Offer of Admission letter from The School of Graduate and Postdoctoral Studies. The MEng program may be completed in three terms provided you are a full-time student. If you plan to be in the London area, I invite you to visit us to review our program more fully and to meet some of our graduate students and graduate faculty. In January, I will meet with you to discuss some details of your program and answer any questions you may have at that time. There will be no financial assistance or Teaching Assistantship provided to you during the course of this program. Please ensure that you have sufficient funds to support yourself over the entire period of your MEng program. A non-refundable tuition deposit of $500.00 CAD is required to hold your spot in the MEng program and is due by October 15th, 2022. If you are a domestic student, please note that tuition deposits cannot be made until October 1st, 2022. You will receive an email from Western Engineering with payment instructions in September 2022. Upon payment of your tuition deposit, your Western Student Center account will reflect a credit balance of -$500.00 CAD. This credit balance will remain on your account until tuition is calculated at which time your tuition deposit will be credited towards your first term tuition fee. It is your responsibility to obtain health insurance for yourself and, if applicable, your family. You may apply to the University Health Insurance Plan (UHIP), organized by a consortium of universities, for coverage. To enroll or to make inquiries about UHIP, please contact UWO Human Resources at firstname.lastname@example.org or 519-661-2194. If you require additional information, please contact Claire Naudi, MME MEng Program Coordinator (email@example.com). We would be pleased to clarify any aspect about the MEng program. Meanwhile we look forward to your joining our Graduate Program as a MEng student on January 1, 2022. Yours truly, _____________________________________ Samuel Asokanthan, PhD Associate Chair, Graduate Professional Programs Date: 2/9/2022 Dear Kamalesh Krishna Arunachalam, Congratulations! We are pleased to inform you of your admission to the University of Wisconsin-Madison Graduate School program for Industrial Engineering MS - Systems Engineering and Analytics for Fall 2022. This offer of admission is approved only for the semester indicated above. If you are unable to attend, please notify your program. If you do not have a Netid, please click the ACTIVATE NETID button on the My UW Madison login page. You will need your Campus ID number, which is listed at the bottom of this communication. The Graduate School must receive your official final transcript and/or academic record showing the degree awarded and the date it was granted. Final documents must be submitted by the end of the third week of classes or a “hold” will be placed on future enrollment. If you are an international student and you require an I-20, you will be receiving an email in the coming week with information about this process. Please also continue to check your status page for additional information as well. Please continue to refer to your Graduate Application Status through MyUW at https://my.wisc.edu. It will inform you of missing materials, updates, residency decisions and orientation information. For enrollment information, go to: http://registrar.wisc.edu/enrollment_information.htm. For information regarding tuition rates, please see https://bursar.wisc.edu/tuition-and-fees/tuition-rates. Welcome to UW-Madison. We wish you success as you further your education. On Wisconsin! Judy Bauman Director of Graduate Admissions Campus ID: 9084646067 To applicants admitted to the M.Sc. Electrical Engineering at the University of Stuttgart Dear admitted applicant, On behalf of the Dean of Faculty 5: Computer Science, Electrical Engineering and Information Technology, we would like to congratulate you on having been admitted to the program and we are looking forward to welcoming you in October at our campus in Vaihingen, Stuttgart. Our M.Sc. Electrical Engineering degree course with its specialization options in Smart Information Processing, Nano and Opto-Electronics, Communication Systems, Electromagnetics Applications, Power-Electronic Systems and Technologies, and Smart Systems, aims at expanding and deepening knowledge attained during your bachelor’s degree. The importance of Electrical Engineering and Information Technology in today’s world cannot be stressed enough, and hence, graduates of our M.Sc. Electrical Engineering degree will boost their chances of receiving excellent job opportunities in industry and academia. Moreover, M.Sc. Electrical Engineering graduates with an above-average grade point who strive for an academic career are eligible to apply for a scientific position at our faculty in view of obtaining a PhD degree. In order to facilitate and prepare your start into our Master’s degree course and to answer any questions you may have, we are cordially inviting you to join our upcoming introductory events: - A first introductory event for admitted applicants will be on Monday, March 14, at 9:00 am CET. This event will be conducted online and will also be recorded. The recordings will be available for download at our C@mpus online platform and our Electrical Engineering website from Tuesday, March 15 on. A login link to the WebEx-based event will be sent to you via our mailing list. - The official introductory event for the M.Sc. Electrical Engineering Master’s degree course takes place on Friday, October 14, 2022 in the Pfaffenwaldring 47 (for the exact room and time, please see the C@mpus platform). Please note that we created a mailing list in order to provide you with important information on e.g. further events and news of our faculty and your Master’s degree course program. We therefore recommend you to refrain from unsubscribing from this mailing list. Courses begin on October 17, 2022. You will find the current module handbook here: [Curriculum - C@MPUS - Universität Stuttgart (uni-stuttgart.de)](http://www.uni-stuttgart.de) If you have any questions, please do not hesitate to contact our ISP via [firstname.lastname@example.org](mailto:email@example.com). The members of the ISP will be happy to help you further. We are looking forward to welcoming you as a student at our university soon! Yours faithfully, Prof. Dr.-Ing. Ingmar Kallfass Dean of Undergraduate and Graduate Studies Meta Geisbüsch LL.M. International Service Point – Faculty 5 March 15, 2022 Girivaasan Chandrasekaran 41/47, Perumal Street Gugai Salem, Tamil Nadu 636006 India Dear Girivaasan, Congratulations! This letter serves as your official notification of admission to the Graduate School of Purdue University at the West Lafayette campus. I am delighted to welcome you to a community of more than 12,000 graduate students on our four campuses who come to us from every state in the Union and from 117 countries. The information contained within the admission information sheet of this letter is essential to your enrollment. Careful reading of this material will make your transition to the Graduate School as smooth as possible. If you are unable to register for the session specified on the second page, please notify the graduate office of your academic program as soon as possible. Your academic program’s graduate office also will be able to answer specific questions you may have. You already know the strengths of Purdue’s graduate programs. I hope that you will come to regard the Graduate School as your second academic home during your time at Purdue University. The Graduate School has developed special programs for its students and is committed to the professional development of all Purdue graduate students. Our goal is to enhance the quality of graduate student life. The Graduate School Web site at www.purdue.edu/gradschool is your source for detailed information about programs and opportunities at our four campuses. Thank you for choosing Purdue and joining us in the persistent pursuit of the next giant leap. Click here for instructions for submitting your response to the offer of admission. With best wishes for success at Purdue, Dr. Linda Mason Dean of the Graduate School and Professor of Entomology Young Hall 170 Purdue University Email: firstname.lastname@example.org Admission Information Sheet for Girivaasan Chandrasekaran PUID: 0034746643 Term/Year: Fall 2022 Campus: Purdue West Lafayette (PWL) Graduate Major: Engineering Technology Degree Objective: Master of Science (MS) Course Delivery: Residential Academic Advisor: Richard Voyles Residence Classification for Tuition Purposes Non Resident Condition(s) of Continued Enrollment You must satisfactorily complete your undergraduate degree and submit to the Graduate School office (Young Hall, Room 170) your final official undergraduate transcript. This condition must be satisfied before you will be permitted to register for sessions beyond your second session. You must submit to the Graduate School office (Young Hall, Room 170) your original official undergraduate diploma for verification. This condition must be satisfied before you will be permitted to register for sessions beyond your second session. If your undergraduate institution will not confer your degree until a future date, please obtain (and submit to the Graduate School office) a signed letter from your undergraduate institution that identifies when your degree will be awarded. General Information Accept Your Offer of Admission: To accept an offer of admission, you must activate your online student career account. You will need your PUID which is provided in this letter and your Purdue career account set-up password. The career account set-up password will be sent in a separate email to you within five business days of viewing your admission letter. Please access [https://www.purdue.edu/apps/account/AccountSetup](https://www.purdue.edu/apps/account/AccountSetup) with this information to activate your account. After activating your account, you will gain access to your myPurdue online portal, through which you can accept your offer of admission. You may be prompted to set up a Boilerkey (two-factor authentication), but you have 7 months to set this up to login to systems such as myPurdue. For more information about Boilerkey, please see this [Boilerkey FAQ](https://www.purdue.edu/apps/account/AccountSetup) page. If you have already activated your Purdue career account, please disregard this message. What is myPurdue? [www.mypurdue.purdue.edu](http://www.mypurdue.purdue.edu) is the portal system where you must accept your offer of admission. You must submit your enrollment acceptance in the MyPurdue portal to create your general student record for course registration. You will need your career account login and password to log in to myPurdue. Some of the benefits of myPurdue include: - Online course registration in real time - Online credit card payment for tuition - Access to your academic and financial aid information - Access to review and update your personal information such as emergency contacts, mailing address, email, ethnicity/race, and gender identity US Immigration Document: In order for the Office of International Students and Scholars (ISS) to issue your visa eligibility document (I-20 or DS -2019), admitted international graduate students to Purdue University are required to complete the online NOTIFICATION OF INTENT (NOI), using the myISS portal. Access is granted to the myISS portal within three business days from accepting your offer of admission. You must also attach scanned images of your official financial support documents, and you and your dependent's (if any) passport before visa eligibility document(s) will be prepared and shipped. In the section labeled "Full client Services for Students & Scholars", please click the blue Login button. Use your Purdue career account information to log in to myISS. On the left side of the myISS home page, click on Pre-Arrival, then click on Notification of Intent. You must complete all mandatory sections of the Notification of Intent, before we can begin to issue an I-20 or DS2019 for you. If you currently hold valid F-1 or J-1 status and are transferring your SEVIS record to Purdue University from another US Institution, our office will advise you on how to complete your SEVIS Transfer In Request. International Students Interested in Graduate Teaching Assistantships: Before you may be considered for employment as a Purdue University graduate teaching assistant, you must receive certification for oral proficiency in English. Please note that any waiver of the TOEFL or IELTS (related to Graduate School admission) does not exempt students from the requirement to demonstrate proficiency in spoken English in order to be considered for a graduate teaching assistantship. Most graduate students are certified by taking Purdue's Oral Proficiency Test (the OEPT). Information about oral English certification for international students and access to the OEPT Practice Test is provided at the OEPT Orientation website: [http://tutorial.ace-in-testing.com/Default.aspx?p=videos](http://tutorial.ace-in-testing.com/Default.aspx?p=videos). Make sure you have prepared for English language testing by taking the OEPT practice test, and if you have any questions about your department's English language certification requirements for international teaching assistants, please contact your department. Important Tax Information for International Students: Each year, international students who receive any income originating from the United States are required to file a United States income tax return (Internal Revenue Tax Form 1040NR). International students pay tax on all income earned in the United States at the same rate as United States citizens. If there is a tax treaty between your home country and the United States, you may not be required to pay income taxes on a portion of your income. Campus and Community Information: For information about Purdue University housing, and the Greater Lafayette community, visit [www.purdue.edu/gradschool/admitted/relocation/](http://www.purdue.edu/gradschool/admitted/relocation/). Student Health Center: Completion of an immunization information form and health insurance coverage is required. Links to the medical history form and additional health insurance information may be found at the Purdue University Student Health Center website: [http://www.purdue.edu/PUSH/](http://www.purdue.edu/PUSH/). Housing: Purdue University does not offer housing for graduate students. For information about housing options near campus, please visit the Dean of Student's off-campus housing website at [https://offcampushousing.purdue.edu](https://offcampushousing.purdue.edu) Disability Services: If you need accommodations, auxiliary aids, or services because of permanent or temporary disabilities, please contact the Disability Resource Center, Office of the Dean of Students, Young Hall, Room 830, 155 S. Grant Street, West Lafayette, IN 47907. Telephone: 765-494-1247 (Voice/TTY). Web site: [www.purdue.edu/drc/](http://www.purdue.edu/drc/) Orientation for New Graduate Students: You are invited to attend a orientation for new graduate students on Friday, August 19, 2022, beginning at 8:30 a.m. in Stewart Center's Loeb Playhouse. Your graduate program may also have an orientation or a required arrival date. If you have any questions, please contact your program prior to planning your arrival. Questions? Please direct them to your graduate program. Required materials can be submitted to: Purdue University Graduate School Office of Graduate Admissions Young Hall Room 170 155 South Grant Street West Lafayette, IN 47907 Guarantee of University Placement Dear Sushmitha, We would like to congratulate you on your successful study application and are happy to offer you a university place at SRH Berlin University of Applied Sciences for the [MEng] Engineering and Sustainable Technology Management - Focus on Industry 4.0: Automation, Robotics & 3D Manufacturing, starting in the Winter semester 2022/23. Your place is guaranteed until 1.4.2022 To accept the offer, please sign the attached agreement and return it by uploading it to the Admissions portal (apply.srh.de) or send it via e-mail to email@example.com. Studies will begin in Winter semester 2022/23. Please make sure to bring along one original copy of your signed University Education Agreement as well as original or certified copies of your application documents to our Welcome Week. Should you require a study visa for Germany, you may start the visa application process as soon as you receive the acceptance documents. We look forward to meeting and welcoming you to SRH Berlin University of Applied Sciences in Winter semester 2022/23! Best regards, Gesine Kelling \| Head of Admission Dear Thiyanayugi Mariraj, we are very pleased to inform you that, at the end of the assessment of your documentation, your application to the Robotics engineering course has been conditionally accepted. Congratulations and a warm welcome to the UniGe community! We are sure that this may represent the first step of an exceptional human and professional training adventure that we would like to live together. The following conditions must be met in order to be finally admitted to this UniGe course: you have to graduate before the end of July 2022. Offer of admission April 27, 2022 Vikram Raja 32 Balaji Nagar Extension Ramanthapuram Coimbatore 641045 India Student ID number: 21042067 Application number: 01068601 Dear Vikram, Congratulations on your offer of admission to graduate studies at the University of Waterloo! Through your achievements, you have distinguished yourself from a pool of highly accomplished applicants and we are delighted to extend this offer to join the Waterloo community. We are pleased to offer you admission to the following program: Program: Electrical & Computer Engineering, MEng Term of admission: Fall 2022 Attendance: Full-Time Term begins: September 1, 2022 Registration ends: September 30, 2022 See the [calendar of important dates](#) for academic term deadlines. Please complete the admission conditions listed below by the due date(s) listed in [Quest](#). This offer of admission may be withdrawn if the admission conditions are not met. Arrange for the required documentation to be sent by email or courier GSPA accepts official [secure electronic transcripts](#) provided by the issuing institution and from services such as MyCreds, Digitary, CHESICC, Parchment, National Student Clearinghouse, eScript-Safe, or TranscriptsNetwork. If your institution issues a secure electronic transcript, please have it sent to firstname.lastname@example.org. Or arrange for official documents to be sent by courier to: Graduate Studies and Postdoctoral Affairs University of Waterloo, Needles Hall 2201 200 University Avenue West Waterloo, Ontario Canada N2L 3G1 - Arrange for the following items to be sent directly from your institution to Graduate Studies and Postdoctoral Affairs: official transcript and copy of the final or provisional degree certificate attested and verified by the awarding institution (e.g. by the Controller of Examinations or the Registrar). If the original documents are not in English, an English translation, certified, attested, signed and stamped by your institution, must be provided with your official documents. The official documents must show all courses and grades, and the awarding of your Bachelor's degree. You must ensure that you have met the minimum overall academic standing. Do not provide your original documents. The Department of Electrical & Computer Engineering has prepared detailed information for you, which immediately follows this letter. These details include information that pertains to your program, financial support, how to accept or decline your offer and who to contact should you have any questions. To facilitate your transition to Waterloo, and to make the most of your graduate experience, please visit the [Graduate Studies website for new students](#). This website contains valuable information on estimated [study and living costs](#) for which all graduate students are responsible, course enrolment instructions, housing options, orientation, tuition fee arrangement procedures, and regulatory details of the Graduate Studies Academic Calendar. The general information and regulations section of the [Graduate Studies Academic Calendar](#) contains information about academic integrity, guidelines on graduate student support, and protection of privacy, including the University requirement to report student-level enrolment-related data to the Ministry of Advanced Education and Skills Development (MAESD). The University of Waterloo is a world-renowned institution where innovation, research and inspiration meet to achieve extraordinary success in world-changing research and education. The excellence of our institution depends on the people assembled here, most importantly our students. We value the diverse and intersectional identities of our students, faculty, and staff and strive to reflect this in our work. We support an equitable learning environment rooted in anti-racism, accessibility, and equity; and are guided by the [University’s Ethical Behaviour Policy](#) and the [Ontario Human Rights Code](#). By choosing to join us at Waterloo, we expect you to uphold these values in person and virtually, both on and off campus, in your studies and in your contributions to the graduate student community. We foster an entrepreneurial environment that drives innovation, both in research and application - ideas generated at Waterloo belong to the creator, as per our [Intellectual property (IP) rights policy](#). We believe that you can make an important contribution during your years at Waterloo and beyond. Welcome to graduate studies at the University of Waterloo! Jeffrey M. Casello Associate Vice-President [Graduate Studies and Postdoctoral Affairs](#) Julie MacMillan Associate Director, Admissions [Graduate Studies and Postdoctoral Affairs](#) 519-888-4567 ext. 46346 Vikram Raja [2] Department of Electrical & Computer Engineering program information Vikram Raja Congratulations and welcome! We look forward to you joining our program. We are pleased to offer you admission to Master of Engineering. As this is a course-based program, the Department of Electrical and Computer Engineering is not able to offer funding in the form of scholarships or assistantships. Students should be prepared to fund their graduate program, including both tuition and living costs, from their own resources for the duration of their studies. You are encouraged to apply for internal and external awards for which you may be eligible. A comprehensive list of all scholarships, awards and bursaries administered by the University of Waterloo can be found on the Graduate Studies and Postdoctoral Affairs Awards and funding website (https://uwaterloo.ca/graduate-studies-postdoctoral-affairs/awards/database). University of Waterloo offers a number of bursaries to graduate students who require support for parental leave, day care, or have other financial needs: https://uwaterloo.ca/graduate-studies-postdoctoral-affairs/current-students/financial-need-funding. We want to ensure that you are successful in your studies and encourage you to apply for these opportunities, if needed. Waterloo attracts the best students for graduate studies and we are pleased that you are among these students. After you have carefully reviewed the offer of admission, please go online to Quest: https://uwaterloo.ca/quest/ to accept (or decline) within 3 weeks of the date of this offer. Please ensure you review your program’s degree requirements in the Graduate Studies Calendar prior to starting your studies at the University of Waterloo - https://uwaterloo.ca/graduate-studies-academic-calendar/engineering. Should you have any questions or concerns, please feel free to contact Kaylen Norris the Department of Electrical and Computer Engineering Graduate Coordinator at email@example.com or 519-888-4567 ext. 38231 On behalf of the Department of Electrical and Computer Engineering at the University of Waterloo, I welcome you to our program. By pursuing this degree, you are joining an impressive network of students, alumni and faculty members. We look forward to you joining our graduate program. Sincerely, The Department of Electrical and Computer Engineering Letter of Acceptance Initiate the process of applying for your Canadian study permit (and work permit if applicable) by including the enclosed Offer of Admission and Letter of Acceptance in your application through the Canadian visa office serving your home country or country where you have been legally admitted. For more information, refer to Immigration, Refugees and Citizenship Canada https://www.canada.ca/en/immigration-refugees-citizenship.html and our International students resources https://uwaterloo.ca/graduate-studies-postdoctoral-affairs/future-students/international-students. PERSONAL INFORMATION \| Family name: \| Raja \| \|-------------\|------\| \| Given name: \| Vikram \| \| Date of birth: \| June 16, 2000 \| \|----------------\|---------------\| \| Student ID number: \| 21042067 \| \| Student's full mailing address: \| \|---------------------------------\| \| 32 Balaji Nagar Extension \| \| Ramanthapuram \| \| Coimbatore 641045 India \| INSTITUTIONAL INFORMATION \| Full name of institution: \| Designated learning institution number: \| \|---------------------------\|----------------------------------------\| \| University of Waterloo \| O19305471522 \| \| Address of institution: \| Type of School/Institution: \| \|-------------------------\|----------------------------\| \| Graduate Studies and Postdoctoral Affairs (GSPA) \| Public \| \| 200 University Avenue West \| Telephone number: 519-888-4567 ext. 46346 \| \| Waterloo, Ontario N2L 3G1 Canada \| Fax number: 519-746-3051 \| \| Website: https://uwaterloo.ca/gspa \| Email address: firstname.lastname@example.org \| \| Name of contact: \| Name of alternate contact: \| \|------------------\|---------------------------\| \| Julie MacMillan \| Marianne Simm \| \| Position: Associate Director, Admissions \| Position: Director \| \| Telephone number: 519-888-4567 ext. 46346 \| Telephone number: 519-888-4567 ext. 40376 \| PROGRAM INFORMATION \| Academic status: \| Field/Program of study: \| \|------------------\|-------------------------\| \| Full-Time \| Electrical & Computer Engineering, MEng \| \| Hours of instruction per week: \| Level of study: \| \|--------------------------------\|-----------------\| \| N/A \| Master's \| \| Type of training program: \| Exchange program: \| \|---------------------------\|-------------------\| \| N/A \| No \| \| Estimated tuition for the first year: \| Tuition fees vary by program. See Finance website: https://uwaterloo.ca/finance/student-financial-services \| \|---------------------------------------\|---------------------------------------------------------------\| \| Scholarship/Teaching assistantship/Other fin. aid: Year 1 Offer: \| Internship/Work practicum (if blank, then = NO): \| \|------------------------------------------------------------------\|--------------------------------------------------\| \| $0.00 \| \| \| Conditions of acceptance: \| \|---------------------------\| \| See the attached Offer of Admission and Department program information. \| \| Length of program: \| Term of admission: \| \|--------------------\|--------------------\| \| 16 months \| Fall 2022 \| \| Program start date: \| Expiration of letter of acceptance: \| \|---------------------\|------------------------------------\| \| September 1, 2022 \| September 30, 2022 \| \| Other relevant information: \| \|-----------------------------\| \| University of Waterloo students are responsible for their tuition and living costs. Please see: https://uwaterloo.ca/graduate-studies-postdoctoral-affairs/future-students/study-and-living-costs. \| INSTITUTION REPRESENTATIVE \| Name of institution representative: \| Signature of institution representative: \| \|-------------------------------------\|------------------------------------------\| \| Julie MacMillan \| \| \| Associate Director, Admissions \| \| February 25, 2022 ID number: 1226120885 Valid only for 2022 fall Residency status: International Nithish Kumar Saravanan 11-KMS Nagar, Bharathipuram Nagal Nagar Dindigul TN 624003 India Dear Nithish Kumar Saravanan, Congratulations! I am pleased to inform you of your admission to Arizona State University to study in the Robotics and Autonomous Systems (Systems Engineering) (MS) program at the Ira A. Fulton Schools of Engineering, offered at the ASU Polytechnic campus for the 2022 fall semester. Important: Continued registration beyond your first semester is contingent on the receipt of the official transcript and (in most cases) a degree certificate from the institution(s) listed below. Official transcripts must be issued by the registrar of the institution attended, bearing the seal of the institution and signature of the academic official. Anna University Documents must be submitted in the original language with an official, literal English translation and must show your final grades, the degree received and the date the degree was granted. Learn more about official transcript translation requirements at [admission.asu.edu/international/graduate-apply](http://admission.asu.edu/international/graduate-apply). For more information on required documentation, please visit your Priority Tasks at [my.asu.edu](http://my.asu.edu). Important: For detailed information regarding I-20 requirements, including necessary forms and deadlines, go to the International Admission Services website at [admission.asu.edu/international/student-visa](http://admission.asu.edu/international/student-visa). To monitor the progress of your I-20, view the I-20 Tracker in [my.asu.edu](http://my.asu.edu). For MMR immunization requirements, contact Student Health Services at [students.asu.edu/health](http://students.asu.edu/health) or 480-965-8177. Proof of MMR immunization is required before registration for classes is permitted. To maximize the many resources available to you, please familiarize yourself with My ASU, your personalized online student information and services resource, at [my.asu.edu](http://my.asu.edu). You can access this page by logging in with your new ASURITE User ID and password. ASU and the Robotics and Autonomous Systems (Systems Engineering) (MS) program are committed to assisting you in your exploration of the immense resources and opportunities available to you here. For additional information, you may contact your department at email@example.com or at 480-727-4723. ASU embraces integrity in all scholarships, research and creative endeavors. It is our expectation that you will review and abide by ASU's policies related to academic and research integrity at [provost.asu.edu/academicintegrity](http://provost.asu.edu/academicintegrity) and [researchintegrity.asu.edu](http://researchintegrity.asu.edu). As a New American University, ASU believes your education should be transformative not only for you, but also for society. I encourage you to learn more about what this means to you by visiting [newamericanuniversity.asu.edu](http://newamericanuniversity.asu.edu). I also recommend you go to [yourfuture.asu.edu/culture](http://yourfuture.asu.edu/culture) to watch a brief video and find out how current students describe the ASU community. --- Graduate College P.O. Box 8701004 Tempe AZ 85287-1004 p: 480-965-7788 f: 480-965-5159 web: www.graduate.asu.edu We look forward to you joining the ASU family, and I wish you success in your graduate studies here. Sincerely, Dr. Elizabeth A. Wentz Vice Provost and Dean, Graduate College Zurich, 26.11.2021 Confirmation of acceptance as a mobility student at ETH Zurich This is to confirm that Mr Danush Kumar SHANMUGAM MANIMARAN, born 10.07.2000, currently studying Robotics and Automation engineering at PSG College of Technology (Anna University) - Coimbatore, has been accepted by the Department of Health Sciences and Technology at ETH Zurich to enrol and study as a mobility student during the academic year 2021/2022 (from 13.03.2022 to 17.09.2022) in the framework of the mobility programme Invited Visiting Students. Best regards Myriam Keller Student Exchange Office This is an electronically generated original document. Sehr geehrter Herr Murugan, auf Ihren Antrag werden Sie zum Wintersemester 2022 in folgendem Studiengang zum Studium an der Albert-Ludwigs-Universität Freiburg zugelassen: Master of Science Embedded Systems Engineering, Hauptfach, 1. Fachsemester Ihre Zulassung erfolgt unter der auflösenden Bedingung, dass Sie bis spätestens zur Immatrikulation folgende Leistungen nachweisen - Bachelor-Abschlussdiplom im Original oder in amtlich beglaubigter Kopie - Bachelorabschlusszeugnis mit Abschlussnote 2,9 oder besser im Original oder in amtlich beglaubigter Kopie - Hochschulzugangsberechtigung im Original oder in amtlich beglaubigter Kopie - entsprechendes Englischzertifikat (Niveau C1 GER) im Original oder in amtlich beglaubigter Kopie - Transcript of Records im Original oder in amtlich beglaubigter Kopie Zudem ist Ihre Zulassung mit der Auflage verbunden, dass Sie bis zum Ende des jeweils spezifizierten Fachsemesters folgende Leistungen nachweisen: - Vorlesung MST Technologies and Processes (Lehrveranstaltung im Modul MST Technologies and Processes des Studiengangs MSc. Microsystems Engg.) mit abschließender Modulprüfung bis zum Ende des 2. Fachsemesters - Vorlesung und Übung Computer Science Theory – Bridging Course mit abschließender Modulprüfung bis zum Ende des 2. Fachsemesters Immatriculationsfrist: 01. August – 06. Oktober 2022 Um ihr Studium an der Albert-Ludwigs-Universität Freiburg beginnen zu können, führen Sie nun die Immatrikulation durch. Bitte erstellen Sie innerhalb der auf diesem Bescheid genannten Immatrikulationsfrist Ihren Antrag auf Immatrikulation in diesem Bewerbungsportal. Wählen Sie hierfür bei Ihrem Antrag die Option „Immatrikulation beantragen“. Falls Ihr Status auf „Zulassungsangebot liegt vor“ steht, nehmen Sie das Angebot zunächst an. Am Ende dieses Vorgangs drucken Sie Ihren Antrag auf Immatrikulation aus und schicken diesen zusammen mit den dort genannten Unterlagen an die angegebene Adresse. Weitere Informationen finden Sie auf den Seiten des Service Center Studium unter Immatrikulation. Wir weisen darauf hin, dass die oben genannte Immatrikulationsfrist von Ihnen einzuhalten ist, da dieser Zulassungsbescheid danach verfällt. Bitte informieren Sie sich unter https://www.studium.uni-freiburg.de über die jeweiligen Vorlesungszeiten oder besuchen Sie hierzu die Webseite Ihres Studiengangs. Die Immatrikulation gilt nur für das Semester, zu dem Sie zugelassen sind und ist jeweils zum Semesterende durch die Rückmeldung zu erneuern. Mit freundlichen Grüßen Dr. Heike Susanne Jauch Leitung International Admissions and Services Rechtsbehelfsbelehrung: Gegen diesen Bescheid können Sie innerhalb eines Monats nach Bekanntgabe beim Verwaltungsgericht Freiburg, Habsburgerstr.103, 79104 Freiburg, Klage erheben. Letter of acceptance Please note: This English translation is for convenience only. In case of any legal dispute, the German version is authoritative. Dear Mr Murugan, You have been granted a space in the following degree program at the University of Freiburg for winter semester 2022: Master of Science Embedded Systems Engineering, Hauptfach, 1. semester Your admission is subject to the resolutory condition that you provide the following evidence at the time of enrolment: - original Bachelor Diploma or an officially certified copy of your Bachelor Diploma - Bachelor Diploma with final mark 2,9 or above in the original or as an officially certified copy - Original University Entrance Qualification (e.g., a high school diploma or equivalent) or an officially certified copy of your University Entrance Qualification - evidence of proficiency in English at least on the level of C1 of the Common European Framework of Reference for Languages (original certification or an officially certified copy of the certification). - original Transcript of Records or an officially certified copy of your Transcript of Records Furthermore this admission is associated with the obligation for you to submit the following documents until the end of the specified semester: - Lecture MST Technologies and Processes (course in the module MST Technologies and Processes of the study programme MSc. Microsystems Engg.) including the final module exam until the end of the 2nd semester - Lecture and Exercises Computer Science Theory - Bridging Course including the Module Examination until the end of the 2nd semester Matriculation period: August 01st – October 06th, 2022 In order to be able to start your studies at the Albert-Ludwigs-University of Freiburg, please enrol now. Please prepare your application for enrolment in this application portal within the enrolment deadline stated on this notification. To do this, select the option "Apply for enrolment" in your application. If your status is "Offer of admission has been made", accept the offer first. At the end of this process, print out your application for enrolment and send it together with the documents listed there to the address given. You can find further information on the pages of the Service Center Studium under Matriculation. We would like to point out that you must comply with the above-mentioned enrolment deadline, as this admission letter will expire thereafter. Please inform yourself about the respective lecture times at https://www.studium.uni-freiburg.de or visit the website of your degree programme. The matriculation applies only for the semester for which you have been accepted and must be renewed at the end of each semester. Sincerely Dr. Heike Susanne Jauch Head of Department International Admissions and Services Information on making appeals: Appeals may be lodged within one month after the issuing of this notification. Please submit your appeal to the Administrative Court of Freiburg (Verwaltungsgericht Freiburg, Habsburgerstr.103, 79104 Freiburg). Sehr geehrter Herr Sankar, gemäß Ihrem Antrag sind Sie für den Studiengang M Eng/Automotive Systems, Schwerpunkt „Car Electronics“, 2022/2023 bedingt zugelassen. Diese Zulassung gilt jedoch nur unter folgendem Vorbehalt: - Vorlegen einer beglaubigten Kopie des Abschlusszeugnisses und der Diplom-Urkunde, die bitte so schnell wie möglich zu schicken ist Folgende Unterlagen sind bei der Einschreibung vorzulegen: - Visum mit Zusatz "Gilt nur zum Studium an der Hochschule Esslingen im Studiengang M Eng/ASM" (nur für ausländische Studierende außerhalb der EU) - Exmatrikulationsbescheinigung (ehemalige Studierende an einer deutschen Hochschule), für Studenten von ausl. Hochschulen ein Nachweis über Beginn und Ende des Studiums (Zeugnis oder ähnliches) - Beglaubigte Kopie aller ausstehende Zeugnisse (bei Übersetzung eine beglaubigte Kopie auf Engl. zusätzlich) - Nachweis über Krankenversicherung Weil es unter Umständen recht lange dauern kann, bis Sie ein Visum erhalten, bitten wir Sie hiermit, Ihre Teilnahme am M Eng ASM Studium bis spätestens 26. April 2022 zu bestätigen. Wenn wir Ihr Bestätigungsschreiben bis dahin nicht erhalten haben, kann Ihr Studienplatz einem anderen Bewerber angeboten werden. In der Anlage finden Sie ein Informationsblatt, eine Einladung an die Botschaft in Englisch und Deutsch sowie die Annahmeerklärung. Bitte senden Sie uns dieses Formular schnellstmöglich zurück, jedoch nicht später als 26. April. Sie müssen bis zum 30.9. bei uns eingeschrieben sein. Achtung: Bitte denken Sie daran, dass der Versicherungsschutz Ihrer Krankenversicherung noch bis zur Anmeldung bei einer deutschen Krankenversicherung gelten sollte. Eine zusätzliche vorübergehende internationale Krankenversicherung ist empfehlenswert. Wir freuen uns, Sie bald begrüßen zu dürfen. Mit freundlichen Grüßen Prof. Dipl-Ing. Mathias Oberhauser Studiengangleiter Mr. Sanjay Sankar Kudiyana Theru, Vanniyadi Thiruvaiyaru, Tamil Nadu 614203 Indien Fakultät: Mobilität und Technik Prof. Dipl.-Ing. Mathias Oberhauser University of Applied Sciences Kanalstr. 33 73728 Esslingen Germany firstname.lastname@example.org www.hs-esslingen.de CONDITIONAL ADMISSION TO THE M Eng/ASM PROGRAM, major “Car Electronics” 2022/2023 12. April 2022 UB Dear Mr. Sankar, We are very pleased to inform you that you have been conditionally admitted to our M Eng Automotive Systems, major “Car Electronics” for the 2022/2023 academic year. This admission is however only valid if the following conditions are met: - Presentation of a certified copy of your final transcript and of your diploma certificate as soon as possible For registration, please bring the following documents with you: - Student visa including the part “Gilt nur zum Studium an der Hochschule Esslingen im Studiengang M Eng ASM” [only valid for study in the M Eng ASM at the University of Applied Sciences Esslingen] (only for non-EU international students) - Exmatriculation certificate from your previous university – for foreign universities a document which shows start and end of studies - originals or certified copies of any outstanding documents - Certification of Health Insurance if you remain insured in your home country Because the process of obtaining a student visa for you can be quite lengthy, we kindly ask you to confirm your acceptance and participation in the M Eng/ASM Program, major VD by April 26th. If we have not received your letter of confirmation by this date, your place in the program could be offered to another qualified candidate. Attached to this letter are a sheet containing additional information, invitation letters in English and German for the embassy, and the acceptance form. Please return this form as soon as possible, not later than April 26th. You have to be enrolled until 30th of September. Attention: Please ensure that your health insurance provides coverage until you are registered with a German health insurance. An additional preliminary international health insurance is recommended. We are looking forward to welcoming you. Sincerely yours, [Signature] Prof. Dipl.-Ing. Mathias Oberhauser Academic Director (Please note that this document is issued in a German and an English copy. In case of doubt, the German text is valid.) March 14, 2022 gtID: 903839217 Koushik Karan Geetha Nagaraj 27 Flushing Meadows, Globus Gardens, Kaikolapalyam, Mylampatti. Coimbatore, Tamil Nadu 641062 India Mr. Geetha Nagaraj, Congratulations on being accepted into the prestigious Masters in Robotics (Electrical & Computer Engineering) program at Georgia Tech! We are pleased to offer you admission for the Fall 2022 semester on the Atlanta campus. Admission to this program is highly selective and your qualifications and achievements have distinguished you amongst the many exceptional applicants this year. Located in the Midtown Atlanta, Georgia Tech is in the heart of a diverse and vibrant metropolitan neighborhood. Our urban environment is ranked as a top city for internship opportunities, STEM professionals, and tech diversity. A dynamic, young city with world class museums, eclectic neighborhoods, and cosmopolitan restaurants and shops, Atlanta offers students a wealth of opportunities, not only for education and entertainment, but also for professional experience as well. Please be advised that this offer of admission is contingent on Georgia Tech’s Office of Graduate Studies verifying and evaluating your application documents for the following: 1. Receipt of official transcripts from every college or university you have attended for academic credit. 2. Proof of degree or a degree certificate. You must have at least a U.S. four-year bachelor's degree earned from a regionally accredited institution, or the international equivalent. 3. Satisfaction of the Institute’s proof of English Proficiency requirement. 4. Compliance with the University System of Georgia’s requirement that students who are residing in the United States are Lawfully Present. If additional documents are needed prior to your enrolling at Georgia Tech, the Office of Graduate Studies will notify you via email. You can also go to your Application Status Portal at any time to check the status of your application materials. Georgia Tech reserves the right to rescind this offer of admission if there has been a dramatic decline in academic performance since your application was submitted, if there have been egregious behavior/disciplinary issues, or if in the verification of your documents, your application is deemed ineligible. We look forward to welcoming you to Georgia Tech’s innovative and dynamic graduate community and wish you every success. Sincerely, Dr. Matthieu Bloch Associate Professor Georgia Institute of Technology March 14, 2022 Mr. Geetha Nagaraj, Please carefully review the following details of your admission to Georgia Tech. - This offer of admission is only valid for the Masters in Robotics (Electrical & Computer Engineering) program beginning in the Fall 2022 semester for the Atlanta campus. - Please indicate your enrollment intentions by logging into your Application Status Portal and completing the Reply to Offer of Admission as soon as possible. - This offer of admission is contingent upon the Office of Graduate Studies completing the application verification and evaluation process which can take between 6-8 weeks from the date that we receive all your required documents. In some cases, it can take up to 12 weeks depending on our volume. Please be patient as we are diligently working on your application. Once your application has been verified, you will receive an email containing information on next steps and how you can continue with the enrollment process as a new Georgia Tech graduate student. - If you have not yet submitted your official/final academic documents, information on what we require and how you can submit them can be found on our Application Documents page. Please Note: You must have at least a U.S. four-year bachelor's degree earned from a regionally accredited institution, or the international equivalent earned from an institution authorized to award degrees by the appropriate government agency. - If you have any questions regarding courses, financial assistance, or orientation, please contact the graduate coordinator of your admitting program. Once again, congratulations on your admission to Georgia Tech. Best Wishes, [Signature] Dr. Marla Bruner Director of Graduate Studies February 24, 2022 Gokul Devarajan 1/79, MAIN STREET, THATTAPARAI VILLAGE AND POST GUDIYATTAM T.K, VELLORE, Tamil Nadu 632601 India Dear Gokul, Congratulations! This letter serves as your official notification of admission to the Graduate School of Purdue University at the West Lafayette campus. I am delighted to welcome you to a community of more than 12,000 graduate students on our four campuses who come to us from every state in the Union and from 117 countries. The information contained within the admission information sheet of this letter is essential to your enrollment. Careful reading of this material will make your transition to the Graduate School as smooth as possible. If you are unable to register for the session specified on the second page, please notify the graduate office of your academic program as soon as possible. Your academic program’s graduate office also will be able to answer specific questions you may have. You already know the strengths of Purdue’s graduate programs. I hope that you will come to regard the Graduate School as your second academic home during your time at Purdue University. The Graduate School has developed special programs for its students and is committed to the professional development of all Purdue graduate students. Our goal is to enhance the quality of graduate student life. The Graduate School Web site at www.purdue.edu/gradschool is your source for detailed information about programs and opportunities at our four campuses. Thank you for choosing Purdue and joining us in the persistent pursuit of the next giant leap. Click here for instructions for submitting your response to the offer of admission. With best wishes for success at Purdue, Dr. Linda Mason Dean of the Graduate School and Professor of Entomology Young Hall 170 Purdue University Email: email@example.com Admission Information Sheet for Gokul Devarajan PUID: 0035014824 Term/Year: Fall 2022 Campus: Purdue West Lafayette (PWL) Graduate Major: Engineering Technology Degree Objective: Master of Science (MS) Course Delivery: Residential Academic Advisor: Xiumin Diao --- Residence Classification for Tuition Purposes Non Resident Condition(s) of Continued Enrollment You must satisfactorily complete your undergraduate degree and submit to the Graduate School office (Young Hall, Room 170) your final official undergraduate transcript. This condition must be satisfied before you will be permitted to register for sessions beyond your second session. You must submit to the Graduate School office (Young Hall, Room 170) your original official undergraduate diploma for verification. This condition must be satisfied before you will be permitted to register for sessions beyond your second session. If your undergraduate institution will not confer your degree until a future date, please obtain (and submit to the Graduate School office) a signed letter from your undergraduate institution that identifies when your degree will be awarded. General Information Accept Your Offer of Admission: To accept an offer of admission, you must activate your online student career account. You will need your PUID which is provided in this letter and your Purdue career account set-up password. The career account set-up password will be sent in a separate email to you within five business days of viewing your admission letter. Please access [https://www.purdue.edu/apps/account/AccountSetup](https://www.purdue.edu/apps/account/AccountSetup) with this information to activate your account. After activating your account, you will gain access to your myPurdue online portal, through which you can accept your offer of admission. You may be prompted to set up a Boilerkey (two-factor authentication), but you have 7 months to set this up to login to systems such as myPurdue. For more information about Boilerkey, please see this [Boilerkey FAQ](#) page. If you have already activated your Purdue career account, please disregard this message. What is myPurdue? [www.mypurdue.purdue.edu](http://www.mypurdue.purdue.edu) is the portal system where you must accept your offer of admission. You must submit your enrollment acceptance in the MyPurdue portal to create your general student record for course registration. You will need your career account login and password to log in to myPurdue. Some of the benefits of myPurdue include: - Online course registration in real time - Online credit card payment for tuition - Access to your academic and financial aid information - Access to review and update your personal information such as emergency contacts, mailing address, email, ethnicity/race, and gender identity US Immigration Document: In order for the Office of International Students and Scholars (ISS) to issue your visa eligibility document (I-20 or DS -2019), admitted international graduate students to Purdue University are required to complete the online NOTIFICATION OF INTENT (NOI), using the myISS portal. Access is granted to the myISS portal within three business days from accepting your offer of admission. You must also attach scanned images of your official financial support documents, and you and your dependent's (if any) passport before visa eligibility document(s) will be prepared and shipped. In the section labeled "Full client Services for Students & Scholars", please click the blue Login button. Use your Purdue career account information to log in to myISS. On the left side of the myISS home page, click on Pre-Arrival, then click on Notification of Intent. You must complete all mandatory sections of the Notification of Intent, before we can begin to issue an I-20 or DS2019 for you. If you currently hold valid F-1 or J-1 status and are transferring your SEVIS record to Purdue University from another US Institution, our office will advise you on how to complete your SEVIS Transfer In Request. International Students Interested in Graduate Teaching Assistantships: Before you may be considered for employment as a Purdue University graduate teaching assistant, you must receive certification for oral proficiency in English. Please note that any waiver of the TOEFL or IELTS (related to Graduate School admission) does not exempt students from the requirement to demonstrate proficiency in spoken English in order to be considered for a graduate teaching assistantship. Most graduate students are certified by taking Purdue's Oral Proficiency Test (the OEPT). Information about oral English certification for international students and access to the OEPT Practice Test is provided at the OEPT Orientation website: [http://tutorial.ace-in-testing.com/Default.aspx?p=videos](http://tutorial.ace-in-testing.com/Default.aspx?p=videos). Make sure you have prepared for English language testing by taking the OEPT practice test, and if you have any questions about your department's English language certification requirements for international teaching assistants, please contact your department. Important Tax Information for International Students: Each year, international students who receive any income originating from the United States are required to file a United States income tax return (Internal Revenue Tax Form 1040NR). International students pay tax on all income earned in the United States at the same rate as United States citizens. If there is a tax treaty between your home country and the United States, you may not be required to pay income taxes on a portion of your income. Campus and Community Information: For information about Purdue University housing, and the Greater Lafayette community, visit [www.purdue.edu/gradschool/admitted/relocation/](http://www.purdue.edu/gradschool/admitted/relocation/). Student Health Center: Completion of an immunization information form and health insurance coverage is required. Links to the medical history form and additional health insurance information may be found at the Purdue University Student Health Center website: [http://www.purdue.edu/PUSH/](http://www.purdue.edu/PUSH/). Housing: Purdue University offers a variety of housing options for graduate students. Single graduate students may want to consider [Purdue University Residences](http://www.purdue.edu/gradschool/admitted/relocation/), which offer one and two bedroom, furnished and unfurnished apartments. The Purdue residences are limited to one student per bedroom. All apartments include a kitchen with refrigerator and stove. Furnished apartments also include a bed, desk, and dresser for each student. Unfurnished one and two bedroom apartments are also available for married students or students with families. For more information, please contact the University Residences Directors' Office at [firstname.lastname@example.org](mailto:email@example.com). More University-endorsed, residential options are available for graduate students, including those with families, through [Blackbird Farms II](http://www.purdue.edu/gradschool/admitted/relocation/) apartment complex. Visit their [website](http://www.purdue.edu/gradschool/admitted/relocation/) for more information. Disability Services: If you need accommodations, auxiliary aids, or services because of permanent or temporary disabilities, please contact the Disability Resource Center, Office of the Dean of Students, Young Hall, Room 830, 155 S. Grant Street, West Lafayette, IN 47907. Telephone: 765-494-1247 (Voice/TTY). Web site: [www.purdue.edu/drc/](http://www.purdue.edu/drc/) Orientation for New Graduate Students: You are invited to attend a orientation for new graduate students on Friday, August 19, 2022, beginning at 8:30 a.m. in Stewart Center’s Loeb Playhouse. Your graduate program may also have an orientation or a required arrival date. If you have any questions, please contact your program prior to planning your arrival. Questions? Please direct them to your graduate program. Required materials can be submitted to: Purdue University Graduate School Office of Graduate Admissions Young Hall Room 170 155 South Grant Street West Lafayette, IN 47907 Dear Yugeshkrishnan Murugan, We have the pleasure to inform you that you have been accepted in 'Master 1 - Control and Robotics - Advanced Robotics' of Centrale Nantes for a 2-year long program. Congratulations! Admission to our program is very competitive, therefore in order to secure your admission, we encourage you: - to confirm your admission on your eCandidat account as soon as possible, please refer to the deadlines given on the webpage: https://www.ec-nantes.fr/study/masters/eligibility-and-applications Please note that in case you miss the deadline to confirm your application and the deadline to make your first payment, you will be put on a waiting list. - to sign and comply with the terms of the financial agreement that will be sent to you by email shortly. If you are a non-European student and you have already attached the Centrale Nantes Elite scholarship form to your eCandidat application before February 28th 2022, the scholarship results will be written on your financial agreement. We remind you that lectures for the above Master program will begin on the first week of September 2022. We look forward to having you join us and contribute to our very high scientific and technical environment for Research and Innovation. We are eager to help you with your entry into our program. Please feel free to contact us by telephone at +33 2 40 37 68 51 or by e-mail at firstname.lastname@example.org Thank you for your interest in our Institute. Looking forward to meeting you Best regards, Commission M1 Control and Robotics International Relations Office Ecole Centrale de Nantes 1 rue de la Noë 44321 NANTES CEDEX 3 email@example.com Follow us on Facebook: https://www.facebook.com/CentraleNantesInternational Ce courriel a été envoyé automatiquement, merci de ne pas y répondre. February 11, 2022 Umashankar Saravanakumar 38B, 3rd Street, VmK Nagar, Surapet Main Road, Kathirvedu Chennai, Tamil Nadu 600099 India Dear Umashankar, Congratulations! This letter serves as your official notification of admission to the Graduate School of Purdue University at the West Lafayette campus. I am delighted to welcome you to a community of more than 12,000 graduate students on our four campuses who come to us from every state in the Union and from 117 countries. The information contained within the admission information sheet of this letter is essential to your enrollment. Careful reading of this material will make your transition to the Graduate School as smooth as possible. If you are unable to register for the session specified on the second page, please notify the graduate office of your academic program as soon as possible. Your academic program’s graduate office also will be able to answer specific questions you may have. You already know the strengths of Purdue’s graduate programs. I hope that you will come to regard the Graduate School as your second academic home during your time at Purdue University. The Graduate School has developed special programs for its students and is committed to the professional development of all Purdue graduate students. Our goal is to enhance the quality of graduate student life. The Graduate School Web site at www.purdue.edu/gradschool is your source for detailed information about programs and opportunities at our four campuses. Thank you for choosing Purdue and joining us in the persistent pursuit of the next giant leap. Click here for instructions for submitting your response to the offer of admission. With best wishes for success at Purdue, Dr. Linda Mason Dean of the Graduate School and Professor of Entomology Young Hall 170 Purdue University Email: firstname.lastname@example.org Admission Information Sheet for Umashankar Saravanakumar PUID: 0034725397 Term/Year: Fall 2022 Campus: Purdue West Lafayette (PWL) Graduate Major: Engineering Technology Degree Objective: Master of Science (MS) Course Delivery: Residential Academic Advisor: Richard Voyles Residence Classification for Tuition Purposes Non Resident Condition(s) of Continued Enrollment You must satisfactorily complete your undergraduate degree and submit to the Graduate School office (Young Hall, Room 170) your final official undergraduate transcript. This condition must be satisfied before you will be permitted to register for sessions beyond your second session. You must submit to the Graduate School office (Young Hall, Room 170) your original official undergraduate diploma for verification. This condition must be satisfied before you will be permitted to register for sessions beyond your second session. If your undergraduate institution will not confer your degree until a future date, please obtain (and submit to the Graduate School office) a signed letter from your undergraduate institution that identifies when your degree will be awarded. General Information Accept Your Offer of Admission: To accept an offer of admission, you must activate your online student career account. You will need your PUID which is provided in this letter and your Purdue career account set-up password. The career account set-up password will be sent in a separate email to you within five business days of viewing your admission letter. Please access [https://www.purdue.edu/apps/account/AccountSetup](https://www.purdue.edu/apps/account/AccountSetup) with this information to activate your account. After activating your account, you will gain access to your myPurdue online portal, through which you can accept your offer of admission. You may be prompted to set up a Boilerkey (two-factor authentication), but you have 7 months to set this up to login to systems such as myPurdue. For more information about Boilerkey, please see this [Boilerkey FAQ](https://www.purdue.edu/apps/account/AccountSetup) page. If you have already activated your Purdue career account, please disregard this message. What is myPurdue? [www.mypurdue.purdue.edu](http://www.mypurdue.purdue.edu) is the portal system where you must accept your offer of admission. You must submit your enrollment acceptance in the MyPurdue portal to create your general student record for course registration. You will need your career account login and password to log in to myPurdue. Some of the benefits of myPurdue include: - Online course registration in real time - Online credit card payment for tuition - Access to your academic and financial aid information - Access to review and update your personal information such as emergency contacts, mailing address, email, ethnicity/race, and gender identity US Immigration Document: In order for the Office of International Students and Scholars (ISS) to issue your visa eligibility document (I-20 or DS -2019), admitted international graduate students to Purdue University are required to complete the online NOTIFICATION OF INTENT (NOI), using the myISS portal. Access is granted to the myISS portal within three business days from accepting your offer of admission. You must also attach scanned images of your official financial support documents, and you and your dependent's (if any) passport before visa eligibility document(s) will be prepared and shipped. In the section labeled "Full client Services for Students & Scholars", please click the blue Login button. Use your Purdue career account information to log in to myISS. On the left side of the myISS home page, click on Pre-Arrival, then click on Notification of Intent. You must complete all mandatory sections of the Notification of Intent, before we can begin to issue an I-20 or DS2019 for you. If you currently hold valid F-1 or J-1 status and are transferring your SEVIS record to Purdue University from another US Institution, our office will advise you on how to complete your SEVIS Transfer In Request. International Students Interested in Graduate Teaching Assistantships: Before you may be considered for employment as a Purdue University graduate teaching assistant, you must receive certification for oral proficiency in English. Please note that any waiver of the TOEFL or IELTS (related to Graduate School admission) does not exempt students from the requirement to demonstrate proficiency in spoken English in order to be considered for a graduate teaching assistantship. Most graduate students are certified by taking Purdue's Oral Proficiency Test (the OEPT). Information about oral English certification for international students and access to the OEPT Practice Test is provided at the OEPT Orientation website: [http://tutorial.ace-in-testing.com/Default.aspx?p=videos](http://tutorial.ace-in-testing.com/Default.aspx?p=videos). Make sure you have prepared for English language testing by taking the OEPT practice test, and if you have any questions about your department's English language certification requirements for international teaching assistants, please contact your department. Important Tax Information for International Students: Each year, international students who receive any income originating from the United States are required to file a United States income tax return (Internal Revenue Tax Form 1040NR). International students pay tax on all income earned in the United States at the same rate as United States citizens. If there is a tax treaty between your home country and the United States, you may not be required to pay income taxes on a portion of your income. Campus and Community Information: For information about Purdue University housing, and the Greater Lafayette community, visit [www.purdue.edu/gradschool/admitted/relocation/](http://www.purdue.edu/gradschool/admitted/relocation/). Student Health Center: Completion of an immunization information form and health insurance coverage is required. Links to the medical history form and additional health insurance information may be found at the Purdue University Student Health Center website: [http://www.purdue.edu/PUSH/](http://www.purdue.edu/PUSH/). Housing: Purdue University does not offer housing for graduate students. For information about housing options near campus, please visit the Dean of Student's off-campus housing website at [https://offcampushousing.purdue.edu](https://offcampushousing.purdue.edu) Disability Services: If you need accommodations, auxiliary aids, or services because of permanent or temporary disabilities, please contact the Disability Resource Center, Office of the Dean of Students, Young Hall, Room 830, 155 S. Grant Street, West Lafayette, IN 47907. Telephone: 765-494-1247 (Voice/TTY). Web site: [www.purdue.edu/drc/](http://www.purdue.edu/drc/) Orientation for New Graduate Students: You are invited to attend a orientation for new graduate students on Friday, August 19, 2022, beginning at 8:30 a.m. in Stewart Center's Loeb Playhouse. Your graduate program may also have an orientation or a required arrival date. If you have any questions, please contact your program prior to planning your arrival. Questions? Please direct them to your graduate program. Required materials can be submitted to: Purdue University Graduate School Office of Graduate Admissions Young Hall Room 170 155 South Grant Street West Lafayette, IN 47907 A chi di competenza Si informa che il candidato JAI GOWTHAM SAMPATHKUMAR, nato a COIMBATORE (INDIA) il 09/01/2000 è stato ammesso con riserva per l’A.A. 2022/2023 al corso di CORSO DI LAUREA MAGISTRALE DM.270/04 in Mechatronics Engineering, interamente svolto in lingua inglese, presso la Facoltà di Ingegneria dell’Università degli Studi di Roma “Tor Vergata”, dopo un’accurata valutazione dei requisiti curriculari da parte della commissione di valutazione/del Responsabile del corso. Il corso ha la durata di 2 anni. L’ammontare delle tasse di iscrizione viene stabilito annualmente dal Consiglio di Amministrazione di Ateneo sulla base dell’attuale normativa. Informazioni dettagliate saranno riportate sulla guida dello studente consultabile al seguente link: http://web.uniroma2.it/module/name/Content/newlang/italiano/navpath/STD/section_parent/442 e sul sito in inglese al seguente link: http://en.uniroma2.it/admissions/tuition-fees/ Per ulteriori informazioni relative all’immatricolazione e ai servizi offerti dall’Ateneo consultare il seguente link: https://web.uniroma2.it/il/percorso/studenti - https://en.uniroma2.it/students/ IMPORTANTE: non sarà inviata alcuna copia cartacea della lettera di ammissione, questa copia elettronica (PDF) è un documento ufficiale valido per l’anno accademico 2022/2023 per ogni fine consentito dalla legge, fermo restando le disposizioni attuali e future del Governo Italiano in merito all’emergenza COVID-19. INFORMAZIONI PER GLI STUDENTI IN POSSESSO DI UN TITOLO STRANIERO Il candidato ammesso dovrà presentare all’atto dell’immatricolazione alla segreteria studenti stranieri la seguente documentazione: - Titolo accademico finale in originale; - Attestato di comparabilità del titolo accademico finale rilasciato dal CIMEA da richiedere on line al seguente link: https://cimea.diplo-me.eu/torvergata/#/auth/login oppure - titolo accademico finale con relativa legalizzazione o timbro “apostille”, traduzione ufficiale in lingua italiana corredata dalla Dichiarazione di valore a cura della Rappresentanza diplomatica italiana competente per territorio (in caso di presentazione della Dichiarazione di Valore, l’Ateneo si riserva di richiedere documentazione aggiuntiva) - Certificato rilasciato dalla competente Università attestante gli esami superati con traduzione ufficiale in lingua italiana e legalizzato dalla Rappresentanza diplomatica italiana competente per territorio o “Diploma Supplement”, ove adottato La segreteria studenti stranieri provvederà alla verifica dell’autenticità della documentazione prodotta e, in caso di documentazione incompleta o non idonea, l’ammissione sarà invalidata. Si precisa inoltre che per i cittadini extra-comunitari non residenti in Italia richiedenti visto per studio questa lettera di accettazione preventiva non sostituisce le relative procedure di preiscrizione universitaria, da svolgersi obbligatoriamente sulla piattaforma University (www.university.it) e successivamente prendendo contatti con la Rappresentanza diplomatico-consolare per la presentazione della documentazione prevista entro la scadenza che sarà stabilita dal Mur - consultabile al seguente link https://www.studiare-in-italia.it/studentistranieri/. Inoltre tale lettera non comporta alcuna pretesa o automaticità ai fini del rilascio del relativo visto per motivi di studio, responsabilità in capo esclusivamente alle competenti Rappresentanze diplomatico-consolari e non genera alcuna pretesa in merito alle relative procedure di immatricolazione al corso di studi prescelto, le quali si perfezioneranno in fase successiva all’ottenimento del visto per motivi di studio previa verifica dell’autenticità della documentazione prodotta e della sussistenza di tutti gli elementi utili ai fini dell’immatricolazione Cordiali saluti. Responsabile Div. 1 – Coordinamento Gen. Segreterie Studenti f.to Dott. Ercole Angelucci To Whom It May Concern This is to inform you that the candidate JAI GOWTHAM SAMPATHKUMAR, born in COIMBATORE (INDIA) on 09/01/2000 has been conditionally admitted for the 2022/2023 A.Y. to the Master of Science in Mechatronics Engineering, taught entirely in English, at the School of School of Engineering of Tor Vergata University of Rome, after a detailed evaluation of the curricular requirements carried out by the Admission board. The program lasts 2 years. Tuition fees are set each year by the University Administrative Board, based on the national regulations in force. The Students’ Guide provides detailed information and is available at the following link: http://web.uniroma2.it/module/name/Content/newlang/italiano/navpath/STD/section_parent/442 and on the English version of the website: http://en.uniroma2.it/admissions/tuition-fees/ IMPORTANT: no hard copy of the admission letter will be sent, this electronic copy (PDF file) is an official document and is valid for the 2022/2023 academic year for any purpose permitted by law, subject to the current and future regulations of the Italian Government regarding the Covid-19 health emergency. DETAILS FOR STUDENTS WITH A FOREIGN DEGREE Admission of applicants with a foreign degree is subject to the submission of all required documents for the enrolment to the International Students Office as listed below: - Original copy of the final academic degree; - Statement of Comparability of the final academic degree issued by CIMEA, which can be requested online at the following link: https://cimea.diplo-me.eu/torvergata/#/auth/login or - final academic degree with the legalization or “apostille” stamp and the official Italian translation with the Declaration of Value issued by the Italian Diplomatic Representation (when submitting a Declaration of Value, Tor Vergata University of Rome reserves the right to request additional documentation); - The “Diploma Supplement” or An Italian translation of the official transcript of records (complete list of exams) issued by the University and legalized by the Italian Diplomatic Representation. The International Students Office will verify the authenticity of the documents submitted. In the event that the requested documents are not provided or are deemed incomplete, students will not be admitted for enrolment. For non-EU citizens who do not reside in Italy and apply for a study visa, the admission letter does not replace the official pre-enrolment procedure that must be carried out via Universitaly (www.universitaly.it). After pre-enrolment each candidate must contact the Italian Diplomatic Representation to submit the required documents within the deadline indicated by the Italian Ministry of University and Research (Mur) available at the following link https://www.studiare-in-italia.it/studentistranieri/. Furthermore, the admission letter does not guarantee the automatic issuance of a study visa, which is the exclusive responsibility of the Italian Diplomatic Mission and does not guarantee enrolment in the chosen study program. Official enrolment can only take place once the study visa has been issued, the authenticity of the documents submitted has been verified and all the elements required for enrolment are present. Yours faithfully, Coordinator for Student Affairs f.to Dott. Ercole Angelucci Pagina 3 di 3 Via Cracovia, 50 - 00133 Roma INTIMATION OF MBA ADMISSION RESULT \| Application No.: \| 2022710152 \| \|------------------\|------------\| \| Candidate Name: \| VINULA PARVATHAVARTHINI R \| Dear Applicant, We are pleased to inform that you are provisionally SELECTED for admission to MBA Degree Programme at Vellore Institute of Technology, CHENNAI Campus. Selected candidates are advised to visit PG admission MBA landing page ([https://vit.ac.in/all-courses/pg/master-of-business-administration](https://vit.ac.in/all-courses/pg/master-of-business-administration)) on or after 10th March for payment of advance tuition fees and full fees payment due date etc., DIRECTOR PG ADMISSIONS Sehr geehrter Herr Sankar, gemäß Ihrem Antrag sind Sie für den Studiengang M Eng/Automotive Systems, Schwerpunkt „Car Electronics“, 2022/2023 bedingt zugelassen. Diese Zulassung gilt jedoch nur unter folgendem Vorbehalt: - Vorlegen einer beglaubigten Kopie des Abschlusszeugnisses und der Diplom-Urkunde, die bitte so schnell wie möglich zu schicken ist Folgende Unterlagen sind bei der Einschreibung vorzulegen: - Visum mit Zusatz "Gilt nur zum Studium an der Hochschule Esslingen im Studiengang M Eng/ASM" (nur für ausländische Studierende außerhalb der EU) - Exmatrikulationsbescheinigung (ehemalige Studierende an einer deutschen Hochschule), für Studenten von ausl. Hochschulen ein Nachweis über Beginn und Ende des Studiums (Zeugnis oder ähnliches) - Beglaubigte Kopie aller ausstehende Zeugnisse (bei Übersetzung eine beglaubigte Kopie auf Engl. zusätzlich) - Nachweis über Krankenversicherung Weil es unter Umständen recht lange dauern kann, bis Sie ein Visum erhalten, bitten wir Sie hiermit, Ihre Teilnahme am M Eng ASM Studium bis spätestens 26. April 2022 zu bestätigen. Wenn wir Ihr Bestätigungsschreiben bis dahin nicht erhalten haben, kann Ihr Studienplatz einem anderen Bewerber angeboten werden. In der Anlage finden Sie ein Informationsblatt, eine Einladung an die Botschaft in Englisch und Deutsch sowie die Annahmeerklärung. Bitte senden Sie uns dieses Formular schnellstmöglich zurück, jedoch nicht später als 26. April. Sie müssen bis zum 30.9. bei uns eingeschrieben sein. Achtung: Bitte denken Sie daran, dass der Versicherungsschutz Ihrer Krankenversicherung noch bis zur Anmeldung bei einer deutschen Krankenversicherung gelten sollte. Eine zusätzliche vorübergehende internationale Krankenversicherung ist empfehlenswert. Wir freuen uns, Sie bald begrüßen zu dürfen. Mit freundlichen Grüßen Prof. Dipl.-Ing. Mathias Oberhauser Studiengangleiter Mr. Sanjay Sankar Kudiyana Theru, Vanniyadi Thiruvaiyaru, Tamil Nadu 614203 Indien Fakultät Mobilität und Technik Prof. Dipl.-Ing. Mathias Oberhauser University of Applied Sciences Kanalstr. 33 73728 Esslingen Germany email@example.com www.hs-esslingen.de CONDITIONAL ADMISSION TO THE M Eng/ASM PROGRAM, major “Car Electronics” 2022/2023 12. April 2022 UB Dear Mr. Sankar, We are very pleased to inform you that you have been conditionally admitted to our M Eng Automotive Systems, major “Car Electronics” for the 2022/2023 academic year. This admission is however only valid if the following conditions are met: - Presentation of a certified copy of your final transcript and of your diploma certificate as soon as possible For registration, please bring the following documents with you: - Student visa including the part “Gilt nur zum Studium an der Hochschule Esslingen im Studiengang M Eng ASM” [only valid for study in the M Eng ASM at the University of Applied Sciences Esslingen] (only for non-EU international students) - Exmatriculation certificate from your previous university – for foreign universities a document which shows start and end of studies - originals or certified copies of any outstanding documents - Certification of Health Insurance if you remain insured in your home country Because the process of obtaining a student visa for you can be quite lengthy, we kindly ask you to confirm your acceptance and participation in the M Eng/ASM Program, major VD by April 26th. If we have not received your letter of confirmation by this date, your place in the program could be offered to another qualified candidate. Attached to this letter are a sheet containing additional information, invitation letters in English and German for the embassy, and the acceptance form. Please return this form as soon as possible, not later than April 26th. You have to be enrolled until 30th of September. Attention: Please ensure that your health insurance provides coverage until you are registered with a German health insurance. An additional preliminary international health insurance is recommended. We are looking forward to welcoming you. Sincerely yours, [Signature] Prof. Dipl.-Ing. Mathias Oberhauser Academic Director (Please note that this document is issued in a German and an English copy. In case of doubt, the German text is valid) An die Deutsche Botschaft bzw. das Deutsche Generalkonsulat Fakultät Mobilität und Technik Prof. Dipl.-Ing. Mathias Oberhauser University of Applied Sciences Kanalstr. 33 73728 Esslingen Germany firstname.lastname@example.org www.hs-esslingen.de 12. April 2022 UB Einladung Herr Sanjay Sankar, geboren am 15/06/2001, wird bestätigt, dass er sich für das M Eng Programm ASM beworben und für dieses Studium, beginnend im Herbst 2022 (1.9.22 bis 28. Febr. 2024), eine Zulassung erhalten hat. Als Student muss Herr Sankar in der Bundesrepublik Deutschland eine Krankenversicherung nachweisen. Diese ist von ihm selbst nach Ankunft in Deutschland (Esslingen) auf eigene Kosten abzuschließen. Die Hochschule wird bei der Wohnungssuche für die Dauer des Studiums behilflich sein. Wir würden uns sehr freuen, wenn Sie Herrn Sankar ein Studentenvisum für den oben genannten Zeitraum gewähren würden. Mit freundlichen Grüßen Prof. Dipl-Ing. Mathias Oberhauser Studiengangkoordinator M Eng ASM (Dieses Schreiben liegt Ihnen in deutscher und in englischer Fassung vor. Im Zweifelsfall gilt der deutsche Text.) Invitation We confirm that Mr. Sanjay Sankar born 15/06/2001, has applied for the M Eng Program ASM at the University of Applied Sciences Esslingen. He has been admitted to this graduate course beginning in the fall of 2022 (1.9.2022 until 28. Febr. 2024). As a student, Mr. Sankar will have to provide evidence of valid health insurance in Germany. This is to be obtained by him after his arrival in Germany (Esslingen) at his own expense. The University of Applied Sciences will offer its assistance in acquiring housing for the duration of his study period. We would appreciate your giving Mr. Wang the necessary assistance in granting him a student visa for the period mentioned above. Sincerely yours, Prof. Dipl-Ing. Mathias Oberhauser Academic Director M Eng ASM (Please note that this document is issued in a German and an English copy. In case of doubt, the German text is valid.) Student’s Acceptance to the Esslingen Master of Engineering Program First (given) name: _______________________________________________________ Family name (fathers names): _______________________________________________ Program ID-Number: GS___________________________________________________ Email address: ___________________________________________________________ □ male □ female Program Acceptance: I hereby confirm my acceptance to the above-stated program at the Esslingen UAS in the academic years 2022-2024. Date: ____________________________ Signature: ____________________________ German level by 1st September 2022: □ A1 □ A2 □ B1 or □ Native Speaker I acknowledge that I must prove basic knowledge of the German language (minimum level A1 according to the CEFR) at the beginning of the Program in September. I accept that it is an admission requirement to prove that I have achieved level A2 by the end of the 2nd semester otherwise I will be ex-matriculated from the University. Date: ____________________________ Signature: ____________________________ Housing: I intend to register for a room in student residence by July 1st. □ yes □ no You must apply online immediately at: https://www.studierendenwerk-stuttgart.de/en/accommodation/online-application/ Please specify under “Data about the study course” “Graduate School” Please be patient in waiting for a confirmation. This may take a week or so. All housing matters should be directed to the housing department (email@example.com) and not to the Graduate School. Please email this form (page 1 and 2) to us as soon as possible (for deadlines, please see your admission letter). Only if this form is on time can we guarantee your place! For further information about your studies please see the information in the following link: http://www2.hsesslingen.de/~spohl/ Please turn over Zulassungsbescheid zum Fachstudium an der Technischen Universität Dortmund Wintersemester 2022/2023 Studiengang: Master 1-Fach, Automation and Robotics, 1. Fachsemester Auflagen: Staatsangehörigkeit: Indien Geburtsdatum: 05.10.2000 Guten Tag Karpaga Ganesh Venkata Krishnan, wir freuen uns Ihnen mitteilen zu können, dass Sie im Wintersemester 2022/2023 ein Studium im Studiengang Master 1-Fach, Automation and Robotics, 1. Fachsemester, Auflagen: - aufnehmen können. Die Einschreibung erfolgt ausschließlich in der Zeit vom 15.08.2022 bis zum 15.11.2022. Bitte beachten Sie die verlängerten Einschreibfristen für Masterstudiengänge: www.tu-dortmund.de/fristen Für die Immatrikulation senden Sie bitte ausschließlich postalisch alle immatrikulationsrelevanten Dokumente form- und fristgerecht in amtlich beglaubigter Kopie an das Referat Internationales. Eine persönliche Vorsprache ist nicht nötig. Bitte beachten Sie, dass eine Immatrikulation in das Fachstudium ausschließlich erfolgen kann, wenn Sie die notwendigen Einschreib- und Sprachvoraussetzungen erfüllen. Informationen zur Einschreibung und zu den benötigten Unterlagen finden Sie auf der folgenden Internetseite: www.international.tu-dortmund.de/einschreibung Bitte legen Sie diesen Zulassungsbescheid bei den zuständigen Behörden zur Beantragung eines Visums zu Studienzwecken sowie bei einer gesetzlichen studentischen Krankenversicherung in Deutschland vor. Dieser Bescheid ist unter dem Vorbehalt gültig, dass die von Ihnen gemachten Bewerbungsangaben vollständig und korrekt sind und verliert seine Gültigkeit, wenn Sie sich nicht während des festgelegten Immatrikulationszeitraumes an der Technischen Universität Dortmund einschreiben oder für das Wintersemester 2022/2023 für den oben genannten Studiengang Zulassungsbeschränkungen festgesetzt werden. Freundliche Grüße i.A. Heß Zulassungsbereich Letter of Admission: Enrollment in degree program at TU Dortmund University Winter semester 2022/2023 Degree program: Master 1-Fach, Automation and Robotics, first semester Requirements: Nationality: India Date of birth: 05.10.2000 Dear Karpaga Ganesh Venkata Krishnan: Thank you very much for your interest in studying at TU Dortmund University. We are pleased to inform you that in the winter semester 2022/2023, you can start your desired degree program, Master 1-Fach, Automation and Robotics, first semester, Requirements: -. Enrollment can exclusively take place from 15.08.2022 to 15.11.2022. Please note the extended enrollment periods for the Master’s degree programs: www.tu-dortmund.de/deadlines Please submit all the documents which are relevant for the enrollment as certified copies only via postal mail in due form and time to the International Office – you do not need to submit the documents in person. Furthermore, it is important to keep in mind that you can only enroll in the degree program if you fulfill all the enrollment requirements and can provide proof of your language proficiency. Information on enrollment and the required documents can be found on the following website: www.international.tu-dortmund.de/en/enrollment Please present this Letter of Admission to the relevant authorities if you are applying for a student visa or if you need to present a document at your statutory German health insurance. This Letter of Admission is valid on condition that the information you provided in your application is complete and correct. It becomes void if you do not enroll during the stipulated enrollment period at TU Dortmund University or if admission restrictions are established for the above-mentioned degree program for the winter semester 2022/2023. Best regards, p.p. Heß Admissions and Enrollment April 2, 2022 ID number: 1226384317 Valid only for 2022 fall Residency status: International Ramprakash Sridharan 363 4 Panchanathan street Guptha Nagar 3rd cross Salem TN 636009 India Dear Ramprakash Sridharan, Congratulations! I am pleased to inform you of your admission to Arizona State University to study in the Robotics and Autonomous Systems (Systems Engineering) (MS) program at the Ira A. Fulton Schools of Engineering, offered at the ASU Polytechnic campus for the 2022 fall semester. Important: Continued registration beyond your first semester is contingent on the receipt of the official transcript and (in most cases) a degree certificate from the institution(s) listed below. Official transcripts must be issued by the registrar of the institution attended, bearing the seal of the institution and signature of the academic official. Anna University Documents must be submitted in the original language with an official, literal English translation and must show your final grades, the degree received and the date the degree was granted. Learn more about official transcript translation requirements at [admission.asu.edu/international/graduate-apply](http://admission.asu.edu/international/graduate-apply). For more information on required documentation, please visit your Priority Tasks at [my.asu.edu](http://my.asu.edu). Important: For detailed information regarding I-20 requirements, including necessary forms and deadlines, go to the International Admission Services website at [admission.asu.edu/international/student-visa](http://admission.asu.edu/international/student-visa). To monitor the progress of your I-20, view the I-20 Tracker in [my.asu.edu](http://my.asu.edu). For MMR immunization requirements, contact Student Health Services at [students.asu.edu/health](http://students.asu.edu/health) or 480-965-8177. Proof of MMR immunization is required before registration for classes is permitted. To maximize the many resources available to you, please familiarize yourself with My ASU, your personalized online student information and services resource, at [my.asu.edu](http://my.asu.edu). You can access this page by logging in with your new ASURITE User ID and password. ASU and the Robotics and Autonomous Systems (Systems Engineering) (MS) program are committed to assisting you in your exploration of the immense resources and opportunities available to you here. For additional information, you may contact your department at firstname.lastname@example.org or at 480-727-4723. ASU embraces integrity in all scholarships, research and creative endeavors. It is our expectation that you will review and abide by ASU's policies related to academic and research integrity at [provost.asu.edu/academicintegrity](http://provost.asu.edu/academicintegrity) and [researchintegrity.asu.edu](http://researchintegrity.asu.edu). As a New American University, ASU believes your education should be transformative not only for you, but also for society. I encourage you to learn more about what this means to you by visiting [newamericanuniversity.asu.edu](http://newamericanuniversity.asu.edu). I also recommend you go to [yourfuture.asu.edu/culture](http://yourfuture.asu.edu/culture) to watch a brief video and find out how current students describe the ASU community. --- Graduate College P.O. Box 8701004 Tempe AZ 85287-1004 p: 480-965-7788 f: 480-965-5159 web: www.graduate.asu.edu We look forward to you joining the ASU family, and I wish you success in your graduate studies here. Sincerely, Dr. Elizabeth A. Wentz Vice Provost and Dean, Graduate College April 20, 2022 ID number: 1225968538 Valid only for 2022 fall Residency status: International Krithik Rajavelu No 7, Michigan avenue Trilok Civil Aerodrome post Coimbatore TN 641014 India Dear Krithik Rajavelu, Congratulations! I am pleased to inform you of your admission to Arizona State University to study in the Robotics and Autonomous Systems (Systems Engineering) (MS) program at the Ira A. Fulton Schools of Engineering, offered at the ASU Polytechnic campus for the 2022 fall semester. Important: Continued registration beyond your first semester is contingent on the receipt of the official transcript and (in most cases) a degree certificate from the institution(s) listed below. Official transcripts must be issued by the registrar of the institution attended, bearing the seal of the institution and signature of the academic official. Anna University Documents must be submitted in the original language with an official, literal English translation and must show your final grades, the degree received and the date the degree was granted. Learn more about official transcript translation requirements at [admission.asu.edu/international/graduate-apply](http://admission.asu.edu/international/graduate-apply). For more information on required documentation, please visit your Priority Tasks at [my.asu.edu](http://my.asu.edu). Important: For detailed information regarding I-20 requirements, including necessary forms and deadlines, go to the International Admission Services website at [admission.asu.edu/international/student-visa](http://admission.asu.edu/international/student-visa). To monitor the progress of your I-20, view the I-20 Tracker in [my.asu.edu](http://my.asu.edu). For MMR immunization requirements, contact Student Health Services at [students.asu.edu/health](http://students.asu.edu/health) or 480-965-8177. Proof of MMR immunization is required before registration for classes is permitted. To maximize the many resources available to you, please familiarize yourself with My ASU, your personalized online student information and services resource, at [my.asu.edu](http://my.asu.edu). You can access this page by logging in with your new ASURITE User ID and password. ASU and the Robotics and Autonomous Systems (Systems Engineering) (MS) program are committed to assisting you in your exploration of the immense resources and opportunities available to you here. For additional information, you may contact your department at email@example.com or at 480-727-4723. ASU embraces integrity in all scholarships, research and creative endeavors. It is our expectation that you will review and abide by ASU's policies related to academic and research integrity at [provost.asu.edu/academicintegrity](http://provost.asu.edu/academicintegrity) and [researchintegrity.asu.edu](http://researchintegrity.asu.edu). As a New American University, ASU believes your education should be transformative not only for you, but also for society. I encourage you to learn more about what this means to you by visiting [newamericanuniversity.asu.edu](http://newamericanuniversity.asu.edu). I also recommend you go to [yourfuture.asu.edu/culture](http://yourfuture.asu.edu/culture) to watch a brief video and find out how current students describe the ASU community. --- Graduate College P.O. Box 8701004 Tempe AZ 85287-1004 p: 480-965-7788 f: 480-965-5159 web: www.graduate.asu.edu We look forward to you joining the ASU family, and I wish you success in your graduate studies here. Sincerely, Dr. Elizabeth A. Wentz Vice Provost and Dean, Graduate College Date: 18.04.2022 Reg.No: 22IM0953 Dear ASWIN PRABBU N M (Reg. No:22IM0953), We are pleased to inform you that you have been provisionally selected for admission to the MBA (University of Toledo) Program at PSG Institute of Advanced Studies. You are required to indicate your acceptance/ non-acceptance of our offer within 2 days of receipt of this mail. In case you opt to reserve your seat, kindly make an advance payment of Rs.1,21,820/- by demand draft drawn in favour of “PSG Institute of Advanced Studies” payable at Coimbatore and send the DD to the undersigned by post / courier / submit in person with the following documents on or before 28th April 2022. 1. Photocopies of UG, HSC & 10th Mark sheet 2. MAT Score sheet – 1 Nos 3. The undertaking forms duly signed by parent and student (Attached) With Best Wishes, (Dr.V.SRIVIDYA) Head - Admissions Admissions Office - PSG Institute of Management Ms. R. Rajeswari Ms. V. Shayana Admissions Executive Admissions Executive PSG Institute of Management, Coimbatore- 641 004, TN, India 98428 04400 , 93422 21690 (Mobile) 0422 - 4304447, 4304433 (Direct Line) 0422 - 4304400 (Board), 0422-4304444 (Fax) firstname.lastname@example.org \| www.psgim.ac.in Undertaking form - UT.doc 32K Dear Deepak Agni Prakash ARUN PRAKASH, The admissions team is delighted to offer you a seat in next year’s class at SKEMA Business School Master in Management - Master in Management, for Fall 2022 in Paris campus. Please note that your admission is conditional (subject to your degree certification) and subject to validation of at least 60 ECTS credits. To accept the offer of admission, please connect to your MySKEMA online portal. You will have to sign the registration contract and pay your deposit (if required, deductible from the tuition fees). Please note that your place in the programme is not confirmed until payment of the deposit has been received and the registration contract has been signed. We are also happy to inform you that you have been selected as a recipient of the Excellence Scholarship (worth €3000), which will be deducted from the first year’s tuition fees. To obtain this scholarship you must confirm your place on the programme. Kindly accept our warmest congratulations on your successful application and we look forward to welcoming you into the SKEMA Business School community very soon. Best regards The Admissions team Master in Management email@example.com +33 1 87 10 08 18 https://mail.google.com/mail/u/4/?lk=5271d6b511&view=pt&search=all&permmsgid=msg-f%3A1727918527411359708&simipl=msg-f%3A1727918527411359708 Dear Himma Shree: Congratulations! After careful review of your academic background and credentials, I am extremely pleased to offer you admission to the Master of Science in Global Marketing Management program at Boston University’s Metropolitan College (MET). Your hard work and commitment to succeed have earned you this prestigious honor. As a student at MET, you’ll engage in a vibrant learning community and gain real-world, hands-on knowledge to help you achieve your personal goals and career objectives. You will participate in an exciting exchange of ideas—a spirit of innovation that reaches far beyond the classroom into the global arena. You will connect with students and faculty from around the world, engaging in new perspectives, fresh challenges, and novel solutions. A truly exceptional experience is all here, waiting for you. You will be receiving an email with a link to respond to this offer of admission. You will need to inform us of your intent to enroll no later than 30 days from the date of this letter in order to move forward in our enrollment process. Please be aware that we do not yet have your official college transcripts on file. Boston University requires the electronic submission of an official college transcript directly from your University Registrar's office certifying your Bachelor’s Degree (with degree completion date) prior to the start of your first course. If you have any questions, please contact our Graduate Admissions office at 617.353.6000. We are excited for you to be joining our community and wish you a successful and enjoyable educational experience in our program. Sincerely, Tanya Zlateva Dean, Metropolitan College Your offer from the University of Exeter. Ref: (720030118) Student Number: 720030118 I Asokan Sumathi Siuk Delhi 110001 6 January 2022 Dear Ishvarya, Thank you very much for your application to study at the University of Exeter. We think you can really thrive here, and we have the staff, environment, facilities and community to offer you a warm welcome and support you academically. We are delighted to offer you a place at the University, congratulations. Details of your offer are: PROGRAMME TITLE: Master of Science in International Business PROGRAMME DATES: 26 September 2022 The programme start date given above is the official start date of your programme of study. All new students are invited to attend welcome activities in the week preceding and further details of these will be communicated in due course. MODE OF STUDY: Full Time OUR OFFER: Your offer is conditional. This means we will require you to meet the following conditions to be accepted on to the programme: 1. Graduation with at least CGPA 6.5 overall and receipt of formal confirmation of the award. If you have outstanding conditions on your offer, please upload scanned or certified copies of transcripts via your Applicant Gateway, or email us the same. We ask you not to post the originals. If you have met all of the conditions of your offer, we do not require anything else. TUITION FEES: You have been classified as international for fee purposes. By accepting your place you will be confirming your fee status. However, if you think your fee status is incorrect you have 28 calendar days, from the date of your offer, to query your status based on your current circumstances. If you wish to do so please contact us at: firstname.lastname@example.org, stating your full name, Exeter Student number, programme and details of why you think the fee status is incorrect. By accepting your place you will be confirming your fee status. Please refer to our Fee Status guidance. Tuition fees for 2022/3 are £24000.00. For those studying for more than one year, our fees are expected to increase modestly in line with Consumer Price Inflation measured in December each year. More information can be found on our Student Finance webpages. We have a number of exciting scholarships and bursaries. Please check our funding website to find further details of these. OTHER COSTS: Disclaimer - The University of Exeter does its best to outline significant additional costs associated with your programme at offer stage. There may be other costs associated with your study or that are personal to you (or individual to your circumstances) which we are unable to outline at offer stage. Where appropriate details of additional costs will be given in programme information or on the University website under the appropriate area. ACCEPTING YOUR OFFER: You can accept your offer by logging on to the Applicant Gateway. This can be accessed here. You can log in using your email address email@example.com and the password you chose when you applied. DEPOSIT: We will require a tuition fee deposit of £1500 by 3rd March 2022 to guarantee your place. Please note this is not an extra charge, but an early payment towards the costs of your tuition. If you have any difficulties in paying the deposit by this date please contact the Admissions Office via the Applicant Gateway, providing details of the circumstance and advising on a date when the deposit payment would be possible and an extension will be considered. If you are applying for a Postgraduate loan from the Student Loans Company you can request an extension via the Applicant Gateway too. Exemptions: You may be exempt from paying a deposit if you are receipt of an approved professional career development loan, scholarship or studentship covering the full tuition fees. If you believe you are exempt please send evidence to the Admissions Office via the Applicant Gateway. IMMIGRATION: If you require a student visa to study in the UK you will need to provide a Confirmation of Acceptance for Studies (CAS) in support of your visa application. We will contact you about this once you have firmly accepted your offer, paid your deposit and met all conditions. The earliest you can apply for a visa is 6 months before your study start date, and it is important to note that the process may take a number of weeks. For information on visa processing times please see www.gov.uk We strongly advise that you accept your offer and pay the tuition fee deposit (if required), at least 6 months before the beginning of your studies or as soon as possible if after this date, to give you sufficient time to successfully apply for your visa. When you apply for your Student visa you will need to ensure that you meet the financial requirements. Please check our website for detailed information on these and other eligibility criteria. Our International Students website for more information about Immigration, travel to Exeter, English Language requirements, visits to your country and much more, including our handbook 'International Students' Guide'. NEXT STEPS: You can keep track of your application via the Applicant Gateway. You can use this to request changes to your start date, accept your offer, or submit further documentation. Once again let me congratulate you on your offer of a place at Exeter and assure you our Admissions Team are here to support you through the process. Their contact details can be found at the bottom of this email. Yours sincerely Jo Hamilton Head of Admissions Tel: 0300 555 60 60 (UK callers)* +44(0)1392 723044 (EU/International callers) Email: firstname.lastname@example.org Website: www.exeter.ac.uk/postgraduate/ We welcome your feedback and comments. Please tell us how we did at email@example.com TERMS AND CONDITIONS Please ensure that you read carefully through all terms and conditions. By accepting an offer of a place you are agreeing to the following: - Applicants who meet the requirements of their conditional offer and provide the required documentation to demonstrate this, will have their place confirmed. Applications from candidates who have not met the requirements, are reviewed and their places may be confirmed if space is available: no guarantee is made that this will be possible. - The University reserves the right to amend or withdraw an offer where it comes to our attention that the applicant (or party authorised to act on behalf of an applicant), provides fraudulent or false information or has not disclosed information which would have affected the outcome of their application. - Requests to change programme during the application stage or on arrival at the University are not guaranteed and are subject to availability and meeting the terms of entry for that specific programme. - In accepting your place you are confirming your fee status. If you think your fee status is incorrect, please refer to our Fee status guidance or contact us at firstname.lastname@example.org - To abide by the University of Exeter Admissions Policy. - To abide by the regulations for students. All students are required to abide by the University’s Charter, Statutes, Ordinances and Regulations as a condition of enrolment. These include, without prejudice to the generality of that statement, academic regulations, arrangements for appeals and grievances, disciplinary regulations and regulations covering the use of the Library and IT facilities. Copies are available on request from email@example.com and can be accessed by following the link to information for Current Students. It is the responsibility of applicants to: Provide full and accurate information in an application to the University; Disclose to the University any circumstances or relevant unspent convictions which would: - prevent you from participating or completing your chosen programme of study; - restrict you from engaging in University life; Notify the University of any changes or corrections to the original application. YOUR PROGRAMME OF STUDY Programme contents and information about learning and teaching for your chosen programme can be viewed on our website. The University reserves the right to make variations to programme contents, entry requirements and methods of delivery, and to discontinue, merge or combine programmes, both before and after a student’s admission to the University, if such action is reasonably considered necessary by the University and will notify you via email where a substantial change is made to your programme of study. In the event that, prior to the student commencing the first term of study for any programme described in our prospectus, the University discontinues the programme, the student may either (1) withdraw from the University without any liability for fees; or (2) transfer to such other programme (if any) as may be offered by the University for which the student is qualified. If in these circumstances the student wishes to withdraw from the University and to enrol in a course at a different University, the University shall use its reasonable endeavours to assist the student. Once the student has commenced the first term of study, if: (a) the University’s ability to deliver programmes or other services in accordance with the descriptions provided is compromised by circumstances beyond the control of the University (e.g. third party industrial action), the University will use all reasonable endeavours to minimise disruption as far as it is practical to do so; (b) the programme is cancelled or substantially varied from that described in the prospectus for reasons other than circumstances beyond the University's reasonable control, the University will use reasonable endeavours to provide a suitable replacement programme. If the student does not wish to accept the replacement programme, the student shall be entitled to withdraw from the programme. In the event of such withdrawal the University shall make an appropriate refund of course fees. DATA SHARING In preparation for your arrival at the University we would like to share some of your personal information (such as full name, date of birth, Exeter Student Number, your email address/es and your University of Exeter username (once allocated) with the Guild of Students. This information is not be shared until you have been offered and accepted an unconditional offer at the University and will be used to allow you to sign up for appropriate Guild events in advance of your formal registration with the University. If you do not wish to share your data, you must notify us within 10 days of accepting an unconditional place at the University by emailing firstname.lastname@example.org, quoting your full name, student number putting DATA SHARE-OPT OUT in the header of your email. The University works with a number of organisations around the world who assist with academic checks on submitted documents and quality assurance. In circumstances where the University needs to consult a third party organisation in order to clarify degree certificates and transcripts in order to make a decision we would like to share your information. If you could benefit from pre-departure assistance we might refer your application onto our network of appointed agents in country. If you do not wish us to share your information with approved third party organisations you can opt out by emailing email@example.com within the next 10 working days. If you email please quote THIRD PARTY-OPT OUT. EMAIL We will use email for the majority of our communication with you so please ensure you provide your Exeter Student Number and the email address you supplied when applying in correspondence with us. Please check your emails on a regular basis and inform us of any changes to your contact email address as soon as possible to avoid any delays. DEPOSIT REFUND POLICY All deposit payments are subject to a 14 day cancellation period, if you cancel your place within 14 days of making the payment your deposit will be refunded in full. By making a deposit payment you are confirming that you understand and agree to the terms and conditions of our Deposit Refund Policy. Dear S.Saran Kirthic, Application No: JU2022MBA11908, Congratulations! You have fulfilled the selection criteria of JET process and have been provisionally selected for two year full time MBA program at CMS Business School, JAIN (Deemed-to-be University) Batch 2022-24. The provisional admission is subject to the following criteria: · Your provisional admission to the program will be confirmed only if you obtain an aggregate of 50% of marks [as per the norms of CMS Business School, JAIN (Deemed-to-be University) in the undergraduate examinations, from a recognized University]. · Students who are in the final year of their Undergraduate Program should have an aggregate of 50% and Semesters / Years of undergraduate examinations conducted as on date. · Pass certificate of 10th, Pre-University (12th) and Graduation (I, II, III / IV year Marks Cards), Degree Certificate, Transfer Certificate and Migration Certificate and the competitive exam score card(if applicable) to be submitted once the communication is sent to you. Instalment Schedule: \| Campus \| Instalment \| Amount (INR) \| Payment Date \| \|-------------------------------\|-----------------------------\|----------------\|-----------------------\| \| CMS Business School, Sheshadri Road \| Registration Fee (One Time) \| 20,000 \| On or before 05 February 2022 \| \| \| I Year Fee (Partial) \| 80,000 \| On or before 05 February 2022 \| \| \| I Year Fee (Remaining) \| 4,50,000 \| 25-May-22 to 10-Jun-22 \| \| \| II Year Fee \| 5,25,000 \| 25-May-23 to 10-Jun-23 \| \| \| Total \| 10,75,000 \| \| Note: All cancellations shall be processed as per the JAIN (Deemed-to-be University) cancellation policy. Visit www.jainuniversity.ac.in for the Student Admission Cancellation and Refund Rules Summary. Please Note - There is no International Trip for the batch 2022-24. In the event of any unforeseen/inevitable circumstance(s) including Force Majeure, the Manager (Deemed-to-be-University) may feel constrained to conduct the MBA Program in an Online mode/or mode, as it deems fit, keeping the best interests of the Academics in mind, and within the matrix of its res The Provisional Admission Letter will be issued once the first installment is paid by you. The first installment can be paid Online by logging in to the student dashboard. Note Below: Financial assistance available through our Education Finance Partner "LiquiLoans" at 0% interest. For further please contact Mr. Amit at 7337624222. For hostel accommodation, please contact JGI Admissions Office. Should you require any information, please call Mr. Preetham at 73376202 email: firstname.lastname@example.org Best Wishes! Mr V Moorthi Crizac Ltd (T/A Gateway Abroad) 11, U.N. Brahmachari Road Ground Floor, Wing A, Constantia Building Kolkata West Bengal - 700017 Dear Mr Vishal Moorthi Course: MBA Global MBA Month: September Year: 2022 We are pleased to make you a conditional offer of a place on the above course. Please note that this offer letter will expire on 6th June 2022. If you wish to accept this offer you must return the enclosed reply slip before that date. No student will be allowed to join the course after the start date without the agreement of the course leader. CONDITIONS OF THE OFFER: Receipt of a copy of your degree certificate & consolidated mark sheet having achieved 2:2 from awarding university \| ATTENDANCE MODE: \| Full-Time \| \|------------------\|-----------\| \| START DATE: \| September 2022 \| \| END DATE: \| September 2023 \| \| COURSE DURATION: \| 1 year \| \| FEES FOR ACADEMIC YEAR 2022/3: \| 17,105 GBP \| \| FEE DISCOUNT : \| 3000 GBP \| \| TOTAL FEE PAYABLE: \| 14,105 GBP \| For fees purposes you have been classed as an international student and this status will usually stay with you for the duration of the course. Meeting the conditions of your offer The conditions of your offer must be submitted to email@example.com by the 6th June 2022, if you do not think you will be able to meet this deadline, please contact us at your earliest convenience. Any outstanding conditions not provided by this date may result in your application being withdrawn. Please notify us as soon as you have met the conditions of the offer and send all supporting documentation to firstname.lastname@example.org by the 6th June 2022. Bursaries and Discounts We are pleased to inform you that as a new Indian domiciled International fee-paying applicant you are eligible to receive the Vice-Chancellor's Award of 3000 GBP towards the course fee. You do not have to apply to receive this award; however you must meet the criteria and be self-financing. Please note the award does not apply to sponsored students. For full terms and conditions please visit https://www.shu.ac.uk/international/fees-scholarships-and-discounts/scholarships-discounts-and-bursaries/automatic-discounts-and-bursaries Bursaries and discounts are based on a student being eligible for one offer only. Students who may qualify for more than one bursary or discount, will be eligible to receive one. The highest bursary/discount would prevail. This offer is only applicable to international fee-paying students who do not already have their fee discounted by another agreement, i.e corporate contract, partnership discount or government scholarship. Fees and Funding All international students must pay 50 percent of their tuition fee on or before enrolment. In addition to tuition fees you are advised to budget a minimum of 9207 GBP per year (or 1023 GBP per month) to cover accommodation and living expenses during your course, this only applies if you study full time. To arrange accommodation and for further information please contact the Accommodation Team on email email@example.com To secure a place on the programme and to assist us in our planning of student numbers, when the University confirms your place you will be required to pay a deposit of 3000 GBP. As soon as I receive notification that you have met the terms of your offer, I will send you a letter confirming your place and details of the methods by which deposits can be paid, together with a payment slip for you to return with your payment. The deposit will be deducted from your programme fee after invoicing has taken place. If you decide to cancel your place within fourteen calendar days of accepting this offer, then your deposit will be refunded in full. After that date and in any event after the start of the course, the deposit becomes non-refundable, and all or part of the deposit will be retained by us to cover the University's reasonable costs and losses. If you want to cancel your place please complete the statutory cancellation form which can be found at: https://www.shu.ac.uk/study-here/terms-and-conditions-and-student-regulations Verification of your qualifications and enrolment Please note that, before you can be fully enrolled, you will need to show the originals, not photocopies, of your entry qualifications at your enrolment event. If your entry qualifications are not in English you must provide a certified translation. Please note if you are not a national of the UK you will need to bring your passport with you to your enrolment session along with your UK Identity Card for Foreign Nationals. Change of address In order to ensure you receive all up to date information about your course, please let us know if you change your address at any time. Support for Disabled Students If you are disabled (this includes Dyslexia, mental health conditions and medical conditions) you may or may not have indicated this on your application form. In either case, the Disabled Student Support Team are keen to hear from you. If you would like to meet or talk to an adviser to discuss in confidence possible support whilst studying, please ring +44 (0)114 225 3964 (voice/minicom) or email firstname.lastname@example.org. Terms and conditions of your offer You should note that by accepting an offer of a place on this programme, you will be securing your place on the basis of the University’s terms and conditions and other contractual information, (you can view this at https://www.shu.ac.uk/Study-here/Terms-and-Conditions-and-Student-Regulations). This information imposes contractual obligations on both you and the University and you must read it before accepting an offer. Obtaining a visa If you have told us you require a visa to study at Sheffield Hallam University you will be issued with a Confirmation of Acceptance for Studies (CAS) once all the conditions of your offer have been met and you have paid your deposit. Please submit a copy of your passport with your offer acceptance. In order to enrol on a course at Sheffield Hallam you must use the CAS we have issued in order to obtain your visa. If you arrive at the University and have used a CAS from another university to obtain your visa you will not be able to enrol. Graduation The university graduation takes place in November following completion of your course. Enquiries If you have any queries about the status of your application please contact the International Admissions Team on 0114 225 4957 or email@example.com quoting your Student ID number 32051955. We hope you accept your offer and look forward to welcoming you to Sheffield. Yours sincerely Philip Bloor Head of Admissions To reserve a place on the course, complete and return the reply slip below to: Admissions Office, Sheffield Hallam University, Surrey Building, City Campus, Howard Street, Sheffield, S1 1WB. Alternatively you can email your acceptance to firstname.lastname@example.org quoting your name, student ID 32051955 and MBA Global MBA Receipt of your email will be taken as confirmation that you have read and understood the University’s terms and conditions and agree to be bound by and observe the provisions in them. STUDENT ID NUMBER: 32051955 MBA Global MBA Month: September Year: 2022 PLEASE TICK THE APPROPRIATE STATEMENTS: [ ] I accept the conditional offer for start date September 2022 and I understand that a place on the above course will only be reserved for me on receipt of this reply slip and that this place is conditional upon my meeting your requirements as stated in the offer letter. [ ] I do not accept the conditional offer because .................................................................................................................................. [ ] I wish to postpone my application until the next intake of the course. I understand that this is subject to the course being delivered. Signed: .................................................. Date: ........................................... Your offer for WMG, The University of Warwick 13 April 2022 Dear Mr Karthikeyan, Warwick ID Number: 2255929 We are delighted to inform you that you have been made a CONDITIONAL offer for the programme shown below. Qualification: Degree of Master of Science (at level 7 on the National Qualification Framework) Course Code and Title: P-H1S9 - Management for Business Excellence Mode of attendance: Full-Time Period of study: 3 October 2022 to 2 October 2023 YOUR WMG OFFER This offer is valid only for Mr Yathin KARTHIKEYAN (Date of birth: 13 July 2000) and is not transferable. - Provide an original (or an attested copy) of your degree certificate/transcript the award of your degree with a final GPA mark of at least 6.0 from Anna University - Arrange for a satisfactory academic reference to be submitted by your referee in support of your application. Dear Sharavanaraaj, Congratulations! You have been accepted into the Master of Engineering Systems: Automotive Systems at HAN University of Applied Sciences, starting on 1 September 2022. The HAN mark of excellence is the way we work together. The interaction between our students, staff and company networks is driven by quality, innovation and expertise in a setting of inspiration at our state-of-the-art campuses in Arnhem and Nijmegen. We are delighted you chose HAN as the next step in your future career and we look forward to welcoming you into our strong international student community. Your student number is 2108990. This student number must be mentioned in all future correspondence. The enrolment is complete only if you have met all requirements mentioned on the application portal. Yours sincerely, on behalf of HAN Board of Admissions Caroline Vegter HAN Admissions Office Financial guarantee \| Description \| Amount EUR \| VAT \| \|--------------------------------------------------\|------------\|-----\| \| Fin. Guarantee 09-2022 Master programs \| 21,117.00 \| Ex. \| € 8,965.00 Tuition fee Sep 2022 € 207.00 Visa application fee € 500.00 Health Insurance fee € 750.00 Administrative fee € 10,422.00 Subtotal fees € 10,695.00 Proof of sufficient means (Costs of living € 4,595.00, housing € 6,100.00) € 21,117.00 Total Financial guarantee More information about payment methods/refund can be found in the attachment Total excl. VAT 21,117.00 Total VAT amount 0.00 Total FG amount 21,117.00 We request you to transfer the Financial Guarantee amount before the payment due date of 1 June 2022 to the bank account number mentioned below, stating your student number full name Beneficiary name: Hogeschool van Arnhem en Nijmegen Beneficiary account number: 671533665 IBAN: NL74 INGB 0671 5336 65 BIC: INGBNL2A Bank name: ING Bank NV Bank address: Bijlmerdreef 109, 1102BW, AMSTERDAM, NL VAT number: NL810876395B01 Chamber of Commerce: 09091785 (Arnhem) Attachment Invoice September 2022 Payment Methods: 1. Full bank transfer of the Financial Guarantee including tuition fee (preferred option). 2. Bank transfer of tuition fee, partial payment of the Financial Guarantee (including accommodation) and Proof of Sufficient Financial Means by means of bank statement or sponsorship * 3. Bank transfer of tuition fee, partial payment of the Financial Guarantee (excluding accommodation) and Proof of Sufficient Financial Means by means of bank statement or sponsorship * * Check https://hanuniversity.com/en/study-and-living/admissions/residence-visa-info for visa information and sample forms on the requirements for submitting your Proof of Sufficient Financial Means. Overview \| Payment Method \| Amount of Bank Transfer \| Proof of Sufficient Financial Means \| \|----------------------------------------------------\|-------------------------\|-------------------------------------\| \| 1. Full payment \| 21,117.00 \| - \| \| 2. Partial payment including housing \| 16,522.00 \| 4,595.00 \| \| 3. Partial payment excluding housing \| 10,422.00 \| 10,695.00 \| Bank Transfer Fees: You are responsible for paying any bank fees resulting from the payment transfer. Refunds: When choosing option 1: Upon arrival, the amount of ‘Costs of Living’ (€ 4595.-) will be refunded to your Dutch bank account. Additionally, potential overpaid costs of accommodation and fees will be refunded (dependent on monthly rent; costs differ). When choosing option 2: Upon arrival, potential overpaid costs of accommodation and fees will be refunded (dependent on monthly rent; costs differ). Disenrollment Procedure: Disenrollment after 1 July: costs of administration fee and visa application fee shall be deducted of the refund. Disenrollment after 1 August: costs of administration fee, visa application fee and one month rental costs of chosen housing shall be deducted of the refund. 2022-02-18 Mr. Aadithan Anbuvanan No 7, 13th cross street Shastri Nagar, Adyar Chennai, Tamil Nadu 600020, IN Dear Mr. Aadithan Anbuvanan: Congratulations! It is my pleasure to offer you provisional admission to Clemson University's Graduate School for the MS program in Industrial Engineering for Fall 2022. Our records indicate that we do not have official documentation confirming that you have received your degree(s). You must provide the Graduate School with final official transcripts for your bachelor’s and any subsequent degrees. They must state the degree earned and date awarded. Additionally, for students enrolled at institutions outside of the United States, an official copy of a diploma or a degree certificate issued by the institution and showing receipt of all degrees and dates awarded may be needed, if not stated directly on the final official transcript. Please note that this provisional acceptance does not hinder you from registering for classes. However, your official documentation must be provided to the Graduate School before the end of your first semester of graduate study. A registration hold is placed on students who have not submitted all final-official transcripts. We are very much interested in learning whether you plan to accept our offer of admission, so please indicate your decision to accept or decline our offer as soon as possible. You may do this through the application portal by clicking the “Complete Your Decision Form” button. Specific questions regarding assistantships or fellowships, registration, and prerequisites should be directed to faculty and staff in the program. Please note that some graduate programs have academic or professional requirements or prerequisites. It is your responsibility to understand the requirements of the degree program as described in the graduate program handbook and to consult with the department if necessary to verify satisfaction of those requirements. Contact information for representatives of all graduate programs is available at: http://www.clemson.edu/graduate/academics/program-contacts.html Enrollment at Clemson University is contingent upon verification of your lawful presence in the United States, pursuant to South Carolina Code of Laws, Section 59-101-430. In addition, please visit: http://www.clemson.edu/graduate/students/new-student-to-do.html. This website contains pertinent information to assist you as you make preparations to begin your graduate studies at Clemson University. Again, congratulations on your admission. We look forward to welcoming you as a member of Clemson’s community of scholars. Sincerely, John M. Lopes, PhD Associate Provost and Dean of the Graduate School C31 (20) MS-INEN-F AAA 2022-02-01 Mr. Kiran Ganesh H-201 Purva Amaiti, 2247/48 Trichy Road Singanallur Coimbatore, Tamil Nadu 641005, IN Dear Mr. Kiran Ganesh: Congratulations! It is my pleasure to offer you provisional admission to Clemson University's Graduate School for the MS program in Automotive Engineering for Fall 2022. Our records indicate that we do not have official documentation confirming that you have received your degree(s). You must provide the Graduate School with final official transcripts for your bachelor’s and any subsequent degrees. They must state the degree earned and date awarded. Additionally, for students enrolled at institutions outside of the United States, an official copy of a diploma or a degree certificate issued by the institution and showing receipt of all degrees and dates awarded may be needed, if not stated directly on the final official transcript. Please note that this provisional acceptance does not hinder you from registering for classes. However, your official documentation must be provided to the Graduate School before the end of your first semester of graduate study. A registration hold is placed on students who have not submitted all final-official transcripts. We are very much interested in learning whether you plan to accept our offer of admission, so please indicate your decision to accept or decline our offer as soon as possible. You may do this through the application portal by clicking the “Complete Your Decision Form” button. Specific questions regarding assistantships or fellowships, registration, and prerequisites should be directed to faculty and staff in the program. Please note that some graduate programs have academic or professional requirements or prerequisites. It is your responsibility to understand the requirements of the degree program as described in the graduate program handbook and to consult with the department if necessary to verify satisfaction of those requirements. Contact information for representatives of all graduate programs is available at: http://www.clemson.edu/graduate/academics/program-contacts.html Enrollment at Clemson University is contingent upon verification of your lawful presence in the United States, pursuant to South Carolina Code of Laws, Section 59-101-430. In addition, please visit: http://www.clemson.edu/graduate/students/new-student-to-do.html. This website contains pertinent information to assist you as you make preparations to begin your graduate studies at Clemson University. Again, congratulations on your admission. We look forward to welcoming you as a member of Clemson’s community of scholars. Sincerely, John M. Lopes, PhD Associate Provost and Dean of the Graduate School C31 (20) MS-AUE-F CGE SI-UK University Application and Authorisation Form The UK Data Protection Act 1998 and the EU’s GDPR protects the personal data you supply and how it is used, stored and managed. All SI-UK services to students are free of charge. SI-UK works with all the UK universities and uses the below data to assist with advisory and university applications support. \| Full Name of student (As on Passport) \| First Name: \| Family Name: \| \|--------------------------------------\|-------------\|--------------\| \| \| AYAN MOHANKAT \| \| \| Date of birth \| Day 16 / Month 7 / Year 2001 \| Gender: \| \|---------------\|-----------------------------\|---------\| \| \| \| Male \| \| Email \| email@example.com \| \|-------\|-------------------------\| \| Phone Number \| 967638552 \| \|--------------\|-----------\| \| Nationality \| INDIAN \| \|-------------\|--------\| I understand that SI-UK will be using my personal data to assist me with my university selection, course selection, document preparation & to support my UK university application; I will be using their free services and taking their advice; I authorise my information to be shared with SI-UK, and UK universities, for the purpose of assisting with my application to UK universities. The data provided will assist for the above services. \| Signature of student \| \| \|----------------------\|---\| \| Date \| Day 21 / Month 5 / Year 2022 \| \|------\|-------------------------------\| SI-UK Delhi Office Suite 8 +13, 1st Floor, Indra Palace, H Block, Middle Circle, Connaught Place, New Delhi 110001 Tel: +91-11-4202-8200 E: firstname.lastname@example.org Notification of Selection Results International Master Programmes Autumn Semester 2022 2022-04-05 Application no. 14804512 Personal code no. 20001009-T213 Name GOKUL KANNA BALAKRISHNAN Address 2A L.B.SASTHRI ROAD, B.B.KULAM 14A, PARSN GLEN NESTLE APARTMENTS 625002 TAMIL NADU INDIEN This is your admissions notification with the results of selection for autumn semester 2022 Understanding your results Admitted – You’ve been offered a place in the course/programme. Reserve – You’ve been placed on a waiting list for the course/programme. The university will contact you if a place should become available. Deleted – You haven’t been offered a place in the course/programme for one of the following reasons: • you were admitted to a programme that you ranked higher and those with a lower ranking have been deleted (you can only be admitted to one master’s programme) • you did not fulfil the entry requirements for the course/programme Questions For questions regarding admission, please visit our Support Centre at www.universityadmissions.se/en/support-centre/ for contact information. For questions regarding scholarships that you may have applied for, please contact the organisation or university issuing the scholarship. For questions regarding your residence permit for studies, please contact the Swedish Migration Agency. For any further information that you require, please contact the university in question. Would you like to appeal a decision regarding eligibility? You may appeal a decision that you haven't met or been exempted from the entry requirements for a specific course or programme. You may not appeal that you weren't offered a place. Time frame The appeal must be in writing and must reach University Admissions in Sweden no later than three weeks from the date you read your admissions results. How to submit your appeal There are two ways you can submit your appeal: - online using the Appeals guide - in writing using the postal service Appeals guide The easiest way to submit your appeal is online using the Appeals guide. Log in to your account, go to 'Documents' and follow the instructions for appeals. Written appeal You can also write your own appeal letter. In your letter, include the following information: - what decision you're appealing - why you think the decision should be changed - what change you're requesting - which university the appeal concerns Be sure to sign your appeals letter and provide your address, telephone number and email address. For most universities, you should begin your appeals letter with "To the Higher Education Appeals Board", which is the responsible Swedish public authority. However, there are a few exceptions. If your appeal is for Chalmers University of Technology, Marie Cederschiöld University, Stockholm School of Economics, Jönköping University, The Red Cross University College of Nursing, Sophiahemmet University College, Johannelunds Theological University College or University College Stockholm, your appeal must begin with "To the Vice-Chancellor" as these universities themselves are the decision-making authority for the appeal. Submit your written appeal by regular post to: Överklagande/Appeals, PostNord Strålfors AB, Att: University Admissions in Sweden, R 312, SE-190 81 Rosersberg, Sweden. Do you have protected personal data? If you have full identity protection, never upload documents to Universityadmissions.se or send anything to the above address. Instead, send your appeal by regular post to: UHR, c/o SGA, Box 4030, 171 04 Solna, Sweden. Response First, the university will review your appeal to see if there are grounds to reverse their decision. The university will then forward your appeal to the Higher Education Appeals Board. The decision that the Appeals Board makes is final and cannot be appealed. ## Results after selection No. 1 \| Prio Appl. Code \| Education/University (College) \| Credits \| Selection Group \| Selection Result \| No. of people admitted in the selection group \| Notes/Info \| \|-----------------\|------------------------------------------------------------------------------------------------\|---------\|-----------------\|------------------\|-----------------------------------------------\|------------\| \| 1 \| Master's Programme, Vehicle Engineering Day-time 100% Normal teaching KTH Royal Institute of Technology Stockholm Tuition fee, first instalment: 77 500 SEK Total course/programme fee: 310 000 SEK \| 120 \| AVG \| Reserve 106 \| 33 \| 1, AV, SV, 3, 4 \| \| 2 \| Master's Programme in Sustainable Energy Engineering Day-time 100% Normal teaching Lund University Lund Tuition fee, first instalment: 72 500 SEK Total course/programme fee: 290 000 SEK \| 120 \| Admitted \| \| \| 1, AV, SV, 5, 6 \| \| 3 \| Mobility Engineering, Msc Progr Day-time 100% Normal teaching Chalmers University of Technology Göteborg \| 120 \| Deleted \| \| \| 2, OB, 7 \| \| 4 \| Sustainable Electric Power Engineering and Electromobility, Msc Progr Day-time 100% Normal teaching Chalmers University of Technology Göteborg \| 120 \| Deleted \| \| \| 2, OB, 8 \| ### Educational programme-/Course notes 1. Your general eligibility is conditional. This means that in order to begin your studies, you must show you fulfill the general entry requirement of a completed bachelor’s degree (equivalent to the Swedish kandidatexamen) comprised of at least 180 credits or the equivalent. You must provide documentation that you meet this requirement to the department when the course/programme starts (at the latest). 2 You have been granted an exemption from the general requirement of a completed academic degree comprising of at least 180 ECTS credits or equivalent. The decision only applies to this programme/course, this semester. AV You must pay the tuition fee to your university. They will contact you with specifics on how you can make your payment. SV OB You do not meet the requirements for this course/programme. Information from University/University Colleges Chalmers University of Technology Information about scholarships administrated by Chalmers Are you liable to pay tuition fees? If so, you have made an excellent choice in applying to Chalmers! We can offer a range of scholarships and our scholarship application portal opened 29th of November. Provided that you have submitted an on time application for a Master’s programme you can apply for scholarships until 24:00 CET on 19th of January, 2022. Please note that the application fee cannot be waived by any of Chalmers scholarships. Find out more here at Chalmers.se (http://www.chalmers.se/en/education/fees-finance/Pages/default.aspx) Educational programme-/Course information 3 Thank you for your application to KTH! Thank you for applying to KTH Royal Institute of Technology! The next step is to submit the supporting documents required to fulfill the general and specific admission requirements at www.universityadmissions.se by the 1 February deadline. For detailed information regarding required documents, visit: https://www.kth.se/en/studies/master/vehicleengineering/entry-requirements-1_48236 (https://www.kth.se/en/studies/master/vehicleengineering/entry-requirements-1_48236) We look forward to your completed application! 4 Information for reserves/applicants on the waiting list Reserve You are not admitted to the programme but have been placed on a waiting list. In some cases, reserves are offered a place, but chances are slim. If you are offered a place, you will receive an updated notification of selection results and the programme coordinator will then contact you directly - you do not need to contact KTH for any updates. If you are not offered a place this year, you are welcome to apply again next year. Conditionally placed on reserve You are not admitted to the programme but have been placed on a waiting list (see the information above). If admitted and required to pay the tuition fee you will receive an invoice. Please note that you will not be able to pay the fee before you are officially admitted. 5 Thank you for applying to Lund University The next step is to submit the required documents by the 1 February deadline. In addition to the general documents mentioned at universityadmissions.se, this specific Master’s programme requires all applicants to submit programme-specific documents. Please check the programme webpage to see what programme-specific documents are required. You will find the programme webpage here (https://www.lunduniversity.lu.se/lubas/courses-programmes-a-z) We look forward to your completed application! 6 Important information on your admission to Lund University! Congratulations to your admission to Lund University. Below you will find important information on your admission. If you intend to start your studies, please accept your admissions offer at the following webpage: www.universityacceptance.se (https://www.universityacceptance.se) If you are a non-EU citizen and required to pay tuition fees, the deadline for payment of the first instalment of the tuition fee is 20 May 2022. If the payment of the tuition fee instalment has not reached Lund University by payment deadline, your admission will be deleted. For more information visit: www.lunduniversity.lu.se/tuition-fees (http://www.lunduniversity.lu.se/tuition-fees) To start your studies, you need to follow any instructions from the Faculty/Department of studies on how to enrol (register) at the start of the semester. You risk losing your admission to Lund University if you do not enrol/register in time. You will find more information for newly admitted students at www.lunduniversity.lu.se/newly-admitted-students (http://www.lunduniversity.lu.se/newly-admitted-students) This programme starts 2022-08-29 and ends 2024-06-02. 7 Thank you for your application to Chalmers! Thank you for your application to Chalmers University of Technology! The next step for you in the application process is to submit the required supporting documentation. We encourage you to submit these documents as soon as possible, but no later than 1 February, 2022. For information about what specific documents are required when applying to Chalmers, visit this page at Chalmers.se (https://www.chalmers.se/en/education/application-admission/required_documents/Pages/required%20documents.aspx) Documents submitted after the deadline, 1 February 2022, will not be taken into consideration. We look forward to your completed application! 8 Thank you for your application to Chalmers! Thank you for your application to Chalmers University of Technology! The next step for you in the application process is to submit the required supporting documentation. We encourage you to submit these documents as soon as possible, but no later than 1 February, 2022. For information about what specific documents are required when applying to Chalmers, visit this page at Chalmers.se (https://www.chalmers.se/en/education/application-admission/required_documents/Pages/required%20documents.aspx) Documents submitted after the deadline, 1 February 2022, will not be taken into consideration. We look forward to your completed application! Contact information E-mail: email@example.com Cell phone no.: 9787861480 Address Alternative address: From 2022-01-28 To 2023-01-28 2A L.B.SASTHRI ROAD, B.B.KULAM 14A, PARSN GLEN NESTLE APARTMENTS 625002TAMIL NADU INDIEN
oADABOOST An ADABOOST variant for Ordinal Classification João Costa\textsuperscript{1}, Jaime S. Cardoso\textsuperscript{2} \textsuperscript{1}Faculdade de Engenharia, Universidade do Porto, Rua Dr. Roberto Frias, 4200-465 Porto, Portugal \textsuperscript{2}INESC TEC and Faculdade de Engenharia, Universidade do Porto, Rua Dr. Roberto Frias, n\textsuperscript{o} 378, 4200-465 Porto, Portugal email@example.com, firstname.lastname@example.org Keywords: Supervised Learning, Ordinal Classification, Ensemble Methods, ADABOOST. Abstract: Ordinal data classification (ODC) has a wide range of applications in areas where human evaluation plays an important role, ranging from psychology and medicine to information retrieval. In ODC the output variable has a natural order; however, there is not a precise notion of the distance between classes. The Data Replication Method was proposed as tool for solving the ODC problem using a single binary classifier. Due to its characteristics, the Data Replication Method is straightforwardly mapped into methods that optimize the decision function globally. However, the mapping process is not applicable when the methods construct the decision function locally and iteratively, like decision trees and ADABOOST (with decision stumps). In this paper we adapt the Data Replication Method for ADABOOST, by softening the constraints resulting from the data replication process. Experimental comparison with state-of-the-art ADABOOST variants in synthetic and real data show the advantages of our proposal. 1 INTRODUCTION One of the most representative problems of supervised learning is classification, consisting of the estimation of a mapping from the feature space into a finite class space. Depending on the cardinality of the output space, we are left with binary or multiclass classification problems. Finally, the presence or absence of a “natural” order among classes differentiates nominal from ordinal problems. A large number of real world classification problems can be seen as ordinal tasks, that is, we want to learn a function that is able to classify points in a finite set of classes, which have an ordering relation between them (\textit{e.g.} we might want to classify a movie as good, average or bad). Note that, since only the order is known, one cannot simply pick an arbitrary mapping from our classes to numbers (\textit{e.g.} \textit{bad} $\mapsto$ 0, \textit{average} $\mapsto$ 1, \textit{good} $\mapsto$ 2) and solve a regression problem, as our error function would be highly dependent of that mapping. Also, our classes might not have a valid numerical interpretation, (\textit{e.g.} is a good movie equivalent to two average movies?) therefore choosing an appropriate mapping is not trivial. One solution to ordinal problems is to simply ignore the ordering relation, treat them as nominal classification problems and use a learning algorithm designed for this kind of tasks (\textit{e.g.} C4.5 decision trees and ADABOOST). A better alternative is to devise solutions that take advantage of the order information in the design of the classifier. A possible approach is to transform our dataset in such a way that we force our learning algorithm to respect the ordering relation. One such transformation is the Data Replication Method (Cardoso and da Costa, 2007), which transforms an ordinal problem into a larger binary classification one. One of the limitations of the Data Replication Method is that it cannot be immediately applicable when the decision function is constructed iteratively and locally, like in decision trees or ADABOOST. In this work, we present a new ADABOOST variant that performs its growth on the replicated feature space, and therefore is able to use the ordering relation when training the weak classifiers. 1.1 Related Work Frank and Hall presented a simple method that enables standard classification algorithms to make use of ordering information in class attributes (Frank and Hall, 2001). By applying it in conjunction with a decision tree learner, the authors show that it outperforms the naive approach, which treats the class values as an unordered set. Compared to special-purpose algorithms for ordinal classification, the method has the advantage that it can be applied without any modification to the underlying learning scheme. The rationale encompasses using $(K - 1)$ standard binary classifiers to address the $K$-class ordinal data problem. Toward that end, the training of the $i$th classifier is performed by converting the ordinal dataset with classes $C_1, \ldots, C_K$ into a binary dataset, discriminating $C_1, \ldots, C_i$ against $C_{i+1}, \ldots, C_K$. To predict the class value of an unseen instance, the $(K - 1)$ outputs are combined to produce a single estimation. Any binary classifier can be used as the building block of this scheme. Observe that the $(K - 1)$ classifiers are trained in an independent fashion. This independence is likely to lead to intersecting boundaries, a topic to which we will return further on in this paper. The Data Replication Method (Cardoso and da Costa, 2007) overcomes the limitations identified above by building all the boundaries at once. That guarantees that the boundaries of the classifiers will never intersect. This method, however, has limitations with methods that build the decision function iteratively (and greedily), and therefore cannot be easily mapped to AdaBoost. In the ensemble approach to ordinal data classification, although not directly related to our work, it is worth mentioning the work introducing global constraints in the design of decision trees (Cardoso and Sousa, 2010; Sousa and Cardoso, 2011). The method consists on growing a tree (or an ensemble of trees) and relabeling the leaves according to certain constraints. Therefore, the trees are still built without taking the order into account and only post-processed to satisfy ordinality constraints. Moreover, the post-processing is very computationally demanding, only possible in low dimensional input spaces. More recently, the combination of multiple orthogonal directions has been suggested to boost the performance of a base classifier (Sun et al., 2014). Sequentially, multiple orthogonal directions are found; these different directions are combined in a final stage. There are also some boosting-related approaches for ordinal ranking. For example, RankBoost (Freund et al., 2003) approach is based on the pairwise comparison perspective. Lin and Li proposed ordinal regression boosting (ORBoost) (Lin and Li, 2006), which is a special instance of the extended binary classification perspective. The ensemble method most in line with our work is AdaBoost\_OR (Lin and Li, 2009). This method uses a primal-dual approach to solve an ordinal problem both in the binary space and the ordinal space, by taking into account the order relation when updating the binary point’s weights. However, AdaBoost\_OR is more constrained than our proposed approach; while AdaBoost\_OR is closer to a single AdaBoost instantiated with an ordinal data classifier, our approach is closer to having multiple AdaBoost coupled in the construction of the weak classifier. ## 2 BACKGROUND In this section we start by analysing the Frank and Hall’s approach to ordinal classification (Frank and Hall, 2001), which facilitates the introduction of the Data Replication Method (Cardoso and da Costa, 2007). The Data Replication Method is a framework for ordinal data classification that allows the application of most binary classification algorithms to ordinal classification and imposes a parallelism constraint on the resulting boundaries. In the end, we summarize the AdaBoost ensemble method, paving the way to the presentation of the proposed adaptation of AdaBoost to ordinal data. ### 2.1 Frank and Hall Method Suppose we want to learn a function $f : X \rightarrow Y$, where $X$ is our feature space and $Y = \{C_1, C_2, ..., C_K\}$ is our output space, where our labels are ordered according to $C_1 \prec C_2 \prec ... \prec C_K$. Also, assume that we have a dataset $D = (D, f)$, where $D \subseteq X$ is our set of examples and $f : D \rightarrow Y$ gives us the label of each example. The Frank and Hall method transforms the $K$ class ordinal problem into $(K - 1)$ binary problems by creating $(K - 1)$ datasets $D_k = (D, f_k)$ where: \[ f_k(x) = \begin{cases} C_- & \text{if } f(x) \preceq C_k \\ C_+ & \text{if } f(x) \succ C_k \end{cases} \] Intuitively, learning a binary classifier from each of the $D_k$ datasets will create $(K - 1)$ classifiers that answer the questions “is the label of point $x$ larger than $C_k$?””. This is to say, each classifier will give us an estimate of $P(f(x) = C_k)$. Frank and Hall then propose that one finds the $P(f(x) = C_k)$ using the usual rule: \[ \begin{cases} 1 - P(f(x) \prec C_1) & \text{if } k = 1 \\ P(f(x) \succ C_{k-1}) - P(f(x) \succ C_k) & \text{if } k \in [2, K - 1] \\ P(f(x) \succ C_{K-1}) & \text{if } k = K \end{cases} \] Even though our conversion from ordinal to binary guarantees that $ f_k(x) = C \Rightarrow f_{k-1}(x) = C $, and $ f_k(x) = C \Rightarrow f_{k-1}(x) = C $, those rules do not always hold for the learnt probabilities. In practice, this means that it is possible that the combination rule proposed by Frank and Hall returns a negative probability for some classes. One solution to this problem is setting that negative probabilities to zero. Another possible way to combine our binary classifiers is by a simple counting method: $ \hat{f}(x) = C_i $, with $ i = 1 + \sum_{k=1}^{K-1} \mathbb{I}[f_k(x) = C_i] $. In either way, the main conceptual problem is not addressed. ### 2.2 Consistency and Parallelism One important concept in ordinal data classification is the idea of consistency with the ordinal setting (Cardoso and Sousa, 2010). The idea behind it is intuitive: a small change in the input data should not lead to a “big jump” in the output decision (e.g. it is not expected that a small change in a feature makes the estimated product quality to go from “bad” to “good” without going through “average”). One way to guarantee this restriction is by enforcing that there is no intersection between decision boundaries, which can, in turn, be guaranteed by enforcing our boundaries to be parallel. In Figure 1 it is possible to see two partitions of the input space corresponding to two different classifiers, one without the parallelism constraint and another one with it. In the first one, a small variation around the point marked with $ \otimes $ can make an abrupt jump between two very distinct classes (“black” and “white”), while on the second classifier that is not possible. It can be seen that the method proposed by Frank and Hall does not respect this concept, and therefore can lead to problematic classifiers. ### 2.3 The Data Replication Method The Data Replication Method uses the idea behind the Frank and Hall method in a different way: instead of simply creating $(K - 1)$ datasets, it extends the feature space so that all points from the $(K - 1)$ replicas are present on the same dataset. Assume $ e_0 $ as a vector composed of $(K - 2)$ zeros and a vector $ e_q $ as a vector composed by $(K - 3)$ zeros and a positive constant (e.g. 1) on the $q$-th position (e.g. if $ K = 5 $, $ e_2 = [0, 1, 0] $). We then transform each point $ x \in D $ into $(K - 1)$ points $ z_q = (x, e_q) $. This does allows us to train a single binary classifier on the whole data and then combine the results in the same fashion as previously presented. Also, this replication guarantees that some algorithms such as Support Vector Machines (SVMs) and Artificial Neural Networks (ANNs) will always produce parallel boundaries on the final ordinal space. A simple example of the Data Replication Method can be seen in Figure 2. Note that: a) $ x \in \mathbb{R} $ while $ z \in \mathbb{R}^2 $; b) a single binary classifier is designed in the extended dataset to solve the multiclass problem in the original space. The intersection of the binary boundary with each of the $ K - 1 $ replicas provide the necessary $ K - 1 $ boundaries in the original space. Further details of the method can be found on the original paper (Cardoso and da Costa, 2007). ### 2.4 AdaBoost AdaBoost is a boosting algorithm introduced by Freund and Schapire (Freund and Schapire, 1995). Boosting algorithms are a part of a big set of machine learning techniques called ensemble methods which general idea is to use several models to classify obserFigure 2: Toy example of the Data Replication Method. (a) Original Problem. (b) Problem on the replicated space. (c) Solution to the problem on the replicated space. (d) Result on the original space. vations and combine them together to obtain a classifier with a predictive performance superior than any of its constituents. AdaBoost uses a weak learner to classify observations. A weak learner is defined as a classifier which is only slightly correlated with the true data labels. In the case of binary prediction, a weak learner is a classifier which is only slightly better than throwing a coin and deciding an object’s class according to the trial’s result. During each iteration, the algorithm trains a weak learner $\hat{f}_t(x)$ using an iteratively determined distribution and selects the weak hypothesis minimizing the expected error rate. After selecting the best weak hypothesis $\hat{f}_t$ for the distribution $D_t$, the observations $x_i$ correctly identified by $\hat{f}_t$ are weighted less than those misclassified, so that the algorithm will, when fitting a new weak hypothesis to $D_{t-1}$ in the next iteration, select one such rule which identifies better those observations that its predecessor failed. The output of the AdaBoost algorithm is a final or combined hypothesis $\hat{f}_T$. $\hat{f}_T$ is simply the sign of a weighted combination of the weak hypothesis, i.e., $H$ is a weighted majority rule of the weak classifiers, $\hat{f}_T(x) = \text{sign}\left(\sum_{t=1}^{T} \alpha_t f_t(x)\right)$. 3 oAdaBoost While the Data Replication Method (DRM) has already been instantiated with SVMs, ANNs and Kernel Discriminant Analysis (Cardoso and da Costa, 2007; Cardoso et al., 2012), its mapping to AdaBoost is not trivial, as illustrated in Figure 3 for an AdaBoost with a decision stump. This is due to the fact that a decision stump can only make cuts at one attribute at a time, and therefore, as it can be imagined, there are only two possible types of cuts in our data replicated space: - If the cut happens on one of the original attributes, then the cuts on each replica will be on the same position (see Figure 3(a)). - If the cut happens on one of the new attributes, then the cut will represent a constant factor on the original space (see Figure 3(b)). Note that the difficulties of instantiating the DRM with AdaBoost remain true for any weak learner that use a single attribute. Since in each iteration a weak learner is designed without strong ties with the other weak learners, the strong classifier resulting from the boosting process may not possess the desired property of consistency. In here we propose a soft DRM, where the non intersecting constraint is imposed on each iteration. Although the final strong classifier may not possess that property, intuitively, the final model is biased towards consistent models. In order to exploit the parallelism constraint that is usually imposed by the Data Replication Method, instead of training one weak classifier, we can train $(K - 1)$ weak classifiers (one for each replica), where we force them to use the same attribute but with different thresholds. This will in turn guarantee that our cuts are parallel. This makes our soft DRM a hybrid of the original DRM and the Frank and Hall method. We apply this idea to AdaBoost by independently boosting each replica while forcing that, at every iteration, all weak classifiers use the same attribute: 1. As before, we create $(K-1)$ binary replicas of our dataset; 2. Initialize the weights such as the sum of the weights of each replica is 1; 3. Coupled selection of the weak classifier between all replicas; (a) For a decision stump, pick the best attribute (possibly with different decision thresholds) $att$ based on a combination of the errors of each replica; 4. Calculate the weight of each observation $j$ in each replica $k$ at iteration $i$; 5. If a replica has an error superior to 50%, stop boosting that replica; 6. The training stops if every replica has an error superior to 50% or after a set number of iterations. Note that the $(K-1)$ binary AdaBoost are tied only in step 3, which can be considered as part of building the weak learner. Also note the error of each weak classifier is computed independently for each replica, resulting also in an independent update of the weights and in independent estimation of the contribution of the binary weak classifier to the final binary strong classifier. Moreover, the boosting process can stop earlier in one replica than in the others. Nothing of this is true for AdaBoost\_OR. When using the decision stump as weak classifier, all $(K-1)$ replicas of AdaBoost are constrained to use the same attribute but with (likely) different thresholds. The attribute is chosen to minimize a function (in our case we selected the average but the median or the maximum were also sensible options) of the individual $(K-1)$ errors: \[ \arg\min_{att} \frac{1}{K-1} \sum_{k=1}^{K-1} Err_k(att) \] The individual error $Err_k(att)$ is the smallest misclassification error (by optimizing the threshold) in replica $k$ when using attribute $att$. A more detailed explanation of this algorithm can be seen on Algorithm 1. ### 4 EXPERIMENTAL STUDY In order to compare the performance of the various AdaBoost variants, we performed experiments on both artificial and real-world datasets. All variants were implemented on top of Weka’s AdaBoost.M1 implementation. The results were obtained by performing 10 experiments using 10-fold cross validation, with the number of iterations limited to 100. The statistical significance analysis was done in Weka’s experimenter interface using a corrected paired t-test, with a confidence of 0.05. The error metrics used were the Mean Error Rate (MER) and the Mean Absolute Error (MAE). #### 4.1 Ordinal Datasets In our experiments we use two synthetic datasets and six real datasets. A more detailed description of each dataset is presented in Table 1. The synthetic datasets are the following: --- 2 We calculated the absolute error in the following way: If our predicted class is $C_p$ and the correct class is $C_c$, then the absolute error is $\|c - p\|$. Weka comes with an implementation of MAE for classification that is different from the one we presented and is not suited for ordinal tasks, and therefore should not be used to reproduce our results. Data: A dataset $\mathcal{D} = (D, f)$ with $N$ elements Result: A classifier $\hat{f}_g$ Replicate the dataset in $K - 1$ binary replicas $\mathcal{D}_k = (D_k, f_k)$ Initialize the example weights as $w^i_k := \frac{1}{N}$; Initialize $active_k = true$; $i := 1$; while ¬EndingCondition do \| forall the $att \in Attributes$ do \| \| --- \| \| forall the $k : 0 \leq k < K - 1 \land active_k$ do \| \| $\hat{f}_{k, att} = \text{train}(\mathcal{D}_k, att)$; \| \| $error_{k, att} = \sum_{j=1}^{N} w^j_k \\| \hat{f}_{k, att}(d^j_k) \neq f(d^j_k) \\|$: \| \| end \| \| $\hat{att}_i = \arg\min_{att} \text{combination}(error_{k, att})$; // The attribute to split on \| forall the $k : 0 \leq k < K - 1 \land active_k$ do $\hat{f}_k = \hat{f}_{k, \hat{att}_i}$; $error'_k = error_{k, \hat{att}_i}$; if $error'_k > 0.5$ then $active_k := false$; // Stop boosting this replica else $\alpha'_k = 0.5 \log \left( \frac{error'_k}{1 - error'_k} \right)$; // Classifier weight forall the $j$ do $w^j_k := w^j_k (\alpha'_k)^{-[f_j(d_j) \neq \hat{f}_k(d_j)]}$; // Updates the example weights end $f_k := f_k \cup \{\hat{f}_k\}$; // Binary ensemble for replica $k$ end Normalize the weights so that $\forall k : \sum_j w^j_k = 1$; $i := i + 1$ end forall the $k$ do $\hat{f}_{g_k}(x) = \text{sign}(\sum_i \alpha'_k \hat{f}_k(x))$; // Binary classifier for replica $k$ end $\hat{f}_g = \text{getOrdinalClassifier}(\hat{f}_{g_1}, ..., \hat{f}_{g_{K-1}})$; // Combines the binary results Algorithm 1: oADABOOST with decision stump Table 1: List of considered datasets. The number of attributes excludes the class attribute and the SWD dataset has an unused label. \| Name \| Points \| Attributes \| Labels \| Class Distribution \| \|-----------------------------\|--------\|------------\|--------\|--------------------\| \| Synthetic 1 (Circle) \| 1000 \| 2 \| 3 \| [523,413,63] \| \| Synthetic 2 (Non-monotonic)\| 5000 \| 2 \| 5 \| [115,296,225,229,135] \| \| Arie Ben David ERA \| 1000 \| 3 \| 9 \| [92,142,181,172,158,118,88,31,18] \| \| Arie Ben David ESL \| 488 \| 4 \| 9 \| [2,12,38,100,116,135,62,19,4] \| \| Arie Ben David LEV \| 1000 \| 4 \| 5 \| [93,280,403,197,27] \| \| Arie Ben David SWD \| 1000 \| 10 \| 4(5) \| [32,352,399,217] \| \| Balance-Scale \| 625 \| 4 \| 3 \| [288,49,288] \| \| BCCT \| 1144 \| 30 \| 4 \| [160,592,272,120] \| ![Figure 4: Synthetic dataset.](image) 1. 1000 points $ x = (x_1,x_2)^t $ were randomly generated in the unit square $[0,1] \times [0,1] \in \mathbb{R}^2$ according to the uniform distribution. The class was assigned to each point according to its distance to $(0.5,0.5)$: \[ f(x) = \left[6 \times ((x_1 - 0.5)^2 + (x_2 - 0.5)^2)\right] \] 2. 1000 points from a dataset commonly used for evaluating ordinal data methods (Cardoso and da Costa, 2007) (this dataset is also shown on Figure 4). In the Balance-Scale dataset each example representing a balanced scale tipped to the right, to the left or balanced, based on the relation between the left distance, right distance, left weight and right weight. It is available on the UCI repository ([https://archive.ics.uci.edu/ml/](https://archive.ics.uci.edu/ml/)). The Arie Ben David datasets are available on the MLData Repository ([http://mldata.org/](http://mldata.org/)) and consist of examples classified on a ordinal scale according to subjective judgements (\textit{e.g.} the degree of fitness of a candidate to a certain job). The BCCT dataset, encompassing 1144 observations, expresses the aesthetic evaluation of Breast Cancer Conservative Treatment (Cardoso and Cardoso, 2007; Cardoso and Sousa, 2011). For each patient submitted to BCCT, 30 measurements were recorded, capturing visible skin alterations or changes in breast volume or shape. The aesthetic outcome of the treatment for each and every patient was classified in one of the four categories: Excellent, Good, Fair and Poor. ### 4.2 Results In Table 2 we show a comparison of the following AdaBoost variants, instantiated with Decision Stumps, limited to 100 iterations: - oAdaBoost Our AdaBoost variant. - AdaBoost.M1 One of the most common AdaBoost variants with support for multiple classes (Freund et al., 1996). - AdaBoost.MIW A small variant of the AdaBoost.M1 algorithm designed to have better performance on problems with many possible classes (Eibl and Pfeiffer, 2002). - AdaBoost.OR A variant of the AdaBoost.M1 designed for ordinal classification (Lin and Li, 2009). Since it needs an ordinal classifier as the weak learner, we use a decision stump that picks $(K-1)$ cuts on the same attribute. Frank and Hall (with AdaBoost) The method proposed by Frank and Hall (Frank and Hall, 2001) instantiated with AdaBoost. Note that in this method the $(K-1)$ weak learners are independently designed, while in our proposed oAdaBoost method they are coupled. Results seem to also indicate a slight superiority of AdaBoost.MIW over AdaBoost.M1, more clear in the datasets with more classes. AdaBoost.OR seems superior to AdaBoost.MIW and AdaBoost.M1, suggesting that the integration of the knowledge of the order in the design brings performance advantages. It is also possible to see that oAdaBoost and Frank and Hall methods present the most favorable results when compared to the other boosting algorithms under comparison. The performance difference between our method Table 2: Comparison of oAdaBoost with AdaBoost variants (a) Mean Error Rate: mean (standard deviation) of 10 experiments \| Dataset \| oAdaBoost \| AdaBoost_M1 \| AdaBoost_M1W \| AdaBoost_OR \| Frank and Hall \| \|-----------\|-----------\|-------------\|--------------\|-------------\|----------------\| \| Circle \| 0.07(0.03)\| 0.40(0.03)* \| 0.55(0.01)* \| 0.16(0.04)* \| 0.07(0.03) \| \| Non-mon. \| 0.66(0.03)\| 0.70(0.02)* \| 0.61(0.05)* \| 0.76(0.02)* \| 0.50(0.04)* \| \| ERA \| 0.75(0.04)\| 0.78(0.02) \| 0.78(0.04) \| 0.78(0.02) \| 0.73(0.05) \| \| ESL \| 0.33(0.06)\| 0.57(0.03)* \| 0.47(0.06)* \| 0.45(0.05)* \| 0.33(0.06) \| \| LEV \| 0.38(0.04)\| 0.58(0.03)* \| 0.42(0.05)* \| 0.50(0.04)* \| 0.38(0.05) \| \| SWD \| 0.43(0.05)\| 0.48(0.04)* \| 0.48(0.05)* \| 0.48(0.04)* \| 0.43(0.05) \| \| Balance \| 0.03(0.02)\| 0.28(0.04)* \| 0.08(0.02)* \| 0.17(0.08)* \| 0.04(0.02) \| \| BCCT \| 0.13(0.03)\| 0.37(0.03)* \| 0.38(0.05)* \| 0.32(0.03)* \| 0.13(0.03) \| (b) Mean Absolute Error: mean (standard deviation) of 10 experiments \| Dataset \| oAdaBoost \| AdaBoost_M1 \| AdaBoost_M1W \| AdaBoost_OR \| Frank and Hall \| \|-----------\|-----------\|-------------\|--------------\|-------------\|----------------\| \| Circle \| 0.07(0.03)\| 0.44(0.03)* \| 0.55(0.01)* \| 0.16(0.04)* \| 0.07(0.03) \| \| Non-Mon. \| 0.90(0.07)\| 1.30(0.08)* \| 1.19(0.14)* \| 1.03(0.04) \| 1.02(0.03) \| \| ERA \| 1.24(0.10)\| 1.43(0.07)* \| 1.44(0.12)* \| 1.43(0.07)* \| 1.34(0.13)* \| \| ESL \| 0.35(0.07)\| 0.73(0.06)* \| 0.56(0.08)* \| 0.51(0.07)* \| 0.35(0.07) \| \| LEV \| 0.41(0.05)\| 0.71(0.03)* \| 0.46(0.06)* \| 0.57(0.05)* \| 0.42(0.06) \| \| SWD \| 0.45(0.05)\| 0.50(0.04)* \| 0.54(0.06)* \| 0.50(0.04)* \| 0.46(0.05) \| \| Balance \| 0.03(0.02)\| 0.49(0.09)* \| 0.08(0.02)* \| 0.18(0.09)* \| 0.04(0.02) \| \| BCCT \| 0.13(0.03)\| 0.38(0.03)* \| 0.40(0.07)* \| 0.33(0.03)* \| 0.14(0.03) \| oAdaBoost and Frank and Hall instantiated with AdaBoost seems negligible. However, note that since oAdaBoost is constrained to use the same attribute in all $(K - 1)$ weak learners (which is not the case in the Frank and Hall method), it results in simpler models without loss of performance. ![Figure 5: Boundaries generated by (a) oAdaBoost, (b) Frank and Hall (with AdaBoost) and (c) AdaBoost_OR on our synthetic non-monotonic dataset](image) Based on the boundaries of the various classifiers trained on our synthetic non-monotonic dataset (Figure 5), it appears that AdaBoost_OR has more problems with noise, while both oAdaBoost and the Frank and Hall method have problems with non-monotonicity. 5 CONCLUSIONS In this work we have presented a new variant of the well known AdaBoost algorithm designed for ordinal classification. In the proposed methodology, $(K - 1)$ binary AdaBoost are built in parallel, tied in phase of designing the weak learner. In the end, the $(K - 1)$ strong binary classifiers are combined to yield the multiclass model. Based on our results, it appears that by enforcing local constraints at each boosting iteration (in this case, by enforcing local parallelism) and by working on the replicated space, one can achieve better results on ordinal classification tasks, when compared to other AdaBoost variants instantiated with decision stumps. We plan now to extend these ideas to other learning methodologies whose behaviour is similar to AdaBoost (\textit{i.e.} the final classifier is built from a set of weak classifiers that only use one attribute), such as decision trees (which should have less issues with non-monotonic datasets, since the recursive division of the space should lead to small monotonic cells). We also plan to study the impact of stronger restrictions on the set of weak classifiers (\textit{e.g.} enforce the splits to be ordered), as that should lead to classifiers more similar to the ones generated via the original DRM. ACKNOWLEDGEMENTS This work is financed by the ERDF - European Regional Development Fund through the COMPETE Programme (operational programme for competitiveness) and by National Funds through the FCT within project PTDC/SAU-ENB/14951/2009. The work leading to these results has received funding from the European Community’s Seventh Framework Programme under grant agreement n FP7–600948. The authors would also like to thank the Masters in Informatics and Computing Engineering and Department of Informatics Engineering of the Faculty of Engineering of the University of Porto for supporting some of the costs of this work. REFERENCES Cardoso, J. S. and Cardoso, M. J. (2007). Towards an intelligent medical system for the aesthetic evaluation of breast cancer conservative treatment. Artificial Intelligence in Medicine, 40:115–126. Cardoso, J. S. and da Costa, J. F. P. (2007). Learning to classify ordinal data: the data replication method. Journal of Machine Learning Research, 8:1393–1429. 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Requests to do so should be sent to the address on the back cover. # Table of Contents \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| List of Figures \| v \| \| AVT-202 Membership List \| x \| \| Executive Summary and Synthèse \| ES-1 \| \| Chapter 1 – Introduction \| 1-1 \| \| 1.1 Résumé of Kinematics \| 1-2 \| \| 1.2 Principal Scientific Questions of this Study \| 1-5 \| \| 1.3 Brief Review of Classical Analytical Models \| 1-6 \| \| 1.4 Reduced-Order Model of Vortex Physics \| 1-7 \| \| 1.4.1 Non-Circulatory and Circulatory Force Contributions \| 1-7 \| \| 1.4.2 Analytical Derivations for the Surging Plate \| 1-11 \| \| 1.4.3 Analytical Derivations for the Pitching Plate \| 1-13 \| \| 1.5 Parametric Variations \| 1-16 \| \| Chapter 2 – Facilities and Methods \| 2-1 \| \| 2.1 AFRL \| 2-1 \| \| 2.2 ARL \| 2-2 \| \| 2.3 Aselsan Inc. \| 2-4 \| \| 2.4 Cambridge University \| 2-4 \| \| 2.5 DLR \| 2-6 \| \| 2.6 Florida State University \| 2-7 \| \| 2.7 Istanbul Technical University \| 2-8 \| \| 2.8 Technical University of Braunschweig \| 2-9 \| \| 2.9 Technical University of Delft \| 2-10 \| \| 2.10 Wroclaw University of Technology \| 2-13 \| \| 2.11 University of Buffalo \| 2-14 \| \| 2.12 University of Calgary \| 2-15 \| \| 2.13 University of Maryland \| 2-16 \| \| 2.14 University of Michigan \| 2-17 \| \| Chapter 3 – The Canonical Cases \| 3-1 \| \| 3.1 Aerodynamic Force Histories \| 3-1 \| \| 3.2 Leading Edge and Trailing Edge Vortex Strengths and Trajectories \| 3-6 \| \| 3.3 Evolution of Velocity and Vorticity Fields \| 3-10 \| \| 3.3.1 Translational Pitch and Surge \| 3-10 \| \| 3.3.2 Rotational Surge \| 3-14 \| \| 3.3.3 Rotational Pitch \| 3-16 \| 3.4 Application of the Low-Order Model 3-16 3.4.1 Fast Surge Case 3-16 3.4.2 Fast Pitch Case 3-19 3.4.3 Slow Pitch and Surge Cases 3-21 Chapter 4 – Further Parameter Studies 4-1 4.1 Rectilinear Pitch and Surge Nominally in Two Dimensions, and Aspect Ratio 4-1 Variations in Rectilinear and Rotational Motion 4.1.1 Case 1B: Translational Surge 4-1 4.1.2 Case 1A: Translational Pitch 4-2 4.1.3 Case 2B: Rotational Surge 4-9 4.2 Variations in Reynolds Number 4-12 4.3 Variation of Reduced Frequency 4-16 4.3.1 Translational Surge 4-16 4.3.2 Translational Pitch 4-17 4.4 Variation of Pitch Pivot Point Along the Plate’s Chord 4-18 4.5 Variations in Acceleration Profiles 4-20 4.6 Variations in Translational Kinematic Modality: Plunge, Surge, and Pitch-Surge 4-21 4.6.1 Vortex Dynamics for Surge vs. Plunge 4-22 4.6.2 Lift and Drag for a Range of Kinematics 4-25 4.7 Variations in Plate Leading Edge Shape 4-27 4.8 Variations in Peak Incidence Angle 4-29 4.8.1 Translational Surge 4-30 4.8.2 Rotational Surge 4-31 Chapter 5 – Conclusions 5-1 5.1 General Observations 5-1 5.2 Résumé of Task Group’s Accomplishments, and Remaining Questions 5-2 Chapter 6 – References 6-1 \| Figure \| Description \| Page \| \|--------\|-----------------------------------------------------------------------------\|------\| \| 1-1 \| Notional Scatter-Plot of Maximum Lift Coefficient vs. Reynolds Number for a Range of Operating Conditions, Citing in Particular the Utility of Unsteady Mechanisms for High-Lift Production at Very Low Re, where Purely Steady Means Result in Unacceptable Paucity of Lift \| 1-1 \| \| 1-2 \| Schematic of the Four Prime Test Conditions \| 1-3 \| \| 1-3 \| Typical Velocity Histories \| 1-4 \| \| 1-4 \| Wagner’s Lift Prediction and Rendition of Wagner’s Bound Circulation Γ Starting from Zero \| 1-6 \| \| 1-5 \| Potential Flow Around a Flat Plate at 90° Angle of Attack \| 1-8 \| \| 1-6 \| Potential Flow Streamlines Around a Stationary Counter-Rotating Vortex Pair \| 1-9 \| \| 1-7 \| Schematic of Leading Edge Vortex (LEV) and Trailing Edge Vortex (TEV) with Respect to the Plate, with Coordinate System with Origin at the Plate’s Leading Edge \| 1-10 \| \| 1-8 \| Distance of LEV and TEV from the Plate’s Leading Edge, Plotted Against Chords-Traveled by the Plate, for the Fast (Once Chord Acceleration) Translational Surging and Pitching Plates \| 1-12 \| \| 1-9 \| Notional Schematic for History of Lift for the Translational Surging Plate, with Contributions During the Phase of Motion where the Plate is Surging (Non-Zero Acceleration) and where the Steady-State Relative Free-Stream Speed has been Attained \| 1-13 \| \| 1-10 \| Nomenclature for 2D Pitching Plate, with Velocity Normal to the Plate, and Pivot Point Distance from the Leading Edge \| 1-14 \| \| 1-11 \| Schematic from Classical Unsteady Thin Airfoil Theory, Motivating Quasi-Steady Lift Contribution Due to Pitch; Pitching Produces an Effective Angle of Attack History, or Alternative, an Effective Camber \| 1-15 \| \| 1-12 \| Notional Schematic for History of Lift for the Translational Pitching Plate, with Contributions During the Phase of Motion where the Plate is Pitching (Non-Zero Pitch Acceleration is Only During the Smoothing Transients at the Start and End of the Pitching Motion) and After the Final Incidence Angle has been Attained \| 1-16 \| \| 2-1 \| AFRL Water Tunnel \| 2-2 \| \| 2-2 \| The ARL Oil Tank Facility \| 2-3 \| \| 2-3 \| Cross-Sectional View of Unstructured Mesh for Pitching and Surging Translations \| 2-4 \| \| 2-4 \| Cambridge University Department of Engineering Tow Tank \| 2-5 \| \| 2-5 \| Cambridge University Tow Tank, Model Installation Scheme \| 2-5 \| \| 2-6 \| DLR Tomographic-PIV Optics Set-Up in TU-Braunschweig Wind Tunnel \| 2-7 \| \| Figure 2-7 \| Typical Results of Florida State University Immersed Boundary Method Solver, Contour Levels of Vorticity for the “Fast” AR = 4 Plate Surging in Translation \| 2-8 \| \|-----------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-----\| \| Figure 2-8 \| ITU Experimental Set-Up \| 2-9 \| \| Figure 2-9 \| Wind Tunnel at TU-Braunschweig; Test Article and Inertial Dummy \| 2-10\| \| Figure 2-10 \| Experimental Arrangement in the Water Tank; Dimensions of the Wing Model \| 2-11\| \| Figure 2-11 \| Kinematics of the Revolving-Pitching and Revolving-Surging Motions \| 2-12\| \| Figure 2-12 \| Sketch of the Top View of the Experimental Set-Up With Camera Arrangement; Wing Model and Measurement Volume Arrangement \| 2-13\| \| Figure 2-13 \| Wing Coordinates, Laser Sheet Orientation, and Velocity Program; S-DPIV Set-Up Schematic \| 2-15\| \| Figure 2-14 \| University of Calgary Free-Surface Water Tunnel and Hexapod Rig \| 2-16\| \| Figure 2-15 \| University of Maryland Towing Tank: Photograph of Electric Motors Atop of Tank and Schematic of Rotating/Pitching Wing Actuation \| 2-16\| \| Figure 2-16 \| University of Michigan, Department of Aerospace Engineering Low-Turbulence Free-Surface Water Tunnel \| 2-18\| \| Figure 3-1 \| CL for the Fast Surging Cases \| 3-1 \| \| Figure 3-2 \| CL for the Fast Pitching Cases (LE Pivot) \| 3-2 \| \| Figure 3-3 \| CL for the Slow Surging Cases \| 3-2 \| \| Figure 3-4 \| CL for the Slow Pitching Cases (LE Pivot) \| 3-3 \| \| Figure 3-5 \| Long-Term History of CL for Fast Surging Cases \| 3-3 \| \| Figure 3-6 \| Long-Term History of CL for Fast Pitching Cases \| 3-4 \| \| Figure 3-7 \| CD for the Fast Surging Cases \| 3-4 \| \| Figure 3-8 \| CD for the Fast Pitching Cases \| 3-5 \| \| Figure 3-9 \| CD for the Slow Pitching Cases \| 3-5 \| \| Figure 3-10 \| CD for the Slow Surging Cases \| 3-6 \| \| Figure 3-11 \| Collection of Normalized LEV Circulation Histories from Various AVT-202 Contributors, for Translational Pitch and Surge Cases; Compared with Wagner’s Theoretical Curve \| 3-7 \| \| Figure 3-12 \| Normalized LEV Circulation Compared to ‘Modified’ Wagner Function for Pitch and Surge \| 3-8 \| \| Figure 3-13 \| LEV Distance from Plate Leading Edge for the Fast Translational Pitch Case \| 3-9 \| \| Figure 3-14 \| LEV and TEV Distance from Leading Edge for Fast Translational Surge and Pitch Case \| 3-10\| \| Figure 3-15 \| Case 1a, Translational Pitch, LEV/TV Interaction Flow Visualization \| 3-11\| \| Figure 3-16 \| Juxtaposition of Flow Visualization by Planar Laser Illumination of Fluorescent Dye in a Water Tunnel at Re = 20,000 and Black and White Rendition of Spanwise Vorticity Contours from Direct Numerical Simulation at Re = 300 for the Fast Translational Pitching Case \| 3-12\| \| Figure 3-17 \| Frame-by-Frame Comparison of the Four Translational Cases, AR = 4 Plate, ¼-Span Location, with PIV-Derived Vorticity and Velocity; Time-Instance as Marked in Each Row \| 3-14\| \| Figure 3-18 \| Tableau (Phase-Averaged PIV Vorticity Contours and Projected Streamlines, University of Maryland Group) of Rotational Surge Cases \| 3-16 \| \| Figure 3-19 \| Low-Order Model Prediction for the Fast Surge Case \| 3-17 \| \| Figure 3-20 \| Variation on Figure 3-19, from the University of Maryland Group \| 3-18 \| \| Figure 3-21 \| Low-Order Model Prediction for Lift Coefficient, for the Fast Surging Case with Two Different Relative LEV-TEV Velocities (All Other Parameters are Unchanged) \| 3-18 \| \| Figure 3-22 \| Low-Order Model Prediction for the Fast Surging Case, Compared with All Available Data Sets \| 3-19 \| \| Figure 3-23 \| Low-Order Model Prediction for the Fast Pitch Case (Maryland Group) \| 3-20 \| \| Figure 3-24 \| Low-Order Model Prediction for the Fast Pitch Case (Cambridge Data) \| 3-20 \| \| Figure 3-25 \| Comparison of Low-Order Model’s Prediction of Lift Coefficient History vs. that of All Available Data Sets for the Fast Pitching Case \| 3-21 \| \| Figure 3-26 \| Low-Order Model Prediction for the Slow Surging Case \| 3-21 \| \| Figure 3-27 \| Low-Order Model Prediction for the Slow Pitch Case \| 3-22 \| \| Figure 3-28 \| Low-Order Model Prediction for the Slow Pitch Case (Maryland Group) \| 3-23 \| \| Figure 4-1 \| Case 1B, Fast Translational Surge AR-Variation \| 4-1 \| \| Figure 4-2 \| Case 1B, Slow Translational Surge AR-Variation \| 4-2 \| \| Figure 4-3 \| Case 1A, Fast Translational Pitch AR-Variation \| 4-3 \| \| Figure 4-4 \| Case 1A, Slow Translational Pitch AR-Variation \| 4-3 \| \| Figure 4-5 \| Aspect Ratio Effects on 1 c (Fast Case) Pitch; Lift and Drag \| 4-4 \| \| Figure 4-6 \| Aspect Ratio Effects on 6 c (Slow Case) Pitch; Lift and Drag, 6 c Case \| 4-5 \| \| Figure 4-7 \| Case 1A Fast Pitch, with Pitching Motion Occurring Over One Chord \| 4-6 \| \| Figure 4-8 \| Case 1A Slow Pitch, with Pitching Motion Occurring Over Six Chords \| 4-7 \| \| Figure 4-9 \| Vorticity Contours for Slow Pitch and Fast Pitch at the Following Snapshots of Time: for the Slow Case, 8.55, Corresponding to Halfway Up the Pitch Ramp, and 15.58, at the Conclusion of Pitch; for the Fast Case, Time 3.55, Corresponding to Slightly Before Halfway Up the Pitch Ramp, 5.05, at the Conclusion of Pitch, and 10.05, at a Subsequent Vortex Shedding Cycle Well After Motion is Completed \| 4-8 \| \| Figure 4-10 \| Top, or (x, z)-Plane View, of an Iso-Surface of Non-Dimensional $\Gamma = 12$ at Various $\phi$; AR = 2, AR = 4 \| 4-10 \| \| Figure 4-11 \| Circulation vs. Phase-Angle of Rotation; Span-Averaged $\Gamma_{\text{total}}$; Span-Averaged $\Gamma_{\text{LEV}}$, “Stable” LEV \| 4-11 \| \| Figure 4-12 \| $C_L$ for AR = 1 – 4, (a) vs. $t^$, (b) vs. $t/T_{120^\circ}$ \| 4-11 \| \| Figure 4-13 \| Lift Coefficient for an AR = 4 Plate at $\theta = 45^\circ$ with Constant Acceleration from Rest, Over 1 Chord and 6 Chords, to Constant Velocity at Four Different Reynolds Numbers \| 4-12 \| \| Figure 4-14 \| AR = 4 Plate Pitching from 0° to 45° in 6 c (Slow Case) for Reynolds Numbers 15 K through 40 K, All in Water (No Addition of Glycerin) \| 4-13 \| \| Figure 4-15 \| False-Coloring of Rhodamine-Dye Planar Laser Fluorescence (that is, Flow Visualization) of the Suction-Side Flowfield of an AR = 4 Plate Pitching from 0° to 45° at Various Re Values, for the “Fast” Case (Pitching Motion Occurs Over One Convective Time; Snapshot is at Completion of One Pitching Motion, by which Time the TEV has Convected ~ 0.7 c Downstream of the Plate’s TE) \| 4-14 \| \| Figure 4-16 \| Lift Coefficient and Drag Coefficient vs. Convective Time \| 4-15 \| \|------------\|----------------------------------------------------------\|------\| \| Figure 4-17 \| Lift Coefficient for a Rotating AR = 2 Plate for a Two Orders of Magnitude Change in Reynolds Number \| 4-15 \| \| Figure 4-18 \| Lift Coefficient, Drag Coefficient, Pitching Moment Coefficient About the Mid-Chord Reference Point and Finally Lift to Drag Ratio as Functions of Chords Traveled, with Smoothed Linear Ramp of Acceleration from Rest to a Constant Velocity at Re = 20 K, Over Lengths from 0.25 c to 6 c \| 4-16 \| \| Figure 4-19 \| Lift and Drag Coefficient Histories for AR = 4 Rectangular Flat Plate at Fast, Intermediate and Slow Pitch Rates; Pivot at Leading Edge, Re = 20 K \| 4-18 \| \| Figure 4-20 \| Pivot-Point Effects for Pure-Pitch Cases, 1 c Motion, AR = 2, AR = 4 and Nominally 2D; Lift and Drag \| 4-19 \| \| Figure 4-21 \| Pivot-Point Effects for Pure-Pitch Cases, 6 c Motion, AR = 4 \| 4-19 \| \| Figure 4-22 \| Velocity Profiles and Lift Coefficient for an AR = 4 Plate at θ = 45° Accelerating Over 6 Chords to Constant Velocity with Five Different Acceleration Profiles \| 4-21 \| \| Figure 4-23 \| Lift Coefficient Normalized by Instantaneous Dynamic Pressure for AR = 4 Plate at θ = 45° Accelerating Over 6 Chords to Constant Velocity with Five Different Acceleration Profiles \| 4-21 \| \| Figure 4-24 \| Kinematics Used in this Study \| 4-22 \| \| Figure 4-25 \| Near-Mid-Plane Circulation and Convective Time Normalized with Freestream Velocity and with Effective Velocity from the Shear Layer \| 4-23 \| \| Figure 4-26 \| Vortex Positioning During Key Time Steps Between Plunge and Surge \| 4-24 \| \| Figure 4-27 \| Force Coefficients Normalized on Freestream and Effective Velocities \| 4-25 \| \| Figure 4-28 \| Comparison of Pitch Ramp, Pitch-Surge Ramp and Pure Surge-Ramp, 1 c Motion, AR = 4 Flat Plate; Lift and Drag \| 4-26 \| \| Figure 4-29 \| Long-Term History of Lift and Drag for AR = 4 1 c Motion Comparison \| 4-26 \| \| Figure 4-30 \| Comparison of Pitch Ramp, Pitch-Surge Ramp and Pure Surge-Ramp, 6 c Motion, AR = 4 Only; Lift and Drag \| 4-27 \| \| Figure 4-31 \| Lift Coefficient Histories for the Slow Translational Pitch Case, for Plates of Sharp and Round Leading Edge, Without and With Enforcement of a Symmetry-Plane Condition \| 4-28 \| \| Figure 4-32 \| PIV Sectional Slices of Vorticity for the AR = 4 Plate: Sharp Edges and Round Edges; Slow Translational Pitch \| 4-28 \| \| Figure 4-33 \| Lift Coefficient Histories for the Slow Translational Pitch Case, for Plates of Sharp and Round Leading Edge, Without and With Enforcement of a Symmetry-Plane Condition \| 4-29 \| \| Figure 4-34 \| PIV Sectional Slices of Vorticity for the AR = 4 Plate: Sharp Edges and Round Edges; Slow Translational Pitch \| 4-29 \| \| Figure 4-35 \| Incidence-Angle Sweep (5, 10, 15, 20, 30, 45, 60, 75 and 90 degrees) for the Fast Surging Case, Re = 20,000 \| 4-30 \| \| Figure 4-36 \| Iso-Surfaces of Normalized Q₀-Criterion, $Q(V_r/c)^2 = 3.125$ Colored by Vorticity Magnitude; Early Time After Onset of Rotational Surge, Fast Case, Incidence Angles as Marked \| 4-31 \| \| Figure 4-37 \| 2D Analog of Figure 4-36; Contours of Non-Dimensional Out-Of-Plane Vorticity $(\omega_r c/V)$ in the Reference Plane, Fast Rotational Surge Case, Incidence Angles and Chords-Traveled as Marked \| 4-32 \| \| Figure 4-38 \| Continuation of Figure 4-36 to Later Time (that is, Later Number of Chords-Traveled at the Reference Plane); Iso-Surfaces of $Q/(V_e\omega)^2 = 4.68$, Colored by Vorticity Magnitude \| 4-32 \| \| Figure 4-39 \| Continuation of Figure 4-37 to Later Time, Showing Essential Constancy of Flowfield Evolution Through Six Chords of Travel; Contours of Non-Dimensional Out-Of-Plane Vorticity ($\omega_z/c/V_e$) in the Reference Plane \| 4-34 \| \| Figure 4-40 \| Survey of Lift Coefficient and Lift-to-Drag-Ratio Histories for “Fast” Rotational Surge, with Acceleration Occurring Over One Chord at the Reference-Plane, and Fixed Incidence Angles of 15, 30, 45, 60 and 75 Degrees \| 4-35 \| AVT-202 Membership List CO-CHAIRS Dr. Michael OL Air Force Research Lab, AFRL/VAAA 2130 8th Street, Building 45 Wright-Patterson AFB, OH 45433-7542 UNITED STATES Email: firstname.lastname@example.org Prof. Holger BABINSKY University of Cambridge, Engineering Department Trumpington Street Cambridge CB2 1PZ UNITED KINGDOM Email: email@example.com MEMBERS AUSTRALIA Mr. Jan DROBIK DSTO 506 Lorimer Street Fishermans Bend, Victoria 3207 Email: firstname.lastname@example.org Dr. Jennifer L. 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Mountain Avenue Tucson, AZ 85721-0119 Email: firstname.lastname@example.org Mr. Lawrence UKEILEY University of Florida REEF Dept. of Mechanical and Aerospace Eng. 1350 N. Poquito Road Shalimar, FL 32579 Email: email@example.com Mr. Adam HART University of Florida REEF 1350 N. Poquito Road Shalimar, FL 32579 Email: firstname.lastname@example.org Dr. Miguel R. VISBAL Air Force Research Lab. Air Vehicles Directorate, AFRL/VAAC 2210 8th Street, Building 146B Wright-Patterson AFB, OH 45433-7521 Email: email@example.com AVT PANEL MENTOR Dr. Siva S. BANDA US Air Force Research Lab, AFRL/RQ 2130 8th Street Wright-Patterson AFB, OH 45433 UNITED STATES Email: firstname.lastname@example.org xiv STO-TR-AVT-202 Low-speed high angle of attack flows result in flow separation, and all flow separation is inherently unsteady. If in addition the rigid body placed in the flow undergoes unsteady imposed kinematics – an acceleration from one relative free-stream velocity to another – the flow separation is mediated by the imposed motion, perhaps organizing into coherent structures of aerodynamic benefit. This is in contrast to steady flows, where separation is mainly seen as being detrimental to aerodynamic performance. In unsteady lift generation some of the structures formed by flow separation, such as the leading edge vortex, have the potential to increase lift well above the steady-state expectations. The present work explores imposed rotations and translations of rigid flat plates, comparing an angle of attack change (smoothed linear pitch ramp) with streamwise acceleration at constant incidence (again smoothed). We examine how motion-rate mediates the flow separation and formation of coherent flowfield structures, especially vortices forming and shed from the plate’s leading edge and trailing edge. A rectilinear or translational motion, whether in pitch or surge, is compared to the rotational case, where the plate spins about an axis inboard of its inboard tip. Such rotational motion is notionally representative of a flapping-wing, and comparison between rotation and translation is aimed at elucidating whether rotation offers benefits in leading edge vortex stabilization and resulting aerodynamic performance. Experiment, computation and analysis are compared, culminating in a proposed two-dimensional lumped vortex model proposed for approximate physics-based accounting for aerodynamic force history. Rotation was indeed found to stabilize the leading edge vortex, at least for inboard spanwise locations; the leading edge vortex sheds after saturation for the translational case. However, no advantage in peak lift coefficient or lift to drag ratio was found in rotation vs. translation. Pitching causes a large force transient, both in rotation and translation, relative to surging. Non-circulatory or apparent-mass effects were found to be well-modeled by arguments from classical unsteady potential flow. For translation, a long time interval (at least 10 – 15 convective times) is needed for the post-manoeuvre lift transient to asymptote to the bluff-body reference value. The rotational case reaches a steady lift value sooner (~ 5 convective times) and this steady value is higher than for translation. Thus rotation does offer a lasting advantage in lift (or more properly, normal-force, since leading edge suction is always lost for thin flat plates with separated flow) relative to translation, and this is the benefit of a stable leading edge vortex. We reiterate that no such benefit is evinced during motion transients, whether in surge or pitch. Elargissement de la physique fondamentale des écoulements à l’aérodynamique pratique des MAV (STO-TR-AVT-202) Synthèse La faible vitesse et l’angle d’incidence élevé provoquent une séparation de l’écoulement, laquelle est intrinsèquement instable, comme toutes les séparations d’écoulement. Si, de surcroît, le corps rigide placé dans l’écoulement subit une cinématique imposée instable – une accélération de la vitesse relative d’écoulement libre – la séparation de l’écoulement est influencée par le mouvement imposé et peut s’organiser en structures cohérentes qui présentent un avantage aérodynamique. Cela s’oppose aux écoulements stables, dans lesquels la séparation est principalement considérée comme nuisible aux performances aérodynamiques. En cas de génération instable de la portance, certaines structures formées par la séparation de l’écoulement, telles que le vortex du bord d’attaque, peuvent augmenter la portance bien au-delà des espérances à l’état stable. Le présent document étudie les rotations et translations imposées de plaques planes rigides, en comparant une modification de l’angle d’incidence (courbe de tangage linéaire lissée) avec une accélération dans le sens de l’écoulement à incidence constante (également lissée). Nous examinons de quelle façon la vitesse du mouvement influence la séparation de l’écoulement et la formation de structures cohérentes de champ d’écoulement, en particulier les vortex qui se forment et sont chassés du bord d’attaque et du bord de fuite de la plaque. Un mouvement rectiligne ou translationnel, en tangage ou en décrochage, est comparé au cas de la rotation, dans lequel la plaque tourne autour d’un axe placé à l’intérieur de son extrémité intérieure. Ce type de mouvement rotationnel est théoriquement représentatif d’une aile battante et la comparaison entre la rotation et la translation vise à déterminer si la rotation offre des avantages pour la stabilisation du vortex du bord d’attaque et la performance aérodynamique qui en découle. L’expérimentation, le calcul et l’analyse sont comparés, principalement dans un modèle bidimensionnel à vortex localisé, pour un compte rendu approximatif basé sur la physique, en vue de l’historique de la force aérodynamique. En effet, il a été démontré que la rotation stabilise le vortex du bord d’attaque, tout au moins celui placé à l’intérieur dans le sens de l’envergure ; le vortex du bord d’attaque disparaît après saturation dans le cas de la translation. Cependant, par rapport à la translation, la rotation ne présente manifestement aucun avantage pour le coefficient de portance ou la finesse. Le tangage provoque un phénomène transitoire de force élevée, à la fois en rotation et en translation, par rapport au décrochage. Les effets non circulatoires ou liés à la masse apparente se sont avérés bien modélisés par les arguments issus de l’écoulement potentiel instable classique. Concernant la translation, un long intervalle de temps (au moins 10 – 15 temps de convection) est nécessaire pour que la portance transitoire après manœuvre rejoigne l’asymptote de la valeur de référence du corps non profilé. Le cas de rotation atteint une valeur stable de portance plus rapidement (environ 5 temps de convection) et cette valeur stable est supérieure à celle de la translation. Par conséquent, la rotation présente un avantage durable par rapport à la translation du point de vue de la portance (ou, plus exactement, de la force normale, puisque l’aspiration du bord d’attaque est toujours perdue dans le cas des plaques planes de faible épaisseur avec un écoulement séparé) et cela est dû à la stabilité du vortex sur le bord d’attaque. Nous répétons qu’aucun avantage de ce genre ne se manifeste pendant les mouvements transitoires, que ce soit en tangage ou en décrochage. Chapter 1 – INTRODUCTION Small slow-flying objects are likely to be subjected to combination of severe unsteadiness and flow separation. The flight vehicle is likely to find itself at high angle of attack, or to rapidly change angle of attack, or to be influenced by winds, such that angles of attack would be large, and quickly varying. High frequencies and maneuver-amplitudes do not occur for lumbering transport aircraft or even for missiles or maneuvering fighters, where the reduced-frequencies are low because the flight speed is high and convective time (ratio of wing mean aerodynamic chord to flight speed) is fast. The so-called “Micro Air Vehicles”, or MAVs, spawned interest in basic questions of unsteadiness and massive separation at high frequency, and for these problems low Reynolds number is concomitant, simply from the scales of fluid density, kinematic viscosity, frequency and amplitude of motion. We focus on what happens when an abstracted body – a rigid flat plate – accelerates with respect to a fluid. We do not address specific applications or the design of MAVs, or motivating flight modalities in nature. These are extensive and deeply interesting topics, where unsteady aerodynamics is of great relevance. Indeed, the problem of how flapping-wing insects generate high stroke-averaged lift coefficients (see for example [1]) has been the motivation for prior STO AVT Task Groups, such as AVT-149 [2], and continues to inform the question of how lift is connected with wing geometry, flapping kinematics, Reynolds number and so forth. Operation at small Reynolds number seems to necessitate unsteady lift mechanisms to produce acceptably high lift coefficients; see for example the taxonomy in Figure 1-1. However, the present objective is to elucidate a small but expository set of abstract problems, and to connect flowfield phenomena to aerodynamic force history, and perhaps thenceforth to build a reduced-order model that might ultimately be useful for engineers. For problems that are highly unsteady, to what extent does the resulting aerodynamic response significantly differ from the nominal steady values? The present work is concerned with unsteady aerodynamics, where flow separation is massive, and there is non-trivial coupling between flow separation from bluff-body effects (alternatively from deep stall of streamlined shapes) and from the imposed motion. The problem is taken as being identically incompressible, even though applications of dynamic stall such as helicopter rotors are of course strongly influenced by compressibility [12]. ![Figure 1-1: Notional Scatter-Plot of Maximum Lift Coefficient vs. Reynolds Number for a Range of Operating Conditions, Citing in Particular the Utility of Unsteady Mechanisms for High-Lift Production at Very Low Re, where Purely Steady Means Result in Unacceptable Paucity of Lift. After Jones [28].](image-url) INTRODUCTION The limit of high frequency and low amplitude has been rationalized over 70 years ago, mainly in the context of aeroelasticity, using potential-flow assumptions [3]. The outcome was Theodorsen’s celebrated formula and its various extensions and reformulations. Though such formulas were shown to be valid predictors of lift-history even for some aggressive motions where the underlying assumptions of attached-flow and planar-wake are falsified [4], such pleasant conclusion is not universal [5], especially for large-amplitude motions. We therefore need to understand the impact of flow separation, or more properly, of vortices shed from the plate’s leading and trailing edges, and how these cause departure from the predictions of attached-flow theory. This, in essence, is the focus of our Task Group. Unsteady problems begin with a definition of kinematics. Next, we cover facilities and methods, give a resume of computations and measurements, and finally present an analytical/phenomenological conjecture and its corroboration by the data. 1.1 RESUME OF KINEMATICS In 2D, a flat plate can pitch about some pivot point, plunge (move normal to the relative free-stream direction) and surge (move parallel to the free-stream direction). Thus there are three degrees of freedom, plus the various kinematic conditions: pitch pivot point, initial incidence, final incidence, reduced frequency, plunge amplitude, and surge amplitude. “Normal hover” [6] is a form of combined pitch/plunge, where the absence of a free-stream confounds the usual definitions of reduced frequency and Reynolds number. Another special case is pure surge in a fluid quiescent in the lab frame, where the plate begins at rest and accelerates through some motion-profile, typically at some fixed incidence angle, reaching a steady free-stream. 3D introduces a bewildering plethora of additional kinematic possibilities. Now the wing has finite span, with inboard and outboard wingtips. Most important is rotation about some fixed point near the inboard tip, typically located some chord-fraction outside the wing. Roll of the wing (in some conventions called “flapping”) is not considered here, as we regard it as derivative of 2D plunge. Yaw is a form of rotation, and spanwise translation is irrelevant. In 3D the wing is always finite-span, and four kinds of motion are possible: - Rectilinear translation in surge; - Rectilinear pitch, meaning a pitch about a spanwise-aligned axis, in steady free-stream; - Rotational surge about a fixed point near the inboard wingtip, with constant incidence angle of the plate; and - Combination of rotation with pitch, where the rotation is a fixed speed but the incidence angle is ramped up. The key comparisons are rotation vs. translation, and surge vs. pitch. Mediating the four principal kinds of motion are Reynolds number, reduced frequency and aspect ratio of the plate. A schematic rendition of the four principal cases and associated secondary considerations is given in Figure 1-2. Reduced frequency for transient motions is: $$K = \frac{\theta c}{2u_\infty}$$ \hspace{1cm} (Eq. 1-1) where “f” is the frequency, “c” the chord of the plate, and the denominator is twice the relative-free-stream steady speed. “K” is therefore just a convective normalization of the dimensional pitch rate. Figure 1-2: Schematic of the Four Prime Test Conditions. Reynolds number, peak incidence angle, reduced frequency, pitch pivot-point, plate aspect ratio and leading edge shape, and rotating-plate root cut-out are additional parameters pursued by some groups. For all four kinds of motion, the “fast case” has the acceleration occurring over one chord (surge from rest to steady towing-speed over one chord, pitch from zero incidence to 45-degrees over one convective-time in a steady free stream), and the “slow case” occurs over 6 chords. Thus there are 8 total principal cases. Details of kinematics – velocity profiles and time-base – are given in Figure 1-3. Note that for problems without a lab-frame steady free stream, where the test article starts from rest, there are two alternatives to defining the running time-base, either the wall-clock (seconds), or a ‘convective time’ where the distance travelled by the leading edge of the wing is made dimensionless by chord-length. These are unimportant and almost fungible for the long-term history, but can be important for force transients at high-rate and early time. The incidence-angle history in Figure 1-3 is a linear ramp with smoothed “corners”. Smoothing is via a $C^\infty$ rational-function, $\hat{G}(t/T)$, proposed by Eldredge et al. [7]: $$G(t/T) = \ln[(\cosh(A) \cosh(D))/\cosh(B) \cosh(C)],$$ $$A = 2a(\frac{2\pi t}{T} + \frac{2-\pi}{2}),$$ $$B = 2a(\frac{2\pi t}{T} - \frac{2+\pi}{2}),$$ $$C = 2a(\frac{2\pi t}{T} + \frac{2-3\pi}{2}),$$ $$D = 2a(\frac{2\pi t}{T} - \frac{2+3\pi}{2}),$$ $$\hat{G}(t/T) = h_0(1 - 2G(t/T)/\max(G)) .$$ The function $G(t/T)$ has four non-dimensional-time parameters ($A$, $B$, $C$ and $D$ in Eq. 2), one each at the “corner” of the trapezoidal motion profile. The parameter “$a$”, which controls the amount of smoothing, is a dimensionless acceleration upper bound, typically limited by mechanical acceleration of a laboratory apparatus. The $G(t/T)$ function can be applied to transient or periodic motions, the latter looking like a smoothed sawtooth train. AVT-202 cases are primarily of aspect ratio AR = 2 (rotational motions) and AR = 4 (rectilinear motions), the reasoning being that in rotation there is one “blade” of two, each blade of AR = 2. Much today is made of PIV post-processing to assess vortex strength and to calculated integrated aerodynamic loads from the flowfield [8]. Our approach does not pursue whole-field velocity/vorticity integration for arriving at aerodynamic force history, but instead to advocate for a phenomenological model, tracking a small number (ideally, just two) discrete vortices. An important recent advance was the vortex-recognition method of Grafiteaux [9], enabling: 1) Assessing for whether a given flowfield structure is a credible vortex; and 2) How to define its boundary to calculate circulation by integrating vorticity within this boundary. We follow this approach to extract LEV and TEV circulation strength evolution, and vortex-core trajectory as a function of plate displacement. The motions in Figure 1-2 and Figure 1-3 are all transient: they begin from some initial condition, either with no relative motion between the body and the ambient fluid, or with the body in a zero-lift condition (zero incidence for an uncambered plate) in a steady flow. They pass through a transient and arrive again at the same nominal steady-state condition, where relative acceleration between body and fluid ceases, though bluff-body shedding can result in a perpetually unsteady flow. The complementary case, not examined in AVT-202, is that of periodic motion, where the body executes some trajectory that repeats itself with a characteristic frequency. We consider transient motions, as opposed to periodic motions, because lags/transients are obvious in the remaining aerodynamic response after the motion has ceased, and are not inherited in the following period, as they would be in periodic motions. There is explicitly a phase of motion where acceleration is non-zero, followed by a long (ideally infinite) run where the relative free-stream is steady. For the rotating plates, after completing a full revolution the plate enters its own wake, and in that narrow sense the resulting flow remains unsteady. The end-state of all motions is deep-stall, typically at 45 degrees incidence. 1.2 PRINCIPAL SCIENTIFIC QUESTIONS OF THIS STUDY Our interest includes the following questions: 1) Why do so many disparate geometries, motions and resulting flowfields evince similar aerodynamic force histories? Is there a unifying principle, and perhaps a low-order modeling scheme, accounting for this? 2) What is the budget of circulatory and non-circulatory load-contributions while the plate is accelerating? Can these respective contributions be linearly superimposed, to form the total aerodynamic force history? How much of the lift budget is carried by the LEV, TEV, bound circulation (including pitch-rate effects)? 3) What are the long-term transients (residual unsteadiness in the aerodynamic response and the flowfield) after the motion has completed? That is, to what extent does the accelerating portion of the motion affect vortex history (and loads history)? 4) What are criteria for vortex initiation, saturation, and detachment? Are there multiple vortices at the LE after the initial LEV? Are there multiple vortices at the TE after the starting-vortex has been ejected? 5) How does aerodynamic force production scale with pitch rate, pitch pivot point location and peak incidence angle? Is there a fundamental difference in lift-production between rotation and translation, between pitch and surge? 6) Are 3D structures important in the vortex topology? Do finite-aspect-ratio wings evince fundamentally different integrated aerodynamic load histories than those in 2D? How do tip vortices mediate LEV/ TEV production and bound circulation? More broadly, what sort of spanwise variations are there for low and moderate aspect ratio wings? 7) How does Reynolds number mediate vortex production/evolution, and aerodynamic force history? 1.3 BRIEF REVIEW OF CLASSICAL ANALYTICAL MODELS Wagner [53] was one of the earliest researchers to study the lift generated by an airfoil starting from rest at a small fixed angle of attack, in this case for impulsive start, where the acceleration in surge is infinitely large, occurring over infinitesimal time. Clearly the application of Wagner’s model to AVT-202 cases (all of which have finite acceleration over finite time) requires some discretion. Based on the physical assumption that the velocity at the trailing edge is always finite and by modeling the wake as a flat vortex sheet, Wagner was able to determine the lift as a function of chords travelled. At any point, Wagner assumed that the circulatory lift was produced by a bound circulation in accordance with thin airfoil theory that is in the absence of separation. Non-circulatory lift is just a delta function. Wagner’s analysis shows that the effective angle of attack is reduced due to the downwash from the shed vortices in the wake. This in turn delays the build-up of the bound circulation, which leads to further shedding of vortices in the wake and as a result there is a considerable delay in the development of the ultimate steady-state lift. Figure 1-4 (from Wagner [53]) compares the growth of lift with the growth of circulation. Half of the final lift is assumed at once, and the lift then gradually approaches its steady asymptote. The circulation, however, rises steadily from zero. Figure 1-4: Wagner’s Lift Prediction (marked ‘A’, starting at 0.5) and Rendition of Wagner’s Bound Circulation $\Gamma$ Starting from Zero. Note that the “Wagner function” is typically taken to begin from 0.5. [53]. 1.4 REDUCED-ORDER MODEL OF VORTEX PHYSICS One of the chief aims of this Report is to propose and to experimentally corroborate a simple semi-analytical scheme to predict the unsteady lift generated by a flat plate in an unsteady flow in two dimensions. All of the “canonical” cases in this Report are plates of finite aspect ratio, whence a 2D model cannot be physically accurate, especially considering the role of tip vortices for translational cases and radial-effects in LEV stabilization for the rotational cases. Nevertheless, a 2D simplification, for example in a strip-theory sense, is eminently attractive. Accordingly, here we consider a flat plate accelerating from rest at a constant angle of attack, and a flat plate pitching in a steady free-stream. The treatment is inviscid and incompressible. 1.4.1 Non-Circulatory and Circulatory Force Contributions We postulate that the unsteady force exerted by an object onto the surrounding fluid (and thus the opposite reaction force experienced by the object) is equal to the rate of change of momentum in the surrounding fluid. To quantify this force it is necessary to integrate the momentum across the whole flowfield (stretching to infinity) and then take the time derivative$^1$: \[ F = \frac{d}{dt} \iint_{-\infty}^{\infty} \rho \ u(x,t) \ dA \] where $u$ is the unsteady velocity field, $x$ is the location vector, $t$ is time and $A$ is an area element ($dx dy$). Thus, if it were possible to accurately determine the velocity field everywhere at several instances in time, one could determine the force experienced by an object – e.g., lift and drag. In reality however, there are practical difficulties making this untenable. An important simplification is possible for situations where the unsteady flow around an object is self-similar. By this we mean a flowfield topology (streamline pattern) that is independent of time, although the magnitude of local velocity may scale with a time-varying free-stream $U_\infty(t)$: \[ u(x,t) = U_\infty(t) \ k(x) \] Here $k(x)$ is some function relating the local velocity to the (variable) free stream. Note that $k$ is constant in time. Thus, the force experienced by the object can be expressed as: \[ F = \rho \underbrace{\iint_{-\infty}^{\infty} k(x)dA}_{I} \underbrace{\frac{dU_\infty(t)}{dt}}_{II} \] The force is therefore the product of a time-invariant area integral of $k(x)$ (Term I) and the acceleration of the free-stream (Term II). Note that the first term (I) has the unit of mass, and is constant throughout the motion. The force is proportional to the acceleration, and hence the term ‘virtual mass’ or ‘added mass’$^2$. --- 1 Here, it is implied that the pressure is uniform at the integration boundary ($\infty$). Vector quantities are in bold. 2 Though other treatments are possible, one could go further and declare any attempt to make the calculation of virtual mass force “more accurate” futile because such an approach tries to more closely approximate the real momentum change of the surrounding fluid. Taken to the extreme, this “virtual mass force” would eventually be equivalent to the total force experienced by the flow (first equation). An expository case for considering this force contribution is the classical potential flow around an accelerating flat plate at $90^\circ$ angle of attack (Figure 1-5). ![Potential Flow Around a Flat Plate at 90° Angle of Attack](image) Figure 1-5: Potential Flow Around a Flat Plate at 90° Angle of Attack.* In steady potential flow, the plate experiences identically zero force. However, in unsteady flow the surface pressures on the windward side are increased, while the pressures on the leeward side are decreased (e.g., unsteady Bernoulli equation), giving a net force: $$F = \frac{\rho c^2 \pi}{4} \dot{V}$$ where $c$ is the chord of the plate and $\dot{V}$ the plate-normal velocity of the fluid. This force is exactly equivalent to the inertia of a circular cylinder of fluid with diameter $c$ undergoing the same motion as the plate. For a plate accelerating at an angle of attack, only the velocity component normal to the plate contributes to this force (by the principle of superposition and assuming the flow to remain inviscid, i.e., attached). Realistic flows are not self-similar, and viscous forces are not negligible. We thus postulate that the total unsteady force is the sum of the added mass force and a second circulatory force contribution$^3$. We shall persist with the contrivance of inviscid flow to determine the added-mass term by considering the plate-normal velocity at mid-chord and equating the force to the added mass force experienced in potential flow of a flat plate at $90^\circ$ angle of attack. We next turn to the circulatory contribution. The simplest model for a circulatory force is to consider the relationship between forces and vortices. The flow shown in Figure 1-6 has a net momentum, thus the generation of a pair of vortices (of equal but opposite strengths) in a quiescent fluid requires a force (by force-momentum equation). According to Lamb [10], the magnitude of this momentum is: $$J = \rho dl'$$ --- $^3$ Early on in the motion the flow is quite close to the potential flow model and thus the initial force should be reasonably close to the prediction. A much more rigorous treatment actually shows that even in a complex viscous unsteady flow the added mass term remains that seen for the potential flow around the same object, and the total force is indeed the sum of this force and all circulatory (viscous) components. where $J$ is the impulse (momentum), $d$ the distance between the vortex centroids, and $\Gamma$ the vortex circulation. Since force equals the rate of change of momentum, the chain rule of differentiation gives: $$F = \rho(\dot{d}\Gamma + d\dot{\Gamma})$$ (where dot signifies time derivatives). This shows that vortex lift has two contributions, one related to strength of vortices and the growth in distance between them (and this term leads to $L = \rho U \Gamma$ in steady flow), and another related to the growth of circulation. The direction of the force is normal to the line connecting the two vortices. ![Potential Flow Streamlines Around a Stationary Counter-Rotating Vortex Pair](image) Figure 1-6: Potential Flow Streamlines Around a Stationary Counter-Rotating Vortex Pair. This flow has net momentum produced by the vortex pair, and therefore results in a net force. Let us consider a flat plate in unsteady flow as being the source of such a force through the generation of a starting vortex (or TEV), and either bound circulation or a LEV associable with the plate. Setting $x$ as the streamwise co-ordinate, lift is the $y$-component of this force. Knowledge of the strengths and positions of the two vortices (LEV and TEV) allows us to compute this circulatory lift force and to express it in coefficient form (where $u_i$ are the $x$-components of vortex velocities, and $x_i$ are the $x$-components of vortex locations): $$C_{l,circ} = -\frac{2}{U_\infty^2 c} \left[ (u_{LEV} - u_{TEV}) \Gamma_{LEV} + (x_{LEV} - x_{TEV}) \dot{\Gamma}_{LEV} \right]$$ Note that this is non-dimensionalised by a free stream velocity $U_\infty$. Apart from the choice of $U_\infty$ and the direction of the lift force, this result is independent of the coordinate system. In situations where there is both bound circulation and a LEV, it is suggested that we ‘lump together’ both vortices by calculating the total circulation and a centroid location (like a centre of gravity). Note that the position of the centroid can move relative to the plate if the LEV convects with respect to the plate. Thus there are only two vortices in the flow, and these must be of equal and opposite strength according to Kelvin’s theorem. In reality, as the LEV changes strength, a vortex sheet is shed from the TE, which may not always merge with the TEV (and even if it does this will take time) and thus the above flow is a relatively crude approximation. However, if we assume (reasonably) that the vortex sheet moves away at $U_\infty$ the first term of the above equation remains correct. Furthermore, it can be argued that because any changes in circulation cause shedding at the trailing edge, an approximation for the distance term in the above equation might be the chord length. Thus we propose to alter the above to: $$C_{l,circ} = -\frac{2}{U_{\infty}^2 C} \left[ (u_{LEV} - u_{TEV}) \Gamma_{LEV} + c l_{LEV} \right]$$ This effectively assumes that the distance between two opposing vortices arising from a change in circulation is equal to the chord length. Although crude, this model is helpful in understanding the magnitude of circulatory lift generated in an unsteady wing flow, by tracking the LEV and TEV (Figure 1-7). The model illustrates nicely when a detached LEV contributes to wing lift: 1) While it continues to strengthen, regardless of its position; and 2) While it moves relative to the TEV. ![Figure 1-7: Schematic of Leading Edge Vortex (LEV) and Trailing Edge Vortex (TEV) with Respect to the Plate, with Coordinate System with Origin at the Plate’s Leading Edge.](image) Thus, it is not necessary for the LEV to be at a constant position relative to the wing (attached). As long as it moves away at a slower speed than the TEV (relative to the wing) it contributes to the circulatory force. However, after the LEV is ‘shed’ it generally stops growing in strength and moves away from the wing at an ever increasing rate, thus reducing its force contribution until it ultimately drifts at free stream velocity, at which point no further force is produced. With this approach in mind, we proceed to deriving circulatory and non-circulatory lift terms for the surging plate and the pitching plate. As cautionary note, there is no reason why the real viscous flow should be equivalent to the superposition of an accelerating normal flow, a 2-vortex flow and a remaining uniform flow in the direction of the plate. One might compare some PIV flowfields with a flow calculated form this analytical model. In any case, PIV data is necessary to obtain LEV and TEV trajectory history and circulation history. ### 1.4.2 Analytical Derivations for the Surging Plate We express the plate-normal velocity as: $$V = U \sin \alpha$$ The added mass force is: $$F = \frac{\rho c^2 \pi}{4} \dot{U} \sin \alpha$$ Calculating the component in lift direction: $$L = F \cos \alpha = \frac{\rho c^2 \pi}{4} \dot{U} \sin \alpha \cos \alpha$$ expressed in coefficients this gives: $$C_{L,non-circ} = \frac{\pi c \dot{U}}{4U^2} \sin 2\alpha$$ No force is generated at vanishing angle of attack. The above result shows that the non-circulatory force is perpendicular to the plate. It is generally more common to normalize the force coefficients in the surging case with the eventual free-stream velocity $U_\infty$. This reduces the lift coefficient during the acceleration phase by $\frac{U(t)}{U_\infty}$. For the circulatory term, we make use of Pitt-Ford’s observation [11] that the bound circulation in surging flat plates tends to vanish early on in the motion. Thus we assume that all circulation in the flow is concentrated in two vortices: an LEV (that need not be attached to the plate) and a TEV. The vorticity shed by changing strength of the LEV is assumed to immediately merge with the TEV. In lieu of PIV data on vortex trajectories and circulations, one could conjecture that $\Gamma_{LEV}$ grows according to the Wagner function to eventually reach some saturated steady-state value (Figure 1-4). This is not far from the real scenario. We use the Wagner function (starting from zero) rather than the Wagner prediction for lift (which starts at a finite lift coefficient half of the ultimate value) because Wagner assumes that the growth of bound circulation starts from zero. There is no real physical justification of this; it is merely convenient to use this curve because it fits the observed growth of circulation reasonably well as will be shown later in this Report. Agreement can probably be improved. In the above, the Wagner function was calculated by assuming a constant asymptotic $\Gamma_\infty$ based on the terminal velocity. If we locally adjust the curve by scaling with $\frac{U(t)}{U_\infty}$ during the acceleration phase, then its shape should fit better with the measured data. The exact Wagner function is iterative, but a close explicit formula is: \[ \frac{\Gamma(t)}{\Gamma_\infty} = 0.914 - 0.3151 \exp \left( \frac{-s}{c} \right) \left( \frac{0.1824}{-s/c} \right) - 0.5986 \exp \left( \frac{-s}{c} \right) \left( \frac{2.0282}{-s/c} \right) \] Generally, the steady-state circulation of an LEV is unknown, so we use the equivalent to $2\pi\alpha$. This does not mean that the plate at any point achieves the equivalent value of steady-state lift, because we do not assume that the LEV is perfectly attached to the plate. We also need an estimate of the LEV motion relative to the plate (or the TEV). As shall be shown in later sections, we can estimate the relative drift velocity between the LEV and the TEV to be between 0.3 and 0.5 of the free stream velocity during the early part of the motion (Figure 1-8). This appears to hold even beyond the acceleration phase, although this cannot be correct indefinitely as the relative velocity eventually has to vanish. To be precise, there appears to be an early stage where the LEV is ‘attached’, i.e., moving more slowly relative to the wing, but we propose to ignore this because the vortex strength at this stage is still small. Thus the simple $\frac{1}{3}U_\infty$ rule might actually work reasonably well to capture the circulatory force. ![Graph showing distance of LEV and TEV from the Plate’s Leading Edge, Plotted Against Chords-Traveled by the Plate, for the Fast (Once Chord Acceleration) Translational Surging and Pitching Plates.](image) Figure 1-8: Distance of LEV and TEV from the Plate’s Leading Edge, Plotted Against Chords-Traveled by the Plate, for the Fast (Once Chord Acceleration) Translational Surging and Pitching Plates. To summarize, we estimate the unsteady force in the surge case as follows: 1) Add three contributions from virtual mass, vortex growth $\dot{\Gamma}_{LEV}$, and relative LEV/TEV motion. 2) Estimate virtual mass from potential flow result for inclined flat plate. This force occurs during the accelerating portion of the cycle. 3) Estimate the two circulatory contributions by assuming that $\Gamma_{LEV}$ grows according to the Wagner function with a steady-state value equivalent to $2\pi\alpha$ (most likely $\dot{\Gamma}_{LEV}$ is well below this value). 4) Estimate the LEV trajectory by assuming that the distance between the LEV and the TEV grows at 50% of $U_\infty$. 5) Estimate the distance between two vortices used in the $\tilde{I}_{LEV}$ term to equate to chord length $c$. 6) In each case, non-dimensionalize the result by the asymptotic $U_\infty$, this may require ‘down-scaling’ some of the equations given earlier during the accelerating portion of the surge cycle. At large angles of attack (e.g., 45°) we need to be careful about force directions. The vortex lift acts in a direction normal to the line connecting LEV and TEV, while the non-circulatory force acts normal to the plate. The notional history of lift for the surging plate should then follow the schematic in Figure 1-9. ![Figure 1-9: Notional Schematic for History of Lift for the Translational Surging Plate, with Contributions During the Phase of Motion where the Plate is Surging (Non-Zero Acceleration) and where the Steady-State Relative Free-Stream Speed has been Attained.](image) ### 1.4.3 Analytical Derivations for the Pitching Plate For the pitching plate (Figure 1-10) we again segregate lift into an inertial added mass term, and circulatory contributions. The latter now include a vortex lift term, and an additional contribution due to pitch rate. The latter has the same effect as a bound vortex. Using the coordinate system in Figure 1-10 we obtain for the normal velocity at the plate’s mid-chord: \[ V = \left( \frac{c}{2} - x_p \right) \dot{\alpha} \] The non-circulatory forces are non-zero only during the smoothing transients of the pitching motion, where the pitch-rate-derivative is non-zero. We can assume the added mass potential flow to be a superposition of a rotation about the mid-chord and a plunge (normal to the plate). The former does not generate a force (but it does generate a moment, which we ignore here). To compute the latter, we once again model the added mass contribution from the equivalent flow of a plate at $90^\circ$ angle of attack and the mid-chord normal acceleration. Thus the magnitude of the non-circulatory force depends on the hinge location $x_p$, with rotations about the leading and trailing edges producing spikes of equal opposite magnitudes while rotation about the centre experiences no non-circulatory force. Using the above expression for $V$ and the previously stated equation for the added mass force we obtain for the non-circulatory contribution to lift: \[ C_{L,non-circ} = \frac{\pi c^2}{4U^2} \left( 1 - 2 \frac{x_p}{c} \right) \dot{\alpha} \] Note that the above applies at zero angle of attack. At the end of the pitch (when the second spike appears), the force vector is rotated by $\alpha_{end}$, thus the second spike is reduced: \[ C_{L,non-circ} = \cos(\alpha_{end}) \frac{\pi c^2}{4U^2} \left( 1 - 2 \frac{x_p}{c} \right) \dot{\alpha} \] We next turn to the circulatory contributions. From the pitching motion there is an additional normal velocity $V$ at the mid-chord, which increases the effective angle of attack by approximately $V/U_\infty$. Assuming that this generates additional lift according to $2\pi a$ would give the additional lift contribution (use the result for $V$ derived above; the same result is given by Theodorsen [12]): \[ C_{L,2} = \frac{2\pi}{U_\infty} \left( \frac{c}{2} - x_p \right) \dot{\alpha} \] However, if we continue to assume that bound circulation due to angle of attack is zero, then the lift contribution due to this additional effective angle of attack should already be included in the vortex lift. We thus propose to ignore this term. The physical action of pitching the wing does however introduce a real rotation into the fluid. We believe that this is equivalent to a bound circulation (not included in the LEV), and should therefore generate an additional contribution to lift. The existence of this bound circulation can be explained in two ways: either a virtual camber caused by pitch (consider the motion of the TE relative to the LE while the fluid travels along the chord), or an additional circulation due to the plate’s rotation (Figure 1-11). ![Figure 1-11: Schematic from Classical Unsteady Thin Airfoil Theory, Motivating Quasi-Steady Lift Contribution Due to Pitch; Pitching Produces an Effective Angle of Attack History, or Alternative, an Effective Camber.](image) Applying unsteady thin airfoil theory [12] to a pitching plate (Figure 1-11) gives the following result for lift coefficient: $$c_l = 2\pi \left( \alpha + \frac{c\dot{\alpha}}{2U_\infty} \left( \frac{3}{2} - \frac{2x_p}{c} \right) \right)$$ This includes the steady contribution of $2\pi\alpha$ and the above virtual quasi-steady angle of attack. However, after removing both we are left with: $$c_{l,circ} = \frac{\pi c}{2U_\infty} \dot{\alpha}$$ We can also explain this same result as an additional bound circulation introduced by the speed of rotation, akin to the Magnus effect: $$\Gamma = \frac{\pi c^2}{4} \dot{\alpha}$$ Then we obtain the above lift contribution by applying $\rho U_\infty \Gamma$. To this we add the circulatory term from LEV and TEV circulation-change and relative displacement, exactly as in the section on the surging plate, except that one must account for the plate’s changing incidence-angle during pitch, to isolate the lift component of the vortex-force. The full combination of lift history is schematically presented in Figure 1-12. 1.5 PARAMETRIC VARIATIONS The aim behind “canonical cases” is cross-vetting – but the potential parameter space is vast and unwieldy. With not claim of thoroughness, or even of eclectic selection of the most crucial archetypes, we consider the following variations beyond the “canonical”: 1) Rectilinear cases were also studied in 2D or nominally in 2D, where the plate spans the test section of a water tunnel. Also, in translation and rotation, different aspect ratios were studied, noting effect of AR on the aerodynamic force coefficient histories, LEV and TEV vortex trajectories and circulation strengths, and spanwise trends therein. For rotational motions, variation of “root cut-out” [13] or the stand-off between the rotational fixed-point and the inboard wingtip could be considered as surrogate for Rossby number, but was not pursued here. The limit of infinite root cut-out in a rotational surge is a rectilinear surge. 2) Variations in Reynolds number, with examination of change in aerodynamic forces and LEV development. 3) Variation of reduced frequency, all the way to infinity (pitch in a zero free stream). 4) Variation of pitch pivot point along the plate’s chord. 5) For rectilinear surge we compare linear acceleration profile defined with respect to convective time vs. wall-clock. Further, different smoothing transients are applied to nominally linear ramps defining the acceleration profile. And acceleration profiles can be taken as polynomials of various kind, instead of linear ramps. 6) Plunge resembling pitch. 7) Variations in plate leading edge shape, comparing a square leading edge with sharp corners, to a round leading edge. 8) Variations in peak incidence angle in pitch-ramps, and in the steady incidence angle for a surging-maneuver. The work described in this Report is meant to be broadly expository, but obviously makes no aspiration to comprehensively cover all pitching/rotating/flapping plate research in the past several years. A good example of work followed by AVT-202, but not reported here, is that of D. Rockwel’s group at LeHigh University, which conducted experimental investigations on the flow structure for plates primarily in rotational pitch and rotational surge. Findings for the rotational case include: sensitivity of the leading edge vortex and the overall three-dimensional vortex system to radius of gyration of the plate, which is to say root cut-out; preservation of a highly coherent leading edge vortex to large angles of rotation/travel distance; and preservation of the highly organized structure of the tip vortex-leading edge vortex system on a simultaneously pitching and rotating wing, relative to a purely rotating wing. Meanwhile, for pitching plates in translation, there is an evolution of an “arch vortex”, following that originally computed by Visbal [14]. For details, see Refs. [15], [16], [17], [18], [19] and [20]. INTRODUCTION Chapter 2 – FACILITIES AND METHODS High rate, high amplitude motions are more readily studied in liquids (water, water/glycerin mixtures and the like) than in air [21]. The ratio of model inertia (the model’s physical mass) to fluid-dynamic loads is much lower in liquids than in air, leading to improved signal-to-noise ratio. PIV particle seeding is also easier in the liquid phase [22]. 2.1 AFRL AFRL data were taken in the United States Air Force Research Lab, Aerospace Systems Directorate’s water tunnel, by K.O. Granlund and M.V. Ol, and separately by P. Mancini and A. Jones, thus producing two data sets. The tunnel is of free-surface type, with test section 18” wide, 24” high and 96” long. Nominal turbulence intensity (measured by particle image velocimetry and laser-Doppler velocimetry) is 0.4% at 15 – 40 cm/s, and speed range is 3 – 90 cm/s. The tunnel is powered by a 16”-diameter axial impeller pump, flowing water through a vertical perforated distribution pipe into the intake plenum, a settling chamber with 3 screens and 2 honeycombs, and 3:8:1 contraction. The tunnel is fitted with three degree of freedom motion system, consisting of three linear electric servomotors and a proportional-integral-derivative programmable controller. Two motors vertically oriented above the test section actuate pitch and plunge with up to 8” stroke, while a third motor above the aft end of the test section has 48” stroke of fore-aft translation, or surge. All rectilinear motions are possible, other than continuous rotation in pitch (pitch is limited to 0° – 90° or ± 45°). Translational surging motions are via the horizontal motor, with the tunnel shut off, and the two vertical motors set to place the model at 45-degrees incidence. The model mounted horizontally in the test section, with a central support also housing the load cell. Translational pitch uses the same orientation. In the typical translational arrangement, the plate is mounted offset from the load cell by a 2.25” 3D-printed plastic strut. Rotational surge uses all three motors, with the model hanging vertically from an arm offset from the load cell, with the load cell reference-center at the point of rotation. The equipment suite includes: - PCO Dimax 4Mpix 1279 frame-per-second, 12-bit CMOS camera, for PIV and flow visualization, typically mounted laterally from the test section. - Photonix DM55 55 mJ/pulse 3 KHz single-cavity Nd:YLF laser, fired asynchronously for PIV, and synchronously for planar laser fluorescence for flow visualization by injection of dye from the plate leading/trailing edges. - ATI NANO-25 and NANO-17 [23] 6-component load cells, triggered by the motion-rig, mounted in a frame connected to “plunge rods” from the two vertical linear motors. - Positive-displacement syringe pump for adjustable-flow of dye (food coloring or rhodamine, the latter for planar laser fluorescence). Photographs of the facility and typical models are shown in Figure 2-1. PIV is of the conventional 2D type, using Lavison’s DaVis 8.1 software and the 5 µm Vestosint seeding particles. With a multi-pass, variable window-size method, the first pass used a 48 x 48 pixel window with 1:1 square weighting and 50% overlap, and two further passes used 32 x 32 pixel windows with 1:1 circular weighting and 75% overlap. Post-processing was kept to a minimum by only utilizing a remove-and-replace median filter of 2 standard deviations. Processing/filtering of force-data is discussed in Granlund et al. [24], with low-pass filtering ultimately limited by the system natural frequency, typically at $\sim 13$ Hz (as determined by strike-test of the model) in post-processing, and at 18 Hz in the load-cell’s native acquisition system, with sampling at 1 KHz. For translations, the principal case was an AR = 4 carbon fiber plate with $c = 76.2$ mm and thickness $\sim 3$ mm. Due to the length of the test section, maximum translation distance was limited to approximately 14 $c$ for the surge cases. A typical model installation is shown in lower part of Figure 2-1. ### 2.2 ARL The U.S. Army Research Lab (ARL) group (K. Kroninger, M. Munson, A. Harrington and B. Cohen) used an oil tank for force/moment data on rotating wings. The hexagonal tank is 63.5 cm across and 76 cm tall) Figure 2-2, filled with mineral oil of 850 kg/m$^3$ density and 16.8 mPa-s viscosity at room temperature. The model is supported on a six component balance, with the axis of rotation for the wing in the center of the tank. Rotation is controlled by a stepper motor from the top of the tank, with the motion transmitted down the larger of two concentric shafts. The mechanics for the wing pitching motion are mounted in the rotating frame of reference with a second stepper motor controlling the wing pitch through the center shaft. Utilizing micro-stepping, a resolution of 2000 steps per revolution was achieved. Both axes of motion have a gear down ratio from the motor to the axis of rotation, resulting in positioning resolutions of 10,000 and 4000 steps per revolution in the rotation and pitch axes, respectively. From visual inspection, it is estimated that +/-1.5° of alignment accuracy can be achieved, plus another +/-1.5° of backlash. The model, depicted in Figure 2-2(c), has AR = 2 (based on the semi-span and area), a rectangular planform, 15.2 cm by 7.6 cm and a thickness of 3.7 mm. It is designed to reside a half chord length from the axis of rotation. The wing tip is about 5/3 chords from the tank wall at the closest points in the rotation, so a small influence from the presence of the wall might be anticipated. Two sets of wing kinematics were explored. One is rotation at a pitch angle of 45° (Figure 2-2), with a surging start. The acceleration for the surging start is completed in about two chord lengths following the profile of a smoothed quadratic polynomial spline for the commanded acceleration. The second is a pitch-up from a pitch angle of 90° to 45° while already rotating. The pitch-up is completed within the first revolution of the wing over 8 chord lengths of travel. The wing displacement over time is described by the Eldredge smoothing function [7] with a value of 0.05 for the reduced frequency and 11 for the smoothing parameter. The distance travelled is measured at the ¾ span location for both cases and 4 π chord lengths equals a revolution. The forces and moments at the base of the wing are measured with a six component balance, with a range of +/- 500 N in its longitudinal axis (the wing’s spanwise axis) and +/- 125 N in the lateral directions. The moment limits in all axes are 3 N-m. The measurement accuracy is described by the manufacturer to be better than 0.01% of the full-scale range for all axes [23]. Voltage supplied to the balance and the analog outputs is routed through a slip ring out of the rotational frame to a signal conditioning unit and ultimately to an Analog-to-Digital Converted (ADC). The angular motions of the rotational and pitch axes are each monitored with an optical quadrature encoder mounted on each motor. The force and encoder signals were all measured simultaneously with a high-speed ADC, sampled at 51,200 Hz. The high-speed ADC applies a combination of a digital and analog filtering to prevent aliasing. The resulting filtering behavior is a low pass filter with a cut-off frequency that is one half the sample rate (the Nyquist frequency) [25]. A zeroing process was performed just before and after each data collection run to account for balance drift and the model’s weight. The force time histories were further filtered with a discrete truncated approximation of an ideal low pass filter. A 10 Hertz cut-off frequency, applied over a four second range centered around the current time step, was utilized for the convolution of the ideal filter impulse with the force time histories. The difference between the digitally filtered data and the original time history was used to form a moving standard deviation. The moving standard deviation is calculated from 100 ms of data, the period of the 10 Hz cut-off frequency. Error bars representing three standard deviations are plotted with the digitally filtered data reflecting a 99% percent confidence interval assuming a Gaussian distribution of signal noise [25]. 2.3 ASELSAN INC. The Aselsan group (C. Gozukara) computed the translational cases using ANSYS Fluent 15.0 [26], with an unstructured moving mesh composed of two zones; the outer grid surrounds an inner one, moving with the plate without going through a deformation. The outer zone is morphed and regenerated according to the predefined deformation rules to enable the inner zone to move. The mid-span cross-section grid slices are shown in Figure 2-3. Grids for RANS computations have 19426144 and 16767196 tetrahedral elements for translational surge and translational pitch cases, respectively. Slightly smaller grids are used for laminar computations. The domain is 80 c long, 40 c wide and 40 c high for the translational cases, and 60 c long, 40 c wide and 60 c for the pitching cases. The plate has a chord of 60 mm, thickness of 2 mm, and AR = 4. Reynolds number based on chord and terminal velocity is 3600 and 10,000, the former taken as laminar, and the latter run as RANS with a k-ε turbulence model [27]. One chord of travel is divided into 500 equal time steps for all cases. The initial conditions for the translational pitch cases are established by performing steady-state computations with zero angle of incidence. ![Figure 2-3: Cross-Sectional View of Unstructured Mesh for Pitching (Left) and Surging (Right) Translations.](image) 2.4 CAMBRIDGE UNIVERSITY The Cambridge University group (R. Stevens and H. Babinsky) performed experiments in the Cambridge Department of Engineering water towing tank (schematic in Figure 2-4). The tank has a 2 m long working section with clear side walls and floor for laser and camera optical access. The operational cross-section is 0.8 m². For an AR = 2 wing, maximum blockage (at $\alpha = 45^\circ$) is 2.5%. A settling time between experiments of 20 minutes is deemed sufficient to achieve a quiescent fluid as determined by Jones [28]. The computer-controlled carriage on top of the tank can achieve a positional accuracy of +/-0.25%. Velocity is corrected for temperature variations greater than 1°C, giving a maximum error in freestream Reynolds number of O(1.25%). The pitching rig (Figure 2-5) is used for both surging and pitching experiments. A skim plate is used to remove the influence of water free-surface effects and to act as a symmetry plane, giving an effective AR of twice the physical AR. Two different wings are used for experiments, one with a physical AR = 4 and one with AR = 2 (giving effective ARs of 8 and 4 respectively). For surging experiments the pitch motor is not activated and is fixed in place at the desired incidence. During pitching the wing incidence is verified using an algorithm based on the pixel illumination intensity of the wing reflection in PIV images and is accurate to within 3 – 4 pixels, giving a typical measured error over commanded incidence of less than 1 – 2 %. Lift and drag are measured with a force balance of the strain gauge load cell type. The two-component balance has a range of +/- 50 N and an accuracy within 0.01 N. Data is averaged over 10 runs, and smoothed using a moving-point average span of 100 data points with the endpoints treated by having progressively smaller span widths. The forces on the wing in air are also obtained and subtracted from the forces in water to remove the inertia force of the wing. Dye flow visualization is performed using a dye composed of water and milk. Milk improves the stability of dye filaments, retarding diffusion of the filament into the main bulk of the fluid; milk also has the advantage of possessing good reflective properties [29]. A LaVision Flow Master planar PIV system uses TiO$_2$ particles for seeding, and camera with frame rate capability of more than $5 \times 10^6$ Hz, at a resolution of 1024 x 1024 pixels. The field of view is 240 mm x 240 mm. Processing is with two passes of each interrogation window size, with windows decreasing from 32 x 32 to 16 x 16 pixels with Gaussian weighting and a 50% window overlap. Each vector represents an area of 1.6 x 1.6 mm$^2$ giving 75 vectors per chord length. The $\gamma_2$ vortex detection scheme of Graftieaux et al. [9] is employed to identify the position of vortex cores in PIV data (contour centroid method). Using the LEV centre calculated by $\gamma_2$ as the epicentre, for each frame, a series of circular contours are defined with increasing radius. The circulation ($\Gamma$) around each contour is calculated and plotted with respect to contour radius. A best-fit Lamb-Oseen radial variation in $\Gamma$ (Eq. 2-1) is applied to the data, whence $\Gamma_{\text{max}}$ can be inferred. The calculated error in $\Gamma$ from the fit of a free Lamb-Oseen vortex is 0.23%: $$\Gamma = \Gamma_n \left(1 - \exp\left(\frac{-r^2}{r_c^2}\right)\right)$$ (Eq. 2-1) $r =$ radius of given contour. $r_c =$ vortex core radius. Equation n: Lamb-Oseen Circulation. ### 2.5 DLR The German Aerospace Centre (DLR; H. Ehlers and R. Konrath), Institute for Aerodynamics and Flow Technology, performed Tomographic PIV experiments in the TU-Braunschweig wind tunnel, described below. Measurements capture phase-locked recordings (250 image pairs per chordwise position) of the flowfield above the moving wing for the 6 c slow pitch case. A schematic of the measurement set-up is shown in Figure 2-6. Providing 400 mJ per pulse, a Nd:YAG laser (BigSky CFR) illuminates small DEHS tracer particles. The laser light volume was directed in a span-wise direction, with cross-section of $h \times t = 50 \times 20$ mm$^2$. The width of the measurement domain was about 120 mm, starting 0.03 b beyond the wing tip. Flow field data is not available between symmetry plane and $y/n \approx 0.125$ b in span-wise direction. Four high resolution CMOS cameras (PCO.edge: 2560 x 2160 pixel, 16-bit) are arranged with two on each side of the test rig (Figure 2-6). A mirror was used to reflect the laser beam back, enhancing the scattered light intensity for the backward facing cameras. Due to the limited thickness of the laser volume, measurements had to be applied successively, scanning the flowfield in a chord-wise direction. The total measurement domain between leading and trailing edge consists of six sub-volumes. Tomo-PIV recordings have been taken for the time instances $t^* = 3$ and 4. The data reduction procedure, using in-house software, is divided into three sub-routines: The camera calibration (which includes volume self-calibration), reconstruction of the particle distribution and a 3D cross-correlation routine. The reconstruction of the particle distributions was done using a SMART algorithm with MLOS initialization [30], [31]. The evaluation domain of every volume is represented by a voxel-space of $912 \times 2177 \times 329$ voxel (resolution $\approx 18.2$ voxel/mm). The voxel-to-pixel ratio was set to a value of 0.8, to allow an effective processing of the large amount of data. The recovered volume pairs of three-dimensional particle distributions are then processed with a cross-correlation-based displacement estimation algorithm. Just as in established 2-C processing schemes, the 3D algorithm employs a resolution pyramid which starts at a rather coarse grid and stepwise increases resolution while continually updating a predictor field. In the present application, a three level resolution pyramid was used with a final window size of $48^3$ voxel (75% overlap), resulting in vector volumes with $75 \times 175 \times 25$ nodes. At this resolution volume deformation was applied twice using a cubic b-spline of order 3. ### 2.6 FLORIDA STATE UNIVERSITY The Florida State University group (K. Taira and R. Jantzen) performed numerical simulations of translational pitch and surge using an immersed boundary method on a Cartesian Lagrangian grid [32], at sufficiently low Reynolds numbers so as to enable direct numerical simulation without sub-grid modeling or filtering. The spatial domain was discretized with a non-uniform Cartesian grid, with its spatial convergence verified. For pitching simulations, uniform flow was specified at the inlet and the plate was fixed at zero angle of attack to develop a laminar boundary layer. Once the boundary layer reached a steady-state, the pitching motion was initiated. For the surging simulation, the background flow was accelerated to match the experimental surging profile with the plate fixed on the grid. For the cases presented herein, the Reynolds number has been set to 300 based on the translation and terminal velocity values for pitching and surging cases, respectively. The numerical solver and computational set-up have been verified and validated extensively, including flows over low-aspect-ratio plates [33] and comparisons with experiment [34]. A typical result, of 3D isometric visualization of vorticity contours for the AR = 4 surging plate, is given in Figure 2-7. ![Figure 2-7: Typical Results of Florida State University Immersed Boundary Method Solver, Contour Levels of Vorticity for the “Fast” AR = 4 Plate Surging in Translation.](image) ### 2.7 ISTANBUL TECHNICAL UNIVERSITY Experiments by the Istanbul Technical University (ITU) group (O. Cetiner and O. Son) were performed in the close-circuit, free-surface, large-scale water channel located in the Trisonic Laboratories at the Faculty of Aeronautics and Astronautics of Istanbul Technical University. The cross-sectional dimensions of the main test section are $1010 \text{ mm} \times 790 \text{ mm}$. The models are mounted in a vertical cantilevered arrangement in the water channel about their leading edge as the pivot point. The connection rod connects the models to the servo motor from their leading edge to provide a ramp type pitch up motion via a coupling system. The chord length of the models is 10 cm and models have a span of 20, 30 or 40 cm to obtain different aspect ratios. The models are thin rectangular plates ($t = 0.5 \text{ cm}$) with sharp and round edges and they are manufactured of transparent Plexiglas® to allow laser light to illuminate both the suction and pressure sides. The experiments are conducted at a Reynolds number of 10,000 which corresponds to a flow speed of $U = 0.1 \text{ m/s}$. Particle Image Velocimetry (PIV) technique is used to record flowfields around the models and therefore to analyze the vortical structures. The flow is illuminated by a dual cavity Nd:Yag laser (max. 120 mJ/pulse) and the water is seeded with silver coated hollow glass spheres with a mean diameter of 10 µm. Two 10-bit cameras with $1600 \times 1200$ pixels resolution are positioned underneath the water channel to capture the flow structures around the flat plate and in its near-wake. Two images from the two cameras are stitched before interrogation using two marker points in the illumination plane. Stitched PIV images are then interrogated using a double frame, cross-correlation technique with a window size of $64 \times 64$ pixels and 50% overlapping in each direction. The final grid resolution of velocity vectors is $3.5 \text{ mm} \times 3.5 \text{ mm}$ in the plane of the flow. The resulting measurement plane is represented with approximately 3240 velocity vectors. The experimental set-up is shown in Figure 2-8. A six-component ATI NANO-17 IP68 Force/Torque (F/T) sensor [23] is used to measure the forces and moments acting on the model. The sensor is attached on the rod between the model and the pitch servo motor, oriented with its cylindrical z-axis normal to the pitch plane. The pitch-up motions of the airfoil are accomplished with a Kollmorgen/Danaher Motion AKM33E servo motor. The models are subjected to perform two types of motion: fast and slow. The model starts from 0° and reaches to its final angle of attack of 45° in 1 second for the fast motion and 6 seconds for the slow motion corresponding to 1 and 6 convective times respectively. Motor motion profiles are generated by a signal generator Labview VI (Virtual Instrument) for the given amplitude and duration. The same VI triggers both the force data acquisition and the PIV system. The force measurement starts 5 seconds before the beginning of the pitch motion; the synchronization with the PIV system is achieved using a National Instruments PCI-6601 timer device. 2.8 TECHNICAL UNIVERSITY OF BRAUNSCHWEIG Experiments at the Technical University of Braunschweig (R. Radespiel and R. Wokoeck) were carried out in the LNB wind tunnel (Figure 2-9), a continuous Eiffel type tunnel with room recirculation designed to offer high quality flow with low perturbation. A typical turbulence level of $Tu < 0.1\%$ and a core velocity uniformity of 99% are achieved by a large nozzle contract ratio of 16 and several means of flow treatment and sound and vibration dampening. The dynamic model support (Figure 2-9) is integrated into one of the 0.6 m high, 0.4 m wide and 1.5 m long modular test sections. To meet the required precision of high-speed flapping wing motions, it is driven by two linear direct electric motors, each delivering up to 700 N. The drives are controlled in a real-time closed loop with a 12-bit virtual cam resolution plus smooth interpolation and on the fly correction, with accuracy of $\pm 0.05$ mm in vertical position and $\pm 0.1^\circ$ angles of attack. Whilst the support is capable of carrying out pure plunging motions precisely, any motion containing a rotation portion is accompanied by a small unwanted horizontal translation. Forces were measured with the 107 mm long and 11.2 mm in diameter six components internal strain gauge balance $W637$. Together with a Hottinger Baldwin Messtechnik MGCPplus strain amplifier to process the balance signals, an accuracy of 0.015% of full scale is achieved. The full scale for the drag force is $\pm 7$ N and for the normal force is $\pm 20$ N, whilst the pitching moment may range up to $\pm 0.75$ Nm. The force measurements are run through a 10 Hz low pass Bessel-filter to dampen out mechanical vibrations of the model support. The pitch moment is then referred to $\frac{1}{4}$ chord. To separate the aerodynamic forces from the inertial forces, the latter are determined in a second measurement run with the wind tunnel off and an inertial dummy replacing the model. The dummy has to have the same mass, centre of mass and inertial moment in reference to the pitching axis as the model, but interacts much less with the air due to its compact, wingless design. Tuning the inertial dummy to the model values is an iterative process carried out with a fine weight balance, a tilting balance and a pendulum. The model was built by DLR in sandwich structure with layers of carbon fiber reinforced plastics around a foam core. The rectangular wing has fully round edges, a chord of 70 mm, a span of 280 mm and a thickness of 2.35 mm. Dummy and model as shown in Figure 2-9(b) both feature a body beneath the wing to cover the balance from wind and share a weight of 72.65 g. ### 2.9 TECHNICAL UNIVERSITY OF DELFT The TU-Delft group (M. Percin and B.W. van Oudheusden) experiments were performed in a water tank at the Aerodynamics Laboratory of Delft University of Technology. The octagonal water tank (600 mm of diameter and 600 mm of height) is made of Plexiglas® allowing full optical access (Figure 2-10(a)). A Plexiglas® flat plate test-article has sharp edges, thickness of 3 mm, rectangular planform, length ($c$) of 50 mm, a span length ($b$) of 100 mm, resulting in an aspect ratio of 2 (Figure 2-10(b)). The wing model was positioned at approximately 5 $ c $ distance from the water surface, 7 $ c $ distance from the bottom wall and 5 $ c $ (wing tip to wall) distance from the side wall. A brushed DC motor with a gearbox (gear ratio of 132:1) connected to the main vertical axis ($ y $ axis) of the set-up drove the wing in revolution, while pitch about the wing’s leading edge ($ z $ axis) was by a waterproof servo motor that was placed in the servo box which also contains the force sensor. ![Experimental Arrangement in the Water Tank](image1) (a) ![Dimensions of the Wing Model](image2) (b) Figure 2-10: (a) Experimental Arrangement in the Water Tank; (b) Dimensions of the Wing Model. The distance between the root chord and the rotation axis is 35 mm (0.7 $ c $) and the radius of gyration is $ r = 90 $ mm, resulting in Rossby number of $ r/c = 1.8 $. The motion (Figure 2-11) is initiated by a constant acceleration from rest to $ V_t = 0.2 $ m/s (corresponding to the Reynolds number of 10,000 based on $ c $) at an angle of attack ($ \alpha $) of 0° over $ \Delta t^* = 2 $ ($ \Delta s^* = 1 $, corresponding to a revolution angle $ \Delta \varphi = 25.8^\circ $); this is then followed by a period in which the wing pitches up to $ \alpha = 45^\circ $ over $ \Delta t^* = 1 $ ($ \Delta s^* = 1 $) at a constant pitch rate, after which the wing continues to revolve at a constant rate at $ \alpha = 45^\circ $. On the other hand, in the revolving surge case (Figure 2-10(b)), the wing motion is initiated at $ \alpha = 45^\circ $ angle of attack with an acceleration period from rest to $ V_t = 0.2 $ m/s over $ \Delta t^* = 2 $ ($ \Delta s^* = 1 $) after which the wing remains to revolve at a constant angle of attack and constant rate. Note that for sake of comparison between the two cases, the origin for both the non-dimensional elapsed time ($ t^* = 0 $) and distance travelled ($ s^* = 0 $) are defined, such that they coincide with the start of the pitch/surge motion, respectively, with the terminal condition being reached at $ s^* = 1 $. Real-time position and rotational velocity information was acquired from the motor encoder at 33 Hz data acquisition frequency to verify the actual motion kinematics. In all experiments, the entire travel distance is $14 \ c$ ($s^* = 14$) corresponding to one full rotation. Although the forces were captured for the full motion, flowfield measurements were limited to the first $7 \ c$ of travel. Six components of forces and moments were measured with a water submersible ATI Nano17/IP68 force sensor. Force signals were acquired at 2 kHz data acquisition frequency via in-house developed LabVIEW code that also controls the motors and synchronizes the wing motion with the force data acquisition and the PIV measurements. Ensemble averaging of forces and moments was performed over 20 repetitions of the experiments for the pitching case and 50 repetitions for the surging case. The averaged force and moment data were then filtered to remove electrical noise and mechanical vibrations of the driving system as well as the natural frequency of the test rig (16.6 Hz) in the signal, by means of a Chebyshev Type II low-pass filter with a cut-off frequency of 15 Hz. A forward-backward filtering technique was used in order to prevent time-shift of the data. Lift and drag are normalized by use of the terminal velocity $V_t$ and wing surface area, in order to produce force coefficients ($c_l$ and $c_d$, respectively). The uncertainty in the reported force values were calculated based on the 15 Hz low-pass filtered signal which results in 0.5% and 1.5% average uncertainties with respect to steady-state mean values in the revolving-surging and revolving-pitching cases, respectively. Three-dimensional quantitative information of the flow around the outboard section of the wing model was acquired via phase-locked Tomographic PIV [22]. At each run, a double-frame image was captured at a specific phase of the wing motion. Repeated runs were performed with sufficient time intervals to restore quiescent conditions in the water tank. The measurement volume of $90 \times 70 \times 25 \ mm^3$ in size (Figure 2-12(a)) was positioned at two different spanwise locations side by side as shown in Figure 2-12(b). Then, a Kriging regression technique [35] with a correlating length of 2 mm in all directions was used in order to combine the two measurement volumes and to provide a complete visualization of the flowfield. The starting position of the wing was changed based on the desired measurement phase so to have the wing always oriented normal to the measurement volume during image acquisition. For each measurement phase, the experiments were repeated for three times and vector fields are ensemble-averaged in order to improve signal-to-noise ratio. The volume was illuminated by a double-pulsed Nd:Yag laser at a wavelength of 532 nm. Polyamide spherical particles of 56 µm diameter were employed as tracer particles at a concentration of 0.4 particles/mm$^3$. The motion of tracer particles was captured by four 12-bit CCD cameras with a resolution of $1376 \times 1040$ pixels and a pixel pitch of 6.45 µm. Three cameras were arranged along different azimuthal directions in a horizontal plane while the fourth camera was positioned above the mid-camera in a vertical plane (Figure 2-12). Each camera was equipped with a Nikon 60 mm focal objective with numerical aperture $f/# = 11$. Scheimpflug adapters were used on the three off-axis cameras to align the mid-plane of the measurement volume with the focal plane. The digital resolution is 15 pixels/mm and the average particle image density is approximately 0.04 particles per pixel (ppp). Image pre-processing, volume calibration, self-calibration, reconstruction, and three-dimensional cross-correlation based interrogation were performed in LaVision DaVis 8.1.5. The measurement volume was calibrated by scanning a plate with $9 \times 10$ dots through the volume in depth of 25 mm with steps of 5 mm. In each calibration plane, the relation between the physical coordinates and image coordinates is described by a 3rd-order polynomial fit. Linear interpolation is then used to find corresponding image coordinates at intermediate z locations. Image pre-processing with background intensity removal, particle intensity normalization and a Gaussian smooth with $3 \times 3$ kernel size was performed in order to improve the volume reconstruction process. Particle images were interrogated using windows of final size $32 \times 32 \times 32$ voxels with an overlap factor of 50%. The resultant vector spacing is 1.0 mm (0.02 c) in each direction, forming a dataset of $87 \times 68 \times 24$ velocity vectors in the measurement volume. ### 2.10 WROCLAW UNIVERSITY OF TECHNOLOGY The Wrocław University of Technology group (H. Kudela and T. Kozlowski) computed the translational-cases (pitch and surge) in 2D, using an in-house vortex-in-cell method for the incompressible Navier-Stokes equations. Casting the Navier-Stokes into stream-function-vorticity form, one obtains a Helmholtz equation, which was solved using a viscous splitting algorithm [36], [37], [38]. First, the inviscid equation is solved: \[ \frac{\partial \omega}{\partial t} + u \frac{\partial \omega}{\partial x} + v \frac{\partial \omega}{\partial y} = 0 \tag{Eq. 2-2} \] and then, the viscous one (Stokes problem): \[ \frac{\partial \omega}{\partial t} = \nu \Delta \omega, \quad \omega(x, 0) = \omega, \quad \omega\|_{\partial \Omega} = \omega_b \tag{Eq. 2-3} \] From the inviscid equation, the vorticity is constant along characteristics, yielding a system of ordinary differential equations once the domain is discretized over a mesh. The mesh is used to solve the Poisson equation for stream function. Initial vorticity field is replaced by a discrete distribution of vortex particles that are placed in nodes of the grid, with a circulation assigned to each particle. Particles’ circulation changes in time due to diffusion. To simplify mesh definition, the flat-plate with rounded edges was replaced with an ellipse of fineness ratio 50. ### 2.11 UNIVERSITY OF BUFFALO The University of Buffalo group (M.J. Ringuette, Z.R. Carr and A.C. DeVoria) experiments were done at the Vortex Dynamics & Bio-Inspired Propulsion Lab at the State University of New York at Buffalo [39], [40]. The facility is a 91 cm × 77 cm × 71 cm glass tank with a 50% by mass glycerin-water mixture; the density and viscosity are 1130.5 kg/m³ and $5.78 \times 10^{-3}$ Ns/m². The configuration is a rectangular squared-edged flat-plate wing rotating from rest with a 45° incidence. Figure 2-13(a) shows the wing-aligned coordinates. The velocity program, driven by a motion controller, is a symmetric-in-time trapezoid (Figure 2-13(a) inset, green line); the position error is at most 0.03°. Acceleration/deceleration occur over the first/last 10° of rotation; the total rotation is $\phi_{\text{final}} = 120°$. For force measurements, the motion is smoothed during acceleration using a hyperbolic tangent curve (purple line) with the same average angular acceleration. While numerous variants were run, the parameter-set closest to the AVT-202 canonical rotational surge case has: AR = 2, t/c = 0.053, root cut-out 0.14 c, Re (based on span) of 10,000; this is for the PIV data set. Forces were taken with root cut-out of 0.30 c, Re 2000 – 10,000. Following Harbig et al. [45], we use a span-based Reynolds number, $Re_{\text{span}} = U_{\text{tip}} b / \nu$. Acceleration occurs over $\sim 0.3$ c at 75% span (0.25 b inboard of the tip). The S-DPIV data are acquired via an approximately symmetrical angular camera arrangement (Figure 2-13(b)). Volumetric velocity fields are reconstructed from phase-locked, phase-averaged S-DPIV in multiple, closely-spaced constant-span planes. The wing is incrementally translated between runs along the span ($z$-direction), normal to the laser sheet. The out-of-plane spatial resolution is $0.06 \ c$ ($0.08 \ c$) for AR = 2 (AR = 4), with an in-plane resolution twice as fine. Angular positions are acquired at $\phi = 6^\circ - 120^\circ$ with $\Delta \phi = 6^\circ$. The in-plane velocity uncertainty is $\sim 0.01 \ U_{\text{tip}}$; it is about twice this out-of-plane. For AR = 2 and 4, the final velocity fields are obtained by phase averaging 5 and 7 fields, respectively. The force transducer is a submersible ATI Nano 17-JP68 attached at the wing base (Figure 2-13(a)). The sampling frequency is 1 kHz and 40 runs are averaged for each case. The uncertainty from static tests is 0.63% of the measurement for forces of $O(1)$ N. After averaging, low-pass filtering mitigates noise and mechanical vibrations. ### 2.12 UNIVERSITY OF CALGARY The University of Calgary group (D. Rival and J. Kriegseis) performed experiments in a Rolling Hills free-surface water tunnel. Plunging and surging motions for an AR = 4 plate were controlled by a custom hexapod manipulator (see Figure 2-14). The flow was interrogated with three-dimensional particle-tracking velocimetry (3D-PTV). To obtain particle tracks, the tunnel was seeded with neutrally buoyant 100 µm silver-coated, hollow glass spheres with a Stokes number of $\text{Stk} = 1.2 \times 10^{-3}$, and illuminated by a High-Intensity Discharge (HID) light source. A lens system (40 and 300 mm converging lenses) collimated the light to provide a measurement volume with a diameter of 100 mm. The plates were painted black to prevent light scattering. Raw images were recorded with four pco.edge sCMOS cameras (chip size 2560 x 2160 pixels, maximal resolution of 2560 x 1280 pixels at 165 frames per second). Direct force measurements were recorded by means of an ATI Gamma [23] six-component force/moment sensor, which was located between the base of the hexapod and the sting holding the plate. The plate had a chord length of $c = 50$ mm, a span of $4 \ c = 200$ mm and $U/c = 6\%$. Based on the chord length and free stream velocity $U$ or the final towing speed $h(\dot{t}) = 0.1$ m/s (depending on the case), the Reynolds number was set to $\text{Re} = 5000$. Note that the coordinates’ point of origin is placed at the intersection of the leading edge and the tip edge. To identify the influence of initial conditions on vortex formation and orientation, as well as the circulation and overall force history, different plate kinematics were applied to the AR = 4 flat plate. 2.13 UNIVERSITY OF MARYLAND The Maryland group (A. Jones, P. Mancini and F. Manar) performed experiments in the 7 m x 1.5 m x 1 m tow tank (Figure 2-15) at the University of Maryland, and in the AFRL water tunnel (the latter is discussed above). Figure 2-15: University of Maryland Towing Tank: Photograph of Electric Motors Atop of Tank (a) and Schematic of Rotating/Pitching Wing Actuation (b). The towing tank is equipped with a 4-axis motion control. The motor assembly, shown in Figure 2-15(a), is mounted on the towing carriage, and contains two brushless linear motors, a direct-drive brushless rotary stage, model supports, and a slip ring to transfer power and other signals to/from the equipment on the rotary stage. Vertical plunge (± 49 cm) and pitch (± 90 deg.) are driven by the two linear motors and a custom-designed Hocken linkage. Continuous rotation is provided by the rotary stage. Carriage translation (7 m) is directly driven by a pair of brushless linear motors. All stages are equipped with optical encoders, and the entire traverse system is controlled using a multi-axis Galil motion controller to within 0.1 mm. Pitch motion is accurate to within 0.1 degrees. After each test, the motion of the fluid was observed to come to a standstill after about 3 minutes. To ensure absolute quiescent conditions, 5 minutes were allowed to pass between each test run. An ATI Mini40 6-axis force/torque transducer with force resolution of 0.01 N and a torque resolution of 0.0001 Nm was used for direct loads measurement. The sampling rate was 1000 Hz. Each case was run 5 times, starting from different locations in the tank. Starting at a slightly different location served to help average out noise from any bumps in the carriage travel. Results were then averaged. The load cell was fixed to the pitch linkage with a 3D-printed adapter plate. Another 3D-printed adapter is used to fix the wing directly to the force balance; the force balance therefore collected data directly in the wing frame. To isolate only the fluid loads, the contributions from gravity and buoyancy were removed from the measured force. In the surge cases, the average force over the first second was taken as the net gravity and buoyancy force and subtracted from the measurement. For the pitch cases, the tare process is slightly trickier because of the changing direction of gravity in the force balance frame. To remedy this, forces were taken with a static wing at angles of attack ranging from -60 to 60 degrees in 15 degree increments. These static forces were fit with a 3rd-degree polynomial in angle of attack, which was used to tare the gravity and buoyancy forces at any angle of attack. Inertial loads were measured in air and the magnitude of the resulting force was found to be negligible. The forces were smoothed in time with MATLAB’s ‘smooth’ function using the “lowess” option with a width set to 0.5 chords of travel at the final velocity, which corresponds to 0.25 seconds in real time. The “lowess” option creates a least squares quadratic fit over the smoothing window for each point in the original data set and evaluates the resulting quadratic polynomial at the point in question. This method does a good job of rejecting noise without introducing a phase shift, while still accurately capturing the magnitude of peaks in the data. For all cases in this facility, the wing was an AR = 2 flat plate with a chord of 100 mm and slightly rounded edges, and thickness of 0.08 inches. For the rotation case, the root cut-out was 0.5 c, and the angular velocity was set to achieve the same velocity as the translating case at 75% of the tip radius from the axis of rotation. Put another way, the radius of 1.875 chords from the axis of rotation was used to compute the Reynolds number and to normalize the forces. The surge cases were run at a fixed incidence of 45 degrees, and the pitch cases were pitched from 0 degrees to 45 degrees. Both translation and rotation velocity profiles were computed using the “Eldredge function” [7] with a smoothing parameter, $a$, of 24. The pitch kinematics used the Eldredge function as a position profile. The fast pitching case used a smoothing parameter of 15, and the slow case used 4. For rotational pitch, the wing was set to 0 degrees and then accelerated to the final velocity and moved through 5 chords of travel before beginning the pitch motion. ### 2.14 UNIVERSITY OF MICHIGAN The Michigan group (H-T. Yu and L. Bernal) performed experiments in a free-surface water tunnel at the Department of Aerospace Engineering (Figure 2-16). The tests section is 0.6 cm x 0.6 cm x 2 m. The free-stream velocity is controlled using an AC induction motor, which is calibrated as a function of test section water depth using PIV. The flow speed ranges from 5 cm/s to 40 cm/s and the free stream turbulence intensity is below 1%. The model wings were made of Plexiglas®, $c = 2"$, $t = 0.125"$, for $t/c = 0.0625$, with all edges rounded. They are immersed in water for a 2-chord span, resulting in physical AR = 2 and effective AR = 4, taking the water surface as a symmetry plane. ![Figure 2-16: University of Michigan, Department of Aerospace Engineering Low-Turbulence Free-Surface Water Tunnel. Left: photograph of facility; Right: schematic of AR = 2 plate suspended vertically underneath a free-surface skimmer plate.](image) The wing motion is the usual linear pitch ramp from 0° to 45° with Eldredge [7] smoothing at the start and the end of the ramp. Several values of the smoothing parameter were used [41]. A Velmex Rotary Table model B4832TS and stepper motor RK266-03 are used for the wing motion. The kinematics is discretized with 13 points at every smoothed region. For all measurements the motion is repeated 60 times, and phase-averaged. For details, see Yu et al. [42] and Yu and Bernal [43]. Forces are measured via an ATI Nano-43 load cell [23]. The sensor center is on the pitch axis and the sensor axes are aligned with the chord direction, plate normal direction and span direction, respectively. The sensor’s maximum calibrated load is 18 N, and the resolution is 1/256 N, in all three axes. Both the force sensor and the rotary table are located above the water surface. The wings are attached to the tool side of the sensor with an aluminum adapter designed to minimize the mass of the model. Data processing includes low-pass filter and tare. The low-pass filter is a zero-phase first-order two-pass Butterworth, with cut-off frequency was determined by Fourier analysis of the motion acceleration to retain 90% of motion spectral content. A dynamic tare consisted of repeating the exact same motion in both water and air, and subtracting the results. No static calibration was needed because of the small mass of the model and the excellent alignment of the span axis with the vertical direction. Flow visualization was conducted using a dye rake (7 probes with 1" spacing), two syringe pumps, and two different color dyes (i.e., blue and red). The injection rake was placed at 50 % of wing span. Since the density of the dyes (ESCO Foods) is 1012 kg/m$^3$, they were mixed with alcohol to match the water density, 998 kg/m$^3$. Images were recorded using Nikon D3100 camera at a frame rate of 30 Hz. Conventional 2D PIV and lens-shifted Stereo PIV were used. The lens-shifted Stereo PIV system was developed specifically for this research [41]. In a typical test, the magnification was 13 pix/mm and the particle displacement between images approximately 8 pix. PIV images were processed using in-house developed MATLAB software, which uses a cross-correlation algorithm to determine the particle displacement with sub-pixel resolution, and a two-pass algorithm. Chapter 3 – THE CANONICAL CASES 3.1 AERODYNAMIC FORCE HISTORIES We begin with a plot of lift coefficient histories for the eight cases, compared side-by-side as translation and rotation, plotted with the same time-base and axes definitions. The “fast” cases are plotted in two ranges of abscissa: one to emphasize the response when acceleration is non-zero, and a broader range (15 chords-traveled) to show long-term settling. The “slow” cases are all plotted with respect to 5 chords traveled. To reiterate, the rotations are with an AR = 2 plate with (primarily) 0.5 c root cut-out, while translations are with an AR = 4 plate. “Fast” pitch or surge has the acceleratory part occurring in a ramp linear with wall-clock time over 1 c of travel, while the “slow” cases do so over 6 c. The linear ramp is smoothed at its endpoints. Pitch motions begin with the plate at zero incidence and conclude with the plate at 45 degrees. Surge motions hold the plate at 45 degrees. Lift data are presented in two sequences; the first zooms in to early-time, emphasizing loads-history during the accelerated portion of the motion, and immediately thereafter. The second covers the entire recording-time, showing the long relaxation-transients after cessation of acceleration, in going towards the “steady-state” (or bluff-body shedding) response. We first note the perhaps surprisingly good agreement between the various data sets, for each respective case. Occasionally there is an outlier, likely due to balance signal-to-noise reasons, tare-procedure and so forth (repeating a litany of possible experimental foibles is of nugatory value); often multiple curves mutually align, with one deviating, especially during the accelerated portion of the motion, but then later coming into mutual consonance. Figure 3-1 (translational case, left-hand side) is a typical case. This multi-way validation is encouraging, for it unifies the various data sets despite rather stark differences in types of model installation, blockage, Reynolds number and so forth. In particular, in some cases the plate is suspended vertically in a water tunnel or tow tank, with the load-cell atop of the water line, and the “tip” near the load-cell either piercing the free-surface or terminated with a splitter plate. In other cases the plate is mounted horizontally in the test section, supported by a sting aft of the plate, or midway along its pressure-side. The different kinds of blockage and physical obstructions appear to not have any discernible major effect. Figure 3-1: CL for the Fast Surging Cases. Translational (left) and rotational (right). Time-history through 5 chords of motion is shown. Note that data by Ringuette (right) is for a faster acceleration. Next, we note the similarity in lift history reading across the row of each figure in this section – that is, comparing the translational and the rotational case. Members of each row are mutually more similar, than those of other figures. More precisely, translational pitch and rotational pitch resemble each other more, than do say translational pitch and translational surge. While the quantitative magnitude of force coefficients for rotation, and hence quantitative comparison with translation, depends on the choice of spanwise reference station in the defining an aerodynamic coefficient, the qualitative trends are unmistakable. Figure 3-2: CL for the Fast Pitching Cases (LE Pivot). Translational (left) and rotational (right). Figure 3-3: CL for the Slow Surging Cases. Translational (left) and rotational (right). Figure 3-4: CL for the Slow Pitching Cases (LE Pivot). Translational (left) and rotational (right). Figure 3-5: Long-Term History of CL for Fast Surging Cases. Translation (left) and rotation (right). The long-term trend in all translational cases is evidently that it takes at least 15 chords-traveled for the effects of acceleration to completely dissipate, and for the lift history to asymptote to the “bluff body shedding” or quasi-steady-state. This is true whether the acceleration was “fast” (1 c) or “slow” (6 c). The rotational cases are different: there the lift response reaches a more or less constant value after 5 c of travel, or less. Instead of a long and slow relaxation, there may be a rise in lift after the accelerated portion of the motion is over, followed by a long steady period. In some cases, the wing revolves through its own way, and depending on the blockage of the installation (distance between wing tips and walls of the tank [44]), lift history declines slightly after a full revolution has been completed. We next turn to the drag histories, this time for all 8 cases plotted across 15 convective times, again with translation on the left-hand side, and rotation on the right-hand side. Figure 3-8: CD for the Fast Pitching Cases. Translational (left) and rotational (right). Figure 3-9: CD for the Slow Pitching Cases. Translational (left) and rotational (right). Importantly, for the surging cases (rotational or translational, fast or slow), the lift and drag histories resemble each other very closely. This is not surprising, as the net aerodynamic force is essentially plate-normal, and the plate is at 45 degrees incidence. For the pitching cases the situation is rather different; lift tends to be larger than pitch during the accelerated portion of the motion, or in other words, $L/D > 1$. Thus pitch has a double aerodynamic benefit over surge: it produces a net larger force, and a net higher L/D. ### 3.2 LEADING EDGE AND TRAILING EDGE VORTEX STRENGTHS AND TRAJECTORIES Figure 3-11 shows the LEV circulations measured by a variety of groups for the fast pitch and surge cases. Before discussing this result in detail the following should be noted: - The methods of determination of vortex strengths vary widely between groups and are subject to considerable error. In the slow case the LEV is not very distinct and this has made it impossible to distinguish any trends in circulation growth. - Sometimes, neighboring secondary vortices become included in the calculation of LEV strength – this can cause sudden steps in the circulation distribution. - The circulation data is non-dimensionalised by a $T_{\infty}$ which is equivalent to $\varepsilon_L = 2 \pi \alpha$, with $\alpha = 45^\circ$. Thus, the non-dimensional circulation shows how the LEV strength compares to an assumed steady-state thin airfoil theory bound circulation. - The data are compared to a Wagner function which also asymptotes at a non-dimensional circulation of unity. The difficulties in vortex strength determination are clearly reflected in the data. Overall the scatter between different groups is far larger than the differences between different cases. Also, the scatter becomes noticeably larger with time. This is a reflection of the break-up of the initially coherent LEV and the appearance of secondary vortices. Nevertheless, ignoring some obvious outliers, there are some clear trends. Somewhat surprisingly, there are no obvious differences between pitch and surge. As a rough approximation all data follows the Wagner function reasonably well. During the early part of the motion the Wagner function slightly over-predicts vortex strength. This can be interpreted as a reflection of the fact that during this part of the motion the wing is not yet at either the final velocity or angle of attack. Thus one might expect that the equivalent ‘asymptotic Wagner value’ to be lower. To account for the reduced strength of the vortices early in the cycle, Figure 3-12 shows the data for the fast pitch and surge cases with a Wagner function that has been modified for $s/c < 1$ by the equivalent angle of attack or free stream velocity (or, in other words, by multiplying the original Wagner function with a linear ramp). It is debatable whether this fit is better than the original unmodified Wagner function, although the actual shape of the vortex growth is somewhat better reflected. Either way, given the large amount of scatter in the experimentally determined LEV circulations it is proposed to adopt the Wagner function (modified or unmodified) for the low-order model calculations. This is certainly the only viable route for the calculation of the vortex growth term as the experimentally data are too noisy to allow a meaningful calculation of $\tilde{f}$. Figure 3-12: Normalized LEV Circulation Compared to ‘Modified’ Wagner Function for Pitch (Top) and Surge (Bottom). Note the small kink in ‘Wagner’ circulation in the pitch case as a result of the induced angle of attack during the pitching motion. Similar difficulties with the vortex detection schemes affected the determination of vortex trajectories. Figure 3-13 shows the distance (in chord-lengths) between the detected LEV center and the plate leading edge for the fast pitch case through the first three chord lengths of motion. Given the measurement difficulties it is impressive how well the various datasets collapse. Overall the relative speed between the LEV and the plate is approximately $\frac{1}{3} U_\infty$. Figure 3-13: LEV Distance from Plate Leading Edge for the Fast Translational Pitch Case. Figure 3-14 compares leading and trailing edge vortex trajectory data for the translational pitch and surge cases, as measured in the Cambridge University towing tank. The LEV trajectory is again very similar and follows the same trend (of $\frac{2}{3} U_\infty$) while there are clear differences in the TEV behavior. It appears that the TEV formation is delayed in the pitch case: it cannot be detected until the wing has travelled almost half a chord length. Thereafter the TEV moves away from the wing faster than in the surge case (although it has to be kept in mind that the surging wing has not yet reached full speed at this point). Ultimately however, both TEV trends converge onto the same line which suggests that the TEV reaches something around 80% of $U_\infty$ by the end of the acceleration period. Thus, it can be suggested that a good model for the relative velocity between the TEV and the LEV during the unsteady part of the motion is 50% of $U_\infty$ for the pitching wing and 0.3 $U_\infty$ for the surging wing. Thereafter 0.3 $U_\infty$ appears to fit both cases reasonably well. 3.3 EVOLUTION OF VELOCITY AND VORTICITY FIELDS Because a low-order model is used to estimate aerodynamic loads, and not a whole flowfield integration [8], velocity field data is more for illustrative purposes, than for quantitative calculation. The idea is to qualitatively relate LEV, TEV and tip vortex development to the history of lift and drag. In some cases we compare qualitative and quantitative visualization; that is, dye concentration vs. measured or computed vorticity. 3.3.1 Translational Pitch and Surge LEV and Tip Vortex (TV) development during pitching is given in Figure 3-15(a), (c), (e) and (g); the left-half of the page is for the fast case, and the right-half is for the slow case. Figure 3-15: Case 1a, Translational Pitch; LEVTW Interaction Flow Visualization; Eight Images on Left are for the Fast Case (1 chord pitch), and Eight Images on the Right are for the Slow Case (6 chords pitch), instances of chords-traveled as marked, progressing sequentially for the fast case down the first column of the figure, then the second column; and for the slow case down the third column of the figure, and then down the fourth column. We first consider the pitching fast-case. Initially, the flow is attached with little discernible tip influence at $s/c = 0.167$. By $s/c = 0.5$ a clear and distinct LEV and TV are beginning to form, but with no obvious interaction. As the incidence angle increases (s/c = 0.833 and s/c = 1) the TV grows concurrently with the LEV. The angle between the distinct LEV and TV from the LE and tip apex is approximately 45°. The downwash from each vortex will superimpose here, and this mechanism may point towards a physical reason as to why the LEV remains more coherent closer to the wing tip. During the translation part of the motion (Figure 3-15(b), (d), (f) and (h)), the dye disperses as the LEV and TV grow. By s/c = 5, the dye from the LE is fully entrained into the tip vortex and by s/c = 8 we see the beginning of the reformation of an LEV type structure in the outer span region of the wing, albeit a much less defined structure than that which manifested while pitching occurs. Turning to the slow pitching case (right-hand side of Figure 3-15), initially the flow evinces small and well-defined TV and LEV. By s/c = 3, the TV has developed but remains coherent, whereas the LEV is weak and only has a coherent form close to the tip. At s/c = 5 the LEV has dispersed, and by s/c = 6, the tip vortex is the dominant structure. After cessation of pitching motion, the flow is largely separated, with the exception of the reformation of a small LEV-type structure at s/c = 10. Comparing again with the lift coefficient history, we gain some physical insight and propose that the presence of a weak LEV/weak circulatory flow is intrinsically linked to an increase in streamline curvature, and is therefore responsible for an increase in the force. We now turn to an alternative presentation of the fast pitching case, as an isometric view of sectional visualizations. Fluorescent rhodamine dye injection illuminated by a planar light sheet is compared with black and white rendition of computed vorticity contours in Figure 3-16. Evidently a “suitable” value of normalized out-of-plane vorticity value renders the quantitative vorticity information looking very similar to the qualitative dye-concentration information. Figure 3-16: Juxtaposition of Flow Visualization by Planar Laser Illumination of Fluorescent Dye in a Water Tunnel at Re = 20,000 (Left Column) and Black and White Rendition of Spanwise Vorticity Contours from Direct Numerical Simulation at Re = 300 (Middle Column) for the Fast Translational Pitching Case. Instances of flow evolution along the motion-history as marked, visualized at the 3/4 span, 7/8 span and tip locations. Figure 3-17 compares the fast pitch, fast surge, slow pitch and slow surge at instances of chords-traveled of 0.5, 1.0, 1.5, 2.5, 3.0, 5.5 and 8.0. These are 2D PIV images at the $\frac{3}{4}$-span location. Evidently, the fast cases evince a more compact and more coherent LEV. The fast pitch and fast surge have similar LEV developments. Their respective TEVs differ in that the pitching-case has fully-developed free-stream speed at all times, whence the TEV convects rapidly from the plate’s TE, whereas in the surging case the plate accelerates away from its TEV in accordance with its surge history; that is, the TEV is essentially stationary in the lab-frame. The slow pitching case has a delayed LEV development, with a reasonably coherent LEV present even at $s/c = 3$, whereas in both fast cases the LEV has lifted off and evidently saturated. However, at $s/c = 5.5$ in the fast cases a second LEV appears to be forming, whereas in the slow pitch the initial LEV still lingers more or less. Unfortunately only a limited data set is available for the slow surge (fourth column of Figure 3-17). At $s/c = 1.0$, the overall flow topology of the slow surge much resembles that of the fast surge, albeit the LEV strength is evidently reduced for the slow case. The comparability persists through $s/c = 2.5$, which is the last frame for the slow surging case for which data are available. In short, the outlier in terms of gross flowfield features is the slow pitching case. 3.3.2 Rotational Surge Figure 3-18 follows the rubric of Figure 3-17 in rendering sectional flowfield ensemble-averaged PIV results for the slow and fast rotational surge cases. In Figure 3-18, snapshots are arranged by azimuthal angle traversed by the plate, with conversion given from this angle to an “equivalent” arc-length. This length is normalized by chord, taken at the $15c/8$ location spanwise along the plate, from the point of rotation. The reason for $15c/8$ is that with $0.5 \ c$ root cut-out (that is, distance between the point of rotation and the inboard wingtip of $0.5 \ c$), a distance of $15c/8$ from the point of rotation is at 75% of the distance to the outboard wingtip [13]. \| Fast surge (50%) \| Fast Surge (80%) \| Slow surge (50%) \| Slow Surge (80%) \| \|-----------------\|------------------\|------------------\|------------------\| \| $\varphi = 10^\circ$ s/c = 0.33 \| $\varphi = 20^\circ$ s/c = 0.65 \| $\varphi = 30^\circ$ s/c $\sim 1$ \| $\varphi = 60^\circ$ s/c $\sim 2$ \| \| $\varphi = 90^\circ$ s/c $\sim 3$ \| Two spanwise locations are given: 50% (the midspan) and 80% (that is, near the outboard tip). For all 50% images, whether the motion is “fast” or “slow”, one sees in the aggregate a coherent LEV. Its constituent parts are not of one simply-connected, single-signed agglomeration of vorticity, evidently owing to vortex breakdown [47], but a vortex is nonetheless discernable without excessive recourse to poetic license. At the 80% spanwise location this is not the case. However emanates the leading edge shear layer, it does not appear to curve around towards the suction-side of the plate, and by $s/c \sim 6$ there is dead-water region on the plate’s suction-side. Evidently, if there is stable LEV, it has curved around into the streamwise direction and has lifted off of the plate’s suction side. More of this is discussed in 3D in the section on incidence-angle variations. ### 3.3.3 Rotational Pitch Flowfield data on rotational pitch are not available from amongst the research-groups mentioned in the previous chapter. The reader is referred to Bross and Rockwell [15] for comparison of 3D PIV-derived flowfield measurements between rotational surge and rotational pitch. ### 3.4 APPLICATION OF THE LOW-ORDER MODEL Having surveyed the measured/computed aerodynamic force history, vortex trajectories and the flowfield evolution, we now combine all three conceptual modalities to compare the modeled lift history for the translational cases with the measured/computed, where the model is predicated on: 1) Simple models of the vortex growth and motion (as discussed earlier); and 2) The assumption that in early-time the flow is acceptably two dimensional. Thus, we have not applied the model to any of the rotational cases, although it remains to be seen whether a suitable ‘strip-theory like’ approach can yield some success. #### 3.4.1 Fast Surge Case First we concentrate on the surging wing. In line with the observations discussed earlier we make the following assumptions: 1) The LEV grows as predicted by a Wagner function, albeit moderated during the acceleration phase by the instantaneous velocity $(t)/u_\infty$. 2) The relative motion between the LEV and the TEV is set to 0.3 $U_\infty$. 3) The distance between any newly formed additional LEV circulation and its TEV counterpart is one chord length (to be used in the ‘vortex chord term’). Finally, the sum of all force contributions is smoothed to approximate typical experimental filtering of force data (although the level of numerical smoothing is still relatively small). Figure 3-19 shows the result of the model and its individual contributions, compared to a notional experimental dataset; both are from the Cambridge group. The overall curve displays the familiar initial peak with a relatively quick return to some sort of steady-state value after the acceleration period. Further insight is gained by studying the individual force contributions. The main contributors to the initial force peak are the added mass and vortex growth terms. Thus we can see that for this motion the LEV growth is indeed a dominant factor in the lift generation, albeit enhanced by the non-circulatory term. Later on in the cycle the ‘vortex motion’ term dominates, thus taking the role of some sort of ‘bound’ circulation produced by the wing (although the LEV drifts away from the wing it nevertheless contributes a fair amount of lift). Interestingly, the decaying vortex ‘vortex growth’ term added to the asymptotically growing ‘vortex motion’ term gives an almost constant overall force in the post-acceleration phase. Throughout, the ‘vortex-motion’ term closely resembles the modified Wagner function (as it should since the relative velocity is assumed to be constant throughout) and thus the effect of the initial ‘moderation’ during the acceleration phase is seen clearly. It turns out that the exact kinematics during the acceleration phase have a significant impact, because the ‘vortex growth’ term depends strongly on the shape of the circulation growth curve. This is illustrated by an alternative application of the model from the Maryland group for the same test case, as shown in Figure 3-20. ![Graph showing Low-Order Model Prediction for the Fast Surge Case](image) Figure 3-19: Low-Order Model Prediction for the Fast Surge Case (Data from University of Cambridge Group). In Figure 3-20, a slightly different ‘moderation’ is applied to the Wagner function, and the resulting ‘vortex growth’ term has a rather different shape and magnitude, fitting less well with the experimental data. Note that there is a slightly non-standard implementation of the ‘vortex growth’ term, which also introduces some discrepancies during the constant-speed part of the motion. Another sensitivity of the model is the relative LEV-TEV velocity. Figure 3-21 compares model predictions for two different relative velocities, $0.3 \ U_\infty$ and $0.5 \ U_\infty$. There is a considerable difference in the ‘steady-state’ portion of the model prediction. Returning to the original model prediction, Figure 3-22 compares the result for the fast surge case to all available datasets. Overall, the agreement is not too bad and the main features of the force history are well captured. The discrepancies during the acceleration period are almost certainly a result of subtly differing kinematics, which, as we have seen, can have a significant impact on the details of the force history at that time. Some of the force histories exhibit a small ‘second peak’ at around eight chords of travel. This is not predicted by the model, and a tentative explanation for its origins is given elsewhere in the Report. ### 3.4.2 Fast Pitch Case Next, we turn to the pitch case. The following assumptions are employed: 1) The relative LEV-TEV velocity is set to $0.5 U_\infty$, in accordance with the recommendations made earlier. 2) The Wagner function is modified by the instantaneous angle of attack during the pitch-up motion. 3) “Eldridge” smoothing is applied in line with the kinematics of the relevant experiment performed by the same group. 4) The distance between any newly formed additional LEV circulation and its TEV counterpart is one chord length (to be used in the ‘vortex chord term’). As before, the final model prediction is numerically smoothed to simulate a (small) amount of filtering. Figure 3-23 shows the Maryland group’s prediction for the fast pitch motion. It can be seen that all terms play a significant role during the unsteady part of the cycle and that the subtleties of the force curve are rather well reproduced. It is noteworthy that the model prediction does not display the gradual drop in lift seen later in the motion – this is most likely a result of the gradual drop in the relative TEV-LEV velocity which has not been implemented in the model (recall that at later times $0.3 U_\infty$ appeared to be a better fit). Figure 3-23: Low-Order Model Prediction for the Fast Pitch Case (Maryland Group). Figure 3-24 shows the prediction for the same motion from Cambridge (albeit with slightly differing ‘Eldredge’ smoothing [7]). Unsurprisingly, this implementation better fits the Cambridge experimental data (shown in dashed). The large negative spike in the vortex growth term is a result of the apparent drop in effective angle of attack at the end of the motion (when the induced angle of attack vanishes). This has been incorporated in the modification to the Wagner function giving a drop in circulation at this point. Figure 3-24: Low-Order Model Prediction for the Fast Pitch Case (Cambridge Data). Finally, Figure 3-25 compares both predictions with all available datasets. It can be seen that both capture the shape of the force curve rather well. There is some over-prediction during the pitch phase, but this may be a result of not capturing the kinematics accurately. 3.4.3 Slow Pitch and Surge Cases The model has been found to give a relatively good fit with the data despite the fact that no information on actual vortex strength and motion was used directly (although it did inform the underlying assumptions). Thus, it is worthwhile to apply the same assumptions to the slow cases. It should be emphasized that it was not possible to accurately detect and measure the LEV and it is therefore unknown whether the assumptions of a ‘Wagner-like’ growth and a simple and constant relative LEV-TEV velocity hold for these cases. Figure 3-26 shows the model predication for the slow surge case using exactly the same assumptions as for the fast case (modified Wagner vortex growth and $0.3 \ U_{\infty}$ relative LEV-TEV velocity). Given the simplicity of the model, the agreement is satisfactory. Clearly, the vortex growth during the acceleration is over-predicted and this reflects with the experimental observation that no distinct LEV has formed. Nevertheless, the shape of the force distribution and several of its features are well captured. Using the same model parameters, albeit with an increased LEV-TEV velocity of 0.5 $U_\infty$ (in line with the assumptions made for the fast case), gives the prediction for the pitch case shown in Figure 3-27. ![Figure 3-27: Low-Order Model Prediction for the Slow Pitch Case.](image) Once again, the subtle features of the force history are well captured (note, for example, the small spike at the start of the motion or the gradient of the force distribution during pitch) but the peak in force at the end of the pitch is significantly over-predicted. This is clearly a result of the real flow not being able to sustain a growth in circulation after approximately 3.5 – 4 chords of travel. Close comparison with the flowfields show that this is approximately when the wing becomes stalled, and a large slowly re-circulating wake develops. This raises the question whether the prediction can be improved if this knowledge of ‘flow breakdown’ is implemented by imposing a maximum on the vortex circulation. This has been done by the Maryland group, and their prediction for the same case is shown in Figure 3-28. Similar to before, the Maryland group employed a different treatment of the vortex growth which alters the shape of the force curve during the pitch but the behavior towards the end of the pitch and the maximum force are very well predicted. These comparisons are not yet entirely satisfactory but it can be concluded the low-order force model is capable of capturing most of the relevant physics and that, after a bit of further research and fine-tuning of some of the underlying assumptions, it should be possible to predict the force history of pitching and surging wings with an engineering level of accuracy. THE CANONICAL CASES Chapter 4 – FURTHER PARAMETER STUDIES Here we consider variations on the “canonical cases”, whether in kinematics, geometry, testing conditions or other matters that hopefully inform the knowledge-base of the unsteady aerodynamics of pitching, and surging, rotation and translation. In some instances, contributions are ascribed to specific research groups; in others, they are amalgamated into a generic whole. 4.1 RECTILINEAR PITCH AND SURGE NOMINALLY IN TWO DIMENSIONS, AND ASPECT RATIO VARIATIONS IN RECTILINEAR AND ROTATIONAL MOTION Here the canonical-case kinematics have been retained, but plate AR is varied; a slight exception is the 2B case (rotational surge). No AR study has been conducted for the 2A rotational pitch case. For translational cases, it is useful to distinguish between physical and effective AR. The physical AR is the full span wing of that AR, whereas the effective AR stems from an image (symmetry) plane; elaboration is given below. 4.1.1 Case 1B: Translational Surge Figure 4-1 compares AR = 2, 4 and 8. The AR = 8 lift history (Stevens) does not vary from the AR = 4 canonical case, but the AR = 2 (Manar) does. The secondary peak in lift at around s/c = 8 is not visible in the AR = 2 case and is especially strong in the AR = 8 case. Evidently this peak is tied to formation and ejection of a secondary LEV – a phenomenon influenced by aspect ratio. ![Graph showing CL vs s/c for different AR values](image) Figure 4-1: Case 1B, Fast Translational Surge AR-Variation. The slow surge AR-variation lift history is shown in Figure 4-2. Again there is a clear AR effect, with the effective AR = 8 wing producing a higher lift than the corresponding effective AR = 4 data from the same facility. The AR = 2 data is lower than the higher AR data, but interestingly it is very similar to the effective AR = 4 (physical AR = 2) data of Stevens. This hints that there is an effect of flow three-dimensionality on the lift history and that the use of a symmetry plane may affect the force history. This hypothesis will be discussed further in the following section. ![Graph showing Case 1B, Slow Translational Surge AR-Variation](image) Figure 4-2: Case 1B, Slow Translational Surge AR-Variation. ### 4.1.2 Case 1A: Translational Pitch In this section, the effect of force history on AR is complemented by flow visualization. The fast pitch AR lift history comparison is given in Figure 4-3, and the corresponding slow case in Figure 4-4. The data sets are for plates vertically suspended in water tunnels or towing tanks, and AR-effects include the role of splitter plates. The curves within each figure are qualitatively similar to each other, but there is one key difference. In the region around $s/c = 8$ we see that the secondary rise in the lift is accentuated with increasing AR. When the aspect ratio is increased to 6 and above, a second and even a third bump is present in the force variations. In addition, Cetiner has conducted a series of aspect ratio variation experiments, either using an endplate to represent the symmetry plane or submerging the wing deep in water; this is elaborated in the section on variations of leading edge shape. This includes study of the effect of the gap between the wing and the symmetry plane endplate. When the gap between the root of the wing and the endplate increases to 8 mm, the endplate no longer represents a symmetry plane and the wing behaves as if its effective aspect ratio is equal to its geometric aspect ratio. Therefore a difference in tip vortex formation is incurred. Keeping in mind the difference in the physical span sizes of the wings, the use of a symmetry plane does not create a substantial difference in force. history during the pitching part of the motion, irrespective of the pitch rate. However, the bump in the lift traces differs for the cases where the geometric and effective aspect ratios are equivalent (no symmetry plane cases). An alternative presentation for the slow translational pitching case, and the fast case, is given in Figure 4-5 and Figure 4-6, respectively. Here we compare three plates mounted horizontally in the test section, with no symmetry plane and no free-surface effects: wall-to-wall plate (nominal 2D case), the canonical AR = 4 (physical aspect ratio) and AR = 2 (also physical aspect ratio). In this presentation, AR-trends are somewhat more apparent than in the prior four figures, especially in lift coefficient; that is, AR-effects on drag are more benign. AR-effects also appear to matter more for the fast case, than for the slow. For the slow case, AR = 2 differs more from AR = 4, than AR = 4 from the nominal 2D case, especially in the sense of the AR = 2 case not evincing a secondary bump in lift at $t^* \sim 8$. Considering the drag variations, the higher-AR producing higher drag is in opposite direction from trends expected from lifting-line theory for induced drag variations with aspect ratio. Clearly, AR-trends are different for attached flow (at 45 degrees incidence) than for separated flow. It remains to ascertain the role of blockage, which is not corrected in any of these results. ![Figure 4-5: Aspect Ratio Effects on 1 c (Fast Case) Pitch; Lift (Left) and Drag (Right).](image-url) We next turn to flowfield comparisons of aspect ratio effects, examining sectional-images of plates vertically suspended, comparing flow visualization with projected streamlines derived from ensemble-averaged 2D PIV snapshots. Figure 4-7 covers the fast pitch case, and Figure 4-8 the slow. For both Figure 4-7 and Figure 4-8 the left half of the figure is for effective AR = 4, and the right half for effective AR = 8. Also for both figures, snapshots (a), (c), (e) and (g) show the flow evolution during the pitching part of the motion, while (b), (d), (f) and (h) cover conditions when pitch has completed. Figure 4-7: Case 1A Fast Pitch, with Pitching Motion Occurring Over One Chord. Flow visualization with PIV ensemble-averaged streamlines superimposed. Effective AR = 4 in left set of eight snapshots, and AR = 8 in right set of eight snapshots. Considering first the fast case in Figure 4-7, at s/c = 0.167, the dye appears attached to the plate, and there are no signs of flow separation yet. At s/c = 0.5, there is a noticeable recirculatory movement of dye in the LE region, suggesting a small LEV. The rest of the flow is attached. Downstream of the TE, a strong vortex (TEV) can be seen. At s/c = 0.833, the presence of the LEV is much clearer, and most of the dye is entrained into this flow structure. The TEV has advected aft. At s/c = 1, the dye is fully entrained, and a large, coherent LEV is visible, with a clear core region. Streamlines during pitch clearly show bounding of the LEV with highly curved streamlines ‘re-attaching’ before the TE, with the re-attachment point moving aft with increasing incidence. In Figure 4-7(c), we can see that there is an effective camber on the flat-plate, created by the dividing streamline bounding the LEV. This effective camber effect is observed until the end of pitch (where the streamlines begin to lift off). Comparing the effective AR = 4 pitch streamlines with the effective AR = 8 streamlines we observe a very similar pattern, with the exception that the streamlines are more aggressively curved at s/c = 1 for AR = 8. At s/c = 2 in Figure 4-7, the LEV continues to grow and the dye disperses, indicating a loss of vortex coherency. Streamline curvature attenuates, and there is no streamline ‘re-attachment’. At s/c = 3, the LEV becomes hard to identify. At s/c = 5, a shear layer normal to the plate is seen at the LE. At s/c = 8, a large re-circulatory body of fluid is observed above the wing, lacking the coherency of a LEV, but nevertheless appearing to re-attach at the TE of the plate. Here the streamlines show greater curvature, and the implied pseudo-reattachment correlates directly with the small rise in lift coefficient previously mentioned. Differences between AR = 4 and AR = 8 are somewhat larger after completion of pitching motion, than during the pitch. The slow-pitch flow visualization in Figure 4-8 again shows that the AR = 8 plate exhibits the secondary lift bump, but at a later convective time (≈s/c = 10) than for AR = 4. The lower AR wings typically do not exhibit this feature, suggesting that tip effects are more evident at longer convective times. Unlike for the fast case, there is no indication of the formation of a coherent LEV. There is however a body of flow with a weak circulatory tendency, which is clearly seen at s/c = 3. There is evidence of streamline TE re-attachment up until this point. The flow is broadly separated by s/c = 5. This is in contrast to the fast pitch case, where a dividing streamline reattaches to the plate for the entirety of the pitching motion. Comparison with the pitch part of the cycle for the effective AR = 8 wing shows that for AR = 8, there is a more dramatic loss of streamline curvature than for AR = 4. As regards the secondary bump in lift, again there is a body of circulatory fluid and streamline TE reattachment at s/c = 10 for both the AR = 4 and AR = 8 plates; compare this with analogous reattachment at s/c = 8 for the fast pitch case. The two-dimensional case is strictly speaking realizable only computationally, as in the wind tunnel or water tunnel there are inevitable endplate effects or wall effects. 2D vortex-particle computations (Figure 4-9; results from the Wroclaw University group) show similarity in LEV and TEV formation relative to the AR = 4 (and other finite-AR) cases during the pitching motion. But after 45-degree incidence has been established, bluff-body shedding in 2D is quite different from that evinced for finite AR, and presumably the absence of tip vortices has implications for both the shedding-history and the lift/drag history. Figure 4-9: Vorticity Contours for Slow Pitch (Top Row) and Fast Pitch (Bottom Row) at the Following Snapshots of Time: for the Slow Case, 8.55, Corresponding to Halfway Up the Pitch Ramp, and 15.58, at the Conclusion of Pitch; for the Fast Case, Time 3.55, Corresponding to Slightly Before Halfway Up the Pitch Ramp, 5.05, at the Conclusion of Pitch, and 10.05, at a Subsequent Vortex Shedding Cycle Well After Motion is Completed. Top right-hand corner: Angle of attack history vs. physical time. 4.1.3 Case 2B: Rotational Surge The discussion is based on Carr, DeVoria, and Ringuette [40], for plates of AR = 2 and 4. Conditions approximate the fast rotational surge case, 2B. The $U_{\text{tip}}$ and span $b$ are used for normalisation, and $Re_{\text{span}}$ is matched to isolate AR effects [45]. Figure 4-10 shows a sequence of 3-D $Q$ iso-surfaces versus the angle of rotation, $\varphi$, for AR = 2 and 4 plates, $Re_{\text{span}} = 10,000$. The flow structures for AR = 2 and 4 show similarities at $\varphi = 30^\circ$, including outboard LEV lift-off into an arch-like structure, and a perpetually “stable” LEV inboard. These features are in good agreement with Garmann and Visbal [55], Jardin et al. [46] and Ozen and Rockwell [19]. As the first LEV lifts off, another forms ahead of it that connects to the TV for both ARs ($\varphi = 30^\circ$). Note also the aft progression of the trailing vortex loop. However, substantial variations with AR exist. The AR = 4 LEV is farther aft at a given percent span than for the shorter AR = 2 wing. For AR = 4, by $\varphi = 60^\circ$ the initial lifted-off outboard LEV is aft of the TE, and three smaller LEVs have formed ahead it. Concurrently, the initial, main TV travels aft of the TE. However, for AR = 2 by $\varphi = 60^\circ$ the first outboard LEV has tilted aft and merged with the TV; both are close to the wing. The AR = 4 outboard LEV becomes larger ($\varphi = 60^\circ$, red arrow), which is a sign of breakdown [47]; this was similarly found by Lu and Shen [48] and Garmann and Visbal [55]. By $\varphi = 90^\circ$, this outboard breakdown has progressed substantially, qualitatively indicated by small, disorganised structures. Breakdown adversely affects the mean-flow convergence from phase averaging, leading to the reduced coherence observed in the iso-$Q$ surfaces. For AR = 2, at $\varphi = 54^\circ$ (inset) the aft-tilted LEV also increases in size. At $\varphi = 90^\circ$, the outboard AR = 2 LEV/TV flow shows prominent breakdown with an LE shear layer ahead of it; the AR = 4 flow exhibits a similar shear layer. The breakdown behavior is similar to the dye flow visualizations of Carr and Ringuette [40]. Despite breakdown, the AR = 2 outboard vortical flow remains more coherent and nearer to the wing. Figure 4-10: Top, or (x, z)-Plane View, of an Iso-Surface of Non-Dimensional $Q = 12$ at Various $\phi$; AR = 2 (Left Column), AR = 4 (Right Column). Red arrow indicates LEV enlargement prior to breakdown. Figure 4-11 gives span-averaged total and LEV circulations, $\Gamma_{\text{total}}$ and $\Gamma_{\text{LEV}}$, versus the phase angle of rotation, $\phi$. The $\Gamma_{\text{total}}$ comes from an $(x, y)$-plane $\omega_z$ area integral for all grid points with $\omega_z > \omega_{z,\text{th}}$ (within a $1 \ c \times 1 \ c$ domain above the plate for AR = 2, and $1.5 \ c \times 1.5 \ c$ for AR = 4). It is normalized by the local azimuthal wing velocity, $U_{\text{local}}$, yielding more comparable magnitudes across the span, then averaged from 20% – 80% span. The $\Gamma_{\text{total}}$ increases with $\phi$, with an initially larger slope, and then with a more gradual rise from the continual formation of smaller outboard LEVs. The AR = 2 $\Gamma_{\text{total}}$ is larger, due to its more coherent outboard flow, but the slopes for AR = 2 and 4 are very similar. The $\Gamma_{\text{LEV}}$, calculated only from identified LEV points, is span-averaged only over the “stable” LEV, from 20% – 60% and 20% – 40% span for AR = 2 and 4, respectively. The AR = 2 $\Gamma_{\text{LEV}}$ grows initially then saturates ($\varphi > 36^\circ$). For AR = 4, after the larger initial slope, $\Gamma_{LEV}$ increases gradually; fluctuations are from occasional LEV “splitting” at $\sim 40\%$ span. ![Figure 4-11: Circulation vs. Phase-Angle of Rotation; (a) Span-Averaged $\Gamma_{total}$; (b) Span-Averaged $\Gamma_{LEV}$. "Stable" LEV. Solid: AR = 2, dashed: AR = 4.](image) Figure 4-12 plots $C_L$ (normalized using $U_{75\%}$ for comparison with others) for AR = 1–4 vs. (a) $t^_{75\%} = tU_{75\%}/c$ and (b) the period for the $\varphi_{final} = 120^\circ$ cases, $t/T_{120}$. Solid lines indicate $\varphi_{final} = 120^\circ$, while dashed signify $360^\circ$; deceleration portions are removed. The $Re_{75\%}$ for AR = 1 – 4 are similar: 4,870, 4,310, 4,120, and 4,030, respectively. Data for $Re_{75\%}$ down to $\sim 1,000$ show no significant $Re$ effects. Recall that acceleration for all ARs occurs over $\varphi = 10^\circ$, and therefore to achieve a similar $Re_{75\%}$ the lower AR wings require higher acceleration rates, leading to larger initial $C_L$ peaks. ![Figure 4-12: $C_L$ for AR = 1 – 4, (a) vs. $t^$, (b) vs. $t/T_{120}$. Solid: $\varphi_{final} = 120^\circ$. Dashed: $\varphi_{final} = 360^\circ$. Deceleration portions removed; for (b) not all AR = 4, $\varphi_{final} = 360^\circ$ data shown (see text for details).](image) Figure 4-12(a) and (b) show common features for all ARs: an initial $C_L$ peak due primarily to non-circulatory force during acceleration, followed by a local minimum, a slow growth period, and finally a plateau; compare with Schlueter et al. [13] When plotted against $t^_{75\%}$ (Figure 4-12 (a)), the initial peak locations vary with AR. due to the common acceleration over $\varphi = 10^\circ$. When plotted versus $t/T_{120}$, the $C_L$ peaks essentially coincide. The slightly higher $C_L$ long-time values for lower AR are likely due to the more coherent TV, which affects a relatively larger portion of the wing. It is a low-pressure region, which will enhance lift, as will its induced upwash near the tip edge [49]. In summary, PIV data indicate a “stable” LEV inboard of $\sim 50\%$ span for both AR = 2 and 4, with arch-like LEV lift-off and multiple LEVs outboard. Outboard LEV breakdown is found for both ARs, but the AR = 2 LEV merges with the TV and remains more coherent and near the wing. The slopes of the total spanwise circulation versus rotation angle for each AR are similar, indicating similar LEV force contributions, pointing again to the TV as a main cause for the $C_L$ differences with AR. ### 4.2 VARIATIONS IN REYNOLDS NUMBER In this parameter study, the kinematics of the canonical motion is retained, but we compare directly several different Reynolds numbers. Reynolds number was not specified to a “canonical” value, and therefore the experiments and computations mentioned thus far in this Report vary greatly in Re amongst each other. In the present section, the focus is on systematic Re-variations in one test-sequence, thus obviating exogenous effects of different test conditions such as blockage, force-data filtering and so forth. One scheme for large variations in Reynolds number in the same nominal experimental rig is to mix glycerin and water. Mixtures between 100% glycerin and 100% water yield a kinematic viscosity range of $10^{-6} \leq \nu < 10^{-3}$ [50]. This was the approach taken in the AFRL water tunnel, where a tank with glycerin/water mixture was inserted into the water tunnel test section and surging-type motions using the tunnel’s existing linear-motors were run. Since it is impractical to pump glycerin-water mixtures with a conventional axial impeller pump, pitching motions – with a steady free-stream – were not possible. The glycerin/water mixture usage in tanks is not new. Other recent examples include the rotational experiments of Ringuette et al. [40]. Figure 4-13 compares lift coefficient history for the “fast” and “slow” translational surge cases at Re = 13 and 29 (pure glycerin), 330 (glycerin-water mix) and 10,000 (pure water). ![Graph showing lift coefficient history for different Reynolds numbers](image) Figure 4-13:* Lift Coefficient for an AR = 4 Plate at $\theta = 45^\circ$ with Constant Acceleration from Rest, Over 1 Chord (Left) and 6 Chords (Right), to Constant Velocity at Four Different Reynolds Numbers. In both the fast and slow acceleration motion, the lowest Reynolds number case produces the largest force during the acceleration phase, with all higher-Re cases essentially being the same. The lowest Reynolds number of 13 asymptotically approaches a steady-state value (which would occur after many more lengths than observed here), without any lift fluctuations. This is an indicator of no vortex activity, since there is presumably rapid dissipation of vorticity in the shear layer from the leading edge before it has time to roll up into an LEV. For Re = 29, lift during the constant velocity part is the same as for the lowest Reynolds number. For Re = 330, for the fast case here is a decline in lift after the accelerated-portion is over, relative to the lower-Re cases. For the slow case, this decline persists for Re = 10,000, which is almost identical to the Re = 330 result. For the fast case, the Re = 10,000 evinces higher lift than the very low-Re cases, suggesting that the intermediate value of Re = 330 has some special property. The oscillations in lift during the constant velocity portion of the motion is strongest in the higher-Re case, presumably due to more vigorous LEV and TEV re-formation after the initial starting LEV and TEV once motion first commences. However, in no cases is there a strong trend of lift with Reynolds number. We conclude that the effect of Reynolds number is quite weak, which is perhaps surprising because at the lowest Re there is no discernible LEV or TEV. For convective problems with a steady free-stream, change in Re generally means changing the test article’s size, or the free-stream speed. The former runs into blockage problems if the test article is large, and load-cell signal-to-noise ratio problems in the opposing case of a small test article. The same problem occurs if tunnel free-stream speed is reduced, as small dynamic pressure complicates tares and reduces the load-cell signal. Inversely, a large free-stream speed means a high physical acceleration-rate of the test article, to preserve reduced frequency, and that introduces mechanical vibration and a low (in dimensionless terms) system natural frequency. Thus in pure water, the available range of Reynolds number is less than one order of magnitude. Figure 4-14 shows the result for the slow translational pitching case for Re from 15 K through 40 K. Over this range, the Re-effect is indeed very small, and perhaps cannot be disentangled from differences in flow quality and load-cell response. ![Graph showing C_L vs t' for different Re values](image) Figure 4-14: AR = 4 Plate Pitching from 0° to 45° in 6 c (Slow Case) for Reynolds Numbers 15 K through 40 K, All in Water (No Addition of Glycerin). Re-variation is obtained by changing test-section free stream speed. The same trend is seen for the flowfield (Figure 4-15) for the fast translational pitching case, this time over nearly an order of magnitude. Flow visualization is possible at very low dynamic pressures, where direct force measurement becomes problematic, and thus the realizable Re-range is broader. In the false-color rendering, four images (all taken at the $\frac{3}{4}$-span location) of dye injection from the plate LE and TE are superimposed, with color as proxy for Re. One finds close overlap between the four respective LEVs and the four respective TEVs. ![False-Coloring of Rhodamine-Dye Planar Laser Fluorescence](image) Figure 4-15: False-Coloring of Rhodamine-Dye Planar Laser Fluorescence (that is, Flow Visualization) of the Suction-Side Flowfield of an AR = 4 Plate Pitching from 0° to 45° at Various Re Values, for the “Fast” Case (Pitching Motion Occurs Over One Convective Time; Snapshot is at Completion of One Pitching Motion, by which Time the TEV has Convected $\sim 0.7 \ c$ Downstream of the Plate’s TE). We now turn to rotation vs. translation. Figure 4-16 shows water tunnel measurements on rotational vs. translational fast surge, at a range of Reynolds numbers, for an AR = 2 plate. Except for very low Re (Re = 60 in Figure 4-16), the net aerodynamic force is normal to the plane of the plate, lift and drag histories follow each other closely (so L/D $\sim 1$ always) and translation appears to have larger aerodynamic force production than rotation, at least at early-time. Note that the non-zero-acceleration portion of the motion in Figure 4-16 occurs over the first convective time; that is, from $t^* = 0$ to $t^* = 1$. It appears to be the case that for the common choice of $\theta = 45^\circ$ incidence angle, the peak L/D remains in the vicinity of 1, regardless of motion rate, for Re > 1000 and above. A more comprehensive assessment of Re-effects for fast rotational surge, this time not limited to the early portion of the motion, is shown in Figure 4-17. Here the $Re = 120$ case (the lowest Reynolds number considered) is something of an outlier, with lower lift than higher values – but between $Re = 500$ and $Re = 10,000$ there is little variation. We therefore conclude that once Reynolds number reaches a threshold of several hundred, the lift coefficient becomes Re-independent. Drag is somewhat less Re-independent because of the role of skin friction and its decline with increasing Re. Below this threshold there is some lift variation with Re, depending on the experiment, the style of data-filtering and so forth. 4.3 VARIATION OF REDUCED FREQUENCY Here we consider the rectilinear (translational) cases, surge and pitch, with the AR = 4 plate. Rotational cases are omitted. 4.3.1 Translational Surge Variations on the translational surge case, all with 45-degree incidence but with surge acceleration occurring over a duration from 0.25 c through 6 c, are shown in Figure 4-18. Reynolds number is 20,000 in all cases, and all relative free-stream speed-profiles are smoothed linear ramps. Figure 4-18: Lift Coefficient (Top Left), Drag Coefficient (Top Right), Pitching Moment Coefficient About the Mid-Chord Reference Point (Bottom Left) and Finally Lift to Drag Ratio (Bottom Right) as Functions of Chords Traveled, with Smoothed Linear Ramp of Acceleration from Rest to a Constant Velocity at Re = 20 K, Over Lengths from 0.25 c to 6 c. AR = 4 rectangular flat plate. Aside from ramp corner non-circulatory load spikes, and greater apparent oscillations at the highest reduced frequency (where filtering of vibrations will remove the desired frequency content of the actual aerodynamic signal) there is no difference in lift progression when accelerating faster than 1 c ($K = \pi/8$); all curves of 1 c or faster collapse atop of each other. For all accelerations, the history of lift (or drag) with respect to chords-traveled is roughly linear while acceleration is non-zero, and once full surging speed is established there is a plateau or a slight decline in lift. This plateau is at $CL = 1.75$ for 1 c acceleration and above, and progressively smaller for slower surge acceleration. In later time, left declines to a local minimum at 6 c travel, where all curves smoothly increase again until a local maximum at ~8 c, and finally gradually diminish again. When accelerating slower than 1 c, a lower maximum lift is achieved, and the local second maximum is attenuated. For all cases, it takes at least 14 chords of travel (beyond the data availability in Figure 4-18) for the various surging acceleration cases to converge towards the same lift value, which is to say to relax to the “steady” (or bluff-body) state. Drag follows lift closely, except for the initial lift-spike at time $\sim 0^+$, as indeed L/D $\sim 1$ for all other times. Pitching moment coefficient (taken about the mid-chord) follows an undulating history qualitatively resembling that of lift. ### 4.3.2 Translational Pitch Here again the peak incidence is 45 degrees. As with all pitch-cases reported here, the starting angle of incidence is zero. Pivot point is the leading edge. Re = 20,000, as in the foregoing section. Besides the two canonical cases (“fast” and “slow”), which are plotted together, we introduce a third case, where the pitch-ramp occurs over two convective times (Figure 4-19). Peak lift declines monotonically with progressively lower pitch rate, as stands to reason, given the respective attenuation in pitch-rate-induced lift. Figure 4-19 also plots lift history vs. a time-base normalized by the pitch rate, so that all motions begin at zero and end at the same value of time. Such overlay shows that the increase in lift due to pitch-rate indeed goes to zero once the motion is completed. The intermediate value of pitch rate also evinces an intermediate value of non-circulatory “bump” associated with the pitch-acceleration start-up transient. This is quite prominent in the fast-case, and absent in the slow one. Looking at the longer-term lift or drag history, it is evident that all cases mutually converge by about 6 – 8 convective time, yet even then the lift (or drag) value is $\sim 1.5$, which is far above the steady-state or bluff body value. 4.4 VARIATION OF PITCH PIVOT POINT ALONG THE PLATE’S CHORD In most of this Report, we limit the pitching cases to the leading edge pivot point. In the present section we take five different pivot point locations: $x/c = 0$, 0.25, 0.5, 0.75 and 1.0. Figure 4-20 presents the 1 c case, while Figure 4-21 presents the 6 c case. Clearly, pivot point effects are much stronger for the faster pitch rate. The differences in lift are more profound than in drag. Differences in circulatory lift are primarily a steady offset and not a slope change, and are ascribable to the “Magnus effect”. Figure 4-20: Pivot-Point Effects for Pure-Pitch Cases, 1 c Motion, AR = 2 (Top Row), AR = 4 (Middle Row) and Nominally 2D (Bottom Row); Lift (Left Column) and Drag (Right Column). Pivot point at leading edge ($x/c = 0$), $x/c = 0.25$, 0.5, 0.75 and 1.0 (trailing edge). Figure 4-21: Pivot-Point Effects for Pure-Pitch Cases, 6 c Motion, AR = 4. Lift (left column) and Drag (right column). Pivot point at leading edge ($x/c = 0$), $x/c = 0.25$, 0.5, 0.75 and 1.0 (trailing edge). For the fast case, differences in non-circulatory lift are quite obvious, and are qualitatively consistent with the implications of the low-order model proposed in this Report. With the pivot point maximally upstream, there is a positive non-circulatory lift spike when pitch-acceleration is positive (early in the motion history), and a negative spike in both lift and drag when pitch-acceleration is negative ($t' \sim 1$). For pitch about the mid-chord, there is no non-circulatory contribution, arguing from symmetry. For pitch about a point downstream of the mid-chord, the sign of the force spike reverses: negative spike in lift when acceleration is positive, positive spike in lift and drag with acceleration is negative. For the slow case, (Figure 4-21), a more upstream pivot point also produces higher peak lift due to a constant positive offset, but now the acceleration is too slow to produce a demonstrable non-circulatory force contribution in any of the motions. We mention in passing that peak lift for the x/c = 0 pivot-case appears to occur when t' ~ 4; that is, at a time from motion onset during which the free-stream has traveled approximately 4 chords. The offset between the five lift curves in Figure 4-21 can be regarded as an offset in the abscissa alternatively as an offset in the ordinate. Considering the former, each curve differs from its neighbor by t' ~ 0.25 – that is, by approximately the difference in pivot point location. It therefore appears that if the pivot point is taken as an origin, in all cases peak lift is achieved when the free-stream has convected downstream through a distance of 4 chords past the pivot point. One is tempted to wonder whether this is coincidental, or relatable to the oft-quoted conceptualization of a critical “formation number” of 4 [51]. 4.5 VARIATIONS IN ACCELERATION PROFILES Nearly all of the motions studied in this Report are smoothed linear ramps. Smoothing is at the ramp-corners, which is to say at motion initiation and cessation. Here instead we vary the acceleration profile according to an exponential equation. For an analog of the slow translational surge case (6 chords), we have: \[ u(t) = \begin{cases} kt^n & x/c < 6 \\ U_\infty & x/c \geq 6 \end{cases}, \quad k = \frac{U_\infty}{t_a^n}, \quad t_a = (n+1)\frac{6c}{U_\infty} \] (Eq. 4-1) These kinematics are shown in Figure 4-22. For the same acceleration distance, early higher acceleration (fuller velocity profile) produces a higher lift coefficient throughout the acceleration phase. The coefficient $ n = 1 $ recovers the standard case. In Figure 4-23, we instead use a different normalization scheme, where the dimensional lift is normalized by instantaneous dynamic pressure, instead of the dynamic pressure comorting with the steady-state relative free stream. Lift coefficient is initially infinite, since initial velocity is zero. During the first chord of travel, for faster accelerations, lift reduces at a faster rate than for slower accelerations. At s/c = 2, all curves collapse, and lift is now independent of acceleration until s/c ~ 5.5, which nears the end of the acceleration phase. For s/c > 6, all five cases have the same constant velocity and are thus normalized the same way as in Figure 4-22. Initially in the motion, we have a formation of a leading edge vortex, and at some chordwise travel presumably the LEV is considered to be detached. This is where the curves collapse. At s/c ~ 6, a new LEV forms and the curves diverge based on the strength of the 2\textsuperscript{nd} LEV, which in turn is dependent on the strength of the 1\textsuperscript{st}-formed LEV. 4.6 VARIATIONS IN TRANSLATIONAL KINEMATIC MODALITY: PLUNGE, SURGE, AND PITCH-SURGE Here we consider two lines of investigation. The first is based on Kriegseis et al. [52], and is concerned with a plunging motion in a steady free-stream, yielding an angle of attack history following that of a pitch-ramp. Emphasis is on vortex transport. The second topic is comparison of lift and drag history between pitch, surge, plunge, and the combined motion of pitch-surge. All cases are translational. 4.6.1 Vortex Dynamics for Surge vs. Plunge For the first topic, the question is one of long-term significance of initial conditions. In a surge, the starting-case has zero flow, and obviously there are no boundary layers yet. Boundary layers and the associated vorticity production form after the motion starts. In an “equivalent” (in the quasi-steady sense) plunging motion, there is already an established free-stream, and therefore boundary layers. The motion alters the extant boundary layers and presumably affects the accumulation and ejection of vorticity. To study the influence of initial conditions, we compare: 1) Surging (acceleration) of a plate from rest at a constant angle of attack to a final towing speed. 2) Perturbation of a developed boundary-layer flow on a flat plate with a sudden cross-stream plunging motion superimposed onto a constant free stream velocity. These two cases will henceforth be referred to as surging and plunging, respectively, as shown in Figure 4-24. In order to contrast these two cases, the two main relevant characteristic velocities – free stream velocity and effective shear-layer velocity – must be considered in the development of vortex circulation. ![Figure 4-24: Kinematics Used in this Study. (a) Plunging case(s): Plunge with effective velocity of 0.1 m/s (P45 0.1, red) and with effective velocity of 0.07 m/s (P45 0.07, black); (b) Surging case: Surge to 0.1 m/s (T45 0.1, green).](image) When examining these characteristic velocities, on the one hand, it is known that the feeding shear layer controls the growth and thus strength of LEVs through the flux vorticity-containing mass into the LEV. Therefore, the advection of circulation into the LEV is a function of the shear layer, with the effective velocity as the only characterizing velocity measure. This suggests that one should define the kinematics of surge and plunge with identical effective shear-layer velocities for proper comparison. On the other hand, one could argue that the characteristic velocity to compare surging and plunging plates is the free stream velocity to ensure an identical bulk Reynolds number for all cases. Consequently, both characteristic velocities will be considered in the present study in order to clarify this issue. Subsequently, the influence of initial conditions on vortex growth will then be studied for both near-mid-plane and near-tip regions. LEV circulation histories in the near-mid-plane region for all three test cases are compared in Figure 4-25. In Figure 4-25(a) the non-dimensional circulation and convective time are normalized with the free stream velocity, which corresponds to the final tow speed for the towing case. Owing to the additional boundary-layer vorticity, one would expect a constant offset for the circulation histories between the plunging case P45_0.1 and the towing case T45_0.1, as sketched in Figure 4-25(a). However, the difference between both plunging cases and T45_0.1 shows a larger offset. In order to explore the cause of this larger offset, the free stream velocity is replaced with the effective shear-layer velocity $U_{\text{eff}}$ to normalize circulation and time, in Figure 4-25(b). This is particularly sensible since the vortex growth rate is determined by both the generation of vorticity and advection of circulation at the leading edge, each of which is limited by $U_{\text{eff}}$. The non-dimensionalization used in Figure 4-25(b) reveals a collapse for the two plunging cases together (P45_0.1 and P45_0.07) with the towing case T45_0.1. Despite the varying initial conditions between plunging and towing, it must be concluded that the initial boundary-layer vorticity, at least in the near-mid-plane region, plays little role in the vortex formation process. In other words, the initial layer of vorticity must be rapidly annihilated with an opposite-signed layer on the plate surface once the motion begins. Therefore, it has to be concluded that rapid acceleration of fluid boundaries (e.g., moving or morphing obstacles) accelerates fluid with opposite-signed vorticity towards an existing boundary layer, which leads to the sudden cross-annihilation of the two vorticity layers. ![Figure 4-25: Near-Mid-Plane Circulation and Convective Time Normalized with Freestream Velocity](image) (a) and with Effective Velocity from the Shear Layer (b). Note P45_0.1 and P45_0.07 represent two identical plunging cases with differing Reynolds numbers while T45_0.1 is the equivalent surging case. Both findings – a collapse of circulation and loss of memory of initial conditions – are confirmed by LEV formation plots: Figure 4-26 shows the temporal evolution and corresponding spatial distribution of spanwise vorticity for the near-mid-plane region ($XY$-plane) of all three cases. The iso-lines reveal a similar growth of the LEV for all three cases, which reaffirms the insights obtained from the circulation plots of the near-mid-plane region as shown in Figure 4-26. However, after the acceleration of the plate stops, it can be observed that the tow case LEV starts to roll off the plate. Despite identical circulation, as demonstrated in Figure 4-26, this beginning roll-off might adversely affect the resulting magnitude of the lift force for the towing case. It is important to note that the plate-fixed frame of reference in fact is an accelerated reference frame. As such, the (attached) vortical structures are accelerated according to the orientation of the respective plate kinematics in an inertial system. It is therefore hypothesized that the remaining inertia of the accelerated fluid causes the roll-off of the tow case LEV once the plate acceleration stops. It has been demonstrated that the circulation history in the near-mid-plane region is identical for both plunging cases and T45_0.1. The corresponding total force results are shown in Figure 4-27. Here, lift and drag forces are defined to be perpendicular and parallel to the direction of the plate velocity, respectively (upper row). In addition, $C_y$ and $C_x$ representing the plate-normal and plate-parallel forces are plotted for comparison, respectively (lower row). All force data are non-dimensionalized based on the standard convention on the left but also using $U_{\text{eff}}$ on the right. First, it is worth noting that the curves for the plunging motions show unexpectedly high values when normalized with the freestream velocity. In particular, the force magnitudes for T45_0.1 and P45_0.07 should be similar since the LEV is fed with the same shear-layer velocity at identical effective angles of attack. This discrepancy confirms the validity of $U_{\text{eff}}$ as the characterizing velocity scale to describe vortex growth and thus resulting forces. Furthermore, it is remarkable that the force histories of both plunging cases (P45_0.1 and P45_0.07) share identical curves during the plate acceleration despite the fact that they experience different magnitudes of acceleration during the respective plate motions. In contrast, the slow plunge and the tow case (P45_0.07 and T45_0.1) obviously yield significantly different force histories, even though in both cases the magnitude of plate acceleration was identical. ### 4.6.2 Lift and Drag for a Range of Kinematics Here we compare four translational motions: pitch, surge, a combined “pitch-surge” and finally an “equivalent” plunge. The plunge follows rationale from the previous section, and is scaled purely by $\theta = \arctan(h/U_\infty)$, from which one obtains the plunge-history. This disregards the pitch pivot point effect – a crucial issue. “Pitch-surge” begins at zero incidence with no relative free stream, and begins simultaneous increase in relative free-stream and incidence angle, both by smoothed linear ramps, until reaching the usual steady-state. The result for the 1 c motion is shown in Figure 4-28 with focus on early-time history, and in Figure 4-29 for the long-term history. Figure 4-30 covers the slow-case (6 c acceleration), where unfortunately plunge is not possible because at the low rate, the resulting vertical (plunge) displacement is not kinematically realizable in the facility where the experiment was conducted. The purely-pitching and the pitching-surging cases are again with respect to a pivot point at the leading edge ($x/c = 0$). Figure 4-28: Comparison of Pitch Ramp, Pitch-Surge Ramp and Pure Surge-Ramp, 1 c Motion, AR = 4 Flat Plate; Lift (Left Column) and Drag (Right Column). Pivot point is at the leading edge ($x/c = 0$) for the pitch-ramp and pitch-surge ramp. Figure 4-29: Long-Term History of Lift and Drag for AR = 4 1 c Motion Comparison. Pitch and plunge are mutually irreconcilable, owing to the aforementioned Magnus effect of pitch-rate. The pitching case has much higher lift and drag than does the respective surging case, for both motion rates. The combined pitch-surge ramp is an intermediate case, as is to have been intuitively expected. Early in the motion, ($t' \sim 0$), it behaves akin to the surging case, with aerodynamic force production attenuated due to low dynamic pressure. As time proceeds, the pitch-surge case comes to approximate the purely pitching case. The plunging case has a lift history somewhere in between that of the pitching and pitch-surge cases, but a drag history altogether different, with drag outright negative, evidently from strong leading edge suction. It, and the pure-surging case, completely lack a non-circulatory lift or drag spike. ### 4.7 VARIATIONS IN PLATE LEADING EDGE SHAPE Here we consider the effect of using different leading and trailing edge geometries in fast and slow translational pitch, based on force measurements and PIV conducted at ITU. Because the plate is vertically suspended in a free-surface water tunnel, aerodynamically the plate is “mirrored” about the free-surface, depending on how the free-surface boundary condition is enforced: with or without an endplate, and with the plate submerged below the free-surface, or not. The following discussion, in addition to comparing the round leading edge with a squared-off or “sharp” leading edge, also considers this mirroring effect. Figure 4-31 presents lift coefficient history for the slow case, while vorticity contours, superimposed on planar projection of streamlines, are in Figure 4-32. Data in Figure 4-32 are for the AR = 4 plate, which is actually a physical aspect ratio of 2, with the mirroring effect included. Similarly, fast translational pitch lift coefficient histories are in Figure 4-33, and PIV vorticity contours and superimposed streamlines for the AR = 4 plate are in Figure 4-34. While the details of projected streamline placement are very sensitive to minor variations, overall flowfield feature evince little difference between the sharp-edge and round-edge variants of the same aspect ratio. Differences in lift coefficient history are even smaller. Evidently, leading edge shape, or edge shape in general, makes very little difference in these separated flows. Aspect ratio however does have a demonstrable effect, as already noted in a prior section. 4.8 VARIATIONS IN PEAK INCIDENCE ANGLE Here we consider two parameter studies for the surging plate – translational and rotational, in both cases with the “fast” acceleration profile of a linear ramp over 1 $c$. 4.8.1 Translational Surge Figure 4-35 covers a range of incidence angles from 5 to 90 degrees, in all cases with the same smoothed linear surge ramp over $1 \ c$, and in all cases the respective incidence angle held constant. The low incidence case is expected to have lift coefficient follow Wagner’s model [53], and for $\theta = 5 \ \pi$ the agreement is quite good [54]. ![Graphs showing incidence-angle sweep for translational surge](image) Figure 4-35: Incidence-Angle Sweep (5, 10, 15, 20, 30, 45, 60, 75 and 90 degrees) for the Fast Surging Case, $Re = 20,000$. Lift (top left), drag (top right), and lift-to-drag ratio (bottom). For $\theta = 45^\circ$, lift and drag histories essentially coincide, because the net aero force is plate-normal. For $\theta = 90^\circ$ the lift is of course zero, and the plate acts like a piston. For all cases, peak loads are evident at the conclusion of the acceleration. The flow is separated in all cases, even (slightly) at $\theta = 5^\circ$; never is there any appreciable leading edge suction. However, for $\theta = 5^\circ$, $L/D$ climbs after the acceleration is over, resembling a Wagner-like rise as bound circulation attains its steady-state value. For higher incidences, $L/D$ peaks towards the conclusion of the motion. For $\theta = 45^\circ$, $L/D \sim 1$ perpetually. 4.8.2 Rotational Surge This section covers PIV measurements for the fast rotational surging case by the TU Delft group for the AR = 2 plate, comparing incidence angles of $30\pi$ and $60\pi$ with the canonical case, $45\pi$. Flowfield data are presented as evolution vs. chords-traveled, at the radius of reference from the point of rotation. 3D iso-surfaces of Q2-criterion are shown in Figure 4-36 and Figure 4-38, while 2D contours of vorticity are shown in Figure 4-37 and Figure 4-39. Most notable is the striking qualitative similarity in flowfield between the three incidence-angle cases, and the persistence of the LEV-tip vortex pair throughout the motion history. These results are consistent with those of Wolfinger and Rockwell [16], and Garmann and Visbal [55]. Figure 4-36: Iso-Surfaces of Normalized Q2-Criterion, $Q/(V_t/c)^2 = 3.125$ Colored by Vorticity Magnitude; Early Time After Onset of Rotational Surge, Fast Case, Incidence Angles as Marked. Data from TU Delft Group. Figure 4-37: 2D Analog of Figure 4-36; Contours of Non-Dimensional Out-Of-Plane Vorticity $(\omega_z c / V_t)$ in the Reference Plane, Fast Rotational Surge Case, Incidence Angles and Chords-Traveled as Marked. Figure 4-38: Continuation of Figure 4-36 to Later Time (that is, Later Number of Chords-Traveled at the Reference Plane); Iso-Surfaces of $Q / (V_t / c)^2 = 4.68$, Colored by Vorticity Magnitude. FURTHER PARAMETER STUDIES $\alpha = 30^\circ$ $\alpha = 45^\circ$ $\alpha = 60^\circ$ $s = 1.5$ $s = 2.0$ $s = 3.0$ $s = 4.0$ History of lift coefficient and lift to drag ratio for fixed incidence angles of 15, 30, 45, 60 and 75 degrees is given in Figure 4-40. Peak lift to drag ratio is for the lowest incidence angle, as stands to reason given the plate-normal direction of the total aerodynamic force. This is confirmed by LD $\sim 1$ for the 45-degree canonical case. For all incidences there is a non-circulatory spike at motion onset, and a smoother spike towards conclusion of acceleration, followed by a gentle rise in lift to about $s/c \sim 4$. Thereafter aero forces settle to a more or less permanent value indicative of a stable LEV for all incidences. There is no special value of incidence angle associable with stall; all incidence angles yield more or less similar force histories and similar flowfields. Figure 4-40: Survey of Lift Coefficient (Left) and Lift-to-Drag-Ratio (Right) Histories for “Fast” Rotational Surge, with Acceleration Occurring Over One Chord at the Reference-Plane, and Fixed Incidence Angles of 15, 30, 45, 60 and 75 Degrees. Data from TU Delft Group. FURTHER PARAMETER STUDIES Chapter 5 – CONCLUSIONS 5.1 GENERAL OBSERVATIONS 1) Whether rotational or translational, the pitching cases produce a much larger lift than the fast surging cases. This is the pitch-rate effect. After the pitching motion has concluded, there is a large and fast drop in lift, followed by slow relaxation to the “steady-state” (rotation) or bluff-body response (translation). The two fast pitching cases are very similar in lift history, as are the two fast surging cases. 2) Depending on choice of normalization, one may find the long-term value of lift for the rotational motion to be larger than for the translational motion, or smaller – but it does appear that for the rotational motion the lift asymptotes to a constant value, presumably because of a spatially and temporally more organized flow (by some reckonings a more stable LEV, especially near the wing root) on the plate’s suction side, that differs from the bluff-body solution, which Karman-sheds or just has a dead-water region. 3) For fast motions, the peak lift occurs at approximately the point where acceleration concludes. For the slow cases, lift peaks at some earlier time, before the surging motion or the pitching motion is complete, in a stall-like process where the LEV grows, reaches saturation and sheds, all while acceleration of the plate proceeds. The shedding effect is mediated by rotation. One supposes that the slower motions are governed by a vortex formation-time phenomenon, presumably captured in vortex dipole ideas, while for the faster motions, LEVs are still growing and accumulating vorticity at motion’s end. 4) For accelerations faster than some threshold, lift history becomes acceleration-independent after acceleration has ceased: if a wing is surging over say 0.25 c instead of 1 c, after 1 c, the two lift histories coincide – but for slower accelerations, post-acceleration lift history remains influenced by what happened while acceleration was non-zero, because of ensuing vortex development. 5) Secondary peaks in lift, several convective times after acceleration is over, are observed in some cases. These are presumably due to formation of new LEVs, and appear to depend on plate aspect ratio (and installation-effects in experiments). 6) For surging motions, the lift coefficient during acceleration is uncannily proportional to the instantaneous speed of the plate. For quasi-steady response, lift would be proportional to the dynamic pressure (since plate incidence is constant), so that the lift coefficient would be quadratic in time. 7) For all motions (fast or slow, pitch or surge, rotational or translational) it takes many convective times (15 or more for translation, perhaps 5 for rotation) to reach the steady-state lift value. 8) For translational fast pitch and translational fast surge, the LEV initially convects away from the LE at approximately one third to half of the reference free-stream speed, while the TEV convects at close to the full free-stream speed. This gives a vortex-force resembling ‘rUT’. Exact speeds DO vary from case to case, and accuracy is important if we’re going to properly capture the total lift force. 9) Vortices are more coherent with increasing reduced-frequency. Individual vortices are harder to identify for the 6 c cases. The flow is also more 3D for slower cases. 3D effects take time to develop – but even massively 3D cases evince possibility of description by 2D reduced-order model in a strip-theory sense. In any case, pitch is kinematically dominated (apparent-mass and Magnus effect), while surge is more vortex-dominated (time rate of change of LEV-TEV dipole impulse). 10) Lift history is a very weak function of Reynolds number, except for possibly at very low Reynolds number ($< 100$) where LEV formation itself does not occur. 11) A low-order force model developed from the observations of this Task Group has been found capable of making reasonably predictions of force histories and magnitudes (albeit with sometime considerable over-prediction). More significantly it has allowed us to attribute physical mechanisms to the various force contributions, which can inform future research and vehicle development. 5.2 RESUME OF TASK GROUP’S ACCOMPLISHMENTS, AND REMAINING QUESTIONS We believe that the following can credibly be listed as accomplishments over the past 3 – 4 years: 1) Obtained some quite impressive agreement across many different experiments (and some computations), across our 8 cases (especially translational cases). 2) A promising reduced-order model, not for flapping-wing aircraft design, but for making sense of basic force-trends vs. kinematics morphology. 3) Parameter studies give indication of what force-contributions matter where. 4) Basic understanding of flow features vs. lift-coefficient trends. However, numerous subjects have been left incomplete, or require an improved conceptual approach. Thus we offer, to motivate further work: 1) No detailed 3D LES computations were compared to detailed 3D PIV. 2) Pitching-moment data has been unreliable, and was not much discussed. 3) Reduced-order models have not yet been extended to parameter studies. 4) Rotational-case role of LEV breakdown: juxtaposition with force-model? 5) Rossby number and passage of rotational case towards translational remains only notionally delineated. 6) Formation-number ideas and demarcation between “fast” and “slow” motions, in terms of when post-acceleration flow no longer “remembers” acceleration history. 7) Why do our reduced-order models “work” with final circulation fitted to $2 \pi \alpha$? Just because the vortex fits the growth of circulation, does not mean that the lift has to, because the vortex is not attached to the wing! Chapter 6 – REFERENCES [1] Lentink, D. and Dickinson, M., “Biofluidynamic Scaling of Flapping, Spinning and Translating: Fins and Wings”. 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[14] Visbal, M.R., “Three-Dimensional Flow Structure on a Heaving Low-Aspect-Ratio Wing”. AIAA 2011-0219. [15] Bross, M. and Rockwell, D., “Flow Structure on a simultaneously pitching and rotating wing”. Journal of Fluid Mechanics, 2014. [16] Wolfinger, M. and Rockwell, D., 2014. “Flow structure on a rotating wing: effect of radius of gyration”. Journal of Fluid Mechanics, Volume 755, pp. 83-110. [17] Visbal, M., Yilmaz, T.O. and Rockwell, D., 2013. “Three-dimensional vortex formation on a heaving low aspect ratio wing: computations and experiments”. Journal of Fluids and Structures, Vol. 38, pp. 58-76. [18] Yilmaz, T.O. and Rockwell, D., 2012. “Flow structure on finite-span wings due to pitch-up motion”. Journal of Fluid Mechanics, Vol. 691, pp. 518-545. [19] Ozen, C.A. and Rockwell, D., 2012. “Three-dimensional vortex structure on a rotating wing”. Journal of Fluid Mechanics, Vol. 707, pp. 541-550. [20] Ozen, C.A. and Rockwell, D., 2011. “Flow Structure on a Rotating Plate”. 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[33] Taira, K. and Colonius, T., “Three-dimensional flows around low-aspect-ratio flat-plate wings at low Reynolds numbers”. Journal of Fluid Mechanics, 623, 187-207, 2009. [34] Jantzen, R.T., Taira, K., Granlund, K.O. and Ol, M.V., “Vortex dynamics around pitching plates”. Physics of Fluids, 26, 053606, 2014. [35] de Baar, J.H.S., Percin, M., Dwight, R.P., van Oudheusden, B.W. and Bijl, H.G., “Kriging regression of PIV data using a local error estimate”. Experiments in Fluids, Vol. 55, Issue 1, January 2014. [36] Cottet, G.H. and Koumoutsakos, P.D., “Vortex Methods: Theory and Practice”, Cambridge University Press, 2008. [37] Kudela, H. and Kozlowski, T., “Vortex in cell method for exterior problem”. J. Theor. Appl.Mech., Vol. 47, No. 4, 2009. [38] Kozlowski, T. and Kudela, H., “Transitions in the vortex wake behind the plunging profile”. Fluid Dyn. Res. 46 (2014) 061406. [39] Carr, Z.R., Chen, C. and Ringuette, M.J., “Finite-Span Rotating Wings: Three-Dimensional Vortex Formation and Variations with Aspect Ratio”. Exp. Fluids, Vol. 54:1444, 2013. [40] Carr, Z.R. and Ringuette, M.J., “Flow Structure of Low-Aspect-Ratio Rotating Wings from Dye Visualization”. AIAA Journal, Vol. 52, No. 5, pp. 1081-1086, 2014. [41] Yu, H.-T., “Unsteady Aerodynamics of Pitching Flat Plate Wings”. PhD Thesis, University of Michigan, May 2014. [42] Yu, H.-T., Bernal, L.P. and Morrison, C., “Experimental Investigation of Pitch Ramp-Hold-Return Motion of Flat Plates at Low Reynolds Number”. AIAA 2012-0051. [43] Yu, H.-T. and Bernal, L.P., “Effect of Pivot Point on Aerodynamic Force and Vortical Structure of Pitching Flat Plate Wings”. AIAA 2013-0792. [44] Manar, F. and Jones, A.R., “The Effect of Tip Clearance on Low Reynolds Number Rotating Wings”. AIAA 2014-1452. [45] Harbig, R.R., Sheridan, J. and Thompson, M.C., “Reynolds number and aspect ratio effects on the leading-edge vortex for rotating insect wing planforms”. Journal of Fluid Mechanics, 717, pp. 166-192, 2013. [46] Jardin, T., Farcy, A. and David, L., “Three-dimensional effects in hovering flapping flight”. Journal of Fluid Mechanics, Vol. 702, pp. 102-125, 2012. [47] Delery, J., “Aspects of Vortex Breakdown”. Progress in Aerospace Sciences, Vol. 30, pp. 1-59, 1994. [48] Lu, Y. and Shen, G.X., “Three-dimensional flow structures and evolution of the leading-edge vortices on a flapping wing”. Journal of Experimental Biology, Vol. 211, pp. 1221-1230, April 2008. [49] Shields, M. and Mohseni, K., “Roll Stall for Low-Aspect-Ratio Wings”. Journal of Aircraft, Vol. 50, No. 4, pp. 1060-1069, July 2013. [50] Minier, C.S. and Dalton, N.N., “Physical Properties of Glycerin and its Solutions”. American Chemical Society Monograph 117, Reinhold Publishing Corp., 1953. [51] Ringuette, M.J., Milano, M. and Gharib, M., “Role of the Tip Vortex in the Force Generation of Low-Aspect-Ratio Normal Flat Plates”. JFM, Vol. 581, 2007, pp. 453–468. [52] Kriegseis, J., Kinzel, M. and Rival, D., 2013. “On the Persistence of Memory: Do Initial Conditions Impact Vortex Formation?” Journal of Fluid Mechanics, Vol. 736, pp. 91–106. [53] Wagner, H., “Über die Entstehung des dynamischen Auftriebes von Tragflügeln”. Zeitschrift für angewandte Mathematik und Mechanik 5(1925) pp. 17–35. [54] Mancini, P., Jones, A.R., Ol, M.V. and Granlund, K.O., “Parameter Studies on Translating Rigid and Flexible Wings”. AIAA 2014-0073. [55] Garmann, D.J. and Visbal, M.R., “Dynamics of revolving wings for various aspect ratios”. Journal of Fluid Mechanics, 748, pp. 932–956, 2014. ## REPORT DOCUMENTATION PAGE \| 1. Recipient’s Reference \| 2. Originator’s References \| 3. Further Reference \| 4. Security Classification of Document \| \|--------------------------\|---------------------------\|---------------------\|--------------------------------------\| \| \| STO-TR-AVT-202 \| ISBN \| PUBLIC RELEASE \| \| \| AC/323(AVT-202)TP/670 \| 978-92-837-2030-0 \| \| \| 5. Originator \| Science and Technology Organization \| \|---------------\|-------------------------------------\| \| \| North Atlantic Treaty Organization \| \| \| BP 25, F-92201 Neuilly-sur-Seine Cedex, France \| \| 6. Title \| Extensions of Fundamental Flow Physics to Practical MAV Aerodynamics \| \| 7. Presented at/Sponsored by \| AVT-202 Final Report. \| \| 8. Author(s)/Editor(s) \| Multiple \| \| 9. Date \| May 2016 \| \| 10. Author’s/Editor’s Address \| Multiple \| \| 11. Pages \| 124 \| \| 12. Distribution Statement \| There are no restrictions on the distribution of this document. Information about the availability of this and other STO unclassified publications is given on the back cover. \| \| 13. Keywords/Descriptors \| Apparent mass, Dynamic stall, Flapping wing, Leading edge vortex, Micro air vehicle, Revolving wing, Unsteady aerodynamics, Unsteady aerofoil theory, Vortex shedding \| \| 14. Abstract \| In massively unsteady wing-flows, organized flow-separation may increase lift well above steady-state. We explore imposed rotations and rectilinear translations of rigid flat plates in incompressible flow, comparing a linear-ramp angle of attack change with streamwise acceleration (surge). In rotation, the plate revolves about an axis inboard of its inboard tip, notionally representative of a flapping-wing. Experiment, computation and analysis culminated in a two-dimensional lumped-vortex model for physics-based accounting of lift history. Rotation was found to stabilize the leading edge vortex, at least for inboard spanwise locations; the vortex sheds after saturation for the translational case. However, no advantage in peak lift or lift to drag ratio was found in rotation during the manoeuvre itself. Pitching causes a large force transient, both for rotation and translation, relative to surging; this is due to pitch-rate effects, predicted by unsteady aerofoil theory, which also accurately handles apparent-mass effects. For translation, > 10 convective times are needed for the post-manoeuvre lift transient to relax; the rotational case reaches a steady lift value in ~ 5 convective times, and this steady value is higher than for translation. Thus rotation offers a steady-state advantage in lift, but not a transient one, owing to leading-edge vortex behaviour. \| STO-TR-AVT-202 Les publications de l’AGARD, de la RTO et de la STO peuvent parfois être obtenues auprès des centres nationaux de distribution indiqués ci-dessous. 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METHOD FOR HIGH VOLUME MANUFACTURING OF THIN FILM BATTERIES BYUNG SUNG KWAK, Portland, OR (US); Nety M. Krishna, Sunnyvale, CA (US); Kurt Eisenbeiser, Tempe, AZ (US); William J. Dauksher, Mesa, AZ (US); Jon Candelaria, Scottsdale, AZ (US) Motorola Mobility, Inc., Libertyville, IL (US); Applied Materials, Inc., Santa Clara, CA (US) 13/461,286 May 1, 2012 Division of application No. 12/257,049, filed on Oct. 23, 2008, now Pat. No. 8,168,318. Provisional application No. 60/982,669, filed on Oct. 25, 2007. Concepts and methods are provided to reduce the cost and complexity of thin film battery (TFB) high volume manufacturing by eliminating and/or minimizing the use of conventional physical (shadow) masks. Laser scribing and other alternative physical maskless patterning techniques meet certain or all of the patterning requirements. In one embodiment, a method of manufacturing thin film batteries comprises providing a substrate, depositing layers corresponding to a thin film battery structure on the substrate, the layers including, in order of deposition, a cathode, an electrolyte and an anode, wherein at least one of the deposited layers is unpatterned by a physical mask during deposition, depositing a protective coating, and scribing the layers and the protective coating. Further, the edges of the layers may be covered by an encapsulation layer. Furthermore, the layers may be deposited on two substrates and then laminated to form the thin film battery. FIG. 1A (PRIOR ART) FIG. 1B (PRIOR ART) FIG. 1C (PRIOR ART) FIG. 1D (PRIOR ART) FIG. 1E (PRIOR ART) FIG. 1F (PRIOR ART) \| System 1: \| Load Lock \| Pre-Clean \| CCC Mask \| CCC Deposition \| Detach CCC Mask \| Clean CCC Mask \| \|----------\|-----------\|-----------\|----------\|----------------\|-----------------\|---------------\| \| \| Exit \| Clean ACC Mask \| Align \| Detach ACC Mask \| ACC-2 Deposition \| ACC-1 Deposition \| Clean ACC Mask \| Align \| \| System 2: \| Load Lock \| Align Cat Mask \| Cathode Deposition \| Detach Cat. Mask \| Clean Cat. Mask \| Anneal Cathode \| \|----------\|-----------\|----------------\|--------------------\|------------------\|-----------------\|---------------\| \| \| Exit \| Clean IC Mask \| Detach IC Mask \| IC Deposition \| IC Mask \| Align \| \| System 3: \| Load Lock \| Align Li Mask \| Li Deposition \| Detach Li Mask \| Isolation \| Clean Li Mask \| \|----------\|-----------\|---------------\|--------------\|----------------\|-----------\|---------------\| \| \| Exit \| Mask Storage \| Clean PC Mask \| PC-2 Deposition \| PC-1 Deposition \| PC Mask \| Align \| FIG. 2 \| System 1: \| Load Lock \| Pre-Clean & CCC \| DB Mask Align \| DB Deposition \| Detach DB Mask \| Clean DB Mask \| \|----------\|-----------\|-----------------\|---------------\|---------------\|----------------\|---------------\| \| \| Exit \| Clean ACC Mask \| \| \| ACC-1 Deposition \| ACC Mask Align \| \| System 2: \| Load Lock \| Align Cat. Mask \| Cathode Deposition \| Detach Cat. Mask \| Clean Cat. Mask \| \|----------\|-----------\|-----------------\|--------------------\|------------------\|-----------------\| \| \| Exit \| Clean IC Mask \| \| IC Deposition \| IC Mask Align \| \| System 3: \| Load Lock \| Align Li Mask \| Li Deposition \| Detach Li Mask \| Isolation \| Clean Li Mask \| \|----------\|-----------\|--------------\|--------------\|---------------\|-----------\|---------------\| \| \| Exit \| Mask Storage \| \| PC-2 Deposition \| PC-1 Deposition \| PC Mask Align \| FIG. 4A FIG. 4B FIG. 4C FIG. 4D FIG. 4E FIG. 4F FIG. 4G \| Load Lock \| Pre-Clean \| CCC Deposition \| Cathode Deposition \| Anneal Cathode \| IC Deposition \| \|-----------\|-----------\|----------------\|--------------------\|---------------\|--------------\| \| Exit \| Final Packaging \| Laser Patterning \| PC Deposition \| Isolation \| Li Deposition \| FIG. 5 FIG. 6A FIG. 6B FIG. 6C FIG. 6D 610 620 630 614 cut edge encapsulation pattern 100 601 FIG. 7A FIG. 7B FIG. 7C FIG. 7D FIG. 7E FIG. 7F FIG. 7G METHOD FOR HIGH VOLUME MANUFACTURING OF THIN FILM BATTERIES CROSS-REFERENCE TO RELATED APPLICATIONS [0001] This application is a divisional of co-pending U.S. patent application Ser. No. 12/257,049 filed Oct. 23, 2008, which claims the benefit of U.S. Provisional Patent Application Ser. No. 60/982,669, filed Oct. 25, 2007, which are herein incorporated by reference. FIELD OF THE INVENTION [0002] The present invention relates generally to thin film batteries, and more particularly to a method for fabricating thin film batteries that is low-cost and compatible with high-volume manufacturing. BACKGROUND OF THE INVENTION [0003] Solid state Thin Film Batteries (TFB) are known to exhibit several advantages over conventional battery technology such as superior form factors, cycle life, power capability and safety. However, there is a need for cost effective and high-volume manufacturing (HVM) compatible fabrication technologies to enable broad market applicability of TFBs. [0004] Past approaches to the patterning requirements for the TFB fabrication consisted of applying known methods of masking/patterning, such as photolithography and physical (shadow) masking. An example of the use of photolithography can be seen in an article published by W. C. West, et al., in Journal of Micromech. and Microeng. (Vol. 12 (2002) 58-62). The use of physical (shadow) masking can be seen in many publications and patents, as implied by the schematic diagrams of the TFB process flows (see for example, U.S. Pat. No. 6,921,464 to Krasnov et. al. and U.S. Pat. No. 6,994,933 to Bates et. al.) and by their specific statements (see for an example, U.S. Pat. Pub. No. 2005-0079418A1 to Kelley et. al.). All of these use masking/patterning technology at every step of the fabrication process. [0005] The traditional physical masking requirement leads to many disadvantages, especially related to HVM. For example, the use of physical masking will (1) add significant capital investment requirement for HVM and large area scaling, (2) increase cost of ownership (consumable mask cost, cleaning, chemicals, etc.), (3) decrease throughput because of alignment requirements, and (4) limit the substrate size and type (rigid, semi-rigid, or flexible), and thereby, limit the scaling for economy and cost reduction. [0006] More particularly, in HVM processes, the use of physical masks (ubiquitous for traditional and current state-of-the-art TFB fabrication technologies) will contribute to higher complexity and higher cost in manufacturing. The complexity and cost result from the required fabrication of highly accurate masks and (automated) management systems for mask alignment and regeneration. Such cost and complexity can be inferred from well known photolithography processes used in the silicon-based integrated circuit industry. In addition, the cost results from the need for maintaining the masks as well as from throughput limitations by the added alignment steps. The adaptation becomes increasingly more difficult and costly as the manufacturing is scaled to larger area substrates for improved throughput and economies of scale (i.e., high volume manufacturing). Moreover, the scaling (to larger substrates) itself can be limited because of the limited availability and capability of the physical masks. [0007] Another impact of the use of physical masking is the reduced utilization of a given substrate area, leading to non-optimal battery densities (charge, energy and power). This is so because of the fact that physical masks cannot completely limit the sputtered species from depositing underneath the masks, which in turn leads to some minimum non-overlap requirement between consecutive layers in order to maintain electrical isolation between key layers. The consequence of this minimum non-overlap requirement is the loss of cathode area, leading to overall loss of capacity, energy and power content of the TFB (when everything else is the same). [0008] Yet another impact of the use of physical masking, in the typical integration schemes used previously, is the need for complex protective coatings to keep the anode (typically Li or Li-ion) from reacting with oxidants (O₂, H₂O, etc.) from the ambient. There are several patents that deal with such schemes (see for examples, U.S. Pat. No. 5,561,004 to Bates et al. and U.S. Pat. No. 6,916,679 to Snyder et al., for multi-layer coating and lamination, respectively). [0009] And finally, processes that employ physical (shadow) masks typically suffer from particulate contamination, which ultimately impacts the yield. [0010] Therefore, there remains a need for concepts and methods that can significantly reduce the cost by enabling simplified, more HVM-compatible TFB process technologies. SUMMARY OF THE INVENTION [0011] Concepts and methods of the invention allow the cost and complexity of TFB HVM to be reduced by eliminating and/or minimizing the use of physical (shadow) masks to enhance manufacturability of the products at high volume and throughput and the technique is easily adapted to large area substrates. This can significantly reduce the cost for broad market applicability as well as provide yield improvements. These and other advantages are achieved with the use of laser scribing or alternative maskless patterning techniques to meet certain or all of the patterning requirements. Alternative physical (shadow) maskless patterning techniques include mechanical sawing, water/solvent knifing, ion beam milling and multi-layer photolithography. As such, embodiments of the invention provide for the use of laser scribing, or other alternative maskless patterning techniques, anywhere during the manufacturing process as deemed appropriate and necessary for TFB manufacturability, yield and functionality. This includes a method where a single patterning is performed at the end of the deposition of all layers. Furthermore, embodiments of the invention provide methods which include multiple patterning, wherein each patterning addresses single or multiple stack layers, such that some physical (shadow) masking has been eliminated. If the physical masking is deemed necessary in some cases, then the disclosed concept can be implemented in conjunction with a minimum number of required physical masks. Preferably, for such processes wherein separate masking/patterning is necessary, laser scribing or alternative physical maskless patterning techniques would be used. Furthermore, the disclosed concept can be implemented with other physical maskless patterning techniques, like photolithographic patterning, in some cases where single, multiple or all layers are patterned simultaneously. According to aspects of the invention, a first method of manufacturing thin film batteries comprises providing a substrate, depositing layers corresponding to a thin film battery structure on the substrate, the layers including, in order of deposition, a cathode, an electrolyte and an anode, wherein at least one of the deposited layers is unpatterned by a physical mask during deposition, depositing a protective coating, and scribing the layers and the protective coating. Further, the edges of the layers may be covered by an encapsulation layer. Furthermore, the scribing may also cut through the substrate, producing a multiplicity of thin film batteries. According to further aspects of the invention, a second method of manufacturing thin film batteries comprises providing a first substrate, depositing a first set of layers on the first substrate, providing a second substrate, depositing a second set of layers on the second substrate, laminating the first set of layers and the second set of layers, and scribing the laminated structure, wherein the combined first and second sets of layers corresponds to a thin film battery structure, including a cathode, an electrolyte, and an anode and wherein at least one layer of the first and second sets of layers is unpatterned by a physical mask during deposition. Further, the first set of layers may include the cathode and the electrolyte. Furthermore, the first set of layers may be capped by a first lithium metal layer and the second set of layers capped by a second lithium metal layer, wherein the first and second lithium metal layers together form the anode in the laminated structure. According to yet further aspects of the invention, a thin film battery, corresponding to the aforementioned methods, comprises a first substrate, a set or plurality of layers corresponding to a thin film battery structure attached to the first substrate, the set or plurality of layers including, in order from the first substrate, a cathode, an electrolyte, an anode and a protective coating, wherein at least one of the layers is unpatterned, a protective coating covering the set or plurality of layers, and an encapsulating layer covering the edges of the layers. Furthermore, the protective coating may be a second substrate. By following the disclosed concepts and resulting methods, many advantages in addition to high volume and throughput and reduced costs are achieved. For example, non-functional area is minimized or eliminated. Another is that the laser and other alternative methods allow flexibility in device patterning to accommodate end-market defined form factors, without having to create new expensive physical masks or reticles (for lithography). As another benefit, the anode current collector functions as the protective coating, eliminating or minimizing the need for complex multilayers or other schemes to package the device. An additional benefit is the positive impact to yield that will be realized. BRIEF DESCRIPTION OF THE DRAWINGS These and other aspects and features of the present invention will become apparent to those ordinarily skilled in the art upon review of the following description of specific embodiments of the invention in conjunction with the accompanying figures, wherein: FIGS. 1A to 1F illustrate a prior art TFB fabrication process using masking at every step; FIG. 2 illustrates the different equipment and processing steps required for a prior art TFB fabrication process for ceramic substrates; FIG. 3 illustrates the different equipment and processing steps required for a prior art TFB fabrication process for metal substrates; FIGS. 4A to 4G illustrate an example HVM TFB fabrication process according to aspects of the present invention; FIG. 5 illustrates example equipment and processing steps required for the HVM TFB fabrication process according to aspects of the present invention; FIGS. 6A to 6D illustrate additional aspects of an example HVM TFB fabrication process of the present invention; and FIGS. 7A to 7G illustrate an alternative example HVM TFB fabrication process according to aspects of the present invention. DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS Embodiments of the present invention will now be described in detail with reference to the drawings, which are provided as illustrative examples so as to enable those skilled in the art to practice embodiments of the invention. Notably, the figures and examples below are not meant to limit the scope of the present invention to a single embodiment, but other embodiments are possible by way of interchange of some or all of the described or illustrated elements. Moreover, where certain elements of the present invention can be partially or fully implemented using known components, only those portions of such known components that are necessary to describe embodiments of the present invention will be discussed, and detailed descriptions of other portions of such known components will be omitted. In the present specification, an embodiment showing a singular component should not be considered limiting; rather, embodiments of the invention broadly encompass other variations including a plurality of the same component, and vice-versa, unless explicitly stated otherwise herein. Moreover, applicants do not intend for any term in the specification or claims to be ascribed an uncommon or special meaning unless explicitly set forth as such. Further, embodiments of the present invention broadly encompass present and future known equivalents to the known components referred to herein by way of illustration. In general, embodiments of the present invention provide alternative methods of patterning certain or all layers in a thin film battery structure using laser scribing or alternative maskless patterning techniques. Laser scribing techniques have been applied in fields other than manufacturing thin film batteries, such as semiconductors (for example, U.S. Pat. No. 7,169,687 to Li et al. and U.S. Pat. No. 6,586,707 to Boyle et al.), photovoltaics (e.g., U.S. Pat. No. 7,235,736 to Buller et al. and U.S. Pat. No. 4,689,874 to Nishiuara) and electrochromics (e.g., U.S. Pat. No. 5,724,175 to Hichwa et al.). However, integration of laser scribing into a HVM TFB process requires a new approach, as described below. Again, the integration with laser scribing is used in these examples. However, alternative physical maskless methods can be used interchangeably. For ease in illustrating certain aspects of the invention, a traditional thin film battery process flow is considered. FIGS. 1A to 1F illustrate a traditional process flow for fabricating a TFB on a substrate. In FIGS. 1A-1F, a top view is shown on the left, and a corresponding cross section, in the plane indicated by A-A, is shown on the right. There are also other variations, e.g., an “inverted” structure, wherein the anode side is grown first. In the prior art process of FIGS. 1A-1F, physical (shadow) masking is used to define the areas at each layer. [0027] As shown in FIGS. 1A and 1B, processing begins by forming the cathode current collector (CCC) 102 and anode current collector (ACC) 104 on a substrate 100. Note that the terms cathode and anode, as used herein, refer to positive and negative electrodes, respectively. This can be done by (pulsed) DC sputtering of metal targets (~300 nm) to form the layers (e.g., metals such as Cu, Ag, Pd, Pt and Au, metal alloys, metalloids or carbon black), the patterns for the CCC and ACC structures being defined by shadow masks. It should be noted that if a metallic substrate is used, then the first layer may be a “patterned dielectric” deposited after a blanket CCC 102 (the CCC may be needed to block Li in the cathode from reacting with the substrate). [0028] Next, in FIGS. 1C and 1D, the cathode 106 and electrolyte layer 108 are formed, respectively. RF sputtering has been the traditional method for depositing the cathode layer 106 (e.g., LiCoO$_2$) and electrolyte layer 108 (e.g., Li$_3$PO$_4$ in N$_2$), which are both insulators (more so for the electrolyte). However, pulsed DC has been used for LiCoO$_2$ deposition. The cathode 106 and electrolyte layer 108 patterns are defined by shadow masks. [0029] Finally, in FIGS. 1E and 1F, the Li layer 110 and protective coating (PC) layer 112 are formed, respectively. The Li layer 110 can be formed using an evaporation process. The Li layer 110 can be about 3 µm thick (as appropriate for the cathode and capacity balancing) and the PC layer 112 can be in the range of 3-5 µm. The PC layer 112 can be a multilayer of parylene and metal and/or dielectric. See U.S. Pat. No. 5,561,004 to Bates et al. Note that, between the formation of the Li layer and the PC layer, the part must be kept in an inert environment, such as argon gas. The Li layer 110 and PC layer 112 patterns are defined by shadow masks. [0030] The loss of effective substrate area, and therefore the capacity, energy and power densities, is apparent from an inspection of FIGS. 1C and 1F, wherein the area of the cathode 106 is just a fraction of the area of the substrate 100. (The capacity is defined, to first order, by the cathode area and thickness.) Although, further optimization will lead to greater efficiency in area utilization, the intrinsic nature of the process and masking will place an upper limit on such an efficiency. The need for a more elaborate protective coating 112, as described above, can also be seen from FIG. 1F. In particular, the complex shapes and angles of the patterns for the PC layer 112 (which is required to cover the anode but expose the electrical contact points) will likely contribute to non-ideal protection of the Li metal or Li-ion anode 110. [0031] As described previously, all process steps in the prior art embodiment of FIGS. 1A-1F require patterning by physical (shadow) masking. Moreover, depending on the substrate type (ceramic, metal, rigid material, flexible material, plastic/polymer, etc.), additional barrier layers may be necessary. For each layer, the films can be relatively thick, 1 to 10 µm for the electrolyte, cathode and anode layers. Typically, thicker layers are used for the cathode and the anode. When thicker layers are to be deposited, in a currently-used RF configuration, the deposition tool is either static or locally dynamic (translating back and forth) if a “single short module” is used. Moreover, linear processing with continuously moving substrates may not be feasible as very long modules, and longer-distance travel of physical (shadow) masks, will be needed. [0032] Based on the flow described in FIGS. 1A to 1F, schematics of conceptual prior art manufacturing flows are shown in FIGS. 2 and 3, for automated processing on ceramic and metal substrates, respectively, when physical (shadow) masks are implemented at each step. These manufacturing flows are suitable for “inline” deposition systems and equipment sets. The arrows indicate the flow of substrates through each system. [0033] System 1 in FIG. 2 illustrates the current collector (CCC and ACC) deposition module, following the process flow of FIG. 1. The first chamber in this system is a pre-clean chamber for removing any incoming surface contaminants. As can be seen, the system requires physical (shadow) mask alignment-attachment and detachment-cleaning modules for both CCC and ACC patterning. Two separate anode current collector modules are shown here so as to accommodate situations where Li reactivity may require dual layers on the anode side. If the CCC and ACC patterning can be done at the same time, and they are of the same materials, then the module may be simplified. System 2 illustrates the cathode (Cat.), anneal (if needed) and electrolyte (IC) modules. Again, there are individual alignment-attachment and detachment-cleaning modules for each patterned layer. System 3 illustrates the Li anode and protective coating modules. In this system, a module necessary to eliminate/minimize cross-talk between the processing ambient of Li and the adjacent deposition module is illustrated with an “isolation” chamber. In addition, the multiple layers for protective coating are illustrated as PC-1 and PC-2. Although not shown in this illustration, there may also be independent physical masking requirements for PC-1 and PC-2. The complexity and additional chamber requirement for physical (shadow) masks are clearly illustrated. [0034] FIG. 3 illustrates the prior art manufacturing flow for conducting substrates. The major difference arises in the system layout where the conducting substrate, used as the CCC, must include an insulating layer to electrically isolate the ACC from the substrate, hence the illustrated patterned deposition of “dielectric barrier (DB)”, instead of the CCC as in FIG. 2. Note that the first module—“Pre-Clean & CCC”—is included for the case where an additional layer is needed to isolate the conducting substrate from the Li containing cathode. System 2, in this figure, is practically the same as in FIG. 2, except for the missing anneal step. This is done to illustrate the manufacturing flow for a TFB stack that does not require crystalline cathode materials. System 3 is the same as that in FIG. 2. [0035] As can be seen in FIGS. 2 and 3, an automated physical (shadow) mask management system, required for high-volume manufacturing, is implied by modules for alignment and detachment/cleaning, respectively, at every pre- and post-deposition step. For a static cluster tool system, such as the LCD system provided by AKT America, Inc., a subsidiary of Applied Materials, Inc., of Santa Clara, Calif., an in-situ physical (shadow) mask would need to be placed in the deposition chamber itself. This mask must be aligned, attached to the substrate and held in place during deposition, with an appropriate removal or replacement system for mask regeneration, subsequent to the deposition. In either case, the complexity and high cost of these systems are evident, as a result of meeting the masking requirements. [0036] Reducing and/or minimizing the use of physical (shadow) masks would greatly benefit the manufacturing process, particularly for high-volume manufacturing. One preferred concept for eliminating or minimizing the use of physiical masks involves the use of laser scribing, or other alternative maskless patterning techniques, to meet the patterning requirements. As such, embodiments of the invention broadly encompass the use of laser scribing, or other maskless techniques, anywhere during the process as deemed appropriate and necessary for TFB manufacturability, yield and functionality (for example), as well as the number of patterning/scribing steps and wavelengths. This includes a single patterning step at the end of the deposition of all layers or multiple but reduced number of patterning steps where each patterning step addresses single or multiple stack layers. If the physical (shadow) masking is deemed necessary at some steps, then the disclosed concept can be implemented in conjunction with a minimum number of required physical masks. Furthermore, the disclosed concept can be implemented in conjunction with other physical maskless patterning techniques, like photolithographic patterning, at some steps. [0037] Benefits of the disclosed concept include the minimization or elimination of non-functional areas on the substrate. Another benefit is that the laser allows flexibility in device patterning to accommodate end-market defined form factors, without having to create new expensive physical (shadow) masks or reticles (for photolithography, in general). Implementing the integration with reduced number of reticles for photolithographic process will also enhance the cost factor. Yet another benefit is that the anode current collector can also function as the protective coating, eliminating or minimizing the need for complex multilayers or other schemes to package the device. The anticipated need for edge protection will be discussed below, with reference to FIG. 6. An additional benefit to moving away from a physical (shadow) masking technology is the positive impact to yield that will be realized. [0038] FIGS. 4A to 4G show one embodiment of the invention applied to the TFB fabrication flow for metallic substrates, using a single laser scribing step. This flow is based on blanket (mask-less) deposition of: the CCC layer 102, shown in FIG. 4A; the cathode layer 106, shown in FIG. 4B; the electrolyte layer 108, shown in FIG. 4C; the anode layer 110, shown in FIG. 4D; and the PC/ACC layer 112, shown in FIG. 4E. This is followed by a physical maskless patterning step(s), using, e.g., laser scribing, for device patterning, shown in FIG. 4F, and by a final packaging step to protect the exposed edges, shown in FIG. 4G. In FIG. 4F, the position of the laser cut is indicated by lines 401. In FIG. 4G, the edge protection material 414 may include polymer, dielectrics and/or metals. Polymer can be deposited by using, for example, ink jet printing or dip coating, the first of which is a selective additive process. Dielectric and or metal, if needed, can be coated using conventional vacuum deposition techniques. In such a case, one may deposit the dielectric layer first to maintain the isolation between two electrodes. Subsequent to the deposition, the contacts can be exposed using the laser ablation. The process flow of FIGS. 4A-4G is equally representative of using other alternative physical (shadow) maskless patterning techniques, such as mechanical sawing, water/solvent knifing, ion beam milling and photolithography. [0039] The process flow of FIGS. 4A - 4G shows only a single TFB. However, this process is applicable to large or continuous substrates which are patterned to provide a multiplicity of TFB devices. For example, the cuts 401 in FIG. 4F can be used to not only delineate a single TFB, but also to separate the single TFB from adjacent TFBs. [0040] Various types of lasers can be used to perform the scribing function, illustrated in FIG. 4F, depending on the optical absorption characteristics of the materials used for the TFB structure, and the materials stack at the time of scribing (e.g., multiple stacks as in FIG. 4). Some of the lasers that can be employed include high power CO$_2$ lasers (e.g., 10 um wavelength), Nd-doped solid state lasers (e.g., Nd-YAG at 1046 nm) and diode lasers. In addition, continuous and pulsed (even to femto second) lasers can be used. [0041] The schematic representation of a system corresponding to the process shown in FIGS. 4A-4G is shown in FIG. 5. Compared to FIGS. 2 and 3, the HVM concepts for the prior art, the new HVM concept consists of a significantly simpler equipment set. The concept of a shadow maskless process flow is independent of the equipment type, and therefore, is equally applicable to cluster, inline and roll-to-roll (web) coaters. It is also independent of the material components of the TFB and substrate types (e.g., ceramic, metal, rigid material, flexible material, and plastic/polymer). [0042] When ceramic substrates are used, where the substrate cannot be used as the contact to external circuits, an additional scribed patterning may expose the cathode current collector (CCC). This extra patterning can easily be done at the scribing step. Also, the final packaging step will need to be modified to protect the newly exposed edge areas, but not the exposed CCC layer. [0043] In addition to the aspects of laser scribing for the patterning of TFBs, embodiments of the invention provide additional methods and solutions to form the subsequent protective coating in a laser scribing process, wherein the absence of physical (shadow) masking leads to loss of ability to create overlaps to ensure isolation between layers as well as to exposed materials at the edge of the TFBs after laser scribing. The problems with exposed edges will be most severe if the patterning is done at the end of, or toward the end of, the deposition steps. [0044] The metal current collectors, both on the cathode and anode side, may function as protective barriers to the shuttling Li ions. In addition, the anode current collector may function as a barrier to the oxidants (H$_2$O, O$_2$, N$_2$, etc.) from the ambient. Therefore, the material or materials of choice preferably have minimal reaction or miscibility in contact with Li in “both directions”—i.e., the Li moving into the metallic current collector to form a solid solution and vice versa. In addition, the material choice for the metallic current collector preferably has low reactivity and diffusivity to those oxidants. Based on published binary phase diagrams, some potential candidates for the first requirements are Ag, Al, Au, Ca, Cu, Sn, Pd, Zn and Pt. With some materials, the thermal budget may need to be managed to ensure there is no reaction/diffusion between the metallic layers. If a single metal element is incapable of meeting both requirements, then alloys may be considered. Also, if a single layer is incapable of meeting both requirements, then dual (multiple) layers may be used. [0045] The final laser patterning and edge encapsulation can be done in many ways. However, one preferred post-deposition sequence comprises patterning, edge encapsulation, and cutting, in the manner shown in FIGS. 6A to 6D, respectively. This allows substrate-based rather than individual cell-based processing. More specifically, FIG. 6A shows a stack 610, where the stack includes a substrate, CCC layer, cathode layer, electrolyte layer, anode layer and PC/ACC layer. See FIGS. 4A-4E for more details. The stack 610, apart from the substrate 100, is then laser patterned, resulting in stack 620, shown in FIG. 6B. The edges of the stack that were exposed by patterning are encapsulated, resulting in stack 630, shown in FIG. 6C. The adherent encapsulating material 614 is preferably electrically insulating and capable of passivating the exposed surfaces, with low permeability to ambient oxidants, like O₂ and H₂O. Thus, one sequence/stack for protecting the exposed edge is by using dielectric layer(s), such as Si₃N₄ and SiO₂ (Si₃N₄ first), deposited using conventional methods, like PVD or CVD. Another sequence involves dielectric deposition followed by polymer (ink jet dispensing followed by UV-curing) or by metal layer deposition, again using conventional vacuum deposition. In either case, the coated ACC area may be laser ablated, for example, to expose the contact area. Suitable UV-curable polymer can be used by itself as well. The stack is then cut along lines 601 to produce multiple devices, as shown in FIG. 6D. The cutting is done using a laser scribing process, or alternative scribing process, as described above. [0046] Another embodiment of the fabrication flow is shown in FIGS. 7A to 7G. In this flow, two substrates are used, one each for cathode and anode sides, which are then laminated to form the TFBs. Both sides follow the same physical maskless blanket deposition approach shown in FIGS. 4A-4E. The cathode side is shown in FIGS. 7A to 7C, and the anode side follows it in the reverse order—anode current collector 112 (or metallic barrier layer) followed by the Li metal 110 in FIGS. 7D and 7E. Although the representation shows cathode side to the electrolyte layer 108, the deposition can be carried through Li to enable a Li—Li interface during the lamination step. This may enhance the intimate interfaces throughout the TFB structure and enhance the lamination process. This lamination can be performed by pressure rolling the two pieces at an elevated temperature. The “soft” and reactive Li layer will function as the adhesive layer. The laminated structure 710 in FIG. 7F, independent of the interface, can be enhanced by heat treatment (thermal or otherwise) during the lamination process. The lamination temperature should be in the range of 50 to 150 C, below the melting temperature of Li. The applied pressure should range between a few to several atmospheres. Analogous to FIG. 4F, laser patterning and final packaging will follow in FIG. 7G, respectively thereafter, for device patterning and edge protection. Again, the final patterning and edge encapsulation can be done on large area substrates, following the flow shown in FIGS. 6A-6D and the process provided in reference to the figure. In this case, however, the laser scribing will need to cut through one of the substrates to get to the structure shown in FIG. 6B. [0047] Referring again to FIGS. 4A-4G and 7A-7G, when the substrates are electrically conductive, the process flows and structures may be further simplified. For example, when a metallic substrate 100 is used in the process flow shown in FIGS. 4A-4G, the substrate may be used as a cathode current collector, thus eliminating the need for a CCC deposition step. Similarly, when a metallic substrate 101 is used in the process flow shown in FIGS. 7A-7G, the substrate may be used as an anode current collector, thus eliminating the need for an ACC deposition step. [0048] Even though the embodiments of the invention shown in FIGS. 4A-4G, 6A-6D and 7A-7G show all layers being unpatterned by physical (shadow) masks, other embodiments with some layers being patterned by physical (shadow) masks (or preferably with additional physical maskless patterning steps) and other layers being unpatterned are envisaged as being advantageous over the prior art, as discussed generally above. For example, process flows and structures are envisaged wherein at least one layer is unpatterned by a physical mask during deposition. Furthermore, multiple physical maskless patterning steps may be used—for example, there may be a first patterning step after the cathode layer deposition (FIG. 4B) and a second patterning step after the anode current collector deposition (FIG. 4F). This two step patterning may allow better encapsulation of the cathode by the subsequent electrolyte deposition. [0049] As stated, the advantages of the concepts and methods can be inferred from the figures and discussions. First, the cost and complexity associated with physical (shadow) masks are eliminated. Second, the efficient use of the substrate area for maximum capacity is clear from a comparison of FIGS. 1, 4, and 6. And, lastly, reduced or eliminated physical (shadow) mask requirements bring to reality a flexible form factor, which now merely warrants a recipe change at the laser scribing and packaging steps, rather than necessitating actual changes to physical (shadow) mask sets comprised of 5 to 6 layers. Use of photolithographic patterning in conjunction with the concept of reduced patterning steps or patterning multiple layers, also leads to, though slightly more complex, improved flexibility and cost reduction. [0050] Although the present invention has been particularly described with reference to the preferred embodiments thereof, it should be readily apparent to those of ordinary skill in the art that changes and modifications in the form and details may be made without departing from the spirit and scope of the invention. It is intended that the appended claims encompass such changes and modifications. What is claimed is: 1. A thin film battery comprising: - a first substrate; - a set of layers corresponding to a thin film battery structure attached to said first substrate, said set of layers including, in order from said first substrate, a cathode, an electrolyte, an anode and a protective coating, wherein at least one of said layers is unpatterned; and - an encapsulating layer covering the edges of said set of layers. 2. The thin film battery of claim 1, wherein all of said layers are unpatterned, parallel and co-extensive. 3. The thin film battery of claim 1, wherein said protective coating is an anode current collector. 4. The thin film battery of claim 1, wherein said protective coating is a second substrate. 5. The thin film battery of claim 3, wherein the anode current collector is a barrier material. 6. The thin film battery of claim 1, further comprising a cathode current collector adjacent to the cathode layer. 7. The thin film battery of claim 1, wherein the set of layers further includes a cathode current collector deposited between the first substrate and the cathode. 8. The thin film battery of claim 1, wherein the first substrate is a cathode current collector. 9. The thin film battery of claim 6, wherein the cathode current collector is a barrier material. 10. A thin film battery, comprising: - a substrate; - a plurality of layers contacting the substrate, the plurality of layers comprising a current collector, a cathode, an electrolyte, an anode, and a protective layer, wherein at least one of the layers is unpatterned; and an encapsulating layer covering the edges of the plurality of layers. 11. The thin film battery of claim 10, wherein the protective layer is a second current collector. 12. The thin film battery of claim 10, wherein the protective layer is a second substrate. 13. The thin film battery of claim 10, wherein the protective layer is a barrier material. 14. The thin film battery of claim 10, wherein the current collector and the protective layer are each barrier materials. 15. The thin film battery of claim 10, wherein the patterned layers have edges that are aligned. 16. The thin film battery of claim 10, wherein the protective layer comprises a dielectric layer and a metal layer. 17. The thin film battery of claim 10, wherein the substrate is a current collector. 18. A thin film battery device, comprising: a substrate; a plurality of thin film batteries, each thin film battery comprising a current collector layer, a cathode layer, an electrolyte layer, an anode layer, and a protective layer, wherein at least one of the current collector layer, the cathode layer, the electrolyte layer, the anode layer, and the protective layer of each thin film battery is unpatterned; and an encapsulating layer covering the edges of each thin film battery. 19. The thin film battery device wherein the current collector layer is unpatterned.
\| Sunday \| Monday \| Tuesday \| Wednesday \| Thursday \| Friday \| Saturday \| \|--------\|--------\|---------\|-----------\|----------\|--------\|----------\| \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Evening Chair Yoga 10:30 M Staff Easter Eggs M Practical Jokers Discussion 1:30 (TH) Movie Event: Mary Poppins Returns (2018) 3:45 (TH) The Making of Mary Poppins Returns (2018) TH Mary Poppins Trivia All Fools’ Day \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Music & Motion 10:30 M Staff Easter Eggs 11:00 M Detective 11:30 M Farke with Friends 1:30 M Hand Massages 2:00 M Entertainment: 1 Wagon 3 Wheels 3:00 M Golf Putting Practice 3:30 M Bingo 6:30 M Come Follow Me Study Group \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:30 M Fitness with Carol from Symbi 1:30 M Wheel of Fortune 2:30 M Sing Along 3:00 M Entertainment: Bob Shorten 1:30 M What’s Missing Trivia 2:00 (GR) Non-Denominational Bible Study with Dave 3:30 M Leaf Collection Bingo 4:00 M Finishing Lines \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Chair Yoga 10:30 M Minding Motion Exercise! 11:00 M Monthly Resident Council Meeting 1:30 M What’s Missing Trivia 2:00 (GR) Non-Denominational Bible Study with Dave 3:30 M Family Feud! 4:00 M Finishing Lines 1:30 M Dog Puzzles and Popcorn 2:00 M Dog Sequence Game 2:30 M Canine Wheel of Fortune 3:30 M Dog Facts and Trivia \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Balloon Volleyball 11:00 (GR) You Be the Judge 11:00 (GR) Card Games 1:30 M Entertainment: New Fiddlers 2:30 (C) Easter Wood Blocks 3:30 (C) Yahtzee! 1:30 M Entertainment: Wyldwood (Woochievus) 2:30 M Farke with Friends 3:30 M Song Bingo \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Balloon Volleyball 11:00 (GR) You Be the Judge 11:00 (GR) Card Games 1:30 M Entertainment: New Fiddlers 2:30 (C) Easter Wood Blocks 3:30 (C) Yahtzee! 1:30 M Entertainment: Wyldwood (Woochievus) 2:30 M Farke with Friends 3:30 M Song Bingo \| \| 7 \| 8 \| 9 \| 10 \| 11 \| 12 \| 13 \| \|---\|---\|---\|----\|----\|----\|----\| \| 9:30 M LDS Church Services 10:30 M LDS Relief Society and Priesthood Meetings 10:00 S Sports Lounge All Day \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Chair Dancing 11:00 (GR) Skip-Bo M Hand Massages 1:30 M April Birthdays with Stephanie from Symbi – Everyone Invited 2:30 M Watercolor Art 3:30 M Bingo! 6:00 M Caregiver Support Group by Bristol- light refreshments served 1:30 (C) Mini Easter Baskets 2:30 (C) I Love To Learn 3:00 M Entertainment: Stampede (Western) 6:30 M Come Follow Me Study Group \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Minding Motion Exercise! 11:00 M Fitness with Carol from Symbi 11:00 (GR) Kazoo Club 11:00 (GR) Family Feud 1:30 (C) Painting Fingerails 2:30 (C) Farm Animal Day 4:00 M Vitality Talks with Ken 1:30 M Puzzles and Popcorn 2:30 M Magic with Joe 3:30 M Leaf Collection Bingo! 6:30 M Entertainment: William Tucker (Harp Master) \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Minding Motion Exercise! 11:00 M Entertainment:Timeless 11:00 (GR) Jelly Bean Day 1:30 M Puzzles and Popcorn 2:30 M Magic with Joe 3:30 M Leaf Collection Bingo! 6:30 M Entertainment: William Tucker (Harp Master) \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Balloon Volleyball 11:00 (GR) You Be the Judge 11:00 (GR) Card Games 1:30 M Entertainment: New Fiddlers 2:30 (C) Easter Wood Blocks 3:30 (C) Yahtzee! 1:30 M Entertainment: Wyldwood (Woochievus) 2:30 M Farke with Friends 3:30 M Song Bingo \| \| 14 \| 15 \| 16 \| 17 \| 18 \| 19 \| 20 \| \|----\|----\|----\|----\|----\|----\|----\| \| 9:30 M LDS Church Services 10:30 M LDS Relief Society and Priesthood Meetings 10:00 S Sports Lounge All Day \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Chair Dancing 10:30 M Ladder Toss 11:00 (GR) Remembering Rainy Day Songs (GR) Reading Corner 1:30 M Entertainment: Bowler Boys (Bluegrass) 2:30 (C) Pom Pom Easter Bunny 3:30 (C) Can You Picture This? 6:30 M Come Follow Me Study Group \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:30 M Fitness with Carol from Symbi 11:00 (GR) Skip-Bo GR Sing Along 1:30 (C) 3D Paper Egg Ornament 2:30 (C) Name That Broadway Tune 3:30 (C) Painting Fingerails 6:30 M Come Follow Me Study Group \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Indoor Dance 11:00 (GR) Remembering Springtime 11:00 (GR) Kings in the Corner 1:30 (TH) Movie and Popcorn in the Theater: The Grapes of Wrath 2:00 (GR) Non-Denominational Bible Study with Dave 1:30 (LOB) Trip to Baskin-Robbins Please sing up for bus trips at front desk 2:30 (C) Trivia and Riddles 3:30 (C) I Hear Memories Good Friday \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Indoor Dance 11:00 (GR) Animal Crackers Day 11:00 (GR) Kings in the Corner 1:30 (C) Paper Rosettes 2:30 (C) Easter Bunny Popcorn 3:30 (C) Junk Drawer Detective \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Wii Bowling 11:00 (GR) Card Line Animals 11:00 (GR) Uno 1:30 (C) Paper Rosettes 2:30 (C) Easter Bunny Popcorn 3:30 (C) Junk Drawer Detective \| \| 21 \| 22 \| 23 \| 24 \| 25 \| 26 \| 27 \| \|----\|----\|----\|----\|----\|----\|----\| \| 9:30 M LDS Church Services 10:30 M LDS Relief Society and Priesthood Meetings 10:00 S Sports Lounge All Day \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Chair Dancing 10:30 M Stretch Training 10:30 M Balance Clinic with Wes 11:00 M Golf Putting Tournament 2:00 M Entertainment: Peterson Yarn and Piano 3:00 (C) Armchair Travels 3:30 (C) Puzzles and Popcorn 6:30 M Entertainment: Mixed Nuts \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:30 M Fitness with Carol from Symbi 11:00 (GR) Kazoo Club 11:00 (GR) Ella Fitzgerald Facts 2:00 M Entertainment: Jim Jensen 3:00 (C) Card Games 3:30 (C) Painting Fingerails 6:30 M Come Follow Me Study Group \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Minding Motion Exercise! 11:30 (GR) Find and Color 1:30 (C) Napkin Holders 2:30 (C) Who, What, When? 3:30 M ULTIMATE BINGO! 1:30 (LOB) Scenic Drive to Bright City Please sing up for bus trips at front desk 2:30 (C) Painting Picture Frames 3:30 (C) Mandala Art \| 9:55 M Daily Chronicle & News 10:00 S Sports Lounge All Day 10:00 M Minding Motion Exercise! 11:00 (GR) What Tree Am I? 11:00 (GR) I Should Have Known That 1:30 (C) Card Games 2:30 (C) Junk Drawer Detective 3:30 (C) Ladder Toss 6:30 M Entertainment: Hales Family \| April 2019 Legacy House at Park Lane Assisted Living Events and Activities Legacy House of Park Lane- 547 N Station Pkwy, Farmington Utah 801-939-4600 \| Sunday \| Monday \| Tuesday \| Wednesday \| Thursday \| Friday \| Saturday \| \|--------\|--------\|---------\|-----------\|----------\|--------\|----------\| \| Explore our World and Chronicle Chair Tai Chi Mormon Tabernacle Choir 11:00 LDS Services in the Cottage Setting the Tables Who, What, When? Reminisce Short Stories Milk Shake Social Setting the Tables Sunday Concert \| Explore our World and Chronicle Tabletop Puzzles Conversation Ball Finishing Lines Setting the Tables Explore our World and Chronicle Four Square Fun The Penny Game Setting the Tables Stress Free Watercolor and Music 2:00 1 Wheel or 2 Wheels (M) Bingo! Family Faub Gentle Stretching Setting the Tables Classic Tuesdays: Carol Burnett \| Explore our World and Chronicle Gratitude Journal Yoga with Adriene Kazoo Club Setting the Tables Who, What, Where? Craft Corner 3:00 Bob Shorten Entertainment (M) Hand Massages and Nail Painting Funny Bones Don’t Get Arthritis Setting the Tables \| Exploring our World and Chronicle Puzzles 11:00 Minding Motion Exercise! Music Set the Tables Most Adorable Animals How it’s Made Card Making Conversation Ball Fact or Fiction Set Tables Rockin’ Round the Clock Music: Glenn Miller \| Exploring our World and Chronicle Street Free Art Four Square Fun Word and Tabletop Puzzles Setting the Tables Bubbles/ UNO 2:00 Entertainment: Cameo Club (M) Hand and Shoulder Massages Music of the 1930’s Setting the Tables Friday Night Musical \| Exploring our World and Chronicle Limericks Yoga with Adriene Card Games Setting the Tables Setting the Tables Rick Steve’s Travels Bean Bag Twister Setting the Tables Lawrence Welk Show \| \| 7 \| Explore our World and Chronicle Chair Tai Chi Mormon Tabernacle Choir 11:00 LDS Services in the Cottage Setting the Tables Who, What, When? Reminisce Short Stories Milk Shake Social Setting the Tables Sunday Concert \| Explore our World and Chronicle Tabletop Puzzles/ Brain Teasers Setting the Tables Nerf Gun Fun! Art with Bob Ross Reminisce Social Gentle Stretching Setting the Tables FHE Movie/ Games \| Explore our World and Chronicle Four Square Tabletop Puzzles/ Brain Teasers Setting the Tables Racing Carer Word Puzzles Hot Potato Paint Chip Craft 3:00 Entertainment: Stampede (M) (Western) Setting the Tables \| Explore our World and Chronicle Book Club: Children’s Literature Dancing Divas The Penny Game/ Laugh Factory Set the Tables Sorting the Pantry Game Walking Club Gratitude Journal Setting the Tables Family Games \| Explore our World and Daily Chronicle 11:00 Minding Motion Exercise! Yoga Dancing Divas How It’s Made: Tools You Be the Judge! Hot Potato Craft Corner Fact or Fiction Setting the Tables Rockin’ Round the Clock Music: Andrews Sisters 6:30 William Tucker (M) (Harp) \| Explore our World and Chronicle Year in Review: 1950’s Laugh Factory: Limericks Brain Puzzles/ Penny Game Setting the Tables Hand and Shoulder Massages 1:30 Entertainment: New Fiddlers (M) Holland Air By The Andy Griffith Show Trivia & Facts Beer Setting the Tables Friday Night Musical \| \| 14 \| Exploring Our World and Chronicle Puzzles Tabletop Tennis 11:00 LDS Services in the Cottage Setting the Tables Reading Club Sunday Sundae Social Hand Massages Walking Club Setting the Tables Sunday Concert \| Explore our World and Chronicle Tabletop Puzzles Kick it Up Setting the Tables Colloquialisms Flower Flavors and Art Flower Bingo Card Games Tabletop Tennis/ Setting the Tables Family Home Evening \| Explore our World and Chronicle Four Square Fun The Penny Game Setting the Tables Relaxing Watercolor and Music 1:30 Entertainment: Bowler Boys (M) (Bluegrass) Music Memory Box Gentle Stretching Hot Potato Setting the Tables \| Explore our World and Chronicle Gratitude Journal Yoga with Adriene Reminiscing Magazine Setting the Tables Craft Corner Walt Disney’s Wonderful World of Color How it’s Made Stamping Setting the Tables Family Games \| Explore our World and Chronicle Jokes and Riddles 11:00 Minding Motion Exercise! Reminiscing Social Setting the Table Bubbles Airplane Fact or Fiction Parachute Play Presidential Puzzle and Trivia Setting the Tables Rockin’ Round the Clock Music: Bing Crosby Greatest Hits \| \| 21 \| Explore our World and Chronicle Chair Tai Chi Mormon Tabernacle Choir Four Square 11:00 LDS Services in the Cottage Setting the Tables Stress Free Coloring Jokes and Riddles Sunday Sundae Social Hand Massages Setting the Tables Bingo! \| Explore our World and Chronicle Your Hawaiian Name & Leis Conversation Ball Set the Tables Would You Rather? Tropical Fridge Magnets A Taste of Hawaii Merrie Monarch Hula Festival Hawaiian Watercolor Setting the Tables 7:00 Gail’s Hoike! (Hula recital) (M) \| Explore our World and Chronicle Poetry and Images Beach Ball Toss Setting the Tables The Penny Game Hot Potato 2:00 Peterson Violin and Piano (M) UNO Setting the Tables Classic Tuesdays Surprise \| Explore our World and Chronicle Gratitude Journal Yoga with Adriene Setting the Tables 1:00 Jim Jensen Accordion in The Cottage Bean Bag Twister How its Made Crafting Corner Family Games \| Explore our World and Chronicle Famous Duos 11:00 Minding Motion Exercise! Tabletop Puzzles Setting the Tables Setting the Tables Card Making I Hear Memories Hand Massages Nerf Gun Shooting Gallery Setting the Tables Friday Night Musical \| \| 28 \| Explore our World and Chronicle Chair Tai Chi Mormon Tabernacle Choir 11:00 LDS Services/Puzzles Setting the Tables Sunday Sundae Social Hand Massages Who, What, When? Setting the Tables Bingo \| Explore our World and Chronicle Detective/ Jokes and Riddles The Conversation Ball Set the Tables Would You Rather? Colloquialisms Quote Jar Tabletop Tennis Painting with Bob Ross/ Watercolor Setting the Tables Family Home Evening \| Explore our World and Chronicle Poetry and Images Beach ball Toss Setting the Tables The Penny Game Rick Steves Travel Balloon Toss UNO Setting the Tables Classic Tuesdays Surprise \| Explore our World and Chronicle Gratitude Journal Yoga with Adriene Setting the Tables How it’s Made Crafting Corner Family Games \| Explore our World and Chronicle Street Free Art Four Square Fun Card Making Setting the Tables Hand and Shoulder Massages Glen Miller Dance Social Setting the Tables Andy Griffith \| --- April 2019 Legacy House of Park Lane Cottage Events and Activities Legacy House of Park Lane 547 N Station Pkwy Farmington, Utah 801-939-4600
SOLID STATE RADICAL SOFTWARE A NOTE FROM THE GENERAL EDITORS OF RADICAL SOFTWARE, VOLUME II: In issue I, volume II of Radical Software we announced in our editorial that we would be farming out most of the issues of this volume to other groups and individuals working with video. We stated that we were doing this for several reasons: 1) that we wished to turn more of our own energies to experimentation in information formatting and alternate coverage of events and environments, and, 2) that we felt this change in format would permit other groups and individuals to benefit more directly from the information network Radical Software has helped develop, and at the same time would create a more diverse expression of the ideas, thoughts, activities of other people working in video. So far we have been generally happy with the results of this experiment. In some cases, however, we have been disappointed with the results and feel that while we still have high hopes for the success of this experiment we must make it clear to our readership that not everything they read in farmed-out issues is endorsed by us. In the current issue, in order for the people to meet their expenses (we provide a small stipend and production budget) they asked us if they could invite some advertising to increase their production budget and pay a production staff. Although Radical Software had never solicited ads we felt that we would give this group permission with a promise from them that it would be solicited on a highly selective basis. One of the advertisers selected, a distribution outfit with whom we've had experience, would not have been selected by us. We therefore feel that it is our responsibility to mention this fact to our readership. As always, we look forward to hearing from you, and hope you too have been generally pleased with the outcome of this volume. B.K. I.S. Address all Radical Software subscription, circulation, and distribution correspondence to Gordon and Breach Science Publishers, One Park Ave., New York City, N.Y. 10016. Address all editorial correspondence, as well as correspondence to Raindance Foundation, to POB 135, Ruby, N.Y. 12475. Videoball's Radical Software is focused on ways 1/2 inch video can be useful in the areas of mental health, institutional analysis and community organizing. Portable video can and will have a profound effect on mass and personal communication in the years ahead. Today we are laying the foundation for the way in which this technology will be employed. The portapak hype about improving the quality of life in these United States is undergoing intensive examination by those of us involved in this field who have watched the cable ripoff, the surveillance tools and the deluge of hardware novelties designed to further bombard us with mass media scum. Videoball has tried to explore ways of using this tool for the humanization of institutions, for heightening perceptions of self and others and for methods of presenting alternatives to the propaganda which inundates each of our lives. In a time when our powerlessness is reasserted daily, when we can watch TV accounts of this government's repression of the already brainwashed mass communications industry, when the Corporation for Public Broadcasting has demanded programming reflecting Nixon's credo, when we must bear witness to a totally outrageous annihilation of a nation, in our name, we must now seriously reevaluate the significance of this new media and its real effect on the human condition. We have gone through the freakout, self indulgent, magic trip with the portapak which for all of its excitement and stimulation, has left us somewhat cynical about our effectiveness. We see how this tool can serve the master even more efficiently than the masses. We have also discovered (quite painfully) that the video process cannot be effective without a politic. We must be clear about why we are using the tool and what will result from its use. We believe that the video movement will not affect any change within our society without a collective politic. We must consider ourselves warriors in a battle waged against those who have sought to control that which belongs to us all -- information. b.v.e. December, 1972 \| Author/Title \| Page \| \|------------------------------------\|------\| \| Vic Gioscia \| 1 \| \| Notes On Videotherapy \| \| \| H. F. Weisberg \| 5 \| \| Video Tape for the Exceptional \| \| \| Milton Berger \| 8 \| \| Multiple Image Video Self Confrontation \| \| \| Alan Kaplan and Stelios Spiliadis \| 12 \| \| What Can A Portapak Do? \| \| \| Bob Sandidge \| 15 \| \| Critical Mass \| \| \| Abram Engelman and Tom Johnson \| 17 \| \| Video As A Tool In Institutional Analysis \| \| \| Randy Sherman \| 23 \| \| Video Enclosing \| \| \| Shirley Clarke: An Interview \| 25 \| \| Antioch College M.A., In Media \| 28 \| \| Survival Arts Media \| 31 \| \| Public Access Celebration \| \| \| Yolande Valiquette \| 34 \| \| Selectovision \| \| \| Community Video \| 37 \| \| 1st National Video Festival \| 44 \| \| Robert Harding \| 46 \| \| Notes On The Evolution Of Baltimore\| \| \| David Ross \| 48 \| \| Doug Davis \| 49 \| \| Talk Out \| \| \| Playback Environment \| 50 \| \| Joe Repairbear \| 58 \| \| Hardware Hints From The Videoball \| \| \| Michael Shamberg \| 59 \| \| From 1/2 inch to 2 inch \| \| \| Video Tape Roundup \| 60 \| VISUALS: - alvin allen - gene davis - jill fessenden - gigi harding - barbara leckie - bob lorenz - paul owen - irene reville - sheila roth - david sundance from the calendar "the twelve moons of the year" - don snyder - video graphe cover barbara leckie and sheila roth Notes on Videotherapy In 1962, when I was teaching sociology at Queens College, Lou Jacobson, then a student (now a PhD Clinical psychologist with a thesis on videotherapy behind him) invited me to come down to the video studio they had there to play with the hardware he enjoyed playing with as a student "announcer." At the time, I was busy writing my own dissertation on Plato's theory of time, and then and for years afterward I made absolutely no connection between the two. All I knew was there were these video toys and I was going to get a chance to play with them, turned on, as usual, by a hip student. I sat in a chair facing a student, and we rapped while each of us was being taped by a huge studio camera, one camera each, as it were. I remember we thought of it as instant film, were nervous, and wondered how we would look when they played it back, the same day! No developing time! Imagine our surprise when the playback turned out to have been "mixed", so that the playback experience was entirely different than the recording experience. I realized then and there that I was watching the director's experience of me, not my experience of me. And he (Lou) was sly enough even in those days of inch Phillips decks (What Gillette calls 1938 plymouths) to record our experience during the playback, and slyer still, to show us on studio monitors how he was mixing the shooting of our playback experience. To this day, I still vividly remember how hard it was to choose which monitor I wanted to watch: the playback, the live mix, or the camera monitors. It was not till a couple of years later that I got into the clinical significance of such happenings. I went home that night stoned on video, stoned on Plato, stoned on sociology, and wondered how in hell these three excitements could each give me the same feeling of being stoned yet be so different and uniquely individual experiences. Ah, the naivete of the young. In 1964, at a conference of social psychiatry, I was presenting the results of some research on multiple family therapy I had been doing at the Creedmore state hospital. At the conference was a team from Jewish Family Service of N.Y., including the famous (now deceased) Nathan Ackerman. For some reason the team liked me and/or my work and invited me to present some of it back in N.Y. As a sociologist, I was interested in the family and as a person in psychoanalytic therapy myself, I was more than interested in doing the kind of research into families which would be useful to me as a pro as well as a patient. So, when they asked me what I wanted to do, I said I wanted to tape families in treatment (family therapy) and learn how the playback experience could be brought into the treatment setting. They thought that was cool until they found that it would require (at least) two cameras and two decks. In them days, cameras and decks cost a lot more than they do now: a camera was around three grand, a deck was about five and tapes cost a dollar a minute, by the gross. So, what happened was they bought one camera and one deck. Which meant they could make instant "films", but could not playback and "film" simultaneously. Aside from the "reservations" they had for other reasons, this severe crimp in feedback research meant I would either have to heave or get into other lines of research. I chose the latter. I needed the bread. I hoped the price of hardware would come down. I wrote the grant proposals for more hardware. "...if we got into the epistemology from which tape NIMH said it was a nice idea and a nice theory but I would have to come up with lots of scientific numbers and play the superscience game. I begged the administration to go for the bread. To no avail. Later (1967) when we started to put the Village project together (a sort of anti-clinic in the east village) we tried to use video playback to help people on dope see how they related to each other while badly stoned. It was again felt that "real therapy" would be better than "making movies". When people wanted to take the camera out on the street, to get the community aspects of "the drug problem" on tape, the idea was strenuously resisted. I left soon thereafter. Not because I was no longer in need of bread, or because I was no longer interested in using tape clinically, but because that was the year the portapaks came out. I didn't need to know which portapak benefit I liked better: the relative cheapness or portability. I knew the agency wasn't going to go for something that could be used as well out of treatment room as in, since that took the definition of treatment out of their turf, if not out of their theoretical turf as well. I wish I didn't have to write now, in 1972, that many many clinicians still fiercely resist the use of tape as a clinical tool. Their "resistances" come from many sources. For example, therapists of the psychoanalytic persuasion tend to believe that therapists are "blank screens" on which patients "project" their neurotic conflicts, and that the correct posture of the analyst is not to interfere with this projective process, but to "interpret" selectively those portions of the patients' verbalization which are unhealthy. Ideally, the analyst should remain out of sight since analysis is overwhelmingly a verbal process. Who needs pictures. Or, to phrase it in more contemporary language, the analyst is supposed to prevent any feedback from himself to the patient except those verbalizations he chooses very deliberately to engage in. Things like leg crosses, changes in posture, ANY visual clues to the patient as to where the analyst is at, are theoretically out. Well, what about therapists who use a face to face situation? They turned out to have resistances of another kind. They thought it would be good for patients to see themselves as their therapists see them, but they weren't very happy at seeing themselves as their patients saw them. Oh, it was OK for their supervisors to see them AFTER the session was over, but being just like a patient in the playback situation, where either is free to comment on the behavior of the other, well, that was something else. You might think this is all ancient history. Talked to many therapists lately? Many of them think its a fine tool, great for supervision, provides very nice before-and-after documentation showing how much better patients are now than they were at the beginning. Few tapes of failures are saved, but fewer still try to playback during sessions and fewest of all know why or how to playback and/or to record and playback responses to playback. Not that that would be so great either, since it is only another boring illustration of how right McLuhan is when he talks about rearview mirroring. Doing the same old therapy games and introducing derives, would we come up with ways to experience video into that scene is just like towing a car by horse because you understand horses and are afraid of cars. The fact is, video is the tool of an epistemology born long after the epistemologies from which most therapy derived. And, like all interfaces between past and present, it generates paradoxes. After all, who should be happier with a tool which stores the past and selectively interprets it in the present than an analyst? Which provides one with the opportunity to experience another's experience of oneself. To experience the others experience of ones experience of the other? Not to mention those sociologists who think G. H. Mead had something to say about learning selfhood by experiencing many others experience of oneself, as well as their experience of that? It does not suffice to say that we have in tape a "machine" which can visually display all those knots, Laing magnificently portrays, in which he thinks because he doesn't know. I'll do that, sure. But the larger question is, if we got into the epistemology from which tape derives would we come up with ways to experience experience which would be therapeutic in NEW ways? Even this question is of historical interest to those therapists who learn from the so called "communications school" of therapy. After all, Bateson wrote about double binds in 1956, long, long before anything like portable video was around. So, another paradox: the theory of videotherapy was around long before portapaks were, yet most therapists have yet to "discover" it. We know a lot now about communication and metacommunication, and double binds (communications about communications which contradict the communications) but we're not too sure how to video them so they happen less, much less prevent them, or undo the harm they do. There are still therapists, (probably the majority) who think that schizophrenia is a disease which individual persons have. Even Laing occasionally sounds like that's the way it is. Whereas, from a resolutely communicational viewpoint, (Haley, Speck, Auerswald, et. al.) there is no such thing as a schizophrenic: There is disordered communication, which requires a network of communicants to sustain it. So, if you wanna fix it (do therapy on it) you gotta fix the network, which means locate its channels of communication, find out where and when simultaneous contradictory messages occur, and communicate differently. Some videofreaks have gotten that far. But then, caution to the winds, instead of figuring out what they want to do because they know why they want to do it, they sit down in their lofts and try out every last variation and configuration of hardware they can imagine. Out come the mirrors, the machines shooting the machines shooting the machines, shooting the monitor while another deck supplies it with images, producing thousands of one's right eye, etc., etc. I got nothing against playing like this, but it ill affords therapists who say they really want to "help" people to play around like this if they don't know how easy it is to blow somebody's mind with this hardware, especially if the mind is already half-blown, in their theoretical viewpoint. Seems to me the point of departure for video-therapy is the postulate that information is man's ecology, that information is to man what water is to fish, that it is our element, we live experience which would be therapeutic in NEW ways?" in it, that is much more complicated than water and much much easier to drown in. Information ecology, as a science, is much more complex than the simple mechanical cybernetics Wiener told us about, with simple tracking and sensing devices hooked back into the trackers. There are literally billions of feedback loops characteristic of each individual's neurological system alone, not to mention chemical and/or interpersonal loops. We don't even know what most of these are, much less how to therapize them. So don't look for any quick miracles from videotherapy, especially since, even if one occurred, we wouldn't know why, or what else, it was doing. So, finally, another paradox: lots and lots of people are looking to video feedback for sudden cures of ancient enigmas, believing they are going to be able to do things because they have the hardware. That's like turning loose a bunch of grammar school kids in the nearest nuclear reactor to see whether their ideological innocence will make it do something beneficial. There is no easy answer. Sure, lots of shrinks are afraid of video because they aren't used to seeing themselves as others see them, and they come from heads which rely on old fashioned theories of madness. Still, videoheads are not necessarily more therapeutic just because they are not similarly brainwashed. They might just be differently brainwashed. Nor is the incredible sensitivity a genuine head brings to interaction necessarily a guarantee that he/she will be able to do anything more than understand and empathize with the suffering one (patient means the suffering one). Like, if a fish is gasping for water, empathy doesn't help. If a human is gasping for some kind of validating feedback, or suffering from some kind of invalidating feedback, (or both, as in "schizophrenia") you gotta know that and know what to do about that. And the first step is to realize that you AND your hardware constitute the patients ecology. Now, what do you know about changing past ecologies and their programs by adding on a new ecology and new program? That's what you know about videotherapy. So be careful. vic gioscia I had decided that if the Agency accepted my proposal to integrate and assimilate 1/2 inch video into their total program, then my job would be to ensure that it was used everywhere. As self-titled "Video Tape Unit Coordinator," I viewed this exercise as a test run for 1/2 inch VTR functioning within the confines and processes of an Agency serving the mentally retarded. A survey of the literature suggested that little had been done with VTR in similar social service organizations and inquiries by mail seemed to confirm that fact. In New York, Dr. Karl Fenichel of the League School for Emotionally Disturbed Children admitted that they had acquired equipment but had not started using it. From Washington, Joe Framm of the Yakima Valley School wrote of using video tapes in an attempt to help the retarded residents sequence temporal order and establish clearer body image. In Vancouver, I was told by Laura Willows of Laurel House that taping was done by staff to keep behavioral records. But mostly, wherever I looked, video tape was viewed as a luxury and rarely was there a particular staff member whose sole purpose was to go poking around with a portapak. Little was being done with image feedback to the residents of these small, "exceptional" communities. There was sparse evidence that video was being used to cut into some of the cobwebs that form and reinforce those social service agency bureaucracies. I wanted to tape staff meetings, parent meetings, parent/staff meetings and Board of Director's meetings. The residents were not the only ones who could learn about themselves by seeing themselves on T.V. I wanted to tape everywhere and playback to everyone I taped. I had hopes of animating the staff, changing the direction of the Agency, as well as treating the residents. Well, Dr. Crass has been forewarned. A sometime rabbi, social worker, and verbose bore, he chaired a fair share of the meetings. He had immediately felt the sting of Video-in-Action when in trying to sell the idea to the Agency, I brought in equipment and let him watch himself ramble on, dribbling inanities, for an uninterrupted twenty minutes. So, he was not too keen on my taping meetings, especially those he attended, and for quite some time he was against my taping anything. He argued against my having access to the resident's files, and was opposed to the residents visiting me privately in my office. He demanded at our first and only confrontation, to know "what qualifications" I had. I mention Dr. Crass because he was very much part of that video integration process that took place over the year. Those with similar limited vision and poor imagination are the rule rather than the exception in the small social service agency. One must learn how to work around them or without their knowledge or they will dash out from behind their protective desks to piss cold piss on new ideas. My first taping on the wings was with Billy. Nobody knew for sure how retarded we conduct our actions based to a large extent Billy was, because he never spoke and one was never quite sure whether he was listening. At sixteen, Billy could summon incredible strength when he was frustrated or disrupted in his daily routine. He was continually destroying his clothes, reaching down to his pant cuffs and ripping them up the seams, tearing shirts and pulling tongues from shoes. When he started a low growl it was usually an indication that a door was going to be ripped off its hinges, or a clock torn from a wall. Billy had even dragged a ground level air-conditioner out of its frame, damaging it considerably. So it was with trepidation, that one day, hooked up to a lounge T.V. through an RF adaptor, I aimed the camera at Billy and flipped off the lens cap. When Billy saw himself on T.V. he shrieked and ran down the hall. He returned eventually, peeked out from around the corner, saw himself peeking on T.V., laughed and came closer to explore. Soon he just sat down in front of the T.V. and grooved on his image. George, his counselor, took a pillow from the couch and with Billy watched real-time pitch and catch on T.V. In viewing the tape some weeks later, a group of staff members discovered video replays were a fine way to see themselves in action with the residents. How was Billy to know what to throw and what not to throw if George, his counselor, was grabbing furniture pillows and winging them around the lounge? A valid point, but certainly not my reasons for taping Billy. Nevertheless, the utility of video was proven and established a foothold at the grass roots with the counseling staff and if they were digging it, I was confident that eventually that feeling would filter up. At the day school, using this evaluative procedure, I would shoot 1/2 to 1 hour of tape of teachers handling classes of ten to fourteen retarded kids. Screenings with the principal, the teacher and myself were held at the end of the day. For weeks I sensed a "What the hell is he doing in my class" attitude and the resentment toward me was thick. I didn't say much during the replays. The evaluation was to be between the principal and the teacher so I played technician. As the weeks went by, the teachers realized, in viewing their tapes, shot over the course of the day, that I was picking up on the right things; situations where it was a matter of opinion which way to go, unnoticed excelling performances by the kids, disregarded, blatant and disruptive behavior. The evaluation procedures became an acceptable vehicle for improvement and helped the teacher, principal and me in focusing in on specific problems. At the sheltered workshop, video tape replays were used by the director to evaluate the efficiency of assembly tasks. It could have been worse. In Toronto, they use video replays in sheltered workshops to increase production by Big Brothering the camera with remote control then playing back the images at the end of the day saying, in effect, "See, you were slacking off." Our residents knew they were being on reactions of others, that presentation of self has taped and humanized the process by clowning around on camera before settling back to work. Later, their assembly tasks were viewed and analyzed by the workshop director. Uses for the equipment began to multiply after a few months. It was used to show parents how their child was doing in the residence, school, or workshop, and thus opened up new lines of communication and provided new reference points for discussion between staff and parents. It was used to show the Board of Directors what a fine job the staff was doing. It was used to make training tapes on emergency first aid, behavior modification techniques, and teaching techniques. It was used to tape work done at other agencies to improve the work at ours. And finally, it was used as a therapeutic tool. I could tell you about Lazlo in terms of a controlled feedback study but would prefer to save that kind of write-up for the many mental health journals that hunger for new information on treating those less sane or less intelligent than their editors. Lazlo probably taught me more than I taught him. He was nineteen, educably retarded, and an Orthodox Hassidic Jew. He had a keen sense of humor and an innocence and charm that made him instantly and infectiously likeable. Lazlo shook and bobbed his head whenever he spoke - a condition that had no physiological basis (as I found out reading the files - Crass's objections having been overruled by the kindly Executive Director) and which Lazlo himself wished to eliminate. So each day we talked for ten minutes, Lazlo in front of the camera, me just off to the side. Eventually, playbacks were introduced after each interview. Headshake counts went like this: May 4th 203 headshakes in 10 minutes May 9th 114 headshakes in 8 minutes Playbacks began and headshakes were remarkably reduced to: May 11th 6 headshakes in 10 minutes May 16th 14 headshakes in 10 minutes Eventually with playbacks, Lazlo stopped shaking his head altogether. When the playbacks were discontinued for a month, Lazlo increased his headshaking significantly. It was all very empirical and controlled and sent me off on a group of similar experiments which, I maintain, demonstrate that video feedback can be an important therapeutic tool in assisting the retarded to help themselves change behavior. Now this may be evident to all of you who have grown your hair longer after seeing how silly you look, short-haired on playback. But in a therapeutic world of operant conditioning, if you can change behavior and explain it in terms other than reinforcement, then you are either stupid or wrong. Well, I may be both, but I do think Lazlo changed because he was confronted with a poor presentation of self, and in a world where we conduct our actions based to a large extent on the reactions of others, that presentation of self has to be damned straight. It cannot involve distracting incessant headshaking. Lazlo took note of this and eliminated that behavior accordingly. So the year came to an end with video tape playing an important role at the Agency. Money for continued work became a problem until the Canadian Federal government bought my vote in an election year with a National Welfare Demonstration grant. Dr. Crass is still stuffy about the video unit, but its successes and acceptance by the rest of the staff have thankfully left him close to speechless. For my part, I may go back and continue to work there awhile longer. But then again, I may go to California. For further information or detailed analysis of the Laszlo study, the author may be reached at: c/o Miriam Home for the Exceptional 4321 Guimont Avenue Chomedey, Laval Quebec, Canada (514) 681-9256 h. f. weisborg The Scottish poet Robert Burns most succinctly expressed the universal quest for truer knowledge of self when he wrote, "O wad some Power the giffie gie us To see oursels as ithers see us!" The advent of video in psychiatric practice has given us that gift better than any other method developed to date. It has given us an instrument which markedly expands and expedites exploration of aspects of our inner self-concepts which lie beneath our own daily awareness, which are not clearly known to others but which regularly, often unconsciously, influence our daily behaviors, interpersonal arrangements with others and feelings about ourselves. The development of video in psychiatry is comparable to the development of the microscope in biology. The use of video self-confrontations in psychoanalytic therapy serves not only to expose the structural components of a person's bio-psycho-socio-sexual self but also provides a unique opportunity for working through alienation from self by repeated replay of the recorded data. In early 1972 I accidently discovered how to simultaneously create a series of partial images of a patient, (through the use of video cameras and a split screen generator), for projection onto one or more video monitors during a psychoanalytic session. At first I could not understand how this electronic result had been brought about nor could I again bring it about at my will. Some months later I stumbled upon the process again and then learned how to produce the effect that I refer to as Multi Image Immediate Impact Video Self-Confrontation. This confrontation technique requires at the least, the use of the following equipment: two mobile cameras, two or more monitors, a split-screen special effects generator and a zoom lens on each camera. I bring to the attention of the patient anywhere from two to six to ten or more partial images of himself on two or more closedThe development of video in therapy is comparable circuit monitors while these pictures are being videotaped for immediate or later replay. As they are presented in tandem-series on the monitor the pictures are intermittently made increasingly unclear, distorted or blurred through camera movement or by my increasing or decreasing the lens light aperture or altering the focus. A patient may be lying on the couch in traditional psychoanalytic fashion or sitting up, or he may be in interaction with members of his psychotherapy group or family during this video experience. Lewin succinctly stated, "Psychoanalytic technique has various ways of assisting an analysand to recall forgotten events." The technique of multi-image immediate impact self-confrontation which I am experimenting with is another in a long evolution of techniques aimed to expedite recall of events and associations which can lead to catharsis, insight and the giving up of psycho-socio-sexual fixations manifested in one of the past images of self, which retard growth and maturation and which are no longer valid. Through electronic means I as therapist have an ability to magnify, focus on and distort aspects of a patient's body just as people do to themselves with their inner "eye" and "I" and can then play back the recording just made moments before for a more total seeing and experiencing and free associating to what is triggered off. There is both an enlarged objective observing ego at work and a subjective, recognizing, identifying self who feels "at home" with those images or pictures or aspects of self which are now emerging on the monitors. The type of encounter with self-image(s) and with self-identity and self-concepts triggered by the multi-image immediate video self-confrontation technique I am reporting on at this time has been described by patients experiencing it as "surrealistic," "objectifying," "reflection in action," "really taking a look at myself." Horney repeatedly stated in her work that man uses his idealized image of self to deny, obscure or block his more actual or true images and moments of being. The compulsive loyalty to rigidly shaped images, each living in compartments alongside each other as if it were a person's only true self, have led neurotic individuals to denials, blind-spots, profound inner conflicts, self-doubts and much pain. Simultaneously experienced, multiple impact multimages of self presented for introspective exploration and awareness can lead to a person's acceptance of the fact that his self is fluid and in process and that his multiple self-concepts, self-aspects and self-functionings do coexist in and alongside each other in conflict, contradiction, harmony and paradoxically. Energies potentially available to the total self of each person can be more constructively and creatively used for the benefit and growth of self and others and a person can achieve a deeper sense of self-acceptance without guilt as he realizes and assumes full responsibility for concurrent or alternatingly experienced different aspects of self without necessarily feeling he is split, schizophrenic or fragmented. In his writings Jung refers to powerful intra-psychic "constellations" or "complexes" which tend to split and "detach themselves from consciousness to such an extent that they not only appear foreign but also lead an autonomous life of their own." These energies gathered into complexes not only go out of control of consciousness but may become "autonomous partial systems" which function like small personalities within to the microscope in biology. the total personality. In itself, this is not necessarily an abnormal condition. Such psychic splits are actually necessary if the individual is to specialize the direction of his energies to accomplish some particular work. These autonomous complexes described by Jung seem then to be analogous to what I and others refer to as "inner selves." These inner selves provide the flavor, the unique mixture and distinctiveness of an individual's personality. These autonomous complexes or inner selves are noted and commented on in everyday life when a parent or uncle or close family friend says to a young man with a lot of fire and spirit, "You're a chip off the old block, just like your father." In my recent work with Multi Image Immediate Impact Video Self-Confrontations using closed-circuit video and instant or delayed playback, what appears to be most significant is not that I concurrently reproduce many images of a person but rather that I reproduce and create through electronic means many increasingly distorted images of a person in tandem, one after the other as well as a very clear image. It is just these shadowlike presentations of self images which are not so well known in consciousness nor approved of and liked which stimulate the analyst and to bring forth associations to deeper inner selves or complexes which have vexed him for many years, but which remained elusive, inconstant and not palpable enough to be harnessed or controlled as they would intermittently emerge from his deeper caverns of self. He often tends to see the emergence of such partial inner selves or self aspects as the popping up, like a genie, of his "bad self". An example of a patient's reaction to the multiple image self-confrontation experience follows: Pat, a 27-year-old, alienated, self-effacing sociologist who had been victimized in childhood, reacted with antipathy, disgust, pain, and sadness to the front images of her face. To the images of her right face, she squealed with delight, pleasure and acceptance. What emerged in her free associations was that in the front images she saw the face of her mother and grandmother in her...washed out...drained...depressed...old...lifeless...really miserable. She saw in her mother's face in herself the injunction, "Don't try to be any different than me cause you won't make it anyhow...and if you're not going to make it, don't try. So don't even bother. You'll be a sorry girl." Another example is that of Judy, a 25-year-old, self-effacing elementary school secretary, who, after quietly and reflectively studying her multi self-images on the monitor during a group session, said softly, "The image on the left is clear - that is probably how I seem to others. I don't see myself that way. I see myself like the third image in, which is blurred and hazy." When questioned as to what was the threat in seeing herself clearly, she responded, "Then I would have to be responsible for myself." More and more serious dedicated clinicians are devoting their energies to video examination of segments of the human experience during psychoanalytic treatment. My experiences over a six-year period indicate that a skillful clinician can introduce video self-confrontation during a session in a fashion which makes it a therapeutic intervention and not a non-therapeutic interference. I find that closed-circuit television in the analytic hour decreases and bypasses many of the resistances to the analytic method to insight and to change that have plagued psychoanalysis for so many years. In his book Neurotic Distortion of the Creative Process (1961) Lawrence Kubie commented, "It may be fair to say that literature and art weaken the truth to enable many people to accept some fragments of it; whereas psychoanalysis attempts to strengthen one individual to the point at which he will be able to face and to accept the whole truth. Yet no form of art or education has found out how to increase the receptive strength of Man in general. Perhaps this is the ultimate challenge which is faced today by education and by all cultural processes." My work with patients reveals that it is exactly the receptive strength of Man which video self-image confrontation increases and strengthens. Through video self-confrontation we can bypass many of the overproductive resistance maneuvers of the therapist which block him from confronting his patient for fear it will be "too much, too soon." Among the many methods used to elicit these repressed memories and to bring about abreactive or cathartic discharge of the energies connected to them have been the free association method of Freud, Jung and others; the increasingly more sophisticated techniques of dream analysis; the use of conscious fantasies in which the patient is directed to take the analyst with him on a trip back into the time and place of his life when he was five or seven years old; the technique of giving a voice to people and things with whom there is unfinished business such as a father or mother or sibling who died when the patient was three or four years old; the use of the Rorschach test or of art, poetry, music or smells to stimulate recall of early memories and experiences; the use of hypnosis with and without drugs to have a person go back into his time-space historical continuum and to function as he did when he was an infant or child; and more recently the controlled use of psychedelic drugs to stimulate the emergence of powerful actual and distorted memories. All these have been done with cooperative, motivated patients who trusted their therapists and were willingly engaged in the process of undermining and working through unconscious resistance and transference forces which blocked them from being in touch with the many self-aspects and self-concepts which comprise their total self which is in fluid motion and not static or rigid. And now I have reported in this paper on another method to bring a patient who has a positive transference relationship to his or her therapist into touch with deeply registered, repressed identifications, introjections and incorporations of values, attitudes, behaviors and emotional patterns which are daily influencing self-images, self-concepts and feelings and attitudes towards self and others. The use of closed-circuit and playback television as an adjunct in psychoanalytic therapy expands awareness of self in relationship to self and others, enlarges the scope and ability of our observing ego and clarifies our psychic, emotional, body and behavioral image, identity and early origins. As we compare what we experience in video self-confrontation with the idealized and hated images of ourselves, we increase our knowledge of how our multi-level, multi-channel communication systems, values and attitudes unconsciously and consciously regulate and arrange for our interpersonal relationships with others and our changing reactions to ourselves. It is necessary to review and consider revision of theories of self which see man from a rigid viewpoint. Although there is continuity in the structural core of each person, self is not a concrete self. A maturing person is composed of many coexisting selves or self-aspects, changing and in flux from moment to moment yet always having a unifying matrix of physical body mass, name, gender, life history, incorporated cultural time-binding practices, language, values and emotional reaction patterns. Each person is unique in his process of creatively synthesizing these past and present introjected and identified-with images as they amalgamate into his own growing self. We received a grant from NIMH to train employed mental health paraprofessionals in the use of videotape recording techniques. To do this, we used one portapak, some tape, and set up a once-a-week, five-hour class structure at a community mental health center. The class was open to Antioch students, interested paraprofessionals and therapists at the mental health center. Our goals were to acquaint everyone with the hardware—to begin to understand it, demystify it; and develop a class process that would maximize the benefits we felt videotape could bring to a group. We knew that many community mental health centers had videotape equipment, but to our knowledge, it wasn't being used to the potential we felt video could have for bringing people together. Another goal was to bring the community and the institution together. As Stelios is the director of a mental health center and has an interest in video, and as Alan is professor of communications at Antioch College and is interested in mental health, we felt that this project could work to bring students and the community together. We realized that we couldn't develop our theories in the abstract, so our class became a human laboratory where we explored on ourselves the effects of videotape on a group. We were trying, week-by-week, to develop concrete uses of video that would facilitate therapy and/or group interaction. During the class meetings, we found that the video process began to take on an identity of its own, and that that process shaped the character of what went on. No matter how clear our initial goals were, when the video equipment was on, the process became uncertain. We found ourselves unable to predict what would happen next. One important thing that we learned was that one cannot maintain traditional roles while working with video. Video in playback doesn't show roles, it only shows people. The reality of this fact precipitated a crisis in our group when the students, tapisists, teachers, paraprofessionals and therapists all had to begin reassessing and redefining their roles. We found that video had forced us to face our structure--and as the roles broke down, we had no structure--and a new one had to be found. What this meant to us as a group of people who came together to learn about ourselves through the hardware is that we all had to begin to relate to each other more as human beings, rather than as specific roles. At first, this caused a great deal of anxiety in class participants, but, through feedback, people began to reaffirm their identity as people. Video had democratized the group, and we became much more free to get to know each other as people. During the class period, we formalized several techniques. We then tried to reproduce these techniques in other settings, with other groups. Stelios took the equipment to a training seminar for alcoholism counselors to see if he could facilitate group interaction in a classroom situation. On his first visit, he tried showing, on a t.v. set, a tape of an interview with a barmaid, who was also a mental health worker, giving her views on alcoholism at the bar. He felt this tape would be of interest to the group. But, he found that no one got excited: they sat there, took notes, got bored, etc. So when he went back another week, he used video as a process (rather than playback) tool, taping class members giving a short description of themselves and why they were in the class. During this process, the class became very excited; began interacting, person-to-person, for the first time in nine weeks. We've done this in many other settings and have come to feel that video, when used properly, can break the ice in a group and quickly create an atmosphere in which interaction is much more meaningful. This doesn't necessarily have to be in a mental health environment, but can be applied to any situation. THE INTERACTION BETWEEN HUMAN BEINGS AND THE MACHINE CAN BRIDGE THE GAP OF ALIENATION BETWEEN HUMAN BEINGS. At the present time, we feel that a change in behavior is possible based on a breakdown of internalized role definitions and idealized self-concepts. This is an area we intend to pursue further in our seminar throughout the year. We would like to document here some of the exercises we used with the group to facilitate interaction. All the exercises were designed to feed information back to the individual and aid the group process by giving each other new material about ourselves: 1. SELF AS IS DESCRIPTION -- Individuals describe themselves physically as they think they look while the camera tapes long shots and close-ups from all angles (front, back, side). This tape is then played back to see the similarities and discrepancies between verbalized description and visual image. A very productive exercise to decrease the distance between the individual's internalized self-image and his actual one. Another variation is having people describe how they think they are coming across to other people. 2. IDEAL SELF -- Individual describes his ideal self while being taped with the monitor off. Then, with the monitor on (RF), he confronts his image and describes what he would like to change. A very good exercise for making people feel good. Most people block all their idealized selves out in the confrontation and decide that they are really o.k. 3. CAMERA-TAPE RECORDER-MONITOR -- Two people interact in one spot for about three minutes. Another person sits behind the camera with his ears plugged and the lens on wide angle so he can see all of both the interacting bodies, but hear nothing. The fourth person, (the tape recorder), closes his eyes and just listens, or he can wear earphones (this requires a good mike placement). The fifth person, (the monitor) watches and listens. Then, at the end of three minutes, the monitor reports exactly what was said, mimicking the tone and inflection of what he heard, and mimicking the non-verbal body position of each interactor. Then the tape recorder reports out just the voices. The camera, just the non-verbals. Neither the tape recorder, camera or monitor is to use any objectives or make any judgments. They are only to report exactly what they saw and heard. Then the tape is played back. This exercise is very good for: (1) separating the audio from the visual information; (2) heightening that non-verbals add a lot more meaning to the information (especially the non-verbal); (3) showing that non-verbals add a lot more meaning to the interpersonal dynamic of what is being said; and (4) showing that the sense of sight and sound are overloaded and that we remember only a small part of the reality of any given situation and that if we cut out either sense, we can usually remember much more information. (The monitor usually reports the least information of the three.) 4. INTERACTION-PROCESS — Two people interact in any way they want for a short period of time, (three minutes is usually long enough). The interaction is taped. Then, one of the two interactors goes out of the room, and the remaining individual gives his perceptions of what took place to the camera. Then, these two people trade places and the individual who was out of the room repeats the process. Finally, they both come back and watch the entire tape. This is a very good exercise for: (1) showing that video used properly can facilitate (mediate) communication between two people. Many times it is easier to say things to a camera than face to face; (2) showing that used improperly, media can block communication, (if this happens, explore the reasons why); (3) a critique on how to shoot a two person conversation. Did the camera technique match the content of the interaction? What was the verbal and nonverbal dynamic? What was going on? Did the camera person follow what was most important in the inter-personal dynamic or did he get lost in his own perceptions? 5. IT IS OBVIOUS (I SEE) - I IMAGINE (ZOOM) - I FEEL -- Begin taping the group interaction. R.F. the deck out to the monitor and put the camera lens on wide angle. Equate these visual statements to the verbal statement, "I see". Then, when the tapist sees a non-verbal gesture that interests him, he zooms in on that gesture. Then stop recording. Play back the tape and have the tapist freeze the most significant frame. This visual statement is equated to the verbal statement "I imagine". The tapist should then relate his thoughts about why he picked that particular moment as important; e.g., "I imagined Jerry's crossed legs meant that he was feeling uptight and defensive". Then, the should explain how he feels about Jerry; e.g., "I was feeling very uptight myself and I identified with you". This is a very good exercise for: (1) separating the senses of sight, fantasy and feeling; (2) making the camera person aware of why he is focusing on a particular piece of the entire environment. Thus, making the tapist more able to verbalize his thoughts and feelings in the playback; (3) realizing the tremendous projections that happen during the taping process. In the majority of cases, the tapist will have chosen the individual frame to zoom in on because of his own empathy with the situation. 6. "WHAT DO YOU SEE IN ME THAT YOU DON'T LIKE IN YOURSELF?" -- One person stands up in the center of the group and anyone who wants to, joins him. (If no one joins him, he should choose someone.) The first person thinks of the above statement and tells the other person what it is in him that he doesn't like in himself. Then the process is reversed. Throughout, the group is encouraged to either affirm or deny or add to the statements made. Tape the whole interaction and playback appropriate sections. Or, for a variation, change the statement to the positive - "What do you see in me that you like in yourself?" alan kaplan and stelios spiliadis Critical Mass On one of the walls in the ward was written: I am trying to work on some of the larger issues in mental health . . . such as the whole problem solving process. It seems to me that the more a community deflects its problems (say hospitalizes a crazy) rather than dealing with them as part of the community . . . that community loses its ability to solve problems as a group. In my observation that is where it is now with this country . . . large and small groups of alienated people who have never learned problem solving skills . . . they certainly don't teach that in school. Sooooo what I like to do is organize our community, the hospital, around issues and problems under the guise of making a video tape. Now if you are making a tape you can ask a lot of questions you can't without a camera in your hand, so I spot a problem area in the hospital and proceed to make a tape on some aspect of the program around the problem. First, I do not approach the group and say: "Wow, have you got a problem!" That immediately would put them on the defensive and put me outside of the group. Instead, I approach . . . with a friendly smile . . . and a rap about how much a particular tape is needed for training, "can they help me?" They always want to because video IS fun. In the process of getting something together I ask questions that make them aware of their problem - they thought of it - and we are able to process it out and I truck off with a tape under my arm . . . and more often than not their problem in my tape box. No one has to lose face or be faced with "professional" help for a "problem". This is just one way of focusing on a community of 1800 patients and staff. I've always operated a very accessible studio. Information content is high in my area. We are located centrally, adjacent to the training area and have access to a lot of information about the facility. Video is used to fill some of the needs of the front line staff (as opposed to administrative decision makers). For instance, several of the groups I've had in the studio have been hassled about something going on the structure of the hospital. They were not in a position to check those things out for themselves and there were many information gate-keepers above them to filter out all the goodies. So I organized the group around the old reporter model. We started with who do you want to talk with, then call him/her up and rap on them about the super video we are making for training with a student group. Could he/she come to the studio for a short rap? Sure, he/she would really dig it. The studio group then frames questions which get at the things they wanted to know. So the talent shows, the students do the rap, while of course running all the equipment, directing, etc. The star leaves not feeling ripped off, in fact feeling really good about the thing. The students are really into the trip of having "tricked" some information out of the system. I am into many things which are subversive in a "sense". Information control is a very big issue in any bureaucratic organization and I am into proliferating information. We do all the other things with video like feedback in therapy, group analysis and so on. But what I am trying to do is take more of a global look at the problem of running a large state institution and in looking at that I have assessed (along with others) that the structure of the system is conducive to mental illness (whatever that is). For example, a person in crisis is open to new states of consciousness. Contrary to how we usually think about crisis it is one situation in a person's life which is filled with potential. A person in crisis is open to signals from his social surroundings as to who he is. Since his identity is not clear to him he builds new identity from the "We are all crazy...but some of us get caught". information of those around him. We all do this in varying degrees as we deal with life crisis. But when a person in crisis comes to the state hospital, he has been separated from family and friends (those who can tell him who he is by feeding back his previous performance) and he is placed in a situation where professionals (who are super trained to see pathology) are noticing all of his craziness and saying to him "see this you are crazy." If he had any doubts before he now knows, he has been certified crazy by those who have spent years studying so they could spot the "Bad Ones." He then gets reinforcement about his crazyness from the new surroundings - the building, the other patients, the staff. All signal to him that he is indeed crazy. This whole situation would bring on a whole paranoid trip to anyone, but consider the possibilities for destroying the human psyche when a person is in crisis. From observing this system-in-action it seems that a lot of well intentioned people work in a system that by its very nature is busy taking care of itself. The mental health systems in this country are advocates for the people on the outside, they are the carriers of that dreaded disease "normality", the value pushers. The patients have few real advocates and persons who are really patient advocates have to be criminals in the system because they are ripping off the system and all the good normal people who are paying them. Treatment Through Institutional Change is kind of a mass judo tactic several of us are into using, to turn the energy of the system against itself. Hopefully it is somewhat destructive of the system and liberating to the staff and patients. Part of that process is inducing crisis in the system doing some kind of off the wall things like reorganizing the hospital or parts of it, every so often. Shuffling patients and staff puts both groups in a crisis and they have to come up with new kinds of behavior. There are new people and situations to deal with and we have found that after a shake up (moving people around), many patients are discharged and sometimes staff leaves, which probably indicated they were a bit institutionalized too. I have made a tape called: "Critical Mass." I have this theory about the resources kind of always being there only sometimes we don't know what a "resource" looks like. So operating on that premise I asked everyone if they would like to be in a movie. "But I can't act" everyone said. Said I, "Give it a try?" Come to find out they really did know how. "Critical Mass" was shot using a single camera film type of technique, (many video freaks would claim this is not video because I have maintained too much control), but that is like saying a beautiful painting is not real art because somebody "made up" a picture and painted it. Anyway, we rounded up cast and crew mainly from people who work at the hospital. Seems like people in mental health are especially good actors, probably has something to do with the fact we are open to new behaviors and not generally that rigid about who we are. Many of the scenes were shot during people's own time because they didn't want to take time from the work area. Shooting with the film type of technique means that every cut you see on the screen is an edit. It was mastered on one inch Ampex equipment which for many of the scenes was not adjusted properly (the drop out was after the interval). Lighting was done inadequately with about six instruments. Sound was done with poor microphones and inexperienced people. I only had two days to edit. But in spite of the usual and unusual problems I think we have a really good tape. If anyone would like copies, send blanks to me, either one inch Ampex or one-half inch EIAJ. bob sandidge Video as a Tool in Institutional Analysis TO: Faculty, Staff, Students of SRA CC: FROM: Abram Engelman DATE: 1/78 SUBJECT: Institutional Analysis Project? --------------------------------------------------------------------------------------------- Abram Engelman and a group of his students from the Center for Social Research in Action (SRA) will initiate an institutional analysis and need assessment of a State Training School for Girls (a correctional facility for delinquent young women). The project will involve interviewing the line staff and all other staff of the institution and fifty percent of the inmate population will be interviewed with the aid of ½ inch video tape to determine their needs and to document areas of conflict and contradiction within the institution and between staff and inmates. The video document will be fed back to the staff and young women in an effort to make them more cognizant of the contradictions and conflict within the institution. By heightening the contradictions and delineating the conflicts, video will act as a mediator, forcing both staff and inmates to recognize and identify the need for change and growth. Based on the recognition of those varying needs, staff and inmates can mutually develop programs that, given increased cooperation, will allow them to begin to deal with the institutional and interpersonal conflicts and to productively utilize their time. We have included a description of SRA's attempt to assist Training School "X", by means of VTR, to restructure and clarify the school's program and goals. This account consists of: (1) excerpts from the original summary of the project (2) a transcript from the institutional analysis VTR edit (3) why VTR? and (4) some proposed programs. (1) Summary Need assessment is a valuable training device. It offers possibilities for programming in many directions. First, it could be the basis for a concentrated training program directed to the management people at X. This should offer the opportunity for attitudinal development and improvement of organizational techniques. The emphasis would be the use of training as a means of approaching programming on a conceptual level rather than on a maintenance basis. Second, the training program would offer direct training on a departmental level to line staff such as youth supervisors, social workers, teachers, etc. A third and major training aspect of this program would be to establish a beginning thrust toward initiating a governance system among the young inmates at X. Their video taped responses indicated a high level of positive thinking which could be invaluable in the reorganization of the institution. Finally, this training program can be instituted at X initially and then be used for the other training schools provided by the Department of Juvenile Services. It will serve to clarify the primary objectives and purposes the Department must have when serving the juvenile offender in the State of Maryland. The training offers an opportunity for positive change with maximum input of staff/inmates and a chance to develop a guideline structure for training throughout all of the juvenile institutions run by the state. Through the use of the video tape method both the implicit and explicit were revealed in the interviews. A clear need for unified programming was amplified, as well as a need for organizational restructuring. There is a definite and unanimous desire for change at X. The training program as designed would affect the top management of the institution, the line staff and all other management areas including the clerical-secretarial pool, maintenance staff and all other supportive services. It would also offer an opportunity for the young women inmates to learn training techniques. The methodology of using video tape as a means of training for staff and young women in residence should develop a heightened sense and awareness of individual potential and an awareness of each person's role and the contribution that each individual can and should make to life at the training school. The training will take ten weeks. Six students from SRA who have been trained in media and communications techniques will be in residence at X. Three SRA training staff members will supervise the students. The SRA staff will conduct the training sessions and work with the staff and inmates at X. This program offers a rare opportunity to this institution in addition to serving as a model and experiment in training techniques for other juvenile and adult residential institutions. It is our understanding that to date this type of video training has not been tried locally or nationally and as a pilot it has potential for influencing the corrections field throughout the nation. Although this proposal was not funded by the State of Maryland, the VTR institutional analysis and need assessment did take place. The following is a transcript from the institutional analysis VTR edit: Head of Clinical Department: "I want to make a distinction between the superficial mood of the department and what the real mood is. I think superficially, if you were to come in there on any given day you would find that everything is going good; but then if you're involved in a meeting such as we did the other day during the taping you begin to find that maybe the mood isn't as good as it appears superficially. I think this comes about because of frustration, a lot of working up feeling, I know I'm feeling it myself. I can name a couple of examples of things that are causing frustration. One would be, in which direction are we moving? Accomplishing this? Are we moving in that direction? How do you implement the cottage treatment team concept? I would have to take part of the responsibility for this lack of further progress in the work-ers because I'm not clear myself. And, if I can take the liberty I think sometimes the superintendent himself isn't clear. We don't know what the policy is for that. It seems to me, whether this is policy or not, it frequently seems that the policy for today is not the policy we had yesterday. They are also frustrated because of lack of adequate supervision from me. Supervision in terms of the therapeutic intervention techniques, things that they should be receiving, I think, on a weekly basis that they are receiving very intermittently, if at all. Supervision seems to come about as a result of crisis situations. Putting out fires - if you have a problem, that's the time to get your supervision whereas it should be on an on-going basis. And finally, frustration resulting from a lack of clarity in relation to what or whose philosophies are we following in relation to certain policies." Young Woman Inmate: "When you're on the outside and you just first come in, that's when it all really comes out because you come and they tell you to take all your clothes off and take a shower and put on a white robe. They lock you in the Clinic for three hours. You see the nurse - she takes a smear to make sure you don't have the clap - they send you over to this thing, you're stuck in this little room - you're going to stay there for five more hours. The biggest shock is really the first couple of days because all of a sudden they're telling you, getting you in this room and are saying you can't come out of the room without knocking on the door. You can't go to the bathroom except for four times a day and they let you go to the bathroom. You go any other time you use your pot. You look out your window and there are these big screens on your window and you just say wow and it all of a sudden just hits you. At first everyone thinks there was a song on and then it hits you like hey I'm at X. All this stuff at first is really bad. When you see that gynecologist out here it's like you're in an office and then suddenly everyone lines up outside the room and one after another you walk in the room and spread your legs. It's really crude." House Parents' Supervisor: "I think sometimes we fail our children by becoming too permissive and I think this is our problem now because we have mom's kids coming back now - they've been away and we think they are ready to come home and next month you see them out here at the front desk. They are right back again. I think, on the whole, although we feel it may be helping them, I think we are too permissive with them." "I think our discipline should be a little different. I think all children expect to be punished for the things that they do but I don't think we are giving them what they want." Teacher: "I think planning is important but it doesn't have to be the type planning that has to be on paper in these nice little squares with the time of day written beside them. I personally have to psych myself up for the week. Like every weekend I might think well, this week I'm going to see if I can go to Wednesday without getting too upset with a certain girl. That's more my planning than anything I put on paper. I make no secret of the fact that I don't make lesson plans, I might like to have some ideas about what I would like to cover in a day, but then as far as it goes, I think it's better too." Teacher: "My biggest frustration is that I never seem to make any progress. I've got the same girls this year I had last year and they are just as bad and I'm not sure they remember a thing I tried to teach them last year. If they don't remember, then I didn't teach them to be honest about it. The things I tried to get across didn't sink in and discipline is really no better. I thought I made some progress some - where along the line - I don't quit because of this, but it's frustrating." Young Woman Inmate: "You just find out that after awhile if you start believing in people, they let you down. If you just don't let people touch you at all then you hardly ever get hurt." Business Office Personnel: "When I speak of it I speak as a training school but I don't believe myself. I don't believe they are being trained." "It's more like a country club in plain words. "We don't train them to do anything." Probation Officer: "Juvenile Court in Baltimore - the staff down there, the training is very poor. I started two weeks ago. I had a so-called training period of maybe three weeks - haven't received anything since which is ridiculous. There isn't anything. I'm inadequate and most of us are. We need a mandatory ongoing weekly or bi-weekly training liking with vital information and real stuff which we don't get. We don't get anything." House Parents: "You can't have no type of rehabilitation unless you have some type of discipline because the girls were out in the street doing everything they want to do. Then they come here to X and do half the things they want to and they aren't disciplined and are not learning things like sense of moral value and no sense of responsibility. They can't have no rehabilitation program not unless you have some type of discipline first for the girl." "What values do they want to teach the children? What do they want us to do because we could do a lot more than what we are really doing but you don't really have a chance." "A set of values has to be set down by administration. We have to decide what goals Administration will have to decide what goals they want to meet with these girls and they have to sell themselves hard up to that. This stands for. I see no point in a girl going back home and getting dope that night. It just isn't helping at all." Young Women Inmates: "In here, it's take care of Number One. I don't see that. To me that's conceded - I'm taking care of myself and don't care about anyone else. You can do what they want. That's what this world is. Take care of yourself and leave Number Two alone. I don't want to change because of that. You see something bad here--everybody's stuck up like a snob or something. I don't want to be that way. It's on the outside even if you're not locked up. People will lock you up and run your life. This is what X is doing right now--trying to run your life and these girls don't want to be run they want to live their own life." "I thought the training school would teach you something but what the housemothers tell me this ain't no training school and we haven't learned nothing since we've been in here but to bicker." Social Workers: "I think one of the biggest threats we have is that we don't know what we are doing. Our role is very undefined and we have had a lot of difficulty with it. Historically, social workers here have not had that much power, they haven't had a defined role. We get stuck with a lot of cleaning up of dirt. We don't know what we are doing. We are supposed to be therapeutic in a custodial institution which immediately puts us in a bad position. Are we really therapeutic? I really don't see where we are training to deal with it. A.B.A. from college does not teach you any therapeutic principles. You have no idea in an interview how to approach subjects, how to get information from the kids without threatening them. You end up making fantastic mistakes and sometimes that forces you to back away from you. Those are big problems we have here. We don't get that much training. Mr. -- demands most of his time with administrative duties and he gets a good vision, through no fault of his. We get crisis supervision - what do I do in this case - but as for him training us in therapy we don't get it." "In those sensitivity groups we had we really found out how diverse we all are philosophically, morally, whatever you love, and I wonder if that isn't part of our departmental problem we have right in social service. Clinical is saying absolutes, absolutes, absolutes and I don't mean to sound all kind of personal all of a sudden, but I think it is a problem... "Then people who work in one institution can't always believe the same way as you. We can't ever hope to achieve unity because I'm never going to believe absolutes and he is never going to believe what I believe. It's just a matter of how we are dealing with it and we aren't dealing with it. How are we going to accept the fact that Mr. -- believes in absolutes and the rest of us don't. We can never hope to achieve unity in that way." Young Woman Inmate: "I'd rather kill my own child than to bring him up so he could wind up in city jail, state penitentiary. Why should I bring something into this world I have already been through? If my mother couldn't change me, why should I try to change a child of my own?" Psychotherapist: "I don't believe there is a reconciliation. As I told before, the institution is evil even though it is a necessary evil. I walk with my feet on the ground and this is the environment and I won't be able, because I am not Nigger, to change this today or tomorrow. I will not find three hundred families to accept three hundred girls. This is reality, so even though my approach is completely pessimistic basically, at least I can make something happen. I have to. I have to. In my hands now I have this type of institution, these poor girls. They are wounded, they are frustrated, they are rejected, so let us do what we can. I think the reconciliation is only psychological but I think it is the concern and wise trying to make something out of what we have even though if I could have done something - if I had the power on a fantasy level, I would destroy all institutions." Young Woman Inmate: "People are tired of running like dogs and cats, they hate what it seems like. Once you are raised up running it seems like it's no end to it. You feel like you're going to run all the rest of your life. And, be ashamed to walk the streets because they say yeah, that's the girl that ran away and it hurts, really hurts. You have to be proud of yourself and your people. They laugh in your face and call you all kinds of names - that hurts. If people kick you down, how can you trust somebody? Do that trust me, say I'm their friend? Huh! They don't trust anybody." The video tape recording of the history of the institution and other selected materials will be available soon in book form. People interested in the clinical and political implications of this effort may write: A. Feldman, SRA, Antioch College, 335 St. Paul Place, Baltimore, Maryland 21202. (3) Why VTR? One of the most effective and exciting tools for this kind of institution building is VTR. We will use VTR as a foundation of the training program. It will be self-discovery through problem solving with the emphasis upon breaking down communications barriers and creating new communications linkages. We will use VTR to open up the information flow - the flow has become channelized and strangled over the years. Our initial inquiries at X (recorded on VTR) demonstrated that each group - house parents, teachers, social workers, administrative staff ... even the young women themselves had common concerns, complaints and corrective suggestions. Each group spoke of these things from their own frame of reference - and each group felt very much alone in their concerns. Since they felt alone, they also felt powerless to implement their suggestions and exercise their good will outside the definitions of their "roles" as they are conventionally defined by the "system". The simple process of recording an individual or a small group in conversation or basic role playing situations can break down restricting role patterns and change one's self image. To see and hear oneself is the starting point for constructive change. Along with this VTR recording process goes a subtle sense of power and self-determination. Because each individual (or group) will have the editorial power over what tape is saved and what is erased, the taping process will not inhibit free discussion (this has already been proved beyond a doubt with the tapes which have been made to date). Equally as important is the constant "going on record" which is taking place. The folks in the program will feel an increased responsibility for what is being said. They will feel a commitment to making it work which is not the case where no such process is used. Recently we did a thorough VTR need assessment. We have a clear idea of what is needed at X. Our role as trainers with a video capability will not be to spell that out; rather, it will be to offer technical assistance to the groups who have asked for it. We will explore the areas of need with them and together come up with creative and constructive answers to their questions within the X context. The houseparents have asked how they can assume a more helping and less strictly custodial relationship to the girls. The teachers are concerned to create an atmosphere more conducive to learning. The social work staff wants some way to insure continuity in their consultation process both on a day-to-day basis and at the final process of review. The administration has expressed the desire to perform more of a developmental role in the institution and to improve the channels of communication. The young women have asked for a greater self-determination function (for growth and self-development). We will assist these groups individually at first. We will deal with role frustration and seek to clarify the helping relationship in each case. Each group's overriding concern will be to maximize its input in the educational and therapeutic (rehabilitational) aspects of the system and keep the custodial functions to a safe minimum. We will begin to develop group strategy toward this end. At an appropriate point, we will regroup the participants into the "teams" of cross disciplinary staff who will be working together. The concerns and strategies developed in the earlier groups will be compared and tested in light of the overview provided by the "team" grouping. The teams will begin to work out differences with the members from each category serving as advocate for that point of view. (4) Some Proposed Programs Training Process To build an ongoing process of education at X for all participants. 1) Work with supervisory and executive staff for administrative reorganization on developmental and maintenance lines. 2) Work with house parents and cooks so that they can be more helpful not just punitive. Develop better cottage programs. 3) Work with teachers to help create a better learning and teaching environment. 4) Work with social workers to be more clinically effective, primarily with girls but also with staff. 5) Work with young women so that they will be more receptive to help, develop with them a self-governing process and a communication network. Step I We will begin working initially with the groups as they are naturally constituted at X: Social Workers, Teachers, Administrative Staff, House Parents, Supervisors and Young Women. Working with the same general goal in each case, i.e. how can we make X a better, more efficient institution in serving the needs of the young women sent there? How can we do our job more efficiently, etc.? We will introduce a set of tapes edited from the material we collected recently. Each group will react to that material from its own frame of reference. While they will learn something more about the total working of the institution, they will each feel that the general "need assessment" process as carried on from the outside was inadequate from their point of view. Step II We will briefly familiarize them with the equipment and let them build their own set of data related to their particular needs viewed in light of the needs of the whole institution. The areas of frustration will be explored. Questions will be raised about the most creative, constructive ways to deal with this. Where the aims of the group seem to be in conflict with the aims of the institution as a whole or with the aims of other sub-groups, the position will be clearly spelled out and, wherever possible, documented visually. Step III The group sessions will be co-ordinated so that at the end of five sessions, the groups will have covered much of the same ground. Needs will have been assessed from an institutional point of view and from a group point of view. A document will be prepared from the VTR material (the data collected). Speaking from the relative strength of their "role" groupings, each report will tend to have great areas of overlapping common concerns (as well as differences). Step IV The sessions will be regrouped into "teams" made up of interdisciplinary mix. The VTR documents from the previous "role" centered workshops will be presented by the representative from that sector ... they will serve as advocates for the areas of "special concern". The workshops will begin to strengthen these teams as interpersonal working units. Step V Evaluation. During the time that the staff has been working with their own role definition and problem solving, the young women will have been given work in a self-discovery, and the understanding of their social and institutional role. At the heart of the training program will be a portable video communications system. It will serve the whole school as an ongoing report, evaluation (feedback producing), and educational tool. A fifteen minute "program" of news relevant to the staff and the students will circulate through the houses on a regular schedule (perhaps just after meal time so that after six days of lunchtime, dinnertime playback all the houses will have been covered and the cycle can begin again). The program will consist of short segments from the various training workshops, brief information pieces, in-depth interview segments with key staff members, news reports from the outside which have to do with the world of the institution or the world of the young women, and perhaps an entertaining insert. The play-back will be followed by a brief discussion period designed to clear up any misinformation, to request additional information in areas covered or to suggest areas to be covered, but most of all to keep the institution current on the status of the training program. New pieces will be added each day and stale ones replaced. By the time the cycle is complete, it will be a new show. This video-information system will be supervised by a member of the S.R.A. student staff, but participation in the selection and editing of the pieces will be encouraged from the staff and from the students. It will be regarded as a "X" system and not part of the specific training design. It will be run as an "extra-curricular activity". By opening these channels of communication, the overall level of mistrust will be reduced. The staff, teachers, social workers, houseparents and the young women will come to know each other better. It will make the helping relationship easier, and it will reduce the resistance level to being helped. abram engelman and tom johnson "When any profession, institution or system seeks to further itself without due regard to, or at the expense of, its clients and services, that profession, institution or system may be justly deemed psychotic." Chaim Greenbaum Video Enclosing Social networks are like human beings. They have moods, values, communications processes and energy flows that read-out their condition. They grow and regress in the service of their own survival. Our network shared a dream and took on video as tools and toys to activate our survival vision. We came to video via McLuhan, with fantasies of a kinetic carnival and with a lot of help from our friends. The sense of shared alienation from institutions and the comradery of growth and joy led us to design an alternate institution called the Center for the Study of Social Change. This institution was to supply the organizational base for various modes of exploration, one of which was exploring the uses of video in its myriad potentials. Our first video network adventure was a conference at a state university which was trying to design an Institute for Youth Politics. The meeting included faculty, administrators, and incoming students as well as various resource people ranging from high school students to "star" intellectuals to state legislators to local social agency personnel. A wide, diverse, non-homogeneous range of political, ideological and spiritual commitments constituted the spectrum of participants. We were there to "make a video tape" of the proceedings, to facilitate group process with video, and to participate freely in the proceedings as we saw fit. The usual socio-technical problems were encountered, such as lighting peoples' space (we decided not to) and breaking into social spaces with gun-handled instruments. We worked carefully at our invisibility and felt relatively successful. In this first video-space process lesson in 1968, we encountered: (1) the relationship of peoples' fantasies to the realities involved in their attempt to design an institution; (2) problems of intersystem adaptation (staying within current legal, social, cultural boundaries, and agencies for the design of activities the Institute would be involved in); (3) problems of extra-system alternatives (the design of social, political, economic and cultural activities and institutions as ways for young people to explore new modes of living and playing). Our video system collected the thunder and lightning of the brain storming sessions and as video does, remembered. The edited tape of the first day's proceedings, which was only partially seen by its non-leaders late that night, focused on a number of inter-group conflicts and the extra-system conflicts, e.g., state institutions cannot be involved in political activities, colleges give grades mainly for recognized work, not exploration, etc. The tape brought an onslaught of depression and anger to our relation with the leaders of the conference. As the discussion about the tape progressed, we experienced again those social mechanisms of communication which allow for various forms of disagreement to be collectively forgotten. It is the case that the limits of remembering will determine the membership in a group. Since it is difficult to sustain selective forgetting during playback, the feedback of these video tapes stalled out the proceedings of the group because the 'normal' consensus-making processes of the group, i.e., forgetting we forget, reinterpreting and agreeing we didn't, etc. could not occur. We were accused of editing in a depressingly relevant manner. The memory ultimatum was delivered the next morning when the Dean of the school housing the institute came to delineate the respective limits of the university, the school, the institute, and the conference. The Dean was confronted by his own liberal fantasy when he saw a tape of himself saying, "children, be free!" We believe that many of man's current pathologies are located in the hierarchy of contexts. Double bind theory and its therapeutic counterpart have demonstrated that "schizophrenia" is located in communications systems, the context of the individual. In reforestation, after a fire, the control over the proliferation of saplings and their growth is the new forest growing. The rigidification of social feedback systems into social structure and/or institutions set the limit for internal change and pulls to a halt structural and/or intra-systems changes. The power of video can be easily co-opted if one must fall within the limits of hierarchical context, or if one becomes the scapegoat in such a situation. Pathogenetic systems notoriously use blame systems to control remembering and to bypass crises. Social processes that have remembered irresolvable conflicts spend much time in deep depression and other forms of obsessive behavior. Social processes that have remembered irresolvable conflicts need malleable memories for a synthesis of negotiable positions. Our predicament was that we were there to facilitate recall, recognition and design. The more our tapes revealed the self-destructive selection of their memories of their own trajectories, the more we were seen as the destroyers. Yet, we believed that it was precisely in going beyond this self-destructive editing of memory via tape which would facilitate the design process. In this case neither we nor the video could enter the tightly defined limits of the social conditions we were in. We left, out of mutual agreement not to be the scapegoats we had become. We concluded, from this experiment, that facilitating social change with video must somehow entreat people to change as they get insights into their patterns of communication, a process controlled by the sets of limits imposed by the hierarchical contexts of the very institutions seeking change. You cannot pay attention simply to the content of information, feedback, etc., but must also pay attention to hierarchies of contexts as limiting information, feedback and change. In hierarchies of contexts, the hierarchy makes the difference between adaptive change, within the limits of the hierarchy and a change of the hierarchical limits themselves. The uncertainty, fear and depression created by the environment was partially the result of trying to relate to the situation with anachronized epistemologies and partially because our ontologies force us to face it alone. Continued fixation to ontologies of loneliness and 'one at a time' epistemologies, or the schizoid-like reactions of constantly changing levels (e.g., attacking the messenger as the message or making it just an intellectual exercise) will not do. The positive feed condition is analogous to our technological situation, in as much as the damage done by technology will require new forms of technology to alter the destruction. The positive feed is 'our problem' and our environment and is needed to make a new set of generalizations that will control (negative feed) that ecology. Our current ontologies, epistemologies and socially structured relations do not suffice in our communications and control of the pace of change. The paradox described above, of needing the feed to create a new sense of being, knowing, relating, etc., but feeling very uncertain and uncomfortable was related in subsequent video experiences and has brought our jobs to a temporary halt. Our events were microcosms of the conditions we live. We felt we were creating attitudinal changes and that did not suffice to help people deal with problems that were located in the social contexts (e.g. institutions, peer groups, networks, families, etc.) their 'problems' were embedded in. We have come to the position that information and 'new' information structures do not in themselves 'make you free'; that relevant changes in social contexts are where the resistance lies. The current ways of 'knowing' and 'being' that keep us locked in fantasies and illusions that are destroying our ecology (as us) are the rigid, long feedback loops that communicate the control over our environment - our social institutions. The 'new' ways of 'knowing' and 'being' that our environment created and re-presented are basically short-term feedback loops that are necessary so we can relate our experience to new designs. But they are not sufficient to create new forms of social organization (longer feedback loops, that will sustain the ongoing change of those new habits of communication about us and how we know and change our ecology). Our current trajectory is to work with whole networks over longer periods of time, helping them to help us design new ways of living and relating that can be sustained by ongoing social processes. We feel it is necessary to go beyond aggregates of loosely connected people to groups that have sustained supportive relations that will create new collective consciousness. randy sherman Shirley Clarke, well-known dancer and filmmaker, started working with video about two years ago. She received a grant from the Video Arts Council partially funded by the New York State Council on the Arts and located in the tower of her loft on top of Manhattan's Chelsea Hotel. She is currently developing a video program based on the interview. Shirley was interviewed by Antioch's Videoball. The questions and responses which follow are excerpts from that interview. SHIRLEY: At this point, it's been about two years since I started working with 1/2-inch equipment, although I have progressed solely in basic cable, dirty recording heads and signal-to-noise ratio, somehow getting by. I think I had chosen to go into the business of selling 1/2-inch equipment by myself, at least have my own rice...I guess I read the signs saying "if you want to get into the Video Life, etc., being what it is," I figured that by now we'd have everything we need for 1/2-inch equipment - its three-month warranty run out - and that cable is across the country. Why, we even have the headphones (a kind of mini-two-way cable)! Indeed, I thought the 60's were the COMMUNIST decade, but after a career change in several encyclopedias, it became clear that the early 70's were not what I expected, etc...So what do we little people do who are not in the business of making money in the moon, who don't have access to industry, who are not the scientists developing who don't have time to work for the National or Educational TV? What are we supposed to do? That's why we spend all day every day and night doing our own thing; we think we can deal with 1/2-inch video as a professional career - a way of life. How do we do it while we're waiting for future things to get better? VIDEOBALL: Why should we be doing anything different than we're doing now? We are all exploring and learning as we go along. SHIRLEY: Of course, that's true. And it is working that way, especially for the people who are interested in cinema verite video portraits - or interested in making non-objective videograms, electronic paintings - who use synthesizers and build or adapt their own equipment. It's not quite the same for those of us who want to work with the humanistic art form and the fact that we do main-streaming is fall flat that we need tools and equipment that we might not afford. And after having attempted to someone collect a lot of expensive stuff, it's like the mess that it holds up through one show! After enough bad experiences, you begin to think you're too stupid or too naive to understand that you find yourself suffering from the Electronic Meemies. VIDEOBALL: Are you perhaps being too ambitious for present realities? SHIRLEY: Well, that's exactly how I came up with my single most practical program to help you to get and keep it together - to list your goals and experience. I hope that it would slow me down a bit, help me to simplify, and not to go off in all directions at once. First, the press. I think it is time now to try to get some sort of a press coverage. During this period it would be useful to have regular reports on the distribution of the equipment to the various sorts of groups and individuals that work with video and that have to make use of the popular press until we're able to get our own coverage in newspapers or whatever. Besides, we could use an audience who, if they're interested in the work we're doing, can, I might add here the idea of promoting Video Festivals around the country. These festivals tend to be "in" group events, they can help to develop strong ties, also, they generate publicity, with the added side effect that the people who are involved receive rewards. Second is mailout. Nobody questions the fact that equipment needs to be improved - and we should continue writing letters to the manufacturers and get all our friends to do so also. And in complaining to our distributors, we will tell them that we are particularly fanatical about Sony. But what has been the most important to me has been the amount of information from other videotape, so I think we should find more ways to get information to each other ourselves, like in the back section of Radical Software. We could use lots more information sheets like bumping ground; I could see a newsletter that would help us all succeed in finding ways to adapt or improve any equipment, we should have the newsletter. Here's something else, an unusual phenomenon that rarely if ever happens on the art scene - the use of a synthesizer. We have arranged to give us access to his synthesizer via the TV Lab at Channel 13. This is very generous and he deserves credit for it. Then, third, the cassette. The cassette could be an important outlet for all of those in Video who are making personal video. I'm thinking of those video artists who are doing personal video biographies or autobiographies. I see cassette attracting customers much the same way that cassette books and records. With this in mind, I think we should start now to find a place where we can sell our own cassettes. We should not allow the cassette hardware manufacturers to function also as our distributors as they are doing now - they are making a lot of money and are not paying any money, just future rights - and they are making a lot of money and are not paying any time and obviously ripping them off one at a time. VIDEOBALL: In terms of the distributor, do you think some place should be centralized, not Radical Software doing it, but some place where each person has its own material, but a central place where the tapes are kept? SHIRLEY: That's fine for our internal communication needs as a group. The Image House, in New Haven, is developing a library of tapes. Everyone is welcome to join. They offer many different kinds of services - maybe we could do something similar with Radical Alternate Media Publishing House; but if we want some kind of financial return, we will need something for videotape like the Filmmakers' Co-op. The advantage of many different groups is that they can pay attention to their own interests; then if first we should be geared to their special images and needs, and then all of them could form an overall body that could protect and defend itself. We need to have our own companies and distributors - in unity there is strength. In other words, we need some alternate media business people. Fourth is tours and travel. The easiest way for many of us to travel is find a way to have a troupe around the country and to learn the "how" from each other. I think that the people who are behind us should find ways to tour and travel and get paid for it! I've been thinking about this for a long time and after spending a three-month period of training together, we will train on a three-month tour to any college community that is already into video and has access to Video equipment. We plan to rent a station wagon, carry all the essential equipment - cameras, lights, etc. - there will be about five of us in the troupe, and we will be traveling on a budget of $500-$1000 apiece. In each location, we plan to spend several days as guests of the community and we will invite anyone who has an interest or background in electronic film or theatre to come to a temporary workshop or film festival. We would find ways to link their work together with ours, and all of us will do a show for the community - we will have a common theme and we will have some methods to do this during our rehearsal period. Also, we hope to discover quick ways of helping others to pick up the techniques of video. When we leave, when we leave, we hope we'll leave behind some new converts, who can then go out and work in their own cities. We plan to start these tours very soon, so I hope you'll invite us down your way. Now point five is cable access. I think we will have our own channel because of social-cultural-political changes that would take place if we, the people, were to have control over what goes in or comes out of that tube in our homes; it's our job to find ways to use video to reinforce the rights of their inalienable right guaranteed by the First Amendment, for free speech and for free access to the communications media. We have to fight for the right to really know what's at stake if they relinquish these rights. We have to find and exploit ways to use whatever the present access allows us, and get more access. We have to make sure that people who only have a right to, but want to be part of, the process. VIDEORALL: Are you talking about lack of access on the cable? I know that you already have public access channels in New York City. And isn't it true that the FCC has established certain basic channeling rules as part of the requirements for issuing licenses and franchises to cable companies? SHIRLEY: Public access is an important conceptual victory, but in reality it's only been tokenism - a little like the "Letters to the Editor" in the newspapers - and so far, the quality of the tapes and the broadcast signal reinforce this resemblance. And one little channel reserved for all of the People, with 40 or more channels still in the hands of Big Business, and the cable companies are now being forced to invest $5 million a year against eventual profits of $1 billion a year, to compete with the major networks or Time-Life. Actually, this was why at first I was against cable TV. I thought it would just take me off cable TV. Then, fortunately, last fall I met Gene Youngblood over at Shepheard and Pakite. He has spent years working on this cable TV project, this cable project, which will, I believe, be one of the major events of the next decade. And we decided that the time had come, we all agreed, that a few months after his book comes out, we should start a new organization, a new group, to find support to ensure that the rights of the public are protected. VIDEORALL: But doesn't cable isolate people, rather than bringing them together as video theatre does? SHIRLEY: Well, that's exactly what I had in mind when we planned this Invitational for the Space Telethon Game. The whole idea was to try and use video as a game with the public... and the sad fact is that the powers-that-be in cable cannot fit it into their plans before it will take place (and on my birthday, no less) to reach even all those people who will have too little time left before cold weather arrives to be able to cancel. But I can explain very briefly what we had in mind. At the "Telethon," we had a group of twenty-five-type people who broadcast "live" for 48 continuous hours over the cable system, and we called it "Alternative Public Access." Every six hours a different group would come into the studio and actually tape a work that they had all "mastered" during the previous day, and then three or four "drops" - places where other groups could come in and add to the mix, and also have the ability to feed into our mix. They were in contact with us via the telephone and bicycle. The audience at home, if they tuned to the cable channel, could hear us at regular intervals invite them to join in our video "Sometime" Game. We would also play with us. All you have to do is to call us on the telephone, if you'll sing us a song, we'll do a jam for you, whenever you want. And then, as you build up our mix, you move up to the next drops. So go up and out of bed - you're going to be the first person to get up and Exchange - see you soon - right up here - live - in person - on camera - that's great way for Video to take over the cities! Like the radio, it's not just on the streets, but into our homes. The average American watches TV for 6 hours a day, and as more and more people coming, we need a new way to deal with this box. Those inside the box are not the ones who are going to decide how to use the new technology can be used. I hope that by next fall, please, we can get the young people to tune in to the cable channel and this time round, knock on wood, the "Second Synergistic Scavenger Hunt Space Telethon" will really take place. New point six: Live Process Video Theatre and Environmental Video - Video Play Games, Video Theatre. We need to build prototypes for the new theatre needed for the new media. We will develop the home entertainment complex - multi-image inputs, multi-image outputs. We will have to go out to a place chock full of people and listen to different things that they want to see and do. The Pleasure Palaces of the Future: Everything from dance halls like the old time dance halls - theatres, plays, films - sandwich bars - drinking fountains - a number of rooms of many sizes on many levels - maybe sunrooms with a pool in them - a room with swings and slides - trampolines - balls to bounce in - rooms to play games in - a room where you can play video games while listening to the board. Sounds like a great hangout, doesn't it? Well, we're going to have a demonstration site to convince anyone to build my Pleasure Palace, and we'll take some of the grant money I got and use the empty space in the basement of the house and construct a demonstration Video Theatre Workshop. It is possible to tour the house, go up and down and out on the roof to send and receive video images, since there's a satellite dish all over and a nationwide and switche - it's a good place to use as a workshop for small groups to work out all kinds of ideas and practice the new skills. And then when a rich, well-dressed gentleman comes by and decides to invest in a Pleasure Palace, he'll read our report. VIDEODBALL: I think it's important for the people who come to video theatre to have some expectation of the kind of environment they're going into, that they come and expect to be playing. When we first started, we were doing the same thing as the Videodball! Local, our video theatre, we had a big diorama set up in the basement. From room to room and in each room we provided props which we had decided a lot of choices, but we began to feel we were laying it on too thick. They didn't know what to expect and when they got there, they felt pressure to do something. They didn't feel they should feel any pressure, but should rather just flow with it. SHIELLY: We're going to have to change many habits and we've got to understand that most audiences see their role as observers. They don't like to listen hard and willing to be entertained. There's going to be a backlash against people who are trying to do something wrong with helping them. You as a teacher should know that you're not going to be able to teach them everything. But it's going to be a while before people realize that they can go to the theatre where we want them to go. We want them to be able to be given some idea of what is expected - we must give them information about what is going on. If we're not preparing, they'll take off on their own. If we see Video as a Tool, we see it as a tool for the process of learning. In life as a good guide. We need very little guidance to play. To understand that playing is art and art is playing. We're in the process of learning how to create these things too long. We've lost the tribal sense and we've lost rhythm and we've lost the group energy that's needed if the rain dance is to proceed. We have separated the artist from the group. We've got to get back together again. There are these freaky people called artists and then there's everyone else who are changing that, and Video is the tool that will let us all exist together, by interacting with the group that is, if we can learn how to use Video properly. I should have some skills and drills. In order to attempt to find that a new technology gives us a new media, we first have to describe just what the unique capabilities of the new media are. You can't compare previous form of human expression. You can then describe Video as a new form in terms of its uniqueness - like the interplay of the interface, interplay of the network, interplay-interface, time delay, etc. Each new capacity demands a new skill. As you look at the history of humankind, you become aware that it took a long, long time for each new media to develop as an independent medium. Video is still developing the skills and gestures necessary to use the new tools that will allow the new media to take its rightful place. For instance, how long do you imagine it took for a painter to pick up a brush, and digging with it, to develop the necessary dexterity between his fingers and hand to carve the graceful curves and calligraphy of images and designs? Dancers spend years training their bodies and developing the technical skills necessary to dance - and it's the same with the new media activities. With new media, you choose, it's the same media. But what are the skills needed in Video that humankind never needed before? Well, the basic skills of the new media are: we are able to put out two different images from many different cameras and have them appear simultaneously in many places (upstairs and downstairs) and into many separate spaces (multiscreen). We have to see what we are doing as we are doing it. We need to develop new connections among our eyes and our hands and bodies - we need balance. We need to be able to look at one monitor or monitor or pass our camera to someone else. But mainly we need to be able to look at one monitor or two monitors and at the same time see what everyone else is doing. We need to develop the ability to see in much the same way that a pilot sees what other pilots are doing and the time how fast what the other multiscreen is doing and keeps them in focus. If we are lucky, for starters, we'll make video games. Perhaps one of the most successful video games I've participated in was the Video Game. Don Snyder and I did it together. Through the aid of some electronics, it told fortunes. "The atmosphere was extremely effective," Snyder later said. "We were on the deck of the boat where Charles Manson held this year's Apocalypse Now party. Outside was a beautiful night. It was dark and cozy - decorated in Early Arabian Nights. A room with a large, ornate carpet perched atop of the steering wheel, and at his feet, soft, white cushions, the Seer said. The Oracle paced into his crystal ball. He lit the candle and began to talk while the Seeker watched. A playback of our magic fortune tapes, which seemed to depict the future. The air was filled with the vibrations of electronics and people meditating and the overall effect, the customers agreed, was a sense of deja vu-like feeling. I'm not sure, I think. And it's been pretty OK talking with you, too." Media Studies is not Broadcasting and Film or Communication Research, it is not Future Studies or Experimental Education, not Social Science or Journalism. It borrows much from each of these recognized fields and goes beyond. The parameters are undefined. New technologies and new aesthetics are expanding and reshaping our flow of information, culture, and values. In the over-mediated environment in which we all now grow up, work, and live, Understanding Media is an essential humanity, and Doing Media is an important survival skill. Antioch is in the process of developing, accrediting, and recruiting for a Master of Arts program in Media Studies. The purpose is not to define and institutionalize a new humanity, rather it is to pull together and give academic recognition and institutional support to speculative research, experimental production design, and practical application already being explored randomly in other contexts. Antioch intends to offer the M.A. through coordinated efforts of at least three units of the Antioch Network: The Baltimore-Washington campus, The Center for Understanding Media in New York City, and the Yellow Springs campus in Ohio. Each of these centers will be building onto an already established program, faculty base and pool of essential resources. All centers will share a common central administration. This will facilitate the exchange of faculty among all three units, and students may also take residential study and work in more than one of the geographic centers. Since different centers will be equipped for primary service to different combinations of vocational and academic objectives on the part of students, what follows is each Center's own description of its particular program capabilities. ANTIOCH BALTIMORE/WASHINGTON PROGRAM: (For more information, contact Tom Johnson, Urban-Media Program, 525 St. Paul Street, Baltimore, Md., 21202.) PURPOSE: TOWARD MEDIA - literacy - competency - sensitivity through examination - of how we are affected by media, - of how we can be effective with media; through exploration - of communication research and strategy, - of moving-image aesthetics, - of media technologies (present and future); through experimentation - with media (tion) designs, - with the creative potential of media, - with documentation modes. The graduate level program which we propose to offer is not available elsewhere. It is a new field of inquiry built of inter-related media skills and social research concerns which merit academic recognition and institutional support. We will recruit and develop skilled mediators in the area of applied urban social-animation. The Baltimore Program will be more utilitarian, more political, and more actively engaged in practical applications than CUM or Yellow Springs. We will be constantly extracting theory from our trial and error, project-based approach, evaluating what we find and incorporating it into subsequent project designs. The Baltimore-Washington Program for the M.A. in Media Studies will emphasize production and communication related to urban social problems and social change. Community-based media action projects become skill-development vehicles, sources of data on communications problems and possibilities, and stimulus to development of artistic expression and social theory/methodology. Clientele In the first year, beginning September 1973, we expect to admit twenty-five candidates seeking masters level work in media who are not oriented toward broadcast careers or toward traditional filmmaking. It is expected that this group might include: a. Urban social strategists who want to begin experimenting with media and information flow in a supportive institutional framework. b. Professional people with life experiences applicable to the degree and who want to experiment in their own fields with new approaches to using and understanding the media. (These students could also be credited for learning from previous life experiences if needed to establish their prior achievement of a bachelor's degree equivalency). c. Persons who have worked in counter-cultural, alternative or free-form media and who want to explore a more theoretical framework from which that activity grows, who need time for research in an environment with people of similar concerns, and who need access to resources. d. Students in undergraduate programs involved in communications or media who want to focus in on specific media and areas of inquiry related to urban culture. (Within the Antioch system, these students could work directly for a five-year M.A. degree.) CENTER FOR UNDERSTANDING MEDIA: (For more information, contact Mr. Robert Geller, Center for Understanding Media, 267 West 25th St., New York, N.Y., 10001) Purpose The Center for Understanding Media engages in research and projects in communications, education and the arts. The Center specializes in projects involving young people and the new media. It works to develop critical and active consumers for the various forms of communication and to integrate teaching about the new media with teaching about literature and the traditional arts. It stresses the need for programs in media study and media making at all levels of education. It specializes in training teachers to serve the needs of this new media study curriculum. It believes that media study represents the arts and humanities in a new key. The C.U.M. degree program will differ from other programs that put exclusive emphasis upon either production and aesthetics for film careerists or theory and philosophy for communications majors. A degree candidate will investigate the historical, cultural, and aesthetic influences of media not only through careful study but also by means of intensive work-study experiences where teacher-artists can help the candidate to create his own varied media formats. For example, a candidate might be asked to investigate carefully the evolution of the TV documentary from 1950 until 1970. He would be asked to examine the cultural, economic, and technological forces that have been shaping the documentary format as well as the impact, if any, of programs like the Pentagon Papers and Harvest of Shame on the American viewer. His production courses in filmmaking, photography, and video/taping would attempt to use these insights and refine them by having him scripting and processing his own documentary materials. Clientele The Center for Understanding Media will serve two major categories of students: (a) the teachers, community leaders, and policy makers in the arts and media who will be candidates for the Antioch Masters Degree in Media Studies, and (b) part-time students who are working for a Master's in Education with another college or university. The latter have been our students to date and will continue to be involved with many of the day-to-day operations related to the M.A. program. ANTIOCH, YELLOW SPRINGS, OHIO: (For more information, contact Bob Devine, Communications Studies Center, Antioch College, Yellow Springs, Ohio, 45287.) Purpose The Yellow Springs emphasis is on an active engagement with the media—the making, doing and working-with-it aspect of media studies. Media are seen as a new way (skill) of exploring the world (knowledge) with the result of a new logos of patterning behavior (intelligence). Some of the media, such as 1/2 inch video, are barely four years old. Other hybrid forms are fundamentally altering some of our basic assumptions about the nature of the communicative process. Whereas traditional programs in communications often seem to view the content of study as fixed and assume the task of presenting that content and developing critical skills in relation to it, this degree will emphasize investigative and exThis degree in Media Studies would be one of the first in the country to offer program work in experimental and alternative media forms. Antioch Yellow Springs has a long history of intense undergraduate involvement in film, video and other media, and a growing list of recognized graduates in media. The Masters program is a direct outgrowth of this undergraduate tradition. Clientele The projected enrollment in Year One would be forty full-time equivalent students. Starting-date is contingent upon completion of the preliminary accreditation process (estimated September, 1973). We will seek students similar to those described in the Baltimore program but whose emphasis will be on their own development as artists in addition to the occupational skills and tools they will acquire from the program. We also plan to enroll film artists who are looking for an environment to explore personalized film within an artistic and creative framework. These students would enter for one year, work under a specific film artist, and might not seek a degree. Feedback We expect to begin in New York this Spring and in Baltimore and Yellow Springs in September. Inquiries are welcome now. We are in the process of developing the program ideas and welcome suggestions from Radical Software readers. The Celebration was envisioned as a three day information generating process which would link the activities occurring in a network of viewing/access centers throughout Manhattan, creating a multimedia two-way public information system. The design of the overall structure originated in cooperative planning sessions, generated by the interaction of many individuals, independent media resources; representatives of two cable systems, cultural, educational, and service institutions, and members of specific communities. These planning sessions enabled us to continually redefine the design of the celebration by utilizing the constantly mushrooming resources of life energies and technological hardware. The overall aims of the Public Access Celebration were the following: 1) To promote public awareness and participation in programming the public access channels. 2) To facilitate interaction between independent media resources programming the public access channels. 3) To foster awareness in cultural, educational, and service institutions of the potentials of communicating with their communities via closed-circuit video systems and/or the public access channels. 4) To help emerging communities define their information needs by participating in the public access experiment and to facilitate the participation of communities newly defined by information needs. 5) To create models for viewing/access centers. 6) To explore possibilities of directly involving cable subscribers and viewers in interactive television formats. 7) To explore possibilities of integrating various media into communications nets to create a flexible, broad-based public access information system. Viewing Centers during the Public Access Celebration were set up to give people familiar with public access cable channels an opportunity to see "a wide variety of programs." Also, people who had cable TV and had been watching would have an opportunity to respond. What happened at each viewing center, what type of programming was done, and how much community involvement there was depended upon the efforts of the individual centers. The following reports reflect the expectations and actual experiences in several different centers. As an extension of our commitment, for the past year, in generating community health information, Survival Arts Media chose to work with Bellevue. Hospital for the Public Access Celebration. We wanted to create a viewing center, utilizing Bellevue's extensive cable system (over seventy drops in day rooms, wards, and waiting areas), that would serve as a focal point initiating a dialogue between the hospital and its community. Taping took place over the entire three-day celebration period. At the outset we evaluated the link-up to ensure that it was working properly and that staff and patients knew how to tune the cable converter. We set up two monitors in the main lobby, one for public access programs, the other for live feedback delivery from hospital staff, patients, and visitors, via a 1/2 inch portapak; a mobile video crew made tapes in different parts of the hospital, such as the male chest ward and the pediatrics project. Hospital workers and community people were interviewed about hospital services and their relationship to the community. These tapes were simultaneously played in the viewing center and throughout the entire hospital over public access channels. By taping in different parts of the hospital, a more unified view of the overall hospital was created. Live feedback taping of responses to tapes shown in the viewing center provided the context and actualization for dialogue to take place between staff, administration, patients, and community. The issues which generally predominated these dialogues were (1) the need to clarify the patient's and his/her family's understanding of hospital procedures and treatment processes, and (2) the relationship between non-professional and professional staff members within the organizational complexities of the hospital. The Central Park event was designed to integrate the viewing/access experience with a live cablecast. The idea was to take live programming out of a controlled studio environment and to increase our awareness of possible uses for mobile studio units in a decentralized municipal cable system. Our flyers, posters, and other publicity invited all groups and individuals who wanted to provide entertainment, information, and/or their presence to come to the Celebration. Although time slots had been allocated to various groups, we planned for adequate flexibility to include any new activities or surprises that might materialize. The degree of audience participation during the two days was not what we had hoped it would be. The focus of the performers, Teleprompter, and the audience was the spectacular nature of the event. The technicians and directors from Teleprompter, although extremely efficient in setting up the mobile studio, had no conception of the public access experience, nor any desire to concentrate on the involvement of the people working on and attending the Celebration. At some point we suggested that the camera-people put aside their tripods and get into the event. The typical response was, "Well, we could try, but I know it wouldn't work." Due to the rigidity of the Teleprompter crew there was no experimentation with different methods of programming and no opportunity for us to participate in the production end of the live broadcast. The most interesting groups were those that stimulated audience participation. The Responsive Scene, an improvisational theater group, encouraged people to create, direct, and perform their own theater. At least half of the audience became involved in making up skits and creating hypothetical situations for the Responsive Scene to perform, while others left their seats to join the theater group as they chanted, talked, and did improvisations in the center of the mall. Some of the best entertainment came from people in the Park. Criticism of the Park event is this - that its primary focus was the performer's relationship to the live broadcast rather than the viewer's relationship to the activities and the video/access experience. The customary separations, between the viewer and the performer, the amateur and the professional, were maintained. For the full report of the public access situation in New York City, write to Survival Arts Media, 595 Broadway, New York City, 10012. Selectovision Early this fall in the town of Beloeil, Quebec, a marathon of activity drew to a close at cable station BHMO, and most people involved agreed that Selectovision seemed to be a fine, healthy baby. This pilot project represented the first real test of an experimental programming technique born of collaboration between Videographe (the video workshop founded by the National Film Board of Canada) and Videotron, owner of BHMO. Selectovision is an experimental programming technique which gives the audience the ability to indicate their viewing preference from a list of 80 titles of videotapes produced by citizens of local and surrounding communities. This list of titles was prepared by Yolande Valiquette, coordinator of the project, from the library of Videograph, from the tapes of producers she found in the Quebec area, and from tapes which were submitted to her. Copies of the list were distributed to the viewers of Videotron's BHMO system prior to the ten-day experiment. Those who wanted to indicate a choice were invited to call the station and speak to the on-air announcer. Two channels were utilized in this experiment. The announcer received the calls, compiled requests, and interviewed guests on channel 9, while the tapes which seemed to have the biggest demand were shown on channel 11. The programming began September 22nd 1972 and continued, from 2 pm to 2 am each day, until October 1st. Aside from the obvious attempt to provide the viewers with a mechanism to indicate their programming preferences, the project also sought to demonstrate to the viewers how citizens like themselves had used the videotape medium. The hope was that these production examples would stimulate those in the audience to express themselves through the same medium. With further development the community could eventually feed their Selectovision catalogue from local productions of videotapes. This could be called the major aim of Selectovision. Participation in the show extended into the studio also. As the experiment unfolded, many different kinds of people came into the studio operation. First, there were the regulars; the camera operators, the technicians, announcers, telephone operators, etc. Then there were those who made one or two appearances such as the tape producers, other guests, and spectators who, enthused by the experiment, came to help, talk, or submit video projects. Finally, there were the curious who just came to watch. There was, for example, a young boy who came to present a proposal for a video tape and soon found himself on the air being interviewed by the coordinator about his project and receiving his first lesson in the use of the equipment. On another occasion two young boys visited out of curiosity and quickly found they had become the telephone operators for the rest of the day. In general, spontaneity was encouraged to the point that by the end of the experiment a group of young people had virtually taken over most of the studio and the operations such as camera work, tabulating results, answering phones and being guests. One woman who had never before done on-air announcing discovered that she also had no one to interview during the afternoon, quite fascinating interviews with her neighbors who were calling in to request tapes. Of the many things learned, a few things merit closer attention. One is the role of the announcer, or animateur. The importance of his rapport with the audience has already been suggested. In general, the behavior of the animateur and the selection of this person depends a great deal on the kinds of people who telephone the station and on the mood he can maintain according to the time of day. The freedom he gives those with him on the air to express themselves can frequently set the tone for the viewers who are weighing participation in the show. Another point of interest is the use of two channels, one for the studio activities and the other for tapes. It appears that in some cases this tends to separate the audience into groups who watch both channels and those who watch one or the other. This did not become a problem in terms of audience participation. In fact, for those stations who cannot or will not allocate two channels, using one channel and alternating the studio action with the tapes to be viewed may be quite satisfactory for their purposes. The type of cable programming that Selectovision represents is often referred to as "community programming" presumably because on one hand it involves local people in the production itself, and on the other it reflects the software that people find important enough to produce. In the case of Selectovision the software came mostly from the library of Videograph. Such a library was generated over a long period of time by local people who were drawn to the Videograph facilities. This type of show can use up tremendous amounts of programming and the temptation is to go even further and use libraries of programming generated by professional artists for "community programming" to be truly such, a significant amount must come from the local community, otherwise we are left with the typical formula of the audience passively viewing the productions of "professionals." It is easy for an audience to fall into this unless they are actively encouraged to produce on their own. The advantages are obvious for the cable operator and for the people, but it requires a long, patient educational and outreach effort toward the local residents to get them to put their rich and varied feelings into the form of videotape programming. If they see that it is in their interest to continue this activity, then "volunteerism" might very well become a sustaining resource. So far, the results of the experiment have made it clear that there are people who will show themselves in order to do programming as a consequence of this kind of production technique. Since Selectovision there has been a sharp rise in the number of serious individuals and groups who have submitted proposals to the outreach component of BHMO in order to make tapes. An equally serious educational program to help them learn how to make tapes coupled with the entertaining forum provided by the Selectovision show, will continue to bring real community programming closer to reality, and avoid the possibility of "selectovision" becoming a visual disc jockey technique. Perhaps one concrete direction in which to go at this time is to take those anonymous voices on the phone and get them together, face-to-face at a meeting place. For the moment, plans for Selectovision are to keep it as a weekly evening feature. As a further experiment the programming will include besides local videotapes, some studio production and summaries of local events of the week. All of these documents will then be added to the list of software. We are hoping that the regular momentum that is steadily generated will maintain the interest of the population in Selectovision and cause it to become a real tool of communication and progress. For additional information on Selectovision contact: Yolande Valiquette Coordonnateur de Selectovision 334 Emery Street Montreal, Quebec, Canada Bridgeport Video Center The Bridgeport Community Video Center, initially a student's independent study project at the University of Bridgeport, is both a community video project and a journalism course. Since CATV is coming to Bridgeport within the next year, our goal is to inform our East Side neighborhood and the greater Bridgeport community of the potential for local programming on "public access" cable T.V. Through the University A-V Center, blank tapes, two half-inch SONY portapaks, one monitor, editing facilities and technical help are available. Staff of the bilingual community newspaper, Harambee, has provided additional tapes, a "home" from which to operate and community contacts. Originally, we worked in small groups with NYC-CYO, teaching young people to tutor others; with Blessed Sacrament summer camp, training counselors to work with camp children; and with Upward Bound, a pre-college summer camp for the disadvantaged. First, we just let them see what video could do. They laughed when they first saw themselves on tape; but few questioned the technology that makes it all possible. Soon, individual adults expressed an interest in learning the process and we conducted individual evening workshops. (Adults were more surprised that tapes were not as mysterious and technical as they thought.) New workshops were arranged as the work spread further. Community leaders were trained on the equipment and realized the "information" potential when they saw their own tapes. Spreading knowledge of East Side problems, people problems that would never be seen on broadcast T.V., is a commonly shared goal. Cameras on the street are no longer unusual. Included in our new workshops were Hall Neighborhood House, a group of young guys who showed interest right from the start, and the Puerto Rican Youth Organization, whose membership ranges in age from six to twelve. Just beginning is a workshop with staff members from Bridgeport Public Library, who are taping story hours and book talks, and making the library facility available as a center for community showings. Our current activities include taping a play about life in the ghetto, written by a teacher in the Bridgeport school system and enacted by youth groups with whom we have been working. We will also be making both a taped and social history documentary of the project. People interested in borrowing tapes can contact Mary Smith, 81 White Street, Bridgeport, Connecticut 06610 (203/367-9124) Pauline Gravelle and Mary E. Smith Beltrami Ethnic History Project Beltrami is a neighborhood, a small pocket community of some five hundred homes in Northeast Minneapolis. It is also a unique ethnic community rich with history. The Swedes were the first to settle; later came the Italians, Poles, and other ethnic minorities. Some fell into the "melting pot," others did not. Today, few remember Swede Alley, mainstreet for the Nordic immigrant. Tomorrow, perhaps, few will recall Beltrami Park, once a Civil War cemetery, now a growing park and recreation center. Three or four generations can still be found in many Beltrami homes. The neighborhood is as colorful and complex as ever, but the cultural community is changing -- both in face and spirit -- and the young are leaving without the knowledge of their own heritage. Now, with the prospect of losing the past entirely, the residents of Beltrami, through a community council, will recapture and document their history as they remember it. Conceived and directed by the community, the project will result in a video tape production of the history of Beltrami as remembered and told by its residents. This includes oral history as well as performance and exhibition of cultural activities -- virtually anything the community wants to preserve. The project is attracting community volunteer help from students' groups, professional sources from the community and the University of Minnesota, and from residents in general. At regularly scheduled meetings of the resident council the video tapes recorded up to that point will be reviewed. Here the residents can suggest additions, deletions, and other changes, and aid in outlining the next shooting schedule. Distribution of the tapes will be left to the discretion of the community. Conceivably, copies of the tapes can be made and distributed to various institutions, communities, and other interested parties. The Beltrami Ethnic History Project not only introduces video tape (½ inch) as an excellent community tool, but also draws the neighborhood closer together in understanding and appreciating its past -- preserving community tradition that might otherwise have been lost. Barry Morrow and Paul Gronseth 3424 24th Avenue South Minneapolis, Minnesota 55406 Video Involvement Project South Minneapolis has a large Black community, the Afro-American Cultural Arts Center, and little video/cable information. The Cultural Arts Center, with the aim of improving communications in the community, offered its space to the Twin City Urban Corps and the Minneapolis Public Schools to put together a summer program in the instruction of video for Black youth in the area. The program that developed, the Video In-
"Having therefore, brethren, boldness to enter into the holiest by the blood of Jesus, by a new and living way, which He hath consecrated for us, through the veil, that is to say, His flesh; and having an High Priest over the house of God; let us draw near, with a true heart, in full assurance of faith, having our hearts sprinkled from an evil conscience, and our bodies washed with pure water." Hebrews 10 v.19-22. You may perhaps wonder what connexion there is between the text and the Psalms, but these two chapters, 9 and 10 of the Hebrews would have no meaning nor any place if it were not for sinners; and if that 51st Psalm has no place in your experience, it may have in your memory, but if that 51st Psalm has no place in your experience, as yet your religion is useless, it is not the work of the Holy Ghost. The quintessence of the Gospel contained in these two chapters is in the 51st Psalm. "Having therefore, brethren, boldness to enter into the holiest by the blood of Jesus". This is spoken to great sinners, sinners such as David knew himself to be. He who said, "My iniquities lie heavy burdened too heavy for me. In my loins I loathe disease, my wounds stink and are corrupt because of my foolishness". That is the man that needs this Gospel revealed in this chapter, perhaps one of the richest parts of the Word of God, the Epistle to the Hebrews, which sets before us in the first place, the dignity, the glory of God's eternal Son, being the express image of His Father's Person, the brightness of His Father's glory. He Who thought it not robbery to be equal with God, coequal and co-eternal. Yet for the salvation of unworthy sinners He says, "Lo I come, to do Thy will, O my God". "Having therefore brethren boldness". It is a wonderful thing to say to a self-condemned, self-destroyed, ruined sinner, but there is a ground for it and it is inside of this word "Therefore". "Having therefore, brethren, boldness". There is a ground for this boldness and that ground is not in the sinner. We have every reason in ourselves for despair. We deserve nothing but eternal destruction and if we are under divine teaching we shall know it, and it is a mercy to know it. When you come to look at the remedy that is provided for sinners in this chapter, the ingredients of the remedy, it is not for those that have a mere scratch upon their conscience. It is for those who have a magnificent disease. For those who feel with Isaiah, "From the sole of the foot to the crown of the head nought but wounds and bruises and putrifying sores". Are we sinners? "A sinner is a sacred thing, The Holy Ghost has made him so". and you may depend upon it, the Holy Ghost's teaching will make sinners of us before ever we are made saints. I have sometimes said, and I feel that it will bear repetition, if a person cannot tell me how he was made a sinner, I do not want to know anything how he thinks he was made a saint. O conviction of sin is a mercy, conviction of sin is the beginning of salvation. "Therefore,". What is then this ground of boldness? we see it from the 10th verse particularly, "Then said I lo, I come, to do Thy will O God; He taketh away the first", that is those legal sacrifices that could never take away sins. Ah when you look at it you can be thankful that He took away the first, that He may establish the second. You want better sacrifices for your deep wounds, for your ruin, for your corruption. You will want a different sacrifice from that which was offered by the law, which could never reach the conscience. They were offered year by year continually, they never made the comers thereunto perfect, never took away sin, and there it would have remained and there sin would have remained except for that voice, that voice, divine voice "Lo, I come to do Thy will, O God". He takes away the first and may establish the second by which will we are sanctified through the offering of the body of Jesus Christ once for all", that is, once for ever. He needed to do everything but once. The 7th chapter tells us why, "This Man, because He continueth ever". Because He is eternal, "Hath an unchanging Priesthood" therefore He needed to offer but one sacrifice because it has eternal validity, eternal virtue. This is the ground of boldness. "Unto this Man, after He had offered one sacrifice for sins for ever, sat down on the right hand of God; for by one offering He hath perfected for ever them that are sanctified" "And their sins and their iniquities will I remember no more". No where remission of this is there is no more offering for sins. When the Lord Jesus offered Himself without spot to God then the whole of the sins of His people were remitted. There are several expressions concerning the removal of sin; one place is "I have blotted out thy sins as a thick cloud". In another place the Lord Jesus is set forth as a propitiation for our sins. In this place it is the remission of sins. Very blessed expression, shows the completeness of redemption but remission has a particular blessedness. Propitiation is to make a payment. You mention a bill from a creditor and you say "that you will remit by return. You will pay the debt; and the Lord Jesus He made remission for sins. How? from the unsearchable riches that were in Him, not only the riches that were His as God, but the riches of grace that were His as a Mediator. The riches of His life, the completeness and satisfaction He rendered to the Holy law of God. This is the ground of boldness. "It is all true, said the Father Redeemer, I will make a profession: "Unto you therefore, that believe", not that think, but believe, not believe nominally, but believe to the salvation of your souls. Believe in His Person by living faith. Believe that He came from God. Believe in His virgin birth. "Unto you therefore, that believe, He is precious". Precious in all that He has done in a way of salvation. And where He is thus precious you will enter into the joy of deliver, "Whom having not seen ye love, in whom, though now ye see Him not, yet believing ye rejoice with joy unspeakable and full of glory". O how the eye of David, with a burden of guilt upon his conscience, but a broken and contrite heart, had his eye upon this Redeemer! how you see him cleave unto Him though prostrate in the dust, and there was a boldness in it. That precious Psalm is very suitable to the chapter that our text is in. He could not leave his sins alone. You notice in the 51st Psalm, the whole of it is in the first and second persons. He speaking to God, God speaking to him, there is no third person; and if the Lord deals with you it will be between your soul and God. "Wash me throughly from mine iniquity, and cleanse me from my sins". He did not say, wash me thoroughly, but wash me throughly. Have you ever felt it? Have you ever felt that you could be scrubbed outside and washed and washed outside, but it would not be enough, it is the inside. "Wash me throughly from mine iniquity, cleanse me from my sin, behold, I was shapen in iniquity, and in the sight of my Mother conceive me". He was taught that he was a sinner not only because he committed sin, but because of what he was. The root of sin was in his being, the entire contagion had filled his veins and spread the poison to the heart. Now that is the man that needs this Gospel, and that is the man to whom this chapter speaks, for whom the Lord Jesus gave His precious life. "Having therefore", upon this ground, "brethren, boldness to enter into the holiest". Into the very holiest, and boldness to enter. This is not presumption, no, take a case or two of those who thus entered with boldness. The leper. He really had no right to come to Jesus at all; according to the law he should have put a covering over his upper lip and cried, unclean, unclean and warned people not to come near him. Have you ever been such a sinner as that? but O faith anchored in the Person of the Redeemer, he knew Him, he ventured, came boldly. "Then came he and worshipped Him, kneeling and beseeching Him saying Lord, if Thou wilt Thou canst make me clean". The publican in the temple ventured upon the same ground. You might say, he did not look very bold, he was. He was so trembling that he smote upon his breast, he could not lift up his eyes so much as to heaven, there was no boldness underneath my friends. His faith in God, "Be merciful to me a sinner", that is all the religion he had got, a mercy if we have as much. There are thousands of professing people who have not that much religion. They may have much ornamentation, much social activity, but that 51st Psalm takes us to the very root, to the very heart, and if you have never brought there you will find that you will be weighed in the balances and found wanting. I believe that heaven is built upon an experience of hell. "Having therefore, brethren, boldness to enter into the holiest by the blood of Jesus". That is the ground, "the blood of Jesus". It does not mean only that liquid that flowed from His sacred precious side, but the life that is in the blood, it was His Presence, it was His divinity, it was Emmanuel, God with us. It will make the Person of the Lord Jesus and His incarnation, His virgin birth, to be the foundation of our faith, and some of you will feel it to be so. There is no other foundation could sustain the weight of your sins, no other person that the law would have been satisfied with as a Substitute. O what a Person the Lord Jesus is! In very few places do we have this expressed, "But this Man", and the place we have referred to in the 7th chapter, "But this Man, because He continueth ever". Also in the 15th Luke, "This Man receiveth sinners", that is who He receives, sinners. He came to die for sinners and if you are not a sinner He did not come to die for you. "He came not to call the righteous, but sinners to repentance", and if you are not a sinner He did not come to call you. You will not be glad you are a sinner, but being convinced you are, it will make Christ precious to your soul and necessary. "Having therefore, brethren, boldness to enter into the holiest by the blood of Jesus". This is His cross, and the cross of Christ is something different to those that are saved, from what it is to those that perish. "The preaching of the cross is to them that perish foolishness, but to us who are saved it is the power of God". What is the cross of Christ to us? The cross of Christ embraces the whole of His Person and all His sufferings, His suffering life really, was a part of the cross. The reproaches and ignominy that He bore, the sufferings by which He was made perfect, the wrath of God that was in His bones like a fire, the curse that He endured that the blessings of Abraham might come to His people was a part of the cross. His agony in the garden of Gethsemane was a part of the cross, and it was His blood. This is the way that pardon comes to sinners and no other way. Having therefore brethren, boldness to enter into the holiest by the blood of Jesus, by a new and living way. The old way was done away with, the old covenant in the 8th chapter tells us that, "In that day saith, A new covenant, He hath made the first old. Now that which decayeth and waxeth old is ready to vanish away". But these Old Testament saints, they looked through these Levitical sacrifices and by faith beheld the glorious anti-type, so that they were but figures, shadowy examples of good things to come, but not the very image of those things, but they by faith saw the image. "Abraham rejoiced to see my day". He saw it, he saw it by faith and was glad. And that day was the coming of the Lord Jesus. "By a new and living way". Something very blessed in that expression, "New and living". He said to His disciples when Philip said, "Lord we know not whither Thou goest, and how can we know the way? Jesus said unto him, I am the way, the truth and the life". He is everything. He is the Shepherd, He is the door through which His sheep go. O it is a comfort and a strength to a poor sinner who has been emptied, who has been given to see the end of all perfection in himself. Who is given to know, that "In me, that is in my flesh, there is no good thing. Who realise their utter hopeless and helpless-ness To have a revelation of this glorious Person, in Whom is everything that he can possibly need. Who has accomplished for sinners everything that will satisfy the law. Whose work is so complete and that completeness is to make His people complete in Christ. "Ye are complete in Him". Well, it is "By a new and living way which He hath consecrated for us through the veil, that is to say, His flesh". In the preceding chapter we are told what that is. "For there was a tabernacle made, the first wherein was the candlestick, the table and the shewbread which is called the sanctuary, and after the tabernacle second veil, the tabernacle which is called the holiest of all". But the Lord Jesus became this new and living way which He hath consecrated for us. Very blessed that is. The consecration of that way to my mind shows us the blessedness and sanctification of the Person and work of the Lord Jesus from the manger, from His birth. The way at the beginning was sanctified by His virgin birth. It sanctified the whole way and everything that He did. It is very solemn that our modern scholars try to destroy the vital foundation of the Gospel. Hold fast to the eternal Sonship of the Lord Jesus Christ. All the worth fell to the ground if He were not the eternal God, the eternal Son of the eternal Father. I feel that not only because the Word of God declares it, but I feel it as a necessity in my soul's salvation. If I did not believe that I would have no more to do with the Bible at all, nor anything more to do with religion, it would not be worth it. O the glory of the eternal Person of God, a dear Son and the mystery of the incarnation, that that eternal Person took into union, real union, human nature, that holy thing born of a virgin, so that in that human nature He could not only cast up, but become a new and living way to God. Everything He touched, every word He spoke, every thought He thought, was holy, spotless. His humanity was immaculate and as such He was. Substitute for vile, corrupt, self-ravished sinners. O this sanctification! every step was holy. He came forth from the covenant of grace, as we tried on Friday to declare the decrees, to declare all that He was in the covenant of grace and in that covenant He was set up to be the foundation of all the counsels and purposes of God; and one thing was that He should take the same nature as those who should be redeemed who were given to Him by the Father, and He came to cast up, to become, to justify, to show and living way from the manger to the cross, until He entered into heaven with His own blood, and became the blessed forerunner of His people. "Who hath for us entered into that which is within the veil, whither our forerunner hath for us entered, even Jesus", now you will feel at times the sacredness of this new and living way which is Christ, His Person and His work as it runs through the Word of God and as it is revealed in your soul. These things can never be learned, my friends. You can go to a college and study for 40 years, you would never learn them. A natural man cannot receive the things of the Spirit of God, they are foolishness unto him, neither can he know them, they are spiritually discerned. "Having therefore, brethren, boldness to enter into the holiest by the blood of Jesus, by a new and living way". Do you feel any attraction to it? I believe David prayed for this when he said, and he came with an honest heart: "Search me, O God, and know my heart, try me and know my thoughts and see if there be any wicked way in me and lead me, lead me in the everlasting. Everything in it is everlasting, the everlasting way because it is the way of the everlasting God, the everlasting Gospel, everlasting redemption. "New and living way" and those who are put there partake of the life by union to the Lord Jesus. If we have no union to Christ we are dead. How dead? in trespasses and in sins. O it comes to sinners! I am thankful for it. The most holy things, unspeakable, inexpressibly holy and glorious, come down through this new and living way and reach the cesspool of iniquity, unspeakable vileness and corruption. It is a mystery, it is a mystery. "Having therefore brethren, boldness to enter". O it will help us. I know there will be times when you will feel unfit to pray. I know it, too wicked to pray. Look at yourself, especially it may be as in the case of David, he had broken his bones, he had covered himself with guilt and shame. It appears that it almost stopped his mouth because he said "Open thou my lips and my mouth shall show forth Thy praise". A sign of self-awareness of guilt will shut the mouth. A sight of Christ, of His atonement of His precious blood, of His glorious righteousness will open it. Nothing else will. "By a new and living way which He hath consecrated for us through the veil, that is to say His flesh". His sacred humanity, that humanity He accomplished salvation. As you can trace it, or rather it is traced by the Spirit in your own experience and soul. I have not the ability to express it but if you are led into this way everlasting, enter in by the door and partake of the life of Christ, and have a living faith, a living religion, you will find that He is this new and living way in all the institutions of the Church, divine institutions of the Gospel, you will feel it. The consecration, this holiness, the sacred humanity of His Person, the virtue of His precious blood. This is a kingdom, this is a heavenly authority in the soul, and as you walk in this way so you will feel the influence of Christ in His grace permeating your soul, it will reach your affections, reach your heart and break it and create it a clean heart. It will reach you and all your powers by His control. Have you ever felt to be in this new and living way in the appointed means of grace? As we try feebly to set it forth, have you ever felt the grace of God taking hold of you in a new and living way? In the 12th chapter the apostle says, "Ye are come unto mount Sion", I know eventually that will be heaven, but it is here, and this new and living way will bring you to it. "Ye are come unto mount Sion, and unto the city of the living God, the heavenly Jerusalem." Sometimes you do doubt, it will thrill your heart with sacred awe, you will tremble and rejoice, you will feel the sanctifying influence of this new and living way in your soul, this new and living way in worship, this new and living way in the ordinances of His house, in the word of God, and in the preaching of the Gospel, and at the throne of grace, and when you are thus favoured you will say, "I have come to it". Believe I remember last one or two occasions when I sat in chapel pew and really felt, I have come to it. "Ye are come to mount Sion", that immovable, impregnable mount, to the city of the living God. You feel this new and living way in your heart. The very atmosphere of the place charged with the vitality of the merits of Christ in His gracious presence. "To the general assembly and church of the firstborn which are written in heaven, and to Jesus the Mediator of the new covenant, and to the blood of sprinkling, which speaketh better things than that of Abel," as Paul says. And you come to it every time the blessed Spirit mercifully takes of the things of Jesus and reveals them to you, gives and answer to that prayer, "O that Thou wouldest rend the heavens and come down, that the mountains might flow down at Thy presence". Having therefore, brethren". In the margin it says liberty, having liberty to enter into the holiest by the blood of Jesus, but I like the text best myself. It is the same boldness that we have in the 4th chapter and for the same reason. "Seeing then that we have a Great High Priest that is passed into the heavens, Jesus the Son of God, let us hold fast the profession of our faith without wavering: for is the same therefore, because of that Great High Priest that is now exalted in heaven to represent His people there, to make intercession for them, "Let us therefore come boldly to the throne of grace". This needs humility to come like this. Humility is often very much misunderstood. pride is the most abominable when it is in mock humility. But here is a humble soul. I cannot help connecting the 51st Psalm with this chapter and with this text. O how boldly David did come in the 51st Psalm, no mock humility, when he confessed his sins he meant what he said, and so will you. "And having an High Priest over the house of God". "We have such an High Priest" says Paul in the 8th chapter, in a way of victory. "Now of the things which we have spoken this is the sum: We have such an High Priest", just such a High Priest that I have declared to you, an High Priest who continueth ever, an eternal High Priest; and where there is a Priest there must be a sacrifice to offer, and an altar upon which to offer it. Now those three things would be meaningless if there were no sins. He offered Himself, a spotless offering, holy, harmless, undefiled, separate from sinners. He offered Himself. For you who know your sinfulness, for you who realise that in yourself that is in your flesh, there is no good thing. He offered Himself. That offering was a substitutionary offering. He offered Himself upon the altar of His humanity. O what a great High Priest He is! So that a poor sinner, the worst of sinners, may come boldly upon the grounds of the righteousness, the finished work of the Lord Jesus Christ. "Come ye sinners". "Having an High Priest over the house of God, let us draw near". David said, "It is good for me to draw near unto God". Good, because when a sinner draws near to God, he brings to that God everything that he is and he receives from that God in Christ all that he needs, all that he wants, sanctification, righteousness, wisdom, freedom, unsearchable riches. Good to draw near, good to a bankrupt to draw near to unsearchable riches, good for weakness to draw near to omnipotence, good for a filthy sinner to draw near to sanctification. Good for a poor lost sinner to draw near to a mighty Saviour. "Let us draw near". There is a new and living way, all the holiness that you need is in Him, all the life you need is in Him, all righteousness in Him. Well, may the Lord make the word a blessing to the chief of sinners, "Sinners are high in His esteem, And sinners highly value Him". Amen. (Transcribed verbatim and not edited for publication).
BIHAR SUPERIOR JUDICIAL SERVICE PRELIMINARY EXAMINATION DISTRICT JUDGE (ENTRY LEVEL) DIRECT FROM BAR, 2020 - All questions carry equal marks. - Every correct answer carries 3 marks. - For every wrong answer, 1 mark shall be deducted. - Select the nearest correct answer from amongst the four answers given below each question. - Time allowed: 2½ hours Candidates are directed to follow instructions as given in the admit card and separate sheet for filling up O.M.R. Sheet (Answer Sheet) PART-I (LAW) 1. Which of the following cases is not related to confession? (a) Kottaya v. King Emperor (b) State of U.P. v. Deoman Upadhyay (c) State of Bombay v. Kathi Kalu (d) M.C. Verghese v. Ponnan 2. Which one of the following is not a “Public Document”? (a) A document forming the acts of a sovereign authority (b) A document forming the acts of an official body (c) A document forming the acts of public officer of India (d) A document forming the acts of an employee of an educational institution 3. “When one has, by his declaration, act or omission, intentionally caused or permitted another person to believe, a thing to be true, and to act on such belief, neither he nor his representative shall be allowed, in any suit or proceeding between himself and such person or his representative, to deny the truth of that thing”. This statement of law is well-known in the Indian law of evidence as the principle of: (a) Acquiescence (b) Res Gestae (c) Estoppel (d) Conclusive Proof 4. Which one of the following is not a kind of estoppel? (a) Estoppel by deed (b) Estoppel by conduct (c) Estoppel by record (d) Estoppel by decision 5. In reference to circumstantial evidence: 1. The circumstances from which the conclusion is drawn, should be fully established 2. The circumstances should be conclusive in nature 3. All the facts so established should be consistent only with the hypothesis of guilt and inconsistent with innocence 4. The circumstances should, to a moral certainty, exclude the possibility of guilt of any person other than the accused Select the correct answer using the codes given below: (a) 1 and 2 only (b) 1, 2 and 4 only (c) 1, 2 and 3 only (d) 1, 2, 3 and 4 6. If a party does not file the documentary evidence in his possession under O. 13, R.1 : (a) The party is excluded from filing the same at a subsequent stage of the proceeding (b) The party is not excluded from filing the same at a subsequent stage of the proceeding, but can file the same only with the leave of the court (c) The party is not excluded from filing the same at a subsequent stage of the proceeding, but can file the same only with the leave of the court except documents produced for the cross-examination of the witnesses of the other party, or handed over to a witness merely to refresh his memory (d) None of the above 7. Which Order empowers the court to make an order that any particular fact may be proved by affidavits? (a) Order 10 (b) Order 11 (c) Order 16 (d) Order 19 8. Where the suit is dismissed under R. 2 or 3 of O. 9, the plaintiff: (a) May bring a fresh suit subject to law of limitation (b) Cannot bring a fresh suit (c) May bring a fresh suit with the leave of the high court (d) May bring a fresh suit with the leave of the district judge 9. Mark the incorrect statement: (a) In deciding the restoration application for setting aside an ex parte decree the merits of the case should be taken into account. (b) As a general rule, the court will set aside the decree only against such defendant or defendants who had made an application. (c) Where the decree is of such a nature that it cannot be set aside as against such defendant only, the court may set it aside against the other defendants also. (d) No ex parte decree can be set aside without notice to the opposite party. 10. On which of the following grounds, the court will allow a plaintiff to withdraw a suit and file a fresh suit? (a) Mis-joinder of parties (b) An erroneous valuation of the subject matter of a suit (c) Both (a) and (b) (d) Neither (a) nor (b) 11. Compensatory costs can be imposed: (a) If the claim (or defence) is false or vexatious and subsequently disallowed or withdrawn. (b) If objection to the false or vexatious claim or defence has been taken by the party at the earliest opportunity. (c) Both (a) and b) are correct (d) Both (a) and (b) are incorrect 12. According to O. 39, R. 2-A, which of the following is a consequence of the breach of injunction: (a) Attachment of the property (b) Detention of the person in civil prison upto 3 months (c) Sale of attached property after one year (d) All of the above 13. Abatement of proceedings is provided for under: (a) Order 22 (b) Order 23 (c) Order 34 (d) Order 25 14. In which of the following cases, the right to sue survives upon death of a party: (a) A suit for dissolution of marriage (b) A suit for right to future maintenance (c) A suit for breach of contract of betrothal (d) A suit for partition of ancestral property by a coparcener 15. The court may, by order, appoint a receiver of any property before decree: (a) Where it appears to the court to be just and convenient (b) Where the suit property is in danger of being wrongfully sold in execution of a decree (c) Where the defendant is about to dispose of the whole or any part of his property (d) Where the defendant has absconded the local limits of the court’s jurisdiction 16. When the notice of dishonor of cheque, contemplated under section 138(b) of the Negotiable Instruments Act issued by the payee/holder in due course, has been received by the drawer on date, then as per section 142 cognizance of the offence can be taken if complaint for the offence of dishonor has been made within – (a) 15 days from (b) 30 days from (c) 45 days from (d) 60 days from 17. The Negotiable Instruments (Amendment) Act, 2018 makes it possible for a court trying an offence related to cheque bouncing, to direct the drawer (person who writes the cheque) to pay interim compensation to the complainant under certain circumstances. The interim compensation will not exceed ___% of the cheque amount? (a) 15% (b) 25% (c) 30% (d) 20% 18. Effect of the statutory duty under section 10 of the Partnership Act to indemnify the firm for loss caused by any partner by his fraud casts a vicarious liability even in respect of criminal liability. (a) True (b) False (c) Only when the statute contemplates such liability (d) None of the above 19. Which is a correct proposition where a minor is admitted to the benefits of a partnership firm? (a) The minor is personally liable for the acts of the firm (b) Minor share is liable for the acts of the firm (c) Minor may not have access to inspect and copy any of accounts of the firm (d) None of the above 20. The President of India may obtain opinion of the Supreme Court under Article 143(1) if it appears to the President that a question of law has arisen, or is likely to arise, which is of such a nature and of such public importance that it is expedient to obtain such opinion, by referring the question to the Supreme Court. (a) The Supreme Court cannot decline to answer the reference on the ground that there is authoritative pronouncement of the Supreme Court which has already decided the question referred (b) The Supreme Court may decline to answer the reference in any circumstance (c) The Supreme Court may decline to answer the reference if it is held to be improper, inadvisable and undesirable; for the questions have no relation whatsoever with any of the provisions of the Constitution Which of the above statement(s) is/are not correct: (i) (a) (ii) (a) and (b) (iii) (c) (iv) None of the above 21. In view of the Supreme Court’s decision in popularly known as Sabrimala case, the expression “all laws in force” in Article 13(1) of the Constitution of India includes: (a) Laws passed or made by a legislature or other competent authority in the territory of India immediately before the commencement of the Constitution and not previously repealed (b) Customs and usages and personal laws (c) Both of the above (d) None of the above 22. A constitutional court can mould relief provided the foundational facts are available while exercising: (a) Original Jurisdiction (b) Appellate Jurisdiction (c) All of the above (d) None of the above 23. The Constitution (101st Amendment) Act, 2016 relates to: (a) Granting constitutional status to National Commission for backward classes (b) Providing reservation for economically weaker sections (c) Introduction of the goods and services tax (d) None of the above 24. An ordinance issued by the President of India shall remain in force for a period of: (a) Six months (b) One year (c) Six weeks (d) Six weeks from the date of assembly of the Parliament 25. What is the maximum gap permissible between two sessions of the Parliament? (a) Four months (b) Six months (c) Three months (d) Twelve months 26. The British Parliament passed the Indian Independence Act in: (a) July, 1947 (b) August, 1947 (c) January, 1947 (d) June, 1947 27. The members of the Council of Ministers are collectively responsible to: (a) The House of the People (b) The Council of States (c) The President (d) None of the above 28. A right to sue accrues to X during his minority, X dies before attaining majority and is succeeded by Y, his minor son. Time runs against Y from the date of: (a) X’s death (b) His attaining majority (c) Both (a) and (b) (d) None of the above 29. What is the prescribed period of limitation for filing a civil suit, challenging the dispossession of the plaintiff on the ground that the land has been illegally acquired by the Government? (a) One year from the date of dispossession (b) Three years from the date of dispossession (c) Twelve years from the date of dispossession (d) None, as the suit is not maintainable 30. Arbitral proceedings commence: (a) On the date on which a request for a dispute to be referred to arbitration is received by the respondent (b) On the date when the respondent gives consent to the appointment of the arbitrator (c) On the date when the arbitrator issues notice of the parties (d) On the date when the statement of claim and written submission of defence is made 31. For condonation of delay in making an application for setting aside the arbitral award: (a) Section 34 of the Act is complete in itself (b) Section 5 of the Limitation Act, 1963 is applicable (c) Both (a) and (b) (d) Neither (a) nor (b) 32. In which of the following cases it was held by the Supreme Court that Part I of the Arbitration and Conciliation Act, 1996 would have no application to International Commercial arbitrations held outside India and therefore such awards would only be subject to the jurisdiction of Indian courts when the same are sought to be enforced in India in accordance with Part II of the said Act? (a) Bharat Aluminium Company etc. v. Kaiser Aluminium Technical Services Inc etc. (Balco) (2012) 9 SCC 552 (b) Bhatia International v. Bulk Trading SA and Anr, (2002) 4 SCC 105 (c) Sachin Gupta and Anr. V. K.S. Forge Metal Pvt. Ltd, (2013) 10 SCC 540 (d) Kanpur Jal Sansthan and Anr. V. Bapu Construction 2014 (1) SCALE 207 33. Which of the following was used by the Indian Arbitration and Conciliation Act, 1996? (a) Guidelines of Supreme Court of India (b) European Commercial Arbitration Procedure (c) UNCITRAL, 1985 (d) None of the above 34. Principle of “accord and satisfaction”: (a) Applies to an arbitration agreement (b) Does not apply to a valid agreement (c) Applies when the parties are not related (d) Applies to an “agreement” signed by a minor 35. Under the Specific Relief Act, a suit for recovery of possession can be filed: (a) Only in respect of movable property (b) Only in respect of immovable property (c) In respect of both immovable and movable property (d) None of the above 36. What is the meaning of Principle of quia timet in the context of law of injunction? (a) Some future probable injury to the right and interest of a person (b) Some past injury to the right and interest of a person (c) Some injury incapable of being compensated in money (d) None of the above 37. Which of the following statements is incorrect in the context of Section 4 of the Specific Relief Act, 1963? (a) The court cannot grant injunction to any person from applying to any legislative body (b) To prevent any person, on the ground of nuisance, an act of which it is not clear that it will be a nuisance (c) To prevent a continuing breach in which the plaintiff has acquiesced (d) None of the above 38. Under Hindu Law a mother, in the absence of her son’s father, sell her minor son’s immovable property. The minor son, on attaining majority, can challenge this transaction: (a) On the ground that transaction was made without the permission of the court: (b) No such transaction can be done for minor son (c) Transaction was not done by his father (d) His mother cannot do such transaction on his behalf 39. Which of the sections of the Hindu Marriage Act is applicable for declaring a marriage null and void, if the marriage is solemnized in contravention of clauses (i), (iv) and (v) of Section 5 of the Hindu Marriage Act? (a) Section 9 (b) Section 10 (c) Section 11 (d) Section 12 40. Who is the natural guardian of a Hindu minor married girl? (a) Father (b) Mother (c) Mother-in-law (d) Husband 41. Which Section of the Special Marriage Act contemplates that in a case where both spouses professing the Hindu, Buddhist, Sikh or Jain religion are married under the Special Marriage Act, then the provisions of Hindu Succession Act will apply for regulating the succession in respect of their property? (a) 20A (b) 21A (c) 22A (d) 23A 42. If the deceased leaves behind more than one widow: (a) All the widows together would get one share equal to that of other Class I heirs (b) Each widow would get one share equal to that of other Class I heirs (c) None of the widows will get any share (d) All the widows will be entitled only to maintenance 43. Any property inherited by a female Hindu from her father or mother shall devolve after her death (in absence of any son or daughter including the children of any predeceased son or daughter) upon: (a) Heirs of her husband (b) Heirs of her father-in-law (c) Heirs of her father (d) None of the above 44. If A makes a Hiba of certain property to B with a condition that B shall not transfer the property, then (a) The Hiba is void, the condition is valid (b) The Hiba is valid, the condition is void (c) Neither the Hiba nor the condition is valid (d) None of the above 45. The ‘Dissolution of Muslim Marriage Act, 1939’ is based on the following School of Muslim Law: (a) Hanafi School (b) Shafi School (c) Zaudi School (d) None of the above 46. A doctor agrees to provide his professional service to a patient on payment of a fee. The patient agrees and deposits the fee. In course of treatment the patient dies due to negligence and utmost recklessness of the doctor. The doctor incurs: (a) A contractual liability (b) Contractual as well as tortious liability (c) Tortious liability only (d) None of the above 47. A minor can enforce a contract made in his favour for a valuable consideration. Whether a contract which is beyond the powers of the guardian and does not bind the minor would be binding on the other party and enforceable at the instance of the minor? (a) Yes (b) No (c) Binding on the other party but not enforceable by the minor (d) Enforceable by the minor 48. ‘A’ being an agent for an owner of landed property, agrees for money, without the knowledge of his principal, to obtain for ‘B’ a lease of land belonging to his principal. The agreement between ‘A’ and ‘B’: (a) is void (b) is enforceable against ‘A’ (c) is enforceable against the principal of ‘A’ (d) is voidable at the instance of the principal of ‘A’ 49. ‘A’, for natural love and affection, promises to give his son ‘B’ Rs.1000/-. ‘A’ puts his promise in writing and registers it. Is this a contract? (a) Yes (b) No (c) It is a mere promise without consideration (d) It is a void contract 50. A surety is entitled to the benefit of every security which the creditor has against the principal debtor at the time contract of suretyship is entered into in the following circumstances: (a) If the surety knows of the existence of such security (b) Even if the surety does not know the existence of such security (c) In either of the two circumstances stated above (d) None of the above 51. In a contract of sale by sample there is an implied condition: (i) That the bulk shall correspond with the sample in quality (ii) That the buyer shall have reasonable opportunity of comparing the bulk of the sample (iii) That the goods shall be free from any defect rendering them unmerchantable which would not be apparent on reasonable examination of sample (iv) All of the above 52. A contract is called ‘sale’: (i) When the seller agrees to transfer the property in goods to a buyer for a price (ii) Where the property in goods is transferred from the seller to the buyer (iii) Where a seller agrees to sell on fulfilment of certain conditions (iv) None of the above 53. In a contract of sale, unless the circumstances of the contract show a different intention: (i) There is no implied undertaking on the part of the seller that he has a right to sale the goods (ii) There is no implied warranty that the buyer shall have and enjoy quiet possession of the goods (iii) There is no implied warranty that the goods shall be free from any charge or encumbrances in favour of any third party (iv) There is an implied undertaking and warranty as to all the above conditions 54. A warranty is a stipulation in the contract which is: (a) Essential to the main purpose of the contract and gives rise to a right to reject the goods (b) Collateral to the main purpose of the contract without right to claim damages in case of breach of it (c) Essential to the main purpose and breach of it gives rise to a right to treat the contract as repudiated (d) Collateral to the main purpose and breach of it gives rise to a claim for damages 55. Where a consignee entered into a contract for sale of goods with a third person but before sale and without knowledge of vendor the goods were looted away in transit, the contract of sale is: (a) Void (b) Voidable (c) Binding on the consignee (d) Binding on both the parties 56. Which one of the following is not an essential condition for application of Section 34 of the Indian Penal Code? (a) Criminal act done by several persons (b) Criminal act must be done in furtherance of common intention (c) Participation by all persons in some manner in the act constituting the offence (d) Criminal act done in prosecution of the common object 57. In some cases a crime is constituted even though the act is not done with guilty intention. These are cases of: (a) Vicarious liability (b) Liability of State (c) Strict liability (d) Joint liability 58. In which case has it been held that in determining whether the force employed in the exercise of right of private defence was actually necessary or not, it is unreasonable to weigh the facts of a case on golden scales? (a) State v. Sidhnath Rai (b) Jai Bhagwan v. State of Orissa (c) Baljit Singh v. State of Uttar Pradesh (d) Amjad Khan v. State 59. An executioner who execute the death penalty is protected from criminal liability under which section of IPC? (a) Section 97 (b) Section 78 (c) Section 79 (d) Section 80 60. What is the age of the child to get immunity from criminal liability? (a) Less than 10 years (b) Less than 7 years (c) Less than 8 years (d) Less than 14 years 61. In which case the Supreme Court has struck down Section 303 IPC as unconstitutional? (a) Machhi Singh v. State of Punjab (b) Bachan Singh v. State of Punjab (c) Santa Singh v. State of Punjab (d) Mithu Singh v. State of Punjab 62. Which of the following statements is correct? (a) The right of private defence under Indian Penal Code is available even against an act which is not offence under the Code (b) The right of private defence can be exercised to repeal unlawful aggression and also to retaliate (c) The right of private defence is available to defend only one’s own person and property (d) The right of private defence extends to the causing of death when the assault is made with the intention of wrongfully confining a person 63. Who prepared the first draft of Indian Penal Code? (a) Canning (b) Stephen (c) Bentinck (d) Macaulay 64. An English Mortgagee who belongs to ............. religion can sell the mortgaged property without intervention of the court. (a) Hindu (b) Islam (c) Christian (d) Parsi 65. To make a mortgage for hundred rupees or upward valid, it should be registered, signed by the mortgagor and attested by at least two witnesses, but it is not applicable in the case of (a) English mortgage (b) Simple mortgage (c) Usufructuary mortgage (d) Mortgage by deposit of title deeds 66. It is mandatory that transfer of an actionable claim can be effected only by an instrument in writing but it does not have effect on (a) Negotiable instruments (b) Arrears of rent (c) An amount due under a letter of credit (d) None of the above 67. In Chapter IV of the Transfer of Property Act, 1882 ‘Contribution’ is related to mortgagors, marshalling is related to (a) Mortgagees (b) Prior mortgagees (c) Co-mortgagees (d) Subsequent mortgagees 68. A receiver appointed under Section 69A of the Transfer of Property Act, 1882 may be removed by writing signed by mortgagor and mortgagee: (a) On due cause shown (b) For reasons in writing (c) For sufficient reasons (d) For reasons not disclosed 69. Which one of the statements given below is incorrect in the context of Section 311 Cr.P.C? (a) Any court can summon any person as a witness if his evidence is essential to the just decision of the case (b) The power under Section 311 Cr.P.C can only be used during investigation (c) Any witness can be recalled and re-examined even if he has already been examined (d) Any person who has not been summoned as a witness but is in attendance could be examined under Section 311 Cr.P.C 70. The purpose of examination of an accused under Section 313 Cr.P.C is: (a) To enable him to explain any circumstance appearing in the evidence against him (b) To instil confidence in him (c) To remove his fears (d) To collect incriminating materials against him 71. Which one of the following statements is true? (a) Even when a person is not named in the charge-sheet as an accused person, he could be proceeded against under Section 319 Cr.P.C (b) An order under Section 319 Cr.P.C can only be made on the request of the informant or any one of the witnesses (c) The proceeding against any person summoned under Section 319 Cr.P.C need not be started afresh (d) An order under Section 319 Cr.P.C is an administrative order 72. Which one of the offences is compoundable even without the permission of the court? (a) Voluntarily causing grievous hurt (b) Causing miscarriage without a woman’s consent (c) Exploitation of a trafficked child (d) Cheating 73. Strike out the incorrect statement: (a) No summons can be issued in a warrant case (b) In a summons case, the Magistrate who has taken cognizance can issue summons for attendance of the accused (c) In a complaint case, a warrant or summons has necessarily to be accompanied by a copy of the complaint (d) A complaint can be dismissed by a Magistrate under Section 204(4) Cr.P.C 74. ‘A’ is tried and convicted for causing grievous hurt. The person injured dies afterwards. (a) ‘A’ may be tried again for culpable homicide (b) ‘A’ cannot be tried for the second time (c) ‘A’ can only be tried for culpable homicide not amounting to murder (d) None of the above 75. No court shall take cognizance of an offence if the offence is punishable for a term exceeding one year but not exceeding three years after” (a) Six months (b) One year (c) Two years (d) Three Years 76. An offence of kidnapping can be tried by a court having jurisdiction over the place: (a) Where the kidnapping has taken place (b) Where the kidnapped person is recovered (c) Where the victim was conveyed, concealed or detained (d) All of the above 77. The High Court can transfer cases and appeals: (a) If fair and impartial trial cannot be held in a particular court (b) When some question of law of public importance is likely to arise (c) The transfer would be for the general convenience of the parties (d) All of the above PART-II (ENLIGH) Multiple Choice Questions 78. In each of the following questions, choose the option that fills the blank in the given sentence correctly. I. She praised each of her ____________ for her special qualities. (a) Daughter-in-laws (b) Daughters-in-law (c) Daughters-in-laws’ (d) Daughters’-in-law II. There is ___________ reason to believe him. (a) No any (b) None (c) No (d) Many III. Every child and every soldier raised __________ hand. (a) Her (b) Their (c) Own (d) His IV. When something is rational, it _________________. (a) Can be obtained in limited quantities (b) It cannot be believed (c) It follows logically (d) It is distributed by government agencies. V. New recordings containing five of his works give a rich ___ of his art. (a) Conception (b) Conspectus (c) Consideration (d) Criticism 79. Which of the following is the correct spelling? (a) Inconsequentiall (b) Inconsequentiel (c) Inconsquential (d) Inconsequential. 80. “But what we had told him last month was inexcusable.” Which of the following is the correct passive voice version of the given sentence? (a) We said, “What we are telling you is inexcusable.” (b) But what was told him by us last month was inexcusable. (c) But what had been told him last month was inexcusable. (d) But what he was told last month was inexcusable. 81. Choose the odd one out. (a) Bliss (b) Rapture (c) Ecstasy (d) Anguish 82. Choose the correct meaning of ‘to drive home.’ (a) To find one’s roots (b) To return to place of rest (c) Back to original position (d) To emphasize 83. It is you alone who ________ to blame. (a) Is (b) Were (c) Are (d) Can PART-III (GENERAL KNOWLEDGE) 84. President Bidhya Devi Bhandari, who recently dissolved the Parliament of the country, is the current President of: (a) Indonesia (b) Mauritius (c) Maldives (d) None of the above 85. The Uttar Pradesh Government has recently embarked upon a scheme to take the unique culture of its ethnic ___________ tribe across the world. (a) Agariya (b) Bhotia (c) Tharu (d) Baiga 86. Which person of Indian origin has recently been appointed as the CEO of WHO Foundation? (a) Sunil Panwar (b) Anil Soni (c) Sandeep Marwah (d) Aniruddha Jain 87. Which of the following States launched the “Orunodoi Scheme?” (a) Haryana (b) West Bengal (c) Assam (d) Odisha 88. India’s first home for transgender children in need of care and protection will soon be established in: (a) Bengaluru (b) Hyderabad (c) Lucknow (d) Bhopal 89. Who has been recently crowned by Forbes as the highest paid celebrity of 2020? (a) Emma Watson (b) Dwayne Johnson (c) Kylie Jenner (d) Brad Pitt. 90. Which was the first nation to plant its flag on the moon? (a) USA (b) China (c) Japan (d) Germany 91. Which of the following countries has recorded the highest number of elephant deaths in the world due to the human-elephant conflict? (a) Thailand (b) Sri Lanka (c) Seychelles (d) Mauritius 92. Which of the following countries presented the prestigious Legion of Merit award to PM Narendra Modi for his leadership in elevating a strategic partnership between two countries and the emergence of India as a global power? (a) Russia (b) USA (c) France (d) Canada 93. Who headed the first National Judicial Pay Commission? (a) Justice A.K. Mathur (b) Justice I.A. Ansari (c) Justice K. Jagannatha Shetty (d) Justice A.K. Patnaik PART-IV (COMPUTER) 94. Every computer connected to the Internet is identified by a unique four-part string, known as (a) IP address (b) Host name (c) Domain name (d) None of the above 95. “LINUX” is: (a) A Malware (b) An Operating System (c) An Application Program (d) A Firmware 96. Changing the appearance of text using a word processor is called: (a) Editing (b) Writing (c) Formatting (d) All of the above 97. Which of the following is not application software? (a) Microsoft Word (b) Microsoft Excel (c) Microsoft Power Point (d) Microsoft Windows 98. Reversing the preceding undo operation in MS Word can be performed with: (a) Ctrl + X (b) Ctrl + Z (c) Ctrl + U (d) Ctrl + Y 99. Page numbers may be inserted in: (a) The header (b) The footer (c) Both (a) and (b) (d) Neither (a) nor (b) 100. Which tool can be opted for a synonym in a document? (a) Auto text (b) Replace (c) Thesaurus (d) Restore
1. Introduction These General Conditions of Purchase are an integral part of the contractual relationship between Aerolite AG ("Aerolite") and the Supplier. These terms shall apply, unless otherwise agreed in writing, to all performance of our purchase order (PO), including but not limited to purchase contracts, agreements for logistics services, contracts for work and services and parts. Supplier’s acceptance of the order by any means, including by conduct, shall constitute acceptance of these terms. Aerolite will not recognize differing terms and conditions of the Supplier unless Aerolite has specifically agreed to them in writing or in writing. Each company of Aerolite shall be deemed to be a separate, independent unit under the present terms. Commitments entered into by an Aerolite company shall be valid only with respect to the relevant company and shall not be attributable to any other company of Aerolite Group of Companies. 2. Order and Acceptance Aerolite will issue a written PO only based on a formal quote submitted by the supplier or an authorized representative. Acceptance of the PO by Supplier is required within 3 working days or within 12 hours for AOG orders in order to be binding on Aerolite. Acceptance must include Supplier’s quotation reference number to be sent to the address of the person noted on the PO. Any additional modification of terms, conditions or delivery dates, or delivery documents, in an acknowledgment, invoice, or other form of communication from Supplier is hereby objected to and rejected and shall be of no effect, notwithstanding Aerolite’s acceptance of delivery or payment for such supplies. Aerolite may at any time for cause or convenience by written order to Supplier require stopping all or any part of work subject to the purchase order. After receipt of notice, Supplier shall stop work in accordance with the instructions provided, taking all reasonable steps to minimize the incurrence of costs allocable to the work covered by the purchase during the period of work stoppage. Aerolite shall only be liable for costs incurred but not loss of profit. Aerolite can at any time before receiving the acceptance withdraw the PO with no effect. Any claim that there was a PO has been amended or modified shall give Aerolite the right to rescind the purchase order. 3. Changes to Purchase Order Aerolite shall have the right to make changes in drawings, designs, specifications, materials, packing, service, time and place of delivery, method of transportation or other terms of the purchase without amendment to the original PO. Supplier shall notify such changes cause any changes in price and lead time for acceptance by Aerolite within 5 working days. 4. Delivery The delivery of Supplies shall be DAP Aerolite Ennetbürgen in accordance with Incoterms 2020 and shall include packaging, handling charges and appropriate insurance. Early deliveries require the approval of Aerolite. Packaging and labelling of the Supplies shall be made in accordance with the instruction provided by Aerolite. On request, the Supplier shall take back any shipping containers and packaging material at his own cost. Aerolite requires that shipping paper shall make reference to a shipment reference number; the Aerolite PO; individual Item and Description; Contact Name; Project Number; Delivery quantity with description; Ship Complete Statement and if applicable missing Item list with description. 5. Title Transfer Title of Supplies to be delivered hereunder shall pass to Aerolite when the Supplies are delivered and shipment accepted by Aerolite at the delivery point specified on the PO. The Supplier warrants that the title is clear and free of all liens, charges or encumbrances, and Supplier warrants that the title conveyed shall be good and the transfer rightful. 6. Time being of Essence Supplier shall honour that Aerolite depends upon prompt delivery and/or performance of Supplier at the time specified by Aerolite PO in order to comply with Aerolite’s contractual obligations to third parties. Supplier shall strictly comply with Aerolite’s schedules specified in the PO. Any additional cost and sub sequent damages caused by the Supplier due delays and substitute activities required in order to meet the Supplier accepted PO delivery date shall be absorbed by the Supplier. 7. Quality Assurance Any deviation from quality, performance failures, malfunction, defects or deviations in form, size, weight or other occurrences, but not limited to which cause adverse effects in terms of quality of goods, contract work or service must be immediately communicated to Aerolite. Where a deviation from the Supplier accepted PO has not been granted by Aerolite, the Supplier shall bear all consequential cost of the rework and sub sequential damages. Upon completion of the PO, Aerolite, its customers and where applicable also the relevant authorities shall have the right to inspect, access to supplier's facilities and to inspect the documents, work papers and test reports of the supplier and, where applicable, of his contractors used during the period the order is executed. During quality audits, the supplier shall provide information about the ordered goods, processes and services. The Supplier may sub-contract any part of the work required to be carried out under the order given, providing that the same quality of workmanship as is provided to Aerolite. The Supplier shall be responsible for his sub-contractors’ compliance with all provisions of the order that are relevant to the sub-contracted work. Supplier shall remain fully liable to Aerolite for the proper performance of such provisions as if they had been sub-contracted had been entered into. The supplier is obliged to introduce and maintain a quality management system (QMS) appropriate to the organisation and the goods or service. Aerolite must be informed about changes in the organisation, the core processes or the QMS. The Supplier shall carry out documented quality testing and final acceptance of the Supplies prior shipment to Aerolite. The Supplier warrants that all parts or service meets the Supplier agreed PO. Aerolite will inspect, at his discretion, test the materials and/or testing results and advise Supplier of non-conformity discovered. A partial delivery and missing paper work is considered non-conforming. Aerolite will notify the Supplier upon discovering any non-conformity. Such goods will be marked unserviceable and stored accordingly. The Supplier shall keep a reliable record of all tests during the production, quality inspection and maintenance for a period of at least 5 years. These records can be viewed and copied by Aerolite at any time. Aerolite must be informed in writing prior to the definitive destruction of the records. In the event of a change of ownership or cessation of business, the Supplier shall provide Aerolite with the relevant manufacturing documentation and records prepared in the context of Aerolite’s requirements. 8. Prices and Payments Prices indicated on quotations, purchase orders and invoices shall not include import taxes, but shall include all costs and expenses such as shipping and packing costs, taxes, duties and similar expense. Invoices shall be made with reference to the Aerolite PO and shipment reference. Invoices are required in two copies and shall be sent to the Aerolite address and contact person as indicated in the PO by priority mail. Unless agreed otherwise, standard payment terms are Net 30 days from date of invoice. Payment by bank transfers shall be considered effected when the bank account of Aerolite is debited. Aerolite may withhold an appropriate portion of the payment until any disputed items are resolved and/or defects in work corrected. 9. Warranty Supplier warrants that all requested certificates, documents specified in the contract or other documents which are necessary for the use of the goods or services for the intended purpose are genuine. The Supplier shall be responsible for the fact that any material certificates to be supplied comply with all specification, drawings quality and certification requirements if applicable and as defined by the Aerolite PO. Supplier warrants that (a) the delivered goods are free from defects in material and workmanship, (b) the finished goods or works are produced diligently and in a professional manner in accordance with the highest industry standards, and (c) the delivered goods, services or work performed comply with the legal regulations as well as national and international flight safety regulations, acknowledged rules of technology, any other acknowledged safety regulations as well as any other relevant accident prevention, environmental protection and safety regulations. Supplier shall only use qualified personnel for Aerolite work and shall ensure that such personnel are aware of their contribution to the conformity and safety of the goods or services they supply and of the importance and accuracy of ethical conduct. He also takes appropriate measures to ensure that no counterfeit parts of dubious origin enter his and the Aerolite manufacturing process. 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LOW POWER LASER INDUCED OPTICAL NONLINEARITIES IN ORGANIC MOLECULES I. DANCUS\textsuperscript{1}, V.I. VLAD\textsuperscript{1}, A. PETRIS\textsuperscript{1}, S. FRUNZA\textsuperscript{2}, T. BEICA\textsuperscript{2}, I. ZGURA\textsuperscript{2}, F.A. NICOLESCU\textsuperscript{1}, V.V. JERCA\textsuperscript{3}, D.M. VULUGA\textsuperscript{1} \textsuperscript{1}National Institute for Laser, Plasma, and Radiation Physics, Laser Department, 077125 Bucharest-Magurele, Romania \textsuperscript{2}National Institute of Materials Physics, 077125 Bucharest-Magurele, Romania \textsuperscript{3}Centre for Organic Chemistry Costin D. Nenitescu, Romanian Academy, 202B Spl. Independentei CP 35-108, Bucharest 060023, Romania (Received June 11, 2010) Abstract. Experimental demonstration of low power laser induced optical nonlinearities in two different types of specially designed materials: dye doped liquid crystals and copolymers with new pendant azobenzene moieties, is presented. Saturation of the nonlinear refractive index change is observed for some of the samples. The origin of the huge nonlinearity and its saturation in the continuous wave laser regime and at low power levels are analyzed. Key words: optical nonlinearity, nonlinear refractive index, I-Scan, quantum dots, liquid crystals, chromophores, polymers, azobenzene. 1. INTRODUCTION Optical nonlinearities have become an interesting research field due to the development of the lasers as sources of high intensity electromagnetic field, comparable to the interatomic electric fields, necessary to induced anharmonic oscillation of atoms or molecules and therefore an anharmonic interaction of light with mater. The first observed nonlinear effect was the second harmonic generation from a quartz crystal pumped by a ruby laser, in 1961. From that moment the research in the field of nonlinear optics contains the explanation and discovery of different types of optical nonlinearities and the important development of materials with high nonlinearity using intensities as low as possible. These researches are strongly motivated by applications in lasers, spectroscopy, microscopy, imaging, data processing and data transmission. The development of synthetic materials with controllable optical properties from absorption to emission, by controlling the electronic structures of the materials is a huge step forward for the scientific community and for the optics market. The development of materials with tuneable nonlinear optical properties is the natural next step in the development process of these materials. As the humanity is using the optical materials at their edges, the characterization of their optical nonlinearities is very important and different tools have been developed to deal with this demand. In this paper, we have investigated nonlinear optical properties, more precisely nonlinear refractive index change, of some of the most novel materials at this time: liquid crystals and azobenzene containing polymers. To tailor their nonlinear optical properties, we have used different methods depending on the class of materials. Liquid crystals are known to have large nonlinear refractive indices. By doping them with special dyes [1], we can tune their response to the wavelength that is needed for an application and obtain huge optical nonlinearities. The same is true for the azobenzene containing polymers. Such polymers bearing suitable azobenzene moieties are well known for their induced nonlinear optical properties [2-4], due to their cis-trans clean photochemistry. Most azobenzenes can be optically isomerized from trans to cis with light, anywhere within the broad absorption band; and the molecule will subsequently thermally relax back into the trans state on a timescale dictated by the substitution pattern. These materials benefit from the inherent stability, rigidity, and processability of polymers, in addition to the unusual photo-sensitivity of the azo moieties. We shall illustrate these phenomena experimentally in the next sections. Same huge and tuneable nonlinear optical properties were recently observed in semiconductor quantum dots [5, 6]. 2. I-SCAN METHOD FOR INVESTIGATION OF THE NONLINEAR REFRACTIVE INDEX To measure the nonlinear refractive index change with the incident intensity and, to deduce from this, the nonlinear refractive index we have used the I-Scan method [7]. This method is a derivation of the Z-Scan method [8]. In this type of experiments a gaussian profile beam is propagating through a nonlinear medium. The total refractive index of the medium is: \[ n = n_0 + \Delta n, \] (1) where, $ n_0 $ is the linear refractive index and $ \Delta n $ is the nonlinear refractive index change – proportional to the intensity. In the simplest case of the single beam interaction, the third-order nonlinearity is proportional to the light intensity: \[ \Delta n = n_2 I. \] (2) In the case of higher-order nonlinearities involved in the beam propagation process, the nonlinear refractive index change can be written as: \[ \Delta n = n_2 \cdot I + n_4 \cdot I^2 + \cdots \] (3) Saturation of nonlinearity is also possible and very interesting in our case, in which the nonlinear refractive index change is equal to: \[ \Delta n = \frac{n_2 I}{1 + I / I_{sat}}, \] (4) where $ I_{sat} $ is the intensity at which the saturation of the refractive nonlinear process occurs. For $ I << I_{sat} $, equation (4) can be expanded in the form: \[ \Delta n(I) = n_2 I - \frac{n_2}{I_{sat}} I^2 + \frac{n_2}{(I_{sat})^2} I^3 - \cdots \equiv n_2 I + n_4 I^2 + n_6 I^3 + \cdots. \] (5) Thus, equations (4) and (3) are similar, and can describe the refractive saturation process. For further calculations and measurements, we shall use the equation (4) as it directly relates to saturation through the $ I_{sat} $. In this way, the beam induces inside the sample a gaussian shape refractive index change, which is following the incident intensity profile. This induced refractive index profile is acting like a lens and the changes in the propagation of the laser light through this lens can be easily monitored by the transmission through an aperture placed in the far field. The experimental setup that we are using in our experiments is shown in the Fig. 1. In this setup, we have used a continuous wave laser at $ \lambda = 532 $ nm, a controlled motorized variable optical attenuator to modify the value of the intensity incident to the sample, a $ f = 5 $ cm focal length lens to focus the laser beam on the sample and a detection system formed by a detector placed behind an aperture and connected to a computer with an oscilloscope and an analogic/digital converter. The sample is positioned at 0.85 of Rayleigh distance before the focus. This position is determined by the position of the maximum in a Z-Scan curve acquired before the I-Scan experiments. For fitting the experimental data, we have derived an I-Scan formula starting from the formula for Z-Scan one [8]: $$T_{closed}(z, \Delta \phi) \cong 1 - \frac{4\Delta \phi \cdot z/z_0}{\left(\left(z/z_0\right)^2 + 1\right)\left(\left(z/z_0\right)^2 + 9\right)},$$ (6) where $\Delta \phi = k \Delta n L_{eff}$, $z_0$ – the Rayleigh distance, $L_{eff} = (1 - e^{-\alpha L})/\alpha$ – the effective length of the medium, $\alpha$ – the linear absorption and $L$ – the thickness of the medium. For fitting the I-Scan signal, we have considered a fixed position of the sample at $z = -0.85z_0$ and a simplified formula for the transmission versus incident intensity [9]: $$T_{closed}(z = -0.85z_0, I) \cong 1 + 0.2k \frac{n_2 I}{1 + I/I_{sat}}.$$ (7) In the case when saturation is not achieved, the equation (7) reduces to a linear function with the intercept to one and the slope proportional to the nonlinear refractive index: $$T_{closed}(z = -0.85z_0, I_{sat} \rightarrow \infty, I) \cong 1 - 0.2k \cdot n_2 \cdot I.$$ (8) 3. SAMPLES PREPARATION AND CHARACTERIZATION 3.1. DYE DOPED LIQUID CRYSTALS For experiments using liquid crystals we have chosen the 4-cyano-4'-pentylbiphenyl which is a commonly used nematic liquid crystal with the chemical formula $C_{18}H_{19}N$ and chemical structure presented in Fig. 2a. To sensitize the liquid crystal to the laser wavelength used in the nonlinear optical experiments, we have used the dispersed yellow 7 dye (DY7), from Aldrich, with the chemical structure presented in Fig. 2b. For the orientation of the liquid crystals, we have used two geometries: first, in which the liquid crystal molecules are parallel to the cell windows (perpendicular to the optical axes – perpendicular geometry) and second one, in which the liquid crystal molecules are oriented perpendicular to the cell windows (parallel to the optical axes – parallel geometry). To obtain these types of orientations, we used as alignment layers on the cell windows unidirectionally rubbed polyvinyl alcohol layers and sputtered gold layers respectively. Different concentrations of dye in the liquid crystals were used to observe the colorant influence over the nonlinear optical response of the solution. We have obtained eight samples: four using the perpendicular geometry with four different concentrations of dye (P11 - 0.25%, P21 - 0.5%, P31 - 0.75% and P41 - 1%) and four with parallel geometry (A11 - 0.25%, A21 - 0.5%, A31 - 0.75%, A41 - 1%). The linear absorption spectra of these Pxx samples are presented in Fig. 3, showing that the wavelength used in our experiments is situated near the minimum of absorption. The absorption peak at $\lambda \sim 400$ nm is given by the DY7 dye. It can be observed that this absorption peak of the sample is increasing with the DY7 dye concentration. 3.2. AZOBENZENE CONTAINING POLYMERS The polymers used in our experiments (see Fig. 4) are some poly(methacrylate)s bearing pendant azo moieties (P1, P2 and P3), which were prepared by free radical copolymerization (starting from methyl methacrylate and some original azo-monomers), while the other class of side-chain maleimide-styrene polymers (P4 and P5) have been synthesized from a maleimide-alt-styrene copolymer and some azo-moieties using the polymer analogous reaction. Full synthesis and characterization of both classes of polymers were previously reported by us [10, 11]. ![Chemical structure of the polymers](image) Fig. 4 – Chemical structure of the polymers used in our experiments. The poly(methacrylate)s have a $\sim 25\%$ chromophore load, while the poly(maleimide-styrene)s have a $\sim 40\%$ load. The linear absorption spectra of the polymers are presented in Fig. 5. One can observe the two absorption peaks at $\lambda \sim 455$ nm and $\lambda \sim 620$ nm, which are present in all spectra. The different absorption intensities are due to both azo-content and the substitution pattern of each azo-moiety (R1 and R2). 4. NONLINEAR OPTICAL PROPERTIES OF THE INVESTIGATED ORGANIC MATERIALS. MEASUREMENTS AND DISCUSSIONS 4.1. LIQUID CRYSTALS We measured the nonlinear optical properties using the I-Scan method. The data obtained for the liquid crystals are presented in Fig. 6. In the first column, we show the data for the liquid crystals oriented perpendicular to the optical axes and the light polarization parallel to the liquid crystal molecules, at different dye concentration. In the case when the polarization is perpendicular to the orientation of the molecule, we did not observe any nonlinear optical response. In the second column of Fig. 6, we show the data for the liquid crystals molecules oriented parallel to the optical axis, when we not observe a light polarization dependence of the nonlinear optical response, which is plausible. From Fig. 6, one can observe that the nonlinear refractive indices of the two alignments of liquid crystals have different signs, due to different interactions of the optical field with the liquid crystal structures. The maximum nonlinear refractive index, i.e. $n_2 \approx 10^{-5}$ cm$^2$/W, was measured for dye concentrations of 1%, in both geometries. We have to mention that this large nonlinearity was observed in the composite material only; for separated components, the measured optical nonlinearity was negligible (Fig 7). We should also mention that the gold aligning substrate is strongly influencing the composite nonlinear response: in the case when the electric field component of the optical field is perpendicular to the LC molecule, we have nonlinear response only for cells with a gold substrate. It can also be observed, that increasing the incident light power (and intensity), at one particular power level, the nonlinear response starts to decrease rapidly, going to zero. This power level is dependent on the concentration of the dye in the liquid crystal. As the transition point from crystalline to isotropic phase for 5CB is at rather low temperatures, about 35°C, we consider that this is the cause for the vanishing of the nonlinear response. As the incident power is increasing, the local temperature is increasing. Consequently, the 5CB goes from its liquid crystal phase to isotropic one, gradually, but quite rapidly, until all the material in the interaction area is transformed and the nonlinear optical response vanishes. In support to this hypothesis, we bring the dependence of the light power for the liquid crystal transition on the concentration of the DY7 dye, shown in Fig. 8. As one can see in Fig. 3, the increase of dye concentration in the liquid crystal leads to increase of the composite absorption, at the wavelength used in the nonlinear experiments ($\lambda=532$nm). This absorption increase leads to a higher thermal effect. Consequently, the samples with a higher DY7 dye concentration reach the transition temperature at lower incident optical powers. Table 1 Nonlinear refractive index and the incident transition power for the 5CB doped with DY7 liquid crystals obtained by I-Scan method \| DY7 Con. \| $n_2$ ($\times 10^{-6}$ cm$^2$/W) \| $P_{\text{transition}}$ (mW) \| $W_{\text{max}}$ \| \|----------\|----------------------------------\|-----------------------------\|-----------------\| \| \| 5CB+DY7 $\perp$ optical axes \| \| \| \| 0.25% \| -3.3 \| - \| 0.84 \| \| 0.5% \| -8 \| 50 \| 1.16 \| \| 0.75% \| -12 \| 40 \| 1.1 \| \| 1% \| -13.5 \| 35 \| 1.23 \| \| \| 5CB+DY7 $\parallel$ optical axes \| \| \| \| \| $n_2$ ($\times 10^{-6}$ cm$^2$/W) \| $P_{\text{transition}}$ (mW) \| $W_{\text{max}}$ \| \| 0.25% \| 9 \| 27 \| 0.36 \| \| 0.5% \| 9 \| 22 \| 0.25 \| \| 0.75% \| 9 \| 28 \| 0.33 \| \| 1% \| 10 \| 25 \| 0.36 \| Table 1 shows that the values of the nonlinear refractive index for the liquid crystal oriented parallel to the optical axes are not depending on the dye concentration and that the transition power occurs at lower levels. The lower transition power could be attributed to a higher thermal effect in this geometry, due to the presence of the gold layer. Another reason for this may be the lower solubility of the DY7 in this geometry leading to a diffusion of the dye to the edges of the cell, which was also experimentally observed in the linear absorption spectra at the centre of the samples. The absorption peaks, due to the DY7 molecules in CB5 for the cells having gold layers as alignment layers are not so dependent on the dye concentration (Fig. 3b) as for the samples aligned with polyvinyl alcohol (Fig. 3a). This could lead to errors in the measurement of the concentration of the dye in the interaction area and to errors in the measured dependence of the nonlinear response on concentration. A better characterization of the nonlinearity of these samples is obtained from Stegeman merit factors and conditions [12]. First of them imposes: $$W' = \frac{\|\Delta n\|}{\alpha_\lambda} > 1$$ and states that the effect of linear absorption should be weak compared to the effect of nonlinearity. The second one asks for: $$T = \frac{2\beta_\lambda}{n_2} < 1$$ i.e. the effect of nonlinear absorption, $\beta_\lambda$, should be weak compared to nonlinear refractive index (at a fixed wavelength). In Table 1, we present the maximum $W'$ values obtained for all the dye doped liquid crystal samples. These values are obtained for the maximum of refractive index change, $\Delta n$, at the transition power of the liquid crystal. As we could not observe nonlinear absorption at the intensity levels used in our experiments, in any sample, we considered the $T$ merit factor to be close to zero. Table 1 shows that only few samples have $W$ larger than one, qualifying them for switching applications. This is primarily due to the low transition power that prohibits their use at higher incident intensity and limits the value of the refractive index change that can be obtained. 4.2. AZOBENZENE CONTAINING POLYMERS The polymers presented in the previous chapter have nonlinear responses, which are presented in Fig. 9, while the corresponding nonlinear refractive indices are shown in Table 2. From these experiments, one can observe a dependence of the nonlinear response on the azo group, which led us to the supposition that the main mechanism for the nonlinearity, or at least a major part of it, is the trans-cis transition of the azo molecule. ![Graphs showing normalized nonlinear transmission vs Incident power (W) for P1, P2, P3, P4, and P5](image) Fig. 9 – I-Scan experimental data (x) and the corresponding theoretical functions (line) for the copolymer samples. The trans-cis transition, schematically presented in Fig. 10, can be induced by light with frequencies near the absorption resonances. In this transition, the distance between the carbon atoms from the acceptor and donor groups decreases from 0.9 nm to 0.55 nm and produces a drastic reduction of the molecular dipole momentum. The result is the decrease of the material polarizability and very high and negative nonlinear refractive index. From the absorption spectra in Fig. 5, one can observe that we are very well situated near the absorption maximum, in the trans-cis transition region, but at low absorption levels, resulting in a high nonlinearity and low losses in the sample. ![Fig. 10 – Schematic representation of the trans-cis transition of the azo group.](image) The calculated values of $W$ factors for our azo-polymer samples are very large and are summarized in Table 2. At the intensities used in our measurements, no nonlinear absorption was observed ($\beta_2 \approx 0$), leading to $T \approx 0$. We mention here that the very large $W$ of our copolymers is the result of the material excitation in a spectral region characterized by high third order nonlinearity (due to the trans-cis transition) and by minimum absorption ($a_0$). These large figures of merit are very important for application of these materials in nonlinear devices with low losses. Table 2 The measured nonlinear refractive index, $n_2$, and the calculated $W$ merit factor, for the azo-polymer samples \| Sample \| P1 \| P2 \| P3 \| P4 \| P5 \| \|--------\|------\|------\|------\|------\|------\| \| $n_2 (\times 10^{-17} \text{ cm}^2/\text{W})$ \| -1.5 \| -4 \| -3.2 \| -1.45 \| -3 \| \| W \| 4.1 \| 8.3 \| 6.2 \| 3.3 \| 7.5 \| 5. CONCLUSIONS In conclusion, we have obtained some molecular structures with large, controllable optical nonlinearities. In this work, we prove that in the case of LC (CB5) doped with the dye (chromophore DY7), LC may be sensitized to have a huge nonlinear response in the wavelength region of interest. We show that, at a certain (low) threshold intensity (which depends on the dye concentration), the transition of LC from its mesomorphic phase to isotropic phase can occur leading to a progressive decrease of the nonlinear response with further increase of incident light intensity. We also show that the nonlinear response of this composite depends on the geometry between the electric field of the light and the orientation of the molecules, leading to the change of the sign for the nonlinear refractive index at low intensities. Further investigation related to the gold influence on the composite LC-chromophore optical nonlinearity is in progress. For the azo-polymers we have demonstrated very good Stegeman factors due to a special approach: excitation of the high trans-cis induced optical nonlinearities at a minimum of their absorption and near the absorption resonance. We have also observed a dependence of the nonlinear response with the azo dye that was used, dependence that is related to the mobility and availability of the electrons that produce the trans-cis transition. Acknowledgments. The authors would like to acknowledge National Program R&D, CNMP/Partnership, project number 12-111/2008 for financial support. Vlad, Dancus and Petris acknowledge also the research funding from the ANCS / Core Project no. PN 09 39/2008. We are thankfully to Prof. Ion Mihailescu and to Emanuel Axente for their support in obtaining the linear absorption spectra of the organic materials studied in this paper. A. Petris thanks the Abdus Salam International Centre for Theoretical Physics, Trieste, Italy for the research visits in the Centre as Regular Associate Member. REFERENCES 1. I. Janoszy, A. D. Lloyd, and B. S. Werrett, Anomalous Optical Freedericksz Transition in an Absorbing Liquid Crystal, Mol. Cryst. Liquid Cryst., 179, 1–12 (1990). 2. L. Brzozowski, E.H. Sargent, Azobenzenes for photonic network applications: Third-order nonlinear optical properties, J. Mater. Sci - Mater. El., 12, 479–487 (2001). 3. C. Gavrilov, M. Ramalingam, Z. Szakacs, Investigation of the third-order optical nonlinearities of an azo dye using diode-pumped Nd:Yag laser, Optik, 119, 409–414 (2008). 4. R.K. Rekha, A. Ramalingam, Optical Nonlinear Properties and Optical Limiting Effect of Metanil Yellow, American J. of Engineering and Applied Sciences, 2, 285–291 (2009). 5. I. Dancus, V. I. Vlad, A. Petris, N. Gaponik, A. Shavel, A. Eychmüller, Nonlinear Optical Properties of CdTe QDs Near the Resonance Regime, J. Optoelect. Adv. Materials, 10, 149–151 (2008). 6. I. Dancus, V. I. Vlad, A. Petris, N. Gaponik, V. Lesnyak, A. Eychmüller, Saturated near-resonant refractive optical nonlinearity in CdTe quantum dots, Opt. Lett., 35, 1079–1081 (2010). 7. B. Taheri, H. Liu, B. Jassernnejad, D. Appling, R. C. Powell, J. J. Song, Intensity scan and two photon absorption and nonlinear refraction of C60 in toluene, Appl. Phys. Lett., 68, 1317 (1996). 8. M. Sheik-Bahae, A.A. Said, T.H. Wei, D.J. Hagan, E.W. Van Stryland, Sensitive measurement of optical nonlinearities using a single beam, IEEE J. Quantum Electron., 26, 760–769, (1990). 9. I. Dancus, V. I. Vlad, A. Petris, V. Lesnyak, N. Gaponik, A. Eychmüller, Optical limiting in CdTe nanocrystals embedded in polystyrene, Proc. SPIE, 7469, 74690A (2009). 10. F.A. Nicolescu, V.V. Jerca, D. M. Vuluga, D.S. Vasilescu, Synthesis and characterization of side-chain poly(methacrylate) bearing new azo-moieties, Polymer Bulletin doi: 10.1007/s00289-010-0502-1 (2010). 11. F.A. Nicolescu, V.V. Jerca, I. Dancus, A. Petris, T.V. Nicolescu, I.B Rau, V.I. Vlad, D.S. Vasilescu, D. M. Vuluga, Synthesis and characterization of side-chain maleimide-styrene copolymers with new pendant azobenzene moieties, Journal of Polymer Research, under review. 12. G.I. Stegeman, Material figures of merit and implications to all-optical waveguide switching, Proc. SPIE, 1852, 75–89 (1993).
CODIFYING ORDINANCES OF A SMALL VILLAGE William R. Hamilton* Occasionally a newspaper or radio station will bring to the public's attention an obsolete and long-forgotten ordinance of some municipality, which, in light of modern practice, appears ludicrous, but which is still the law. Usually such a revelation will evoke a passing smile from the reader or listener, but is quickly forgotten in the hustle and bustle of more pressing activities. In reality, this is a symptom of a deep and sometimes vexatious problem which affects many small villages and towns. To realize why this problem exists, it should be noted that villages are usually run by persons whose main occupation is something other than village government. In the usual course of village affairs, whenever the village finds a situation that needs to be regulated or prohibited, its council passes an ordinance to take care of the matter. These ordinances are then filed in the ordinance book, and become the law of the village. With the passage of years, and the accumulation of many ordinances, the problem of keeping track of them becomes apparent. *Notre Dame Law School. Member, Notre Dame Legislative Bureau. Former Chief of Police, Paw Paw, Michigan Without an excellent index system, some original ordinances, amending ordinances, or repealing ordinances or sections are easily overlooked. Thus, it frequently occurs that an amendment is passed which applies to a repealed ordinance, or an ordinance is overlooked which may make two remedies or courses of action mandatory in any given circumstance, or a governing ordinance cannot even be found which applies to the question at hand. In assessing the status of ordinances, it is not unusual to find that actions taken by a council and accepted as routine are actually illegal according to an old ordinance passed many years before. The problem is difficult for new councilmen or trustees who want to know what the law is for the village they are trying to administer; it is particularly acute for the village attorney who is required to know the details of all ordinances and the current status of previous ordinances in order to fulfill his obligation. With circumstances as outlined above, the Notre Dame Legislative Bureau was approached by Mr. Warren Sundstrand, attorney for the Village of Paw Paw, Michigan, with a request to undertake codification of the ordinances of that village. Informal inquiries by members of the Legislative Bureau revealed that this situation is common to many small municipalities. The purpose of this article is to furnish a guide to others who would undertake such a project. The goal of such codification is to make available to any person the pertinent, up-to-date ordinances regarding any particular problem or subject, arranged in a logical, systematic order. For the village attorney or the members of the governing body, the biggest problem is the time involved. It is in this area that law school legislative bureaus can be of service to small communities. Just as legal aid divisions give prospective lawyers a chance to apply their learning to factual situations, legislative bureaus can give their members excellent experience in governmental operations by having them work with the tools of small government--the village ordinances. To accomplish codification of a village's ordinances, two items are of the utmost importance. The first is the cooperation and desire of the village council to have this done. The second, and probably more important, is the active cooperation and approval of the village attorney. The stress laid upon these two requirements cannot be over-emphasized. It is the responsibility of the village council to determine policy matters as they arise in connection with the codification. It is the responsibility of the village attorney to guard the interests of the village in all legal matters, and all work done on the codification of ordinances should be checked and approved by him as the work progresses. All contacts with the council should be through the attorney. Suggestions for additions, alterations, or deletions should be thoroughly discussed with the attorney, and requests for policy decisions of the council should also be channelled through him. Once the codification project has been approved by the council and attorney, the mechanics of codification begin. If the village ordinances have been gathering for a hundred years, it is safe to assume that much of the old material may no longer be applicable. A review of all ordinances more than 30 years old, for instance, may reveal that most of them can be safely repealed. If an occasional ordinance is found which has merit, consideration can be given as to whether to incorporate it in the codification or to pass a new ordinance covering the subject. The next step is to make copies of each ordinance from the 30-year cut-off date to the present. These copies are the working tools, and will be well marked up and sliced up by the time the codifier is through. With one set of copies arranged in chronological order, a thorough and careful reading of each ordinance is begun. As ordinances are found which repeal, amend, or expand previous ordinances, the copies are marked accordingly, noting not only which sections have been altered, but stating the ordinance which did the altering. By the time this is done, the codifier will have a thoroughly annotated set of ordinances from which to begin the culling process. At this point a conference with the attorney is probably in order. An index should be prepared for him showing which ordinances are repealed, either specifically or impliedly,$^1$ including contradictions$^2$ which may appear, or errors$^3$ which may have crept in. Ordinances which may have been challenged in other places on a constitutional basis should be discussed. In addition, a policy decision by the council may be needed. For instance, if some of the ordinances are duplications of existing state law, should they be retained as ordinances? An example might be worth noting: In Michigan, prior to the establishment of the district court system in 1968,$^4$ municipalities received moneys from fines imposed by the justices of the peace for violations of village ordinances.$^5$ It was therefore common to have ordinances regarding traffic violations, disorderly persons, and similar acts which duplicated state law. If a violator was charged under the state law, the village received no part of the money. Experience has shown that since 1968, although a portion of the moneys from fines assessed by the new district courts under village ordinances is allocated to the village, the amount has decreased from previous levels, and expenses in prosecuting violators under village ordinances have tended to eat up whatever money is received. As a practical matter, therefore, it is just as advantageous to charge a violator under the state law, with the county prosecutor handling the case. Therefore, the council should make a policy decision on whether to eliminate this duplication. The goal set by the Paw Paw Village Council was to have village ordinances which are necessary to the operation of the village clearly set forth, and to limit those ordinances to matters which are not covered by state or county laws. The next step is to separate the ordinances by subject matter. Each ordinance should be classified as to its general import, i.e., zoning, building code, amusements, health, traffic control, etc., (see Appendix A-1 and A-2). The titles needed for the various sections of the code can then be discussed. In addition to the general titles suggested here, a particular community might have a special field which would require or suggest a special title. For instance, if a lake is encompassed by the village, a special title might incorporate all ordinances pertaining to the use and regulation of the lake and the properties abutting thereon. With the ordinances thus segregated by subject matter, all ordinances in a particular group should then be reviewed to determine whether any additions, corrections, or amendments are desirable or indicated. Gaps or conflicts are more easily discovered at this point. It may be that a corrective ordinance or consolidating ordinance will facilitate the codification, and if so, it should be brought to the attention of the attorney so he can discuss it with the council. At this point a second set of copies of the ordinances comes into use. All those ordinances which are still valid should be grouped according to the topics selected. At the end of each paragraph of each ordinance, a notation should be made in parenthesis indicating the section number and ordinance number of the paragraph. Now each paragraph or section can be cut out, and the codifier winds up with a stack of clippings, each of which is a section of an ordinance, which are arranged in a logical order. Once the arrangement has been completed, code section numbers can be assigned to each paragraph, and assembled under the appropriate title. The finished product will be a logical, systematic arrangement of the laws of the village, each section of which gives reference to the original ordinance. It is worth noting that the same section of an ordinance can be incorporated under several different titles in the code. In the lake example above, an ordinance might conceivably refer to the requirements of building a boathouse on the lake. It would therefore be proper to incorporate the sections of that ordinance in both a Building Code title and a Lake Use title. In both places, of course, the memo at the end of each paragraph would refer the reader to the original enabling ordinance, even though in the code the same provision might have two different code section numbers. Once the code is completed and approved by the village attorney, it is referred to the council for adoption if satisfactory. If approved, the council adopts the code as evidence of the laws of the village. At the time the code is adopted, care should be taken to assure that the ordinances from which it is compiled are not repealed. While the code, after approval, is prima facie evidence of the laws of the village, the original ordinances themselves are still controlling. Once the initial project is completed, periodic up-dating must be facilitated. Ordinances passed after codification are placed in the appropriate titles. Depending upon the number of ordinances passed, a reprinting every five years or so should keep the code completely up-to-date. Questions which arise, either from members of the governing body or the public at large, can be easily answered. Familiarization with the ordinances of the village by new council members or enforcing officers is enhanced. In ordinary usage, persons unskilled in ordinance work, such as office clerks, can easily find the appropriate legislation without the necessity of calling a person with specialized knowledge of the files. In the long run, codification of village ordinances can bring order out of chaos, perform a vital service to those who need to know the law of the community, and eliminate those laws which are outmoded or conflicting. APPENDIX A-1 (Possible list of titles) 1. Administrative 2. Alcoholic Beverages 3. Amusement & Amusement Devices 4. Anti-Blight 5. Animals, Livestock, and Fowl 6. Bonding 7. Building Code 8. Electric 9. Fire Control Area 10. Fire Safety 11. Firearms and Explosives 12. Hawkers, Peddlers, and Transient Merchants 13. Housing 14. Junk Dealers 15. Motor Vehicle Dismantling 16. Motor Vehicles, Misc. 17. Nuisances and Noxious Weeds 18. Parades, Exhibitions, and Public Shows 19. Parking 20. Parks and Recreation Areas 21. Platting 22. Pollution 23. Sanitation 24. Sewer 25. Signs & Outdoor Structures 26. Streets 27. Taxis 28. Traffic 29. Water 30. Zoning APPENDIX A-2 (Alternative possible list of titles) 0. General Provisions DIVISION A 1. Administrative 2. Bonding DIVISION B 10. Platting 11. Zoning 12. Fire Control Area 13. Building Code 14. Housing 15. Signs and Outdoor Structures DIVISION C 20. Water 21. Sewer 22. Electric 23. Streets 24. Parks and Recreation Areas DIVISION D 30. Anti-Blight 31. Junk Dealers 32. Motor Vehicle Dismantling 33. Nuisances, Noxious Weeds 34. Animals, Livestock, and Fowl DIVISION E 40. Traffic 41. Parking 42. Motor Vehicles, Misc. 43. Taxis DIVISION F 50. Sanitation 51. Pollution DIVISION G 60. Amusements and Amusement Devices 61. Parades, Exhibitions, and Public Shows 62. Hawkers, Peddlers, and Transient Merchants 63. Firearms and Explosives 64. Fire Safety DIVISION H 70. Alcoholic Beverages DIVISION J 80. DIVISION K 90. Penalties 91. Repealers and Exceptions FOOTNOTES 1. Implied repeal occurs when a "catch-all" phrase is used at the end of an ordinance which usually states, "All ordinances or parts of ordinances which conflict with any of the provisions of this ordinance are hereby repealed," without reference to any particular ordinance. 2. E.g., in the Ordinances of Paw Paw, it was discovered that no less than three different sets of requirements were set forth in various ordinances for the regulation of taxicab license fees and the amount of insurance coverage required for them. 3. This would include typographical errors by which the wrong section of a previous ordinance was repealed or amended. 4. M.S.A. Section 27A.8181 et seq. 5. M.S.A. Section 5.2111. 6. In Paw Paw, the amount collected from violations in 1967 was $2,451.35. That figure dropped to $588.17 in 1970, and to $12.01 in 1971. 7. An attorney's fee for appearing in court for a trial on a speeding ticket, for instance, can be substantially larger than the fine eventually imposed if a guilty verdict is returned. If the defendant is found not guilty, the attorney fee may still be incurred although no reimbursement is received by the village.
ESTABLISHING AND USING A STUDENT DEMOGRAPHIC DATA BASE: THE SEVEN PERSONS SCHOOL PROJECT CAMERON R. BARBOUR B. A., University of Saskatchewan (Regina), 1973 B. Ed., University of Regina, 1976 A One-Course Project Submitted to the Faculty of Education of The University of Lethbridge in Partial Fulfillment of the Requirements for the Degree MASTER OF EDUCATION LETHBRIDGE, ALBERTA June, 1988 ABSTRACT This report outlines the establishment of a computerized data base in Seven Persons School using the Appleworks program. This data base is used primarily by the school office staff to store basic demographic data for each student. The review of literature examines the use of microcomputers in a variety of data management tasks, specifically those related to the storage and processing of demographic data in a small to medium-sized school. The project involves the training of school staff in the operation of Appleworks, and the compilation of various lists of demographic data into one computerized data base. Staff members are surveyed to determine the use being made of the data base and to determine if a data base containing academic records might also be warranted. The results indicate that the principal and teaching staff are very much in favour of a student demographic data base, but do not use the data base themselves. Rather, they rely on the school secretary to use this tool to access student information in an increasingly efficient manner. The prospect of a larger data base which would include both demographic and academic information requires further study, and a major financial commitment by the local school board. ACKNOWLEDGEMENTS Dr. Dale Burnett and Dr. Mel Fisher, Faculty of Education, University of Lethbridge, for their willingness to constructively guide and criticize this project. The principal and teachers of Seven Persons School for so willingly participating in the project. Mrs. Maxine Sureman, secretary of Seven Persons School, for her patient contribution of suggestions, and for updating the data base. The Board of Cypress School Division for the use of their classrooms and facilities. My wife and family for their patience and understanding during these last five years of part-time study. INTRODUCTION This project is a description of a change taking place in a school. It is an attempt to document the transition from a manual system of storing and preparing student lists in the school office to a more automated approach, making use of a computerized data base. The project itself grew out of success with another school-based data base, and the desire to make office filing, searching, organizing, and listing of student data more streamlined. A second goal was to establish an experiment with a data base that might lead to a much wider use of data bases in the future for academic records and cumulative files. Gauging the success of such a project is difficult. The very nature of the major functions performed by the data base lends it much more readily to the realm of the school office than to the classroom. Consequently, to judge its success by the amount of teacher usage is misleading. Successes are more aptly realized in a diversity of ways, ranging from increased usage in the school office, to an increased staff knowledge of data base functions, to an increased quantity of school computers devoted to data base functions, to increased staff enthusiasm about the idea of computerizing student academic data. Rationale In any school setting, there are constant demands by teachers, parent advisory groups, administrators, secretarial staff, and central office personnel for up-to-date information of various types about the student body. This might include examples such as the classroom teacher wanting to know which students have birthdays in the month of January, or the physical education instructor wanting to know a particular student's locker number, or perhaps the principal wanting an up-to-date list of students on a particular bus route, or of students who are billeted at a certain home in case of inclement weather. The currently-used means of student data storage and retrieval is generally adequate, but has several drawbacks. Firstly, the means of information storage used by most small to intermediate-sized schools consists of a series of files or lists of various types, often kept in an assortment of places, and updated only periodically (usually annually) by teachers or secretarial staff. Those responsible for compiling these lists in a conventional manner are often reluctant to make changes to prepared student lists when to do so might mean retyping, recollating, or revising an entire file. An example of this occurs whenever a new student arrives, or a current student leaves, necessitating the revision of class lists and individual files. Secondly, the system of searching student data to find information on a particular student or group of students with some common characteristic (i.e. all students with allergies to bee stings) is made difficult, particularly on short notice, if every student's file must be searched manually to determine this information. It is granted that, in small schools, this information may be common knowledge among experienced staff members. However, as the size of the school increases, so does the quantity of data which must be at the fingertips of teachers, secretarial staff, and administrators. Very large schools, in many instances, have taken steps to establish a student data base on large minicomputers or mainframe computers. It is the small to intermediate-sized school which would most benefit from a microcomputer based student data base. Background The hamlet of Seven Persons is located on Highway 3, some twenty kilometres west of Medicine Hat, Alberta. Seven Persons School has a student population of approximately 215, drawn primarily from the farms, ranches, and acreages south and west of Medicine Hat. The school staff is comprised of twelve full-time teachers (including one librarian and one resource room teacher), and the principal. In addition to the instructional staff, there is a full-time secretary who looks after the school office. Prior to the development of a computerized data base containing student demographic data, the problems inherent in the process of dealing with student enrollment information were manifold: 1. Storage of information a) Information lists were de-centralized. Most information was stored on individual registration forms submitted by the student upon enrollment at the beginning of each year, and kept in the main school office. Other information relating to locker assignments, intramural teams etc. was kept with the physical education instructor. b) Certain categories of data had not been assembled. The primary example of this is a record of the oldest child in each family attending Seven Persons School; this list is most useful when large duplicated handouts are to be sent home to each family so that duplication and paper costs are kept to a minimum. 2. Retrieval of information a) Retrieval of information could only be done on a student-by-student basis. When specific information was required, a student's entire file would have to be pulled, and the registration data sheet would have to be located, often among other documents containing academic records, achievement test results, transfer records, etc. b) No retrieval involving a specific category of information was possible without looking through all files manually and compiling a list from these. c) Because of this, retrieval of information lists, particularly about a category such as parents' phone numbers or emergency medical contacts, for example, was very slow and tedious. 3. Searching and sorting a) All sorting and compiling of lists was done manually. b) The preparation of an alphabetical list of students in a particular grade, bus route, or intramural house, for example, became doubly complex because of the two, or sometimes three, search variables. c) Although such lists would have been useful and convenient for classroom and administrative tasks, they were often not prepared, primarily because of the excessive time and energy required to do so. 4. Editing and Printing a) The correction and typing of individual student information, or of lists, was all done manually. b) Corrected or edited lists were often not updated during the school year because of the clerical time required to re-sort, re-alphabetize and/or re-type lists. Consequently, the names of former students still appeared on lists, while those of new students did not. c) All lists were assembled and typed in the school office, then refiled, to be updated the following year. This situation seemed an ideal one in which to harness the tremendous data storage, retrieval, listing, sorting, editing, and printing functions of the microcomputer database. Some experience with a data base had already been gained using Appleworks to catalogue and label the school's computer software collection in 1986. The ability of this data base to store the names of all software titles, to enable the location of a specific program by topic, grade level, or title, and to update records when new software was acquired, was enough to recommend it as a useful tool in the storage of student data as well. LITERATURE REVIEW "Everybody gets so much information all day long that they lose their common sense" (Molnar, 1986, p.64). This statement by Gertrude Stein aptly focuses on one of the major problems faced by modern educators, particularly administrators. Alex Molnar (1986) suggests in his article "Technology, Information, and Schools" that the roles of the teacher, principal, superintendent, curriculum coordinator, student, school psychologist, or parent, are all determined, in part, by which information they have access to, and when then are allowed to have it. The diversity of influence that information can have in a population or organization leads Molnar to coin the term "sociology of information" to describe the broader role of information, information technology, and the uses of information in society. General Uses of Computers The microcomputer, for at least the past decade, has been on the leading edge of information handling technology in schools. This machine's uses are legion, ranging from instructional functions of varying types, to less pedagogical applications such as record and account keeping, to purely entertainment purposes such as games. Although there is a great deal of discussion underway in the current literature of how computers should be used most effectively in teaching, and frankly, of how to restore that initial burst of enthusiasm about computers in the classroom, there is no doubt that computers have a very bright present and future in facilitating administrative tasks in schools of every size. Westrom (1982) describes four prerequisites for the development of microcomputer systems in schools. These include: a) an understanding of microcomputer hardware, b) an ability to program, c) an understanding of and skill in system analysis, and d) a thorough understanding of the problem (p. 8). This list points out how much has changed in the past five or six years. As the calibre of hardware and software has undergone such dramatic improvement in quality in recent years, there is no longer the prerequisite that administrators or teachers have any ability to program, or that they have comprehensive skills in system analysis. There is no denying, however, that some understanding of microcomputer hardware (and software) is preferable, and that a thorough understanding of the overall problem or application is still essential. It is pointed out by Westrom that the real benefits of the microcomputer accrue from its ability to reduce the time needed to complete a task, and to enable an administrative focus on data needed for a specific problem. One of the major characteristics of a hardware/software microcomputer system, according to Westrom, must be its ability to handle basic student demographic information as a first step (p.8). Westrom also adds a note of caution, inviting administrators not to jump on to the computerization bandwagon unknowingly. "Just because a school application can be done on or with a microcomputer does not imply that it should be done" (p.8). Although computers generate documents which appear to be precise and well-organized, they can, he warns, turn out to be a burden. Latta, Dunn, and Stevenson (1982) also see the microcomputer as a powerful administrative tool. They stress that the greatest potential use or value of the microcomputer, surprisingly to some, is not in the classroom, but in the school office. To that end, it is therefore essential that those in day-to-day contact with the school office, foremost of whom might be the school principal, should have a working knowledge of computers and their applications. These authors see a variety of leadership styles related to the use of microcomputers, including: a) the administrator who has "capitulated" and/or simply does not care what is going on with regard to the computerization of the office. This administrator can take the credit for the positive effects of the computer, and lay blame on others for the negative; b) the administrator who is unaware of the momentum that computers have gained, and in some cases commits "professional suicide" by simply stepping out in the way of the movement; c) the administrator who is aware of microcomputer development, who engages the talents of his/her staff in an organized fashion to begin a plan for change based on the expertise and interests of staff members; and d) the administrator who has become computer literate, who sees the applications for this technology, and who has initiated computer literacy inservice programs for both instructional and support staff (Latta, Dunn, and Stevenson, 1982, p.4). Furthermore, Latton, Dunn and Stevenson cite a Kirkland, Washington study which concluded that principals spend one-fifth of their daily time handling paper. This includes time spent waiting for information valuable to problem-solving and decision-making processes, as well as time spent writing letters, memos, and reports. The use of a computer is an ideal way to increase the productivity of office staff and to free the principal's time to assist and support teachers as the instructional leader of the school. This can only happen, however, when the administrator is both computer literate and an effective leader. Although these authors' definition of computer literacy is never clearly put forward, one can infer that they see the principal as having an awareness of the functions and applications of currently available software. Furthermore, they do not perceive the principal to be the expert programmer that Westrom envisages. Marjorie Hanson and Robert Trbovich (1985) reinforce this concept of the computer literate administrator in their examination of the microcomputer's impact on school administration. In their view, the computer can collect, summarize, and manipulate data to produce reports on a more timely basis. The school's chief executive has the ability to gain an optimum picture of data appropriate to specific decisions. This availability of data is referred to as the principal's 'visibility window' of data which "improves decision making by providing meaningful data pictures of some aspect of the school system" (Hanson and Trbovich, 1985, p. 4). The complexity with which the computer may be applied to administrative decision-making is also highlighted by Hanson and Trbovich. "Modelling" is the authors' term to describe the way in which future trends can be estimated based on data-based information, and an increasingly complex array of dependent variables. At one extreme, one might do nothing more than to use demographic data to establish trends in order to estimate future solutions. In such a situation, the computer does nothing more than to save time, and to allow one to examine the data from different perspectives. At the other extreme, one could build a highly mathematical model to predict both demographic or financial changes. A small school, such as the one at the focus of this study, would not likely require the sophistication of the latter extreme. Although the bulk of Hanson and Trbovich's comments are directed at larger schools and school systems, their general scenario for configuring hardware to administrative situations can be applied, in part, to much smaller schools. In terms of hardware, the authors suggest, as phase one, the acquisition of individual computers to be used in specific applications (i.e purchasing, word processing etc.). In a small school, versatility, rather than specialization, is much more cost-effective. Nevertheless, the acquisition of one or more computers designated for specific administrative tasks is essential. Phases two would encompass the networking of computers within the school, while phase three would link these with central office computers. Thus the purchase of hardware in phase one must also consider future expansion of the system with a minimum cost in terms of new hardware in phases two and three. A recurring topic throughout these articles is the level of expertise which administrators and/or teachers must attain. As was mentioned earlier, authors such as Westrom (1982) and Hanson and Trbovich (1985) feel that effective use can only be made of any computer system when those who reap the benefits of it are at least mildly cognisant of its operation. Stevens (1984) concurs with this, yet realizes that, although educators perceive that computers will have a strong impact on curriculum and classroom instruction, they are reluctant to incorporate computer technology in their classrooms. If this conclusion were to be expanded to non-instructional uses, it might suggest that educators feel even more reluctant about administrative applications, which are even more remote from day-to-day classroom experience. Stevens sees five barriers to the increasing application of computer technology in schools, namely: 1) the lack of adequate hardware and peripherals; 2) the lack of financial support; 3) the lack of financial support; 4) the lack of knowledgeable teachers, and 5) the reluctance to change (p. 266). Her identical listing of reasons two and three stresses the importance of financing any computerized expansion. Her recommendations to overcome these barriers are twofold: Firstly, prospective educators must be challenged to use appropriate computer technology in the classroom. Secondly, inservice programs should provide educators with the opportunity to acquire computer technology skills commensurate with their needs. The application of any computer technology, whether instructional or non-instructional, must therefore overcome similar barriers. Either approach must confront the problems of lack of funding, and of lack of teacher inservice head on. Administrative Uses of Computers While the articles mentioned so far have given a brief overview of computer uses in the classroom and in the office, and have examined some of their limitations, the following articles look more specifically at administrative uses. In particular, they examine the use of the data base as a means of storing, arranging, searching, and retrieving school-related data. One need not search the educational literature extensively to find references to the use of information systems in the schools. Williams and Bank (1983) highlight systems which are "constantly seeking both demographic and cost data that will allow them (administrators) to make annual budget projections" (p.1). Peterson (1983) describes the impact of computer technology on admissions and record-keeping procedures in schools of all sizes. Among his observations are several directly linked to this study. Firstly, the costs of computer hardware have been decreasing steadily. In the late 1950's a computer with a capacity of 180,000 bits cost approximately $250,000(U.S.). Today, a desk-top computer with three times the memory capacity is available for less than $2000 (U.S.) (Peterson, 1983, p. 88). This makes the cost of computer hardware much less of an obstacle than it was even five or six years ago. Secondly, there is increasing computer literacy among the general population, including students and teachers. Computer companies have made special efforts to market machines to educators, hoping to achieve a larger market share in future years as students purchase their own computers. Thirdly, software has become much more "user friendly". Even non-technical people, previously alarmed at the complexity of programming, feel much more at ease about applying this software to their specific needs. A case in point would be the Appleworks program, which not only provides word processing, data base, and spreadsheet components, but also enables an integration of these components in a manner which is affordable and easy to learn. Fourthly, there is a growing recognition of information as a resource. By harnessing the power of the computer as a tool to store, sort, and retrieve vast quantities of information efficiently and accurately, a user is able to manage information in such a way as to achieve maximum productivity. Peterson also describes several restraining forces which work against computer implementation. These include: a) the cost of computer technology. Although computer hardware has been decreasing in price, the complex technology of software, in some instances, has made it relatively more expensive than the hardware; b) the traditional orientation in many offices and/or schools towards paper, rather than electronic documentation; and c) the reluctance to change, and a fear of the risk involved in adapting to new technology. Peterson's conclusion is that, despite the restraining forces, we are still moving rapidly toward a greater use of computer technology. The evidence for this includes: a) higher emphasis on information management in long-term planning; b) the modification of the traditional role of the secretary to include information management; c) the fact that professional people are doing more of their own work on the computer; and d) the changing of attitudes from a "paper document mentality" to an electronic verification and maintenance process (p. 91). Despite the fact that Peterson's work looks primarily at admissions and record-keeping applications, several of his many suggestions are appropriate, even in a small school setting such as the one used in this project. One must: a) recognize information as a valuable resource, and establish appropriate machinery to manage and use this information in the most effective ways; b) develop one's own personal computer competency; c) use the computer for what it does best in order to free personnel to do what they do best. d) make appropriate data available to those who need it (p. 91). Another specific study which highlights the use of an information system in the school is that of Neil Webb (1984). Although this study was done at the college level, and focused on the use of student performance data for academic improvement, it nevertheless outlines the increasing variety of uses being made of school information systems in North America. Humphreys (1985) describes the use of modern information systems for student record keeping, particularly useful in light of the demands for accountability of expenditures in public education and for the provision of a wide spectrum of programs, ranging from those for the gifted to those for the handicapped. In his words, "better decisions require better information" (p. 49). Humphreys also explores the issue of privacy of information. Since the scope of the information collected in this study is not of a particularly private nature, this has not been addressed by the study. Nevertheless, every effort has been made to manage this information in a responsible manner, and, in Humphreys' words, "to minimize the risk to privacy, and the risk of inappropriate decisions" (p. 50). Information Storage and Retrieval Edward Blackhurst (1983) looks very specifically at the use of microcomputers in the management of student records. His study, although conducted on a large scale, suggests difficulties similar to those found with information retrieval in smaller schools. When requests for information are received from any one of a host of agencies or individuals, a haphazard search for data is initiated. Unless office personnel are extremely well organized, a manual search is done through documents that were often designed for other purposes, and which are often out of date. Furthermore, Blackhurst adds, information must frequently be sought from more than one location. The prerequisites of an efficient information system, in Blackhurst's view include an ability: to store information, to be updated easily, to retrieve quickly, and to sort information in a variety of formats. Furthermore, such a system might be capable of printing mailing lists and mailing labels. Blackhurst uses the Personal Filing System (PFS) as an example of a microcomputer data base, and illustrates how PFS, like Appleworks, is menu-driven, enabling use of the program with a minimal amount of training. Several other articles discuss the use of microcomputer data bases in a very familiar application -- the library. Both Leggate and Dyer (1986) and Planton and Phillips (1986) detail a variety of uses for the data base in the library's day-to-day function and administration. In both instances, there are areas of application, or similarity, to the Seven Persons project. Leggate and Dyer recognize the tremendous potential of a data base within an organization, rather than of one connected to external agencies, since decisions are most often made locally with locally obtained information. An individual school, therefore, might not find an immediate advantage to linking its database to a central office computer. These authors discuss a variety of facets of a data base, however those characteristics which relate most to this project include a data base which is: a) flexible enough to perform retrieval, sorting, or listing tasks; b) searchable according to specific fields (i.e. last name, grade, etc.), or by words or phrases that would be suitable search terms; c) form-filling, that is a form is presented on the screen and the operator has only to fill in the boxes, (template format) and, d) editable by files, records, or fields of information. Planton and Phillips' (1986) experience in using PFS for the college library suggests that some difficulty was encountered by library personnel in learning to operate the system. VISICALC, an electronic spreadsheet used in conjunction with PFS for statistical record-keeping, seems to have been difficult to master, perhaps because it is not a menu-driven program like Appleworks. Nevertheless, their article does strongly identify the need to do effective inservice training with an organization's users while a data base is being introduced. Cohen, Hall, and Cohodes (1986) have written extensively about the use of a data base in improved evaluation planning, primarily to support decision making. Their procedure comprises an extensive description of the program for which a data base is to be used, followed by information gathering and the organization of objectives prior to the data base's construction. Their concern is that the data base be used as a tool to enable the evaluation of a program, once it has been implemented. Although the average small school does not usually plan its programs in such detail, there are still elements of these authors' work which has relevance for this project. Firstly, the data requirements must be specified. The Seven Persons data base is structured to contain information which is often in demand (i.e class or bus lists), which is generally available from school enrollment forms, and which is difficult or inconvenient to retrieve, search, or sort manually. Secondly, Cohen, Hall, and Cohodes emphasize the need for an aggregation of data sources so that information files are centrally available for the convenience and efficiency of the school office. Neil Tate (1986) describes another specific database application, that of data manipulation in the field of social research. He lists a variety of specific data management activities which, although useful in social research, are certainly not exclusive to that field. In fact, one or more of these features can be useful in a small-scale demographic database as well: a) entering new or additional data records; b) editing/correcting errors in stored data; c) adding data to existing data; d) sorting the records into a new order defined by the values of an existing data field; e) aggregating or otherwise summarizing on one or more fields; and f) transposing the rows and columns of a database (p. 683). To this end, Tate first looks at the option of writing one's own computer software to accomplish these purposes. He concludes, to no one's surprise, that even though it may be possible to write a customized program to serve one's needs, it is hardly efficient to do so. He names software packages such as dBase II, dBase III, Lotus 1-2-3, and Visicalc, most of which are very similar in many respects to the Appleworks package, as likely candidates for a microcomputer data base and/or spreadsheet. Perhaps the most concise examination of a computerized data base, which parallels the requirements of the data base in this project, is that of Foster et al. (1986) Their article examines the information an administrator might want from a computerized student data base (CSDB), how one might be used, and how much one might cost. The primary consideration to be made in the purchase of a CSDB, in Foster's opinion, is flexibility. Each school has lists of various types containing demographic data such as students' names, addresses, parent/guardians' names, emergency phone numbers etc. The nature of the information that a particular school considers important varies a great deal from place to place. This would depend, for example, on whether the school is urban or rural, large or small. In any case, the data base must be capable of dealing with each school's unique set of circumstances. As a secondary consideration, the authors suggest that one select a useful software package with easy-to-use, step-by-step instructions and easy-to-remember mnemonics. The Appleworks program, being "menu-driven", certainly fits this description, and can be learned with a minimum of difficulty. For this reason, Foster suggests that after one has selected the best software for one's purposes, the hardware selection is easy. Thirdly, it is imperative that those who will use, or who may wish to use, the data base must be trained in its use. The most likely candidates for such training are the principal, vice-principal, and office staff members. Foster goes so far as to designate a staff member as "the data base officer" so that requests for information can be channeled appropriately. In a small rural school, whose office staff consists of perhaps one secretary, the roles of "attendance clerk" and "data base officer", to name but a few, must be assumed by one and the same person. Furthermore, this person must be totally familiar with the intricacies of the data base software. To quote Foster et al., "when a school is trusting its entire day-to-day operation to the actions of one person, he or she had better be the best that can be found" (p. 65). Summary of Literature Review The current literature contains numerous articles on the diverse uses of computers in schools. While the majority of publications mentioned in the literature review have examined purely instructional uses of the microcomputer, far fewer have examined the bright future of information systems in the school office. Those authors who have examined the applications of microcomputers in non-pedagogical situations have provided a list of salient points which do have a bearing on the structure and outcomes of this particular study: 1. Planning and Implementation a) Any information system must rely on demographic data as a first step (Westrom, 1982). b) In any application, the rationale for the information system must be clearly defined (Westrom, 1982). c) There is a growing recognition of information as a valuable resource (Peterson, 1983). d) The traditional roles of office personnel must change (i.e. the secretary as "data control officer") (Peterson, 1983). e) A suitable database must: i) be flexible enough to perform retrieval, sorting, and listing tasks; ii) be searchable according to specific fields; iii) be of the form-filling type; iv) be easily editable v) be easily learned by the average teacher. 2. Software and Hardware a) It is recommended that hardware be acquired for specific applications; this can be networked later if necessary (Hanson and Trbovich, 1985). b) Computer software has become much more user friendly in recent years (Peterson, 1983). c) The costs of computer hardware have been decreasing steadily (Peterson, 1983). d) The relative costs of computer software have increased, but so have the levels of sophistication and performance. 3. Skills and Inservice Training a) No longer must administrators or teachers be programming experts in order to function effectively with an information system. Instead, it is suggested that they be "computer literate", implying a working knowledge of the computer system, its capabilities, functions, and applications, rather than an ability to program. b) There is an increased level of computer literacy among the general population (Peterson, 1983). c) A computerized information system cannot be introduced successfully without training for staff members. 4. Obstacles and Barriers a) The major obstacles to implementing computer technology include: i) lack of hardware and peripherals; ii) lack of financial support; iii) lack of teachers knowledgeable about computers; and iv) the reluctance to change (Stevens, 1984). b) This reluctance to change very often occurs at the administrative level, and can range from outright intransigence to grudging tolerance of new computerized information systems. (Latta, Dunn, and Stevenson, 1982). 5. Advantages/Recommendations a) The greatest potential uses for microcomputers in the school lie in the school office (Latta et al., 1982). b) The major advantages of the computerized information system are to: i) increase productivity of school personnel; ii) free principals' time for the major task of instructional leadership (Latta et al., 1982). c) Teachers should be: i) challenged to apply appropriate computer technology, and ii) provided the opportunity to acquire computer technology skills commensurate with their needs (Stevens, 1984). d) The best decisions are informed decisions, made on the basis of soundly gathered and assembled data (Humphreys, 1985). e) The individual administrator must personally accept the responsibility of developing his/her own computer literacy. f) One must use the computer for what it does best, to free personnel to do what they do best (Peterson, 1983). g) Data must be made available to those in the school who need it. h) Data-based information storage, retrieval, and sorting eliminates the manual search of disparate sources which are not originally designed for this purpose, or which are out of date (Blackhurst, 1983). i) A single school need not find any immediate advantage to networking its computer system with central office, since information is locally collected for the purpose of local decision-making (Leggate and Dyer, 1986). THE STRUCTURE, CHARACTERISTICS, AND LIMITATIONS OF DATA BASES A General Look at Data Bases Definition A microcomputer data base is most easily defined as a means of creating and accessing lists of things. There are three major activities involved in working with lists: a) creating and entering new information into a list; b) rearranging the order of the list; and c) printing a report from the list. Components A data base may contain one or more files (i.e. the Seven Persons Student File). Each file consists of records, corresponding to individual items in the data base (the details of one student). Each record is made up of fields corresponding to different categories of data. For example, the record for a particular student may contain fields such as name, home phone number, etc. The entries in each field are comprised of individual symbols, called characters. Most fields, such as the parent's name, are singular, however some, like the emergency phone number category, may contain several pieces of data. The search function of a database involves the matching of a word, phrase, prefix, number, or character string against each record. If a match is achieved, the record is displayed; in some databases the user is informed of the number of matched records. Thus a search for a student named "Jan" might match records of student names containing "Jan", such as Jane, Janet etc., unless specifically delimited. File, Record, and Field Sizes File sizes may be specified in numbers of either characters or records. Record sizes may be defined in terms of characters or fields. Size restrictions may result either from the operating system or the applications software. The Personal Filing System, or PFS (1981) program, for example, advertises that it is possible to place up to 1,000 "pages" on a single diskette. (Leggate and Dyer, 1986, p.44) Thus, if a single data form is being used, information on 1,000 students could be stored. In fact, as the number and length of the fields increases, the number of students will be much smaller. Another limitation of PPS is that it will only print nine columns in a report. The InfoStar system (1982) has the ability to store 65,535 records per file. A maximum of 255 fields per record is permitted, and a maximum of 120 characters per field can be used. If a user needed an entry, such as a brief abstract requiring more than 120 characters, then this would not be an appropriate data base. (Tate, 1986, p.164) Despite this program's larger capacity, one is limited not so much by the software, but by the lack of hardware available to operate it with. Similarly, other systems such as dBase II (1982) and dBase III will permit only 32 fields per record. Each data base has unique characteristics and/or limitations which must be considered in selecting a data base. dBase II, for example, is not a system for novices, since it is a programmable data base, and therefore requires considerable study and effort to implement effectively. Edwards (1983) has provided a useful reference that describes the physical characteristics of 128 different database management programs. For each of these programs, Edwards lists the manufacturer, the computer hardware requirements, information about the number of records, record length, number of fields, field length, sorting options, print options, price, and several other features. (pp.42-49) The Appleworks Data Base The Appleworks program, which operates on the Apple IIE or IIC computer, is an integrated software package comprised of three components, a word processor, an electronic spreadsheet, and a data base. The immediate advantage of such an integrated package is that tables created on the spreadsheet, or reports created on the data base, can easily be moved into a word processor document by means of a feature called the clipboard. The Appleworks data base performs two main functions: a) the review/add/change function, and b) the report function. Its structure is very similar to that of the other databases described earlier, although the Appleworks documentation uses the terms "entry" or "category" in conjunction with the term "field" commonly used elsewhere. The term "category" refers to one kind of information within the data base (i.e., home phone numbers, intramural house etc.) The hardware requirements for the Appleworks program vary. Either of two configurations are commonly used: a) an Apple IIe with 64K (kilobytes) RAM, capable of holding about 140 records (assuming an average record size of 75 characters), or b) an Apple IIC or IIe with 128K Ram, capable of holding about 750 records of 75 characters each. Several other limitations of the program are as follows: a) a maximum of 1350 records may be stored, no matter what the record size or number of categories; b) a maximum of 1024 characters per record; c) a maximum of 76 characters per field, and d) a maximum of 20 characters in a category name. (Appleworks Reference Manual, 1983, p. 47) THE SEVEN PERSONS SCHOOL DATA BASE PROJECT Why Use a Data Base? As was mentioned above, the idea of a Seven Persons School Data Base grew primarily out of a successful experience with a computerized data base used to catalogue the school's computer software collection. This had allowed the quick location of specific software titles by topic, or by grade level, and had illustrated to the school at large the underlying principles of a data-based system. Several other contributing factors relative to the decision to use a computerized student data base are also worthy of mention: a) consultations with the school secretary revealed a keen interest on her part in pursuing the idea. Having seen the software data base, she became aware of how a data base could consolidate the various student lists she handled in the school office, and could make the editing, sorting, searching, listing, and printing of lists much more convenient; b) the school administration shared these feelings, and was very supportive of the idea; c) sufficient hardware and software to set up the data base were immediately available, although no office computer had yet been purchased; and d) several staff members had expressed approval for the idea of computerizing report cards and cumulative records. A demographic data base seemed a logical first step toward reaching this goal. Why Use Appleworks? The decision to use Appleworks as the data base program for storing basic student enrollment data was dependent upon several factors: a) familiarity with the Appleworks program already existed; b) the hardware and software to operate the program were already available in the school in the form of four Apple IIc computers; c) the Appleworks program had sufficiently large capacity to store about 20 fields for approximately 200 students; d) the Appleworks program, being menu-driven, does not require a knowledge of programming, and could be learned relatively easily by office staff, teachers, and administrators; e) Appleworks was already available in other Cypress Division schools, and so experience gained with this database could easily be transferred elsewhere; and f) no plans had been made to network this database with other schools, or with central office, and so a data base with special networking features was not deemed necessary. Goals of the Data Base To make general student data (excluding test scores, grades etc.) more accessible to the school administration of Seven Persons School, a variety of useful information was compiled in the form of a computerized data base, by means of the Appleworks program. The goals of such a system are manifold, and include the ability of the system to act as: a) a centralized store of general student data; b) a backup to existing written files and documents; c) a supplement to more confidential files of student performance, test results, etc; d) a means of quick access to: i) individual student information, and ii) particular lists of students, including cross-referenced lists with two or three specific criteria (i.e. students whose birthdays are in July and who are in a certain intramural house and who are in a particular grade); e) a time and energy saving device for administrative and secretarial staff; f) a means of conveniently and quickly producing current, printed, alphabetical, or numerically-ordered lists of students for a wide variety of purposes; g) a means of quickly revising and updating student data; and h) a means of obtaining a broad picture of the school's student population in terms of any of the student information categories on file (i.e. by bus route, by phone numbers, by medical problems, etc.) Structure of the Data Base Once the decision to use a data base with Appleworks had been made, it was necessary to decide what categories of data would be available and most useful. A meeting with the school secretary and principal enabled a compilation of current lists and of new categories (i.e. the oldest child in each family attending Seven Persons School). The data base was set up to incorporate a wide variety of useful data. No data of a strictly confidential nature was to be included. The following categories were included for each student: 1. NAME (Surname, First, Second) 2. ADDRESS 3. PHONE 4. GRADE 5. GENDER 6. DATE OF BIRTH 7. FATHER (GUARDIAN) 8. MOTHER (GUARDIAN) 9. LAND LOCATION (Sec., Twp., Rg., W4) 10. SCHOOL DISTRICT NO. 11. FAMILY PHYSICIAN 12. ALBERTA HEALTH CARE NO. 13. SPECIAL MEDICAL PROBLEMS 14. EMERGENCY PHONE NUMBER 15. BUS DRIVER 16. BILLET 17. INTRAMURAL HOUSE 18. LOCKER NUMBER/COMBINATION 19. NUMBER OF SIBLINGS IN SCHOOL 20. ELDEST IN FAMILY (Y/N) Limitations of the Data Base It is immediately recognized that, because of the large quantity of data entered (20 categories x 210 students), that some adjustments will have to be made as the data base is expanded. It is entirely possible, for example, that, because of the limitations of the Apple IIc's memory capacity, the data base may have to be expanded in two discrete parts, one for perhaps Grades 1-5 or 6, and one for Grades 6 or 7-9. (Elementary and Junior High students) Furthermore, it is recognized that this data base is by no means inclusive. A great deal more data could be assembled for each student, however most other data are either too confidential or too rarely used to be included in this type of data base. Evaluation of the Data Base The data base described above is intended primarily to facilitate the handling and management of general student data by the teachers, secretarial staff, and the administrator of Seven Persons School. The desire to undertake such a project has arisen as a result of this writer's perception that: a) currently, the storage and retrieval of student data is often a cumbersome task for those involved; b) that revisions of both a major and minor nature are rarely undertaken by staff if such revisions involve tedious paperwork; c) that the microcomputer, when used in concert with a data base program such as Appleworks, can offer a wide variety of features in terms of both data storage, retrieval, and manipulation; d) that this data manipulation can be conducted quickly, conveniently, and neatly, thereby maximizing the teacher or administrator's time, enabling him/her to utilize time in other, more fruitful ways in the school. To measure the degree to which this data base would achieve some of the goals described above, an evaluation of the data base was included in this project. The evaluation includes the following major components: 1. a qualitative description by the writer of the steps in preparing the data base, the limitations of it, as well as of the success achieved in actually reaching its goals; 2. a series of interviews (and/or written surveys) of the major users of this data base: a) other teachers b) secretarial staff and c) the school administrator. The purpose of these interviews is to provide a picture of: i) how extensively the data base is used; ii) which categories were most utilized; iii) which additional categories are needed; iv) the advantages and disadvantages of this system compared with the currently used system, and v) whether it is feasible to expand the use of the data base to include academic and cumulative records for each student. Implementation and Inservice The data for some 210 students was entered into the Appleworks data base from enrollment forms and office lists in January and February of 1987. It was then ready to be made available for use by the school staff. The data base was demonstrated at the March, 1987 school staff meeting, which was attended by the Cypress Division Deputy Director, Mr. R. Carter. Firstly, this served to make the school staff aware of the potential of the data base. Secondly it served to arouse interest among teachers and administrators in the general idea of a computerized data base, and in particular with the possibility of purchasing a new computer for exclusive office use. Before this data base could be effectively utilized, staff members would need to undergo some inservice training to become familiar with Appleworks. In April of 1987, two afterschool sessions of two and one half hours each were conducted for teachers interested in becoming familiar with the program. A total of eight staff members (1 secretary, 1 principal, 2 teacher aides, and 4 teachers) took advantage of this voluntary inservice program held on April 29 and 30, 1987. (see Appendix A for an outline of the inservice) The inservice sessions were intended to quickly introduce staff members to the operation of all three components of Appleworks in a way that would relate to their classroom experience in keeping grades, preparing letters, et cetera. During the discussion of the data base, the Seven Persons School data base was used extensively as an example in the hopes that staff members, by means of firsthand contact, would become familiar enough with the data base to use it, or least be aware of how it could be used, after the inservice session. Evaluation of the Inservice In June of 1987, an evaluation survey of the data base was circulated to all fourteen members of staff, and was returned by all fourteen. The evaluation form (see Appendix B) was intended to find out: a) whether or not staff members were aware of the SPS data base; b) whether they had used the data base in the two months of May and June, 1987; c) what potential applications they saw for the data base; d) how comfortable they felt using the Appleworks data base program; e) whether the data base would be more useful at a particular time of the school year, and if so, how this would be most useful; f) which applications of the data base were most and least useful, and to so indicate by ranking these applications; g) staff feelings on the possibility of cumulative records and/or report cards being converted to a computerized data base. The following is a summary of the evaluation results. Since much of this data is qualitative in nature, a selection of verbatim comments has been included in some instances. 1. Are you aware of the computerized student data base in Seven Persons School? YES 13 NO 1 2. a) Have you used the data base to obtain school-related information within the last two months? YES 2 NO 11 NO RESPONSE 1 b) If not, why not? -- we don't have a computer in the office -- I don't have a computer at my disposal at this time -- I have had no need to use it yet -- no need to use this largely administrative information -- too busy now; intend to use it next year -- don't feel confident in computer use; lack of time to practice at the computer -- not trained on the computer -- some of these data items are listed in our registers; no immediate need for other categories 3. What are some potential applications that you might see for this data base? -- year end marks -- record keeping (tests/marks) -- listing resources (tapes, posters, filmstrips) not housed in the library but kept in individual classrooms -- efficient bookkeeping -- keeping records of former students since these are usually forwarded with cumulative folders -- making up beginning-of-year class lists -- track and field day age groupings -- library loan lists 4. For those eight staff members involved in the Appleworks inservice, the following question was asked: On a scale of 5 to 1 (5 = very well, 1= not well), how would you rate your ability to use the Appleworks data base before and after the workshop? BEFORE: mean rating of 1.00 AFTER: mean rating of 2.88 5. Would the SPS data base be more useful to you at specific times of the school year? If so, how? YES 8 NO 4 MAYBE 1 NO RESPONSE 1 -- school opening; medical problems should be checked out then -- year end lists -- awards day; keep track of previous winners and what long-term awards are available -- track and field day -- school registration day -- CTBS test results -- entry to Resource Room -- eye check data -- timetables -- school supplies inventory -- special events i.e Science Fair results, provincial achievement test results 6. Please rank the following applications of the data base in terms of their usefulness to you at this school (1st through 8th). \| Overall Rank \| Application \| \|--------------\|-------------\| \| 1 \| A means of conveniently and quickly producing current, printed, alphabetical or numerically-ordered lists \| \| 2 \| A centralized store of general student data \| \| 3 \| A time and energy saving device for administrative and secretarial staff \| \| 4 \| A means of quick access to individual student information and particular lists of students \| \| 5 \| A means of quickly revising and updating student data \| \| 6 \| A supplement to more confidential files of student performance, tests, etc. \| \| 7 \| A backup to existing written files and documents \| \| 8 \| A means of obtaining a broad picture of the school's student population in terms of any of the information categories \| 7. How do you feel about the possibility of all cumulative records being stored on a computerized data base? -- let's do it! -- yes -- would make it easier to get printouts of various areas -- good idea -- good chance -- information would still have to be transferred to a cumulative record folder to be transferred to other schools Summary generalizations Several major observations can be made from the staff evaluation: a) the level of usage of the SPS data base during the months of May and June, 1987 was very low; b) the workshop succeeded in raising the level of awareness of the advantages of a computerized data base in terms of storing, searching, updating and retrieving student enrollment data. Those affected by this included: i) the school's teachers and aides; ii) the school principal and secretary; and iii) the central offices (by virtue of communications by the principal to the central office (see Appendix C), and the deputy Director seeing a firsthand demonstration of the data base at the school staff meeting); c) the workshop generally raised the staff's level of knowledge of Appleworks; d) there was an overwhelming awareness of the SPS data base (13 of 14 respondents so indicated); e) very few staff members had tried to use the data base, although most respondents listed some potential applications for it. The low level of usage of the data base can be explained in several ways: a) most of the immediate applications for the lists or sorts done by the data base would be more relevant in the school office, rather than with individual teachers; b) the timing of the project was perhaps poor, in that teachers are generally preoccupied in May and June with end-of-year activities; c) there was a lack of confidence felt by: i) teachers who had not used a computer for any substantial length of time, or who had not used Appleworks, or i) teachers who had spent some time using Appleworks in the two-session workshop, and expressed only a moderate proficiency with Appleworks; d) teachers felt they would be able to call upon the school secretary to use the data base for them. The combined ranking of staff opinion on the applications of the school data base shows several interesting points: a) the three highest ranks were given to the data base as: i) a means of producing lists; ii) a centralized store of general student data, and iii) a time and energy-saving device. All of these functions are ones which one might ordinarily label as "office-related", but which would be directly useful or convenient for the classroom teacher. b) the three lowest ranks were given to the data base as: i) a supplement to academic records; ii) a backup to existing written files and comments; and iii) a means of obtaining a broad picture of the school's student population in terms of specific categories. Since these latter tasks are generally designated as "administrative" functions, it is understandable that most teachers and staff members would not see immediate application for these, and so would rank them low. Usage Update: Secretary and Administrator Questionnaires In the fall of 1987, a new Apple IIe computer (128K RAM), monitor, and Imagewriter II printer were purchased by the school division specifically for the office of Seven Persons School. As new students were registered in September, the school secretary updated the Appleworks data base to include data from new students, and to delete data from former students. In November, 1987, both the school administrator and the secretary were questioned about their experiences with the SPS data base, which had just been updated. The following is a summary of the questions asked and their responses: (S = Secretary P = Principal) 1. How familiar would you say you are with the SPS data base in terms of: a) the variety of information it contains? S: familiar P: fairly familiar b) the way in which this information is organized? S: somewhat familiar P: familiar c) the ways in which this information can be retrieved, sorted, and/or listed? S: familiar P: not as familiar 2. Do you feel comfortable enough with the Appleworks program to use the data base effectively? a) S: yes b) P: As I personally do not use the program, I am not comfortable with its operation; 3. Have you used the SPS data base in the past six months? If so, describe as many instances as you can. If not, have you noticed applications for it? Please describe these. S: Yes -- classroom lists (Grades 1-9) in alphabetical order -- bus driver lists (students on each bus) by grade -- lists of students in each grade (male / female) -- list of oldest student of each family in alphabetical order -- list of student, grade, and locker number -- list of students by grade and billet -- list of students, medical data, and health care number by grade -- lists of students with birthdates in a particular month (these are announced on the intercom each day) P: No -- potential uses include student lists, phone numbers, parents' names and addresses 4. Have there been occasions when a manual retrieval, search, or listing of student information was used instead? If so, why? S: Yes. To look up one emergency phone number. P: Yes. Before the data base we needed a list of family names and the oldest child in each family. This is now done using the data base. 5. Do you think the SPS data base is an improvement over the manual approach to storing and retrieving student data? If so, why? If not, why not? S: Yes. It is much easier to make up lists with varying information on each data sheet. i.e. class lists with student name, address and telephone number and any combination of the 20 categories on the data base. P: Yes, very much so. Information can be accessed quickly. It is much faster to update the data base each year than manually prepare new class lists and information. 6. (Principal only) A new Apple IIe computer was purchased for the Seven Persons School office in September, 1987. a) Why was the computer deemed necessary? i) We wanted to make use of the data base so record keeping could be simplified from year to year. ii) Convenience -- if we have access to a computer, we will use it. b) Was the use of the SPS data base considered in the decision to purchase this new computer? If so, how much of an influencing factor was it? Yes. After the inservice, I realized the quantity of information we could access. It became obvious that the office records could be more efficiently used, as well as expanded. This was discussed with central office administrators. c) Were any future applications of the computer considered? Yes. It was becoming inconvenient to borrow a computer from the computer room for office use, and for students to use the Choices guidance program. It interrupted classes as well. Library use, record keeping, and teacher use were also considered. 7. (Secretary only) How much time and effort were involved in updating the data base at the beginning of this school year? S: No effort, however it was time consuming. (approximately 1-2 days part time). 8. Do you think this amount of time spent in using and updating the data base warrants having it? S: Yes P: Yes. Although I didn't update the information, it was obvious that it has saved time, and will save time. 9. In your opinion, what are the advantages of using a student demographic data base like the SPS data base? S: The ability to pick and choose information (one category i.e. billets) and combine with any number of other categories and make printouts of needed information for teachers. P: a.) saves time -- because we need the information and it would have to be done manually. b.) efficient -- the information is kept in one location; easy to access. c.) space -- it takes very little space to store quantities of information. 10. What are the disadvantages? S: none P: It would be initially expensive if you had to purchase a computer only for use of the data base. 11. To your knowledge, have teachers used the database, or made requests for the type of information which would be accessed through the database? If so, please describe these. S: Both principal and teachers have been provided with class lists, including addresses, phone numbers, etc. P: Not that I am aware of. 12. Would you like to see this type of database expanded in the future to include cumulative records, grades, inventory, etc.? S: Yes, expanded to include junior high options, inventory, student grades, locker combinations etc. P: Yes. It would be easier to add various types of information to a database rather than to cumulative records, mark sheets, etc. At the present time if a student leaves our school, or graduates from grade nine, we have no records of that student once their file leaves the school (except their grades). 13. In your opinion, what factors would determine whether a data base to store student academic data is developed and used in the future? S: The school division's decision to go with a computer printout for report cards division-wide. P: -- ease of operation -- agreement by administrators and central office personnel to store information on the data base and replace cumulative folders by a computer printout -- the printout could be designed to store more information such as: - resource room files - standardized test results - achievement test scores - family record - medical record -- it would be a complete profile of a student Conclusions An informal survey of Seven Persons teachers in November of 1988 has indicated that no one has used the SPS data base since May of 1987. Nevertheless, each has received updated class lists prepared on the data base this year. Thus, the predominate use of the data base continues to be in the school office. The results of the administrator and secretary questionnaires were extremely encouraging in that both see a great deal of potential in the use of the data base, and both indicate decisively their desire to see its use both continued and expanded. The school secretary has been by far the most extensive user, and has already prepared numerous lists from the data base. The successful use of this small data base may well serve to pave the way for future computerization and streamlining of school office procedures. In a sense the SPS data base has already begun this by directly aiding in the acquisition of a new office computer, and in the training of staff members in the use and value of a data base. The decision to develop and/or use a data base to store student academic data will be a much more complex one to make. Firstly, the existing school computer hardware does not have the memory capacity to effectively store and manipulate the wide variety of data necessary for some 200 students over their nine years' stay in the Seven Persons School. Secondly, central office will have to be directly involved in, and in fact, will have to spearhead, the decision to expand, as this expansion is more than likely to be made on a jurisdictional basis than on an individual school basis. The Cypress School Division board would have to be presented with the intent of such a data base, would have to be convinced of its value, and would have to be willing to underwrite its cost. Formats for data bases, cumulative records, and report cards would all have to be standardized within the division. Thirdly, the variety of data base hardware and software combinations would have to be thoroughly explored before one could be selected. Fourthly, a staff inservice program would have to be organized and conducted so that teachers and office staff are totally familiar with the data base prior to its implementation. Fifthly, new issues such as privacy and confidentiality of records would have to be addressed and resolved. Finally, such a program, once operational, would have to be monitored in order to determine if staff, administrators, and parents are satisfied with its performance. References Appleworks Reference Manual (1983). Cupertino, Ca: Apple Computer Inc. Blackhurst, A. (1983) Using Microcomputers to Manage Student Records. Teacher Education and Special Education, 6(3), 163-172 Campbell, J. and Redden, S.R. (1985), Working With Appleworks, Hasbrouck Heights, NJ: Hayden Book Company Cohen, A., Hall, K., and Cohodes, D. (1985). Evaluation Readiness: Improved Evaluation Planning Using a Data Inventory Framework. Evaluation and Program Planning, 8(4), 315-326 Edwards, J. (1983, March). The Desktop Buyer's Guide to Database Management Systems. Desktop Computing, pp.42-49 Foster, C.C., Hornbeck, H., McKinnon, G., Tulonin, R., and Weismantel, P. (1986). Computerized Student Databases. T.H.E. Journal, 13(10), 63-65 Hanson, M. and Trabovich, R. (1985) The Microcomputer's Impact on School Administration. Catalyst for Change, 15(1), 4-8 Humphreys, E. (1985) Student Records: Personal Privacy or Knowledge of Client? The Dilemma. Education Canada, 25(1), 47-51 Latta, R., Dunn, R., and Stevenson, J. (1982) Computer Literacy for School Administrators -- A Must. The Canadian School Executive, 5, 4-7 Leggate, P. and Dyer, D. (1986) The Microcomputer in the Library: Information Retrieval from External and Internal Databases. The Electronic Library, 4(1), 38-49 Molnar, A. (1986). Common Sense About Information and Information Technology. Educational Leadership, 43(6), 64 Peterson, E. (1986). Opportunities in the Eighties: The Impact of Emerging Technology on Admissions and Records. College and University, 59(1), 87-95 Planton, S., and Phillips, S. (1986). An Apple for the Librarian: The OUC Experience. Journal of Academic Librarianship, 12(2), 84-89 Stevens, D. (1984). Microcomputers: An Educational Challenge. Computing Education, 8(2), 263-267 Tate, N. (1986). Microcomputer Data Base Programs in Social Research. Evaluation Review: A Journal of Applied Social Research, 10(5), 682-693 Webb, N. (1984). Using Student Data for Academic Improvement. Educational Record, 65(3), 58-60 Westrom, M. (1982, May). Microcomputers in School Administration. The Canadian School Executive, p.8 Williams, R. and Bank, A. (1983) School Districts in the Information Society: The Emergence of Instructional Information Systems. Administrator's Notebook, 31(6), 1-4 Appendix A: Outline of the Appleworks Inservice, April 29-30, 1987 WELCOME to APPLEWORKSHOP April 29-30, 1987 Appleworks can really make a difference: A WORD PROCESSOR allows you to create, edit, and print any document easily, to your own specifications, on a computer video screen. A SPREADSHEET allows you to work with numerical information of all kinds, as long as it is expressed in rows and columns. A DATABASE allows the user to easily organize lists of information into logical groups. The "Apple-wise teacher becomes a whole new person!" WARNING! The contents of this workshop may open your eyes to new ways of looking at typing letters, reports, organizing data, and keeping accounts and grades. Proceed beyond this point at your own risk! INTRODUCTION TO APPLEWORKS Seven Persons School April 29,30 1987 Wednesday Introduction to the Apple IIc Overview of Appleworks ** Appleworks Tutorial: Apple Presents Appleworks Side 1: Introduction An Overview of Appleworks Gateway * The Word Processor Side 2: The Word Processor * Formatting Options Printing Documents Spelling Checker (optional) 5-minute BREAK ** The Data Base Appleworks Tutorial: Apple Presents Appleworks Side 1: Data Base A look at sample data bases --Software Inventory --SPS Student Database Develop your own phone list data base --include last name, first name, address, etc. THURSDAY * The Electronic Spreadsheet Appleworks Tutorial: Apple Presents Appleworks Side 2: The Electronic Spreadsheet A look at sample spreadsheets Develop a spreadsheet to display the number of students in each grade who have blue eyes, brown eyes, green eyes etc. Make up your own numbers. Use SUM and AVG functions. A look at Graphworks (Optional) 5-minute BREAK Integrating: Using the Clipboard Appleworks Tutorial Side 2: Putting It All Together ** Wrap-up: Questions Individual Projects (i.e. Write a short letter to an optician; use the clipboard to insert the student "eye-colour" spreadsheet in your letter) Introduction to AppleWorks Necessary hardware Apple II/e or c with 80 column 1 or 2 disk drives Software double-sided diskette: startup and program double sided diskette: tutorial on each side single sided diskette: sample programs AppleWorks is made up of a word processor, a data base manager, and a spreadsheet. The three parts of AppleWorks use similar commands, all store information on the same data diskette, and can be used together via a clipboard feature. Program Capabilities: Desktop - maximum of 12 files on the desktop - 64K system, room for 10K - 128K system, room for 55K Word Processor - 64K system has room for about 8 pages of text - 128K system has room for about 24 pages of text Data Base - has a 1,350 record maximum - 64K system, average of 75 characters/record room for 140 records - 128K system, average of 75 characters/record room for 750 records - 30 categories maximum - 1,024 characters/record maximum - 76 characters/entry Spreadsheet - 64K system, has room for 1,000 filled cells - 128K system, has room for 6,000 filled cells - has 999 rows by 127 columns maximum \| Keyword \| Keystroke \| Word Processor \| Data Base \| Spreadsheet \| \|------------------\|-----------\|----------------\|-----------------\|------------------------------\| \| Arrange \| (A) \| NA \| Arrange or sort category \| Arrange or sort rows \| \| Blank \| (B) \| NA \| NA \| Blank out cells \| \| Copy \| (C) \| Copy text \| Copy records \| Copy entries \| \| Delete \| (D) \| Delete text \| Delete records or report category \| Delete columns or rows \| \| Edit, Cursor \| (E) \| Switch between insert and overstrike cursors \| Switch between insert and overstrike cursors \| Switch between insert and overstrike cursors \| \| Find \| (F) \| Find text, page, or marker \| Find records \| Find entries or text \| \| Group \| (G) \| NA \| Add or remove group totals in a report \| NA \| \| Hard Copy \| (H) \| Print hard copy of current screen display \| Print hard copy of current screen display \| Print hard copy of current screen display \| \| Insert \| (I) \| NA \| Insert record, or previously deleted report category \| Insert rows or columns \| \| Justify \| (J) \| NA \| Justify report category \| Jump to other window \| \| Calculate \| (K) \| Calculate page breaks \| Define a calculated report category \| Recalculate values \| \| Layout \| (L) \| NA \| Change record layout \| Change cell layout \| \| Move \| (M) \| Move text \| Move records \| Move rows or columns \| \| Name Change \| (N) \| Change name of file or report \| Change name of file \| Change name of file \| \| Options, Printer \| (O) \| Display printer options \| Display printer options \| Display printer options \| \| Print \| (P) \| Print text \| Go to report menu, or print report \| Print worksheet \| \| Quick Change \| (Q) \| Switch to another file on the desktop \| Switch to another file on the desktop \| Switch to another file on the desktop \| \| Replace Text \| (R) \| Replace text \| Change record selection rules \| NA \| \| Save \| (S) \| Save the current file to disk \| Save the current file to disk \| Save the current file to disk \| \| Set Tabs \| (T) \| Set tabs \| Add or remove report category totals \| Set titles \| \| Value \| (U) \| NA \| NA \| Edit cell contents \| \| Window \| (W) \| NA \| NA \| Create windows \| \| Clear \| (Y) \| Clears to end of line \| Clears to end of entry \| Clears to end of cell \| \| Zoom \| (Z) \| Display format settings \| Zoom to single or multi-record layout \| Zoom to formula display \| \| Ruler \| (1) \| Move within file to beginning (1), end (9), or proportionally (2-8) \| Move within file to beginning (1), end (9), or proportionally (2-8) \| Move within file to beginning (1), end (9), or proportionally (2-8) \| \| Help \| (?) \| Display help information \| Display help information \| Display help information \| \| Cursor Move \| (→) \| Move cursor one word right or left \| Change size of category \| Scroll horizontally one screen display \| \| Scroll \| (↓) \| Scroll vertically one screen display \| Scroll vertically one screen display \| Scroll vertically one screen display \| NA = Not applicable. The keystroke has no significance for that particular task. NOTE: Some of the Data Base keystrokes work for the REVIEW/ADD/CHANGE screen; others for the REPORT FORMAT screen. The options are available by holding down Open-Apple and pressing the O key (O). To set an option, type the two-letter code and press RETURN. Then if prompted, type a number for the setting. Options marked with an asterisk () affect the appearance of the text on the screen. ### Printer Characteristics \| Code \| Description \| \|------\|--------------------------------------------------\| \| CI \| Chars per Inch \| \| LI \| Lines per Inch \| \| PL \| Page Length \| \| PW \| Platen Width \| \| P1 \| Proportional-1 \| \| P2 \| Proportional-2 \| ### Printing Controls \| Code \| Description \| \|------\|--------------------------------------------------\| \| EK \| Enter Keyboard \| \| NP \| New Page \| \| GB \| Group Begin \| \| GE \| Group End \| \| PE \| Pause Each Page \| \| PH \| Pause Here \| \| SK \| Skip Lines \| ### Text Controls \| Code \| Description \| \|------\|--------------------------------------------------\| \| LM \| Left Margin \| \| RM \| Right Margin \| \| TM \| Top Margin \| \| BM \| Bottom Margin \| \| CN \| Centered* \| \| IN \| Indent* \| \| JU \| Justified \| \| UJ \| Unjustified \| \| SS \| Single Space \| \| DS \| Double Space \| \| TS \| Triple Space \| \| HE \| Page Header \| \| FO \| Page Footer \| \| PN \| Page Number \| \| PP \| Print Page No. \| \| BB \| Boldface Begin \| \| BE \| Boldface End \| \| +B \| Superscript Beg \| \| +E \| Superscript End \| \| -B \| Subscript Begin \| \| -E \| Subscript End \| \| UB \| Underline Begin \| \| UE \| Underline End \| \| SM \| Set a Marker \| Set left margin. Set right margin. Set top margin. Set bottom margin. Center text between margins. Set indentation (use for bulleted items). Align right edge of text. Don’t align right edge of text. Print single spaced lines. Print double spaced lines. Print triple spaced lines. Set page header. Set page footer. Set page number. Print page number. Begin boldface (or use CONTROL-D). End boldface (or use CONTROL-D). Begin superscript. End superscript. Begin subscript. End subscript. Begin underline (or use CONTROL-L). End underline (or use CONTROL-L). Set a marker in text (marker is not printed). Functions in the spreadsheet perform various arithmetic, search, financial, and logical operations. A function is always preceded by the @ symbol. Some functions require an argument. Types of arguments include: - value A single numerical value. May be a number or an expression that evaluates to a number. - range A series of adjacent cells, such as (A9..A19) or (B45..H45). - list A list of single values or ranges separated by commas, such as (B9,H19,A1..A13). ### Financial Function - @NPV (rate, range) Calculates Net Present Value according to the interest rate and a series (range) of even or uneven payments. ### Logical Function - @IF(logical value, value1, value2) If logical value is TRUE, returns value1. If logical value is FALSE, returns value2. Logical values are created using following operators: - `<` less than - `>` greater than - `=` equal to - `< =` less than or equal to - `> =` greater than or equal to - `<>` not equal to For example: @IF(G42 >= 17,A11,B17), or @IF(G42 = G19,0,1). ### Arithmetic Functions - @ABS (value) Absolute value of the argument. - @AVG (list) Arithmetic mean of the values in the list. - @INT (value) Integer portion of the argument. - @MAX (list) Largest value in the list. - @MIN (list) Smallest value in the list. - @SQRT (value) Square root of the argument. - @SUM (list) Sum of all the values in the list. ### Search/Other Functions - @CHOOSE (value, list) Uses value as an index to list. Value may be pointer to another cell. - @COUNT (list) Returns number of non-blank entries in list. - @ERROR - @LOOKUP (value,range) Displays ERROR. Searches successively through range for largest entry that is less than or equal to value. Returns corresponding value from adjacent range. - @NA Displays NA (for "Not available"). Integration: Using the Clipboard ASCII Files Quick File Files DIF Files Data Base Spreadsheet Word Processor DIF Files VisiCalc Files ASCII Files ASCII Files Apple Computer, Inc. 20525 Mariani Avenue Cupertino, California 95014 (408) 996-1010 TLX 171-586 Printed in U.S.A. © 1984 Apple Computer, Inc. Appendix B: Evaluation Form given to SPS Staff Members in June, 1987 Evaluation PLEASE CHECK THE APPROPRIATE RESPONSE IN EACH OF THE FOLLOWING: 1. I am presently employed in this school primarily as: - a) an administrator; - b) a teacher; - c) a secretary; or - d) a teacher aide. 2. ____ I am aware of the computerized student data base in Seven Persons School. (go on to question #3) ____ I am not aware of the computerized student data base in Seven Persons School. (go on to question #6) 3. I became aware of the computerized data base by means of (check all that apply): - informal conversation with other staff members - a demonstration of the data base at staff meeting - the Appleworks workshop held at our school. 4. ____ I HAVE used the data base to obtain school-related information within the last two months. ____ I HAVE NOT used the data base to obtain school-related information within the last two months. 5. If you HAVE used the data base to obtain school-related information within the last two months, briefly describe the application(s). __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 6. If you HAVE NOT used the data base to obtain school-related data, what are some potential applications that you might see for the data base? __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ 7. If you HAVE NOT used the data base, briefly explain why not. ____________________________________________________________________________________ 8. Did you take part in the four-hour Appleworks workshop held at Seven Persons School on April 29/30, 1987? ____ Yes ____ No 9. If you DID take part in this workshop, please answer the following (If you DID NOT, go directly to question 10): a) Had you used Appleworks before? _____ a little _____ a lot _____ not at all b) How well were you able to use the Appleworks program before and after the workshop? PLEASE CIRCLE 1,2,3,4 OR 5 BEFORE AFTER A. THE WORD PROCESSOR Very 5 4 3 2 1 Not * Very 5 4 3 2 1 Not Well Well * Well Well B. THE DATA BASE Very 5 4 3 2 1 Not * Very 5 4 3 2 1 Not Well Well * Well Well C. THE SPREADSHEET Very 5 4 3 2 1 Not * Very 5 4 3 2 1 Not Well Well * Well Well D. THE CLIPBOARD Very 5 4 3 2 1 Not * Very 5 4 3 2 1 Not Well Well * Well Well 10. Do you think the Seven Persons School Data Base would be more useful at specific times of the school year? (i.e. school opening, track and field day etc.) ________ If so, please list some of these times ____________________________________________________________________________________ 11. Please rank the following applications of the data base in terms of their usefulness to you at this school. (1st, 2nd, 3rd through 8th) _____a) a centralized store of general student data; _____b) a backup to existing written files and documents; _____c) a supplement to more confidential files of student performance, test results, etc. _____d) a means of quick access to: i) individual student information, and ii) particular lists of students, including cross-referenced lists with two or three specific criteria (i.e. students whose birthdays are in July and who are in a certain intramural house and who are in a particular grade) _____e) a time and energy saving device for administrative and secretarial staff; _____f) a means of conveniently and quickly producing current, printed, alphabetical, or numerically-ordered lists of students for a wide variety of purposes; _____g) a means of quickly revising and updating student data; and _____h) a means of obtaining a broad picture of the school's student population in terms of any of the student information categories on file (i.e. by bus route, by phone numbers, by medical problems, etc.) 12. Please make any general comments you have about the Seven Persons Student Enrollment data base in terms of: a) the need for a computerized data base in our school __________________________________________________________________________________________ b) the types of categories of data which are most useful; least useful __________________________________________________________________________________________ __________________________________________________________________________________________ c) the possibility of all cumulative records being stored on a computerized data base __________________________________________________________________________________________ __________________________________________________________________________________________ d) who should have access to a student enrollment data base __________________________________________________________________________________________ __________________________________________________________________________________________ e) other THANK YOU FOR TAKING TIME TO COMPLETE THIS QUESTIONNAIRE! Appendix C: Letter from SPS Principal to Cypress School Div. Deputy Director following the Apppleworks Inservice May 4, 1987 Mr. R. Carter Deputy Superintendent Cypress School Division No. 4 147 - 6 Street S.E. Medicine Hat, Alberta Dear Bob: Re: Appleworks Workshop After school, on April 29th and 30th, Cam Barbour presented an Appleworks Workshop which he developed for several of our staff members including our secretary. I found the workshop interesting and enlightening. There are definitely valuable uses for the Appleworks Program, particularly for the school office. I should also add that Mr. Barbour did an admirable job in presenting this workshop to the Seven Persons staff. I am sending you an outline of the workshop. Mr. Barbour would be willing to present this workshop to other interested Divisional staff members. The workshop takes 5 - 6 hours to complete. Yours truly, K. Jones Principal Enclosure
ISLAMIC STUDIES, ORIENTALISTS AND MUSLIM SCHOLARS by S. ABUL HASAN ALI NADWI Translation: MOHIUDDIN AHMAD ACADEMY OF ISLAMIC RESEARCH & PUBLICATIONS P. O. BOX 119, NADWA, LUCKNOW—226 007 U. P. (INDIA) All rights reserved in favour of: Academy of Islamic Research and Publications Post Box No. 119, Nadwatul Ulama, LUCKNOW—226 007 U. P., (INDIA) Series No. 167 EDITIONS: URDU, FIRST, 1982 ARABIC, FIRST, 1982 ENGLISH, FIRST, 1983 Printed at: NADWA PRESS Nadwatul Ulama Tagore Marg LUCKNOW (India) # CONTENTS \| Topic \| Page \| \|----------------------------------------------------------------------\|------\| \| FOREWARD \| 1 \| \| Islamic Teachings for making an Estimate \| 5 \| \| Achievement of the Orientalists \| 7 \| \| Censorious Attitude of Certain Orientalists \| 9 \| \| Subtle Tactics of the Orientalists \| 10 \| \| Orientalism and the Eastern Universities \| 11 \| \| Need of self-sufficiency \| 13 \| \| Critical Analysis of Orientalism \| ib. \| \| Need for Constructive Work \| 14 \| \| Literary Endeavours made in Muslim Countries \| 15 \| \| Paucity of Islamic Literature in western Languages \| 17 \| \| India and other Muslim Countries \| 18 \| \| Works in English Language \| 22 \| \| Ahmadiya’s Service to Islam \| 26 \| \| Present-day writers \| 28 \| \| Works by some New Converts to Islam \| 30 \| \| Services of the Academy of Islamic Research and Publications \| 31 \| \| Literary and Research Works in Urdu \| 33 \| \| Dārul Musannifin, Shibli N’omānī and Syed Sulaimān Nadwi \| 34 \| \| Nadwatul Musannifin, Delhi \| 40 \| \| Topic \| Page \| \|----------------------------------------------------------------------\|------\| \| Other Writers and Researchers \| 41 \| \| Islamic Research in Pakistan \| 43 \| \| Primacy of 'Ulama' in the Literary Field \| 44 \| \| Individuals who surpassed Academies \| 46 \| \| Dā'iratul Ma'ārif Osmaniā, Hyderabad \| 51 \| \| Literary Works of Arab Countries \| 52 \| \| Studies in Religious Wisdom \| 56 \| \| Writers on Islamic D'awah \| 58 \| \| Literary and Research Work in Arabian Peninsula \| ib. \| \| Research Dissertations of the Universities \| 60 \| \| In Iran and Turkey \| 61 \| \| North African Arab Countries \| 62 \| \| The Jihād of Today \| 63 \| FOREWORD This brochure is the translation of the paper written in Arabic for the International Seminar on ‘Islam and Orientalists’ organised by the Dārul Musannifūn, ‘Āzamgarh, from Rabī-ul-Ākhir 26 to 28, 1402 A.H. (February 21 to 23, 1982 A.D.). The writer had to undertake a journey to Hijāz by the end of January 1982, for participating in certain conferences from where he was able to return on the 15th February, 1982. His heavy schedule of engagements abroad did not permit him to write anything on the subject. On return he came across a tragic event which left him completely disturbed and disconcerted rendering him unable to devote his attention to any literary pursuit. This was the untimely death of his nephew Molvi Syed Muhammad Thānī. More than a right hand to the writer, the late Syed Muhammad Thānī was editor of the journal Rīzwān and author of several works like the Sawāneh Maulānā Muhammad Yusuf Kandhalwi and Hayāt-i-Khallī. The writer of these lines was dejected and depressed while only four days were to go before the Seminar was to begin. The next two days were spent in receiving friends and sympathisers calling upon the writer to condole with him. Thus, in the two days left for the Seminar to begin, the writer was able to concentrate on the important discussions to be held on that occasion under the auspices of an organisation of which he happened to be a responsible office-bearer. The International Seminar was going to be held for the first time in India at the instance of a premier literary organisation of the country and it was likely to be attended by a number of scholars from abroad, many of whom were distinguished scholars and professors of the universities in the Arab countries. Nevertheless, the writer was still not in a frame of mind to take a decision about attending the Seminar, but the willingness of Molvī Muhammad Rābey Hasanī, Head of the Department of Arabic Literature in the Nadwatul ‘Ulamā to fulfil his commitment in this regard emboldened him to participate in the Seminar. Molvī Mohammad Rābey is the younger brother of late Molvi Syed Muhammad Thāni and he had been a witness to the agonising last illness of his elder brother. Another factor that helped the writer in deciding to attend the Seminar was the thought of anxiety and loneliness of Syed Shahāb Uddīn, the Secretary of the Dārul Musannifīn, ‘Āzamgarh. As it was not proper for the writer of these lines to attend the Seminar empty-handed, he tried to collect his thoughts in the extremely short time then available. Needless to say that he had to work hard but Molvī Nisār-ul-Haq Nadwī who assists the writer in his literary work had to work even harder by sitting late in the night to fair out the paper. Anyhow, the paper was given a final shape by the morning of 21st February, 1982 when it was to be read in the General Session. However, before the General Session began, it occurred to the writer that the large audience present at the meeting should not be made to listen the speech in a language not understood by it for the sake of a dozen or so Arab scholars. Instead of reading the prepared speech, he decided to speak in Urdu with such changes and additions in the prepared speech as were considered necessary in the circumstances, keeping in view the local conditions of the place. Extracts comprising salient features of the paper in Arabic were thereafter read out by Syed Salmān Hasanī for the benefit of Arab scholars. The Urdu speech was reproduced in the March-April, 1982 issue of Ma'ārif by Syed Shahāb Uddīn 'Abdur Rahmān. The writer got an opportunity to revise his Arabic paper after the Seminar was over and it was published in April, 1982. Its copies were sent to the scholars interested in Islamic studies. Simultaneously, Molvī Syed Salmān Hasanī rendered it into Urdu which was published by the Academy of Islamic Research and Publications after the writer had gone through it. Now its English version is presented for the benefit of English knowing scholars of Islamic subjects. The scholars and researchers may like to go through it even if they do not see eye to eye with the writer. Nor the writer claims that whatever views he has expressed in this paper are indisputable and should be given a nod of assent by the readers, yet the brochure represents his own findings as a student of Islamics which might be of help to others in their study of the subject. S. Abul Hasan Ali Nadwi Lucknow, January 25, 1983 ISLAMIC STUDIES, ORIENTALIST AND MUSLIM SCHOLARS Islamic Teachings for making an Estimate For those who are engaged in literary pursuits, research and penmanship and are also endowed with an awareness of the worth and merit of knowledge, the norms of qualitative analysis of the thought of others and the difficulties encountered in making a correct and objective assessment, there is nothing more distasteful than to take an attitude of partisanship for the condemnation of another scholar or class of scholars, or to deny their achievements. Indeed, a man of letters is more largehearted in comparison to the member of any other guild. He is ever willing to acknowledge and make use of the findings of not only his predecessors but also of his contemporaries and even youngsters. Injustice in passing a judgement or denial of the merits and achievements of others are verily against the teachings of the Qur'ān and foreign to Islamic morality. The Qur'ān expressly commands that: Lo! Allah commandeth you that ye restore deposits to their owners, and, if ye judge between mankind, that ye judge justly. Lo! comely is this which Allah admonisheth you. Lo! Allah is ever Hearer, Seer.$^1$ At another place it says— O ye who believe! Be stedfast witness for Allah in equity, and let not hatred of any people seduce you that ye deal not justly. Deal justly, that is nearer to your duty. Observe your duty to Allah. Lo! Allah is informed of what ye do.$^2$ The Qur'ān also directs that: That ye exceed not the measure, But observe the measure strictly, nor fall short thereof.$^3$ It follows that in forming an estimate of the work of other scholars or in their criticism or in bringing out their mistakes one is required to take a moderate view wherein both the merits and demerits should be set forth in a just and impartial manner. Every requirement should be met, as held by the jurists of Islam, --- 1. Q. IV: 58 2. Q. V: 8 3. Q. LV: 8-9 strictly in accordance with its need. Achievement of the Orientalists It is, thus, the moral duty of every Muslim scholar to acknowledge the services rendered by the orientalists to the Islamic branches of learning. For several among them have employed themselves to the study of Islamic sciences not with any political, economic or missionary motive but for the satisfaction of their scholarly passion with devotion and diligence, it would be sheer injustice if one were to deny the fact that numerous valuable manuscripts, historical documents and source materials on important topics have seen the light of the day through their efforts and that they have contributed to further studies and researches in Islamics. Had these manuscripts been left to the care of their owners they would have in all probability been destroyed. It is not possible to give the names of all the orientalists falling in this category owing to the limited space of this paper, but a few can be mentioned by way of illustration. T. W. Arnold was one who wrote the Preaching of Islam. Stanely Lane-Poole was another orientalist who penned the Saladin and the Moors in Spain. Dr. Aloys Sprenger edited Al-Isābah-fi-Tamīzis-Sahābah for the Royal Asiatic Society of Calcutta and wrote an scholarly foreward to the book while Edward William Lane compiled the dictionary by the name of Arabic-English Lexicon which is regarded as an authoritative work on Arabic etymology and availed of even by the scholars of Arabic grammar and syntax. A detailed index of the ahadith included in fourteen well-known works$^1$ on the Prophet's biography and allied subjects was prepared by A. J. Wensink, which was arranged by him under different sub-headings pertaining to literary, juristic and biographical topics. It was also rearranged by him in an alphabetical order. The well-known Egyptian scholar Fawād ‘Abdul Bāqī has rendered this work into Arabic by the name of the Miftāhu Kunūz-is-Sunnah while Syed Rashid Ridā and ‘Allāmā Ahmad Muhammad Shākir have written preface to the book expressing their admiration of the work. Wensink also supervised preparation of the Al-M’ojam ul-Mufahras li Alfāz il-Hadīth an-Nabawī (Dictionary of the Traditions of the Prophet) which was compiled by several orientalists and first published in 1936. Published in seven volumes, this work is easier to consult than the former one by Wensink. Another work of the same category is the Lands of the Eastern Caliphate written by G.B. Strange. All these works exhibiting genuine scholarship and research attest the exhaustive study and indefatigable efforts of the orientalists who have applied themselves to their tasks with enthusiasm and sincerity.$^2$ --- 1. The books in question are Sihāh Sittah, Musnad ad-Dārmi, Muatta Imām Mālik and Musnad Imām Ahmad b. Hanbal. 2. Only those English works of certain orientalists have been (Continued on next page) Censorious Attitude of Certain Orientalists With this acknowledgement of erudition and scholarly attainments of the orientalists I do not consider it improper to invite attention towards the prevailing penchant a majority of this class which exhibits a censorious attitude towards Islam, and always tries to bring out something to take a rap at the shari'ah, history and culture of the Muslims. These scholars make mountains out of molehills with a view to serving certain political or religious ends. Their attitude in this regard is not different from the drains inspector of a local body who can see only sewers, drains and heaps of rubbish in a nice and beautifully laid out town. Their works, too, do not differ from the reports of officials charged to bring out deficiencies in any system. It is really regrettable to find an orientalist devoting his attention to this sort of destructive work—taxing his energies to point out simply mistakes and failings, real or imaginary, in the Islamic history, culture and literature and presenting them in a dramatic manner in order to highlight only the dark features. The knowledge and intelligence of such scholars are pressed to offer a microscopic examination of their topics with a view to (Concluded from previous page) mentioned here which are generally free from adverse criticism of Islam and the holy Prophet. Works in other European languages like French, German and Dutch have not been mentioned as the writer does not know these languages. stretching the truth for painting a very dismal picture of Islam. Their endeavour is to create doubts about Islam and its law and culture in the minds of youngmen receiving education in the western universities so that the latter should return home completely disenchanted with Islam and its way of life, and with a sense of despondency in the present and future of the Islamic world. Consequently, when these youngmen educated in the West come to hold the reins of government in their countries they become the most ardent supporters of Islam’s modernisation and reform of its shari’ah. Subtle Tactics of the Orientalists The device followed by such orientalists is to determine their objectives first and then to try, through all possible means, to prove their propositions. They collect information from all sorts of works on different topics unrelated to the subject of their study as, for example, religious tracts, historical accounts, literary works, poetry, fictions and anecdotes and then spin the material artfully in order to present novel theories which do not exist anywhere save in their own imagination. Very often they enumerate the merits of a respected luminary of Islam, held dear by the Muslims, but also impute some moral failings to him which can condemn him in the eyes of the readers. While giving an account of a call or a personality associated with it, they delineate the historical, social and economic conditions in such minute details that one begins to wonder whether the call in question and the personality giving it were not products of their circumstances. Their writings give the impression that the times in which that call was given was ripe for a revolution of that kind and the only contribution of the great personage was to make a correct assessment of the then situation and pull the strings of a drama already set for the occasion. The reader is never allowed by these writers to turn his thoughts to any supernatural being or the grace of God in making that call successful.$^1$ Such misrepresentations are camouflaged by colouring the events in a careful and cautious manner, in a way that the reader is never given a cause of alarm and continues to take the writer as a honest scholar trying to make an objective analysis of the events and circumstances. The writings of such orientalists are much more harmful than those who openly attack Islam through perversion or distortion of facts. Readers with a smattering of knowledge are normally taken in by such orientalists who pose as sympathetic savants of Islamics. Orientalists and the Eastern Universities That the works of the orientalists are being treated --- 1. The books written by the orientalists on the history of Arabia and biography of the Prophet depict a similar picture of the pre-Islamic era in which everything was set for a religious reform and the call of Islam was given by the Prophet at a time when anything of that sort would have anyhow filled in the existing void. since long as authoritative reference books on Islamic subjects—infallible like the Gospels—in some of the Eastern Universities is a sure sign of their dilettantism and spiritlessness. Some of the works falling in this category are R. A. Nicholson's Literary History of Arabs, Dr. P.K. Hitti's History of the Arabs, Carl Brocklemann's History of Arab Literature¹ and its German version, Ignatz Goldziher's Introduction to Islamic Theology and Law and History of Islamic Literature, Schacht's Origin of Muhammaden Jurisprudence, W.C. Smith's Islam in Modern History, Hamilton H.R. Gibb's Whither Islam and the three works of Montgomery Watt, namely Muhammad in Mecca, Muhammad in Medina and Muhammad—Prophet and Statesman. All these works are regarded as premier works on the subjects discussed by them and treated as reference books for the study of Islamic literature and culture in certain universities of the Muslim countries. They are also relied upon as trustworthy sources by a number of writers. Encyclopaedia of Islam, a compilation of western orientalists (having a few Muslim contributors also) is taken as the most valuable source of knowledge pertaining to Islam by a number of scholars in Muslim countries. Egypt has been publishing its Arabic version for sometime past although it was expected of it to present an --- 1. The book is readable owing to the erudition of its author but not wholly dependable. Encyclopaedia by the pen of Muslim scholars¹. Need for self-Sufficiency It is necessary that the Muslim scholars should produce original works on different topics in keeping with the norms of modern scholarship so as to counteract the negative influences exerted by the orientalists as well as to provide the Muslim world with correct, authentic and dependable facts and concepts relating to Islam. These works have to excel the creations of orientalists in literary presentation, scholarship, method of investigation, persuasive reasoning, depth of knowledge and breadth of vision, and to expose the fallacies and mistakes so commonly found in the works of orientalists. Critical Analysis of Orientalism It is also necessary that the works of the orientalists should be thoroughly surveyed and critically analysed in the light of known facts. The sources used by them should be critically examined and the mistakes committed in the rendering of Arabic texts into European languages should be brought to light so that the wrong conclusions and erroneous theories based on illogical and doubtful premises may be demolished. It would also be necessary 1. It is noteworthy that the Punjab University, Lahore, has undertaken a similar venture in Urdu but it is bringing out the work with necessary alterations and additions that makes it an original work. to highlight the underlying political and missionary motives underlying the facade of scholarly endeavour implicit in most of these works.$^1$ Need for constructive Work Merely critical works will not be sufficient, however. These are essentially negative in character. What is required is scholarly research on Islamic topics, marked by a close scrutiny of the sources, interpretation, rendition and elucidation of the original texts with fidelity and precision and complete and elaborate indices of the reference works which are considered as the distinguishing features of orientalism. There are a large number of works not properly forming part of the annals of the courts and kings or wars and political events of the past, but they can be made use of by the researchers. At the same time, the research scholars should avoid mannerism and euphuism in their compositions, nor should they take resort to satire and sarcasm, nor --- 1. The writer was glad to note, during his brief study in Lahore during 1978, when he came to know of Prof. Zafar ‘Ali Qureshi’s efforts in this direction. He has started an examination of full length biographies and articles of the orientalists written on the life of the holy Prophet. He has also written a few thousand pages on critical appreciation of such works existing in the English language. It was, however, disconcerting to find that neither the Government nor any academic organisation has come forward to help or encourage Prof. Qureshi in his laudable venture. yet base their conclusions on suppositions which are unbecoming of scholarly writings. So long as the studies of both these types are not undertaken the modern educated class of Muslims receiving higher education in the Universities of the West or pursuing studies in Islam in one of the western languages cannot be made immune from the poison spread by the orientalists, nor can it be helped to shake off its present intellectual serfdom. Void cannot remain for long in any sphere of life: its continuance is against human nature and the physical laws of God. If any genuine need is not fulfilled in a proper manner, one is bound to meet it in an inappropriate manner. And, so long as the orientalists retain their hold on the minds of Muslim youngmen—as scholars and intellectual path-finders in the sphere of Islamic studies—the world of Islam cannot be saved from intellectual apostasy and mental perplexity. Muslim youngmen will continue to be trained as the standard-bearers of western thought and culture and wherever they will come to take the reins of government in their hands, they will try to enforce reforms that will strike at the very root of Islam. They will reshape the Islamic society in a way that it will resemble the bygone Muslim community in race and colour only but it will be western and materialistic in its outlook, traits and features. Literary Endeavours made in Muslim Countries We have now to see what effort has so far been made by the Muslim scholars themselves? Whether they have made any endeavour to discharge their responsibility in regard to producing Islamic literature in the European language? Only a brief survey of these attempts made can be made here in this brief paper. The world of Islam, particularly Turkey, Egypt, Iran and India, fell across western arts and culture, thoughts and values by the middle of nineteenth century. The situation demanded that Islamic thought and concepts were presented, at least in the countries verging upon the West, in the European languages which were then assuming international importance. Islamic creed, culture, law, history, polity, economics and morality should have been expounded in a graceful, literary wordage. One also expected that these countries would at least spotlight the weaknesses of western culture in English, French, German and Dutch.$^1$ Muslim scholars and penmen were expected to tax their energies in writing books on Islam in such large numbers that would have filled the libraries. This would have imparted courage and self-confidence to the Muslims in the self-sufficiency of Islam. Had this effort been made it would have obliged the intelligentsia in the West to seek the truth of Islam if not to enter its fold. Research treatises and literary works should have been produced in such a large number as to inundate the universities of Europe. --- 1. The four European languages in which larger number of books on Islamic topics have been written. America and Canada. It was expected of the sons of Islam to make their own Universities so self-sufficing of their requirements in the fields of Islamic history, law, literature etc. that nobody desirous of further studies in the literary or cultural history of Arabia and Iran would have turned to any Nicholson, Brown or Hitti; studies in the Islamic shari'ah, hadith or fiqah would not have required the light of any Goldziher or Schacht; nor the understanding of Arabic prose and poetry would have required the help of a Margolioth. Were this work of close study and investigation to be undertaken even now it would not only stem the tide of intellectual apostasy which still plagues the minds of the educated youth in the countries dominated till recently by western imperialism but would also prove of great help in spreading the message of Islam. Only then one can hope that the Providence will bless whomsoever it will with the grace of Islam. Paucity of Islamic Literature in Western Languages There was every reason to hope that the western impact on the Muslim world would usher it in a new phase of its literary endeavour involving research in Islamic subjects in European languages. This would have undoubtedly made an impression on the western scholars. Yet, unfortunately, this hope was not fulfilled. The failure is lamentable. India and Other Muslim Countries Among the Muslim countries confronted with the western thought and values India had the distinction of taking a firm stand against the West. Although India was ruled by Britain, the most enthusiastic supporter of western supremacy, and the Muhammadan Anglo-Oriental College, one of the greatest Muslim centres of western education for almost a century, remained for a long time under the supervision and control of scholars drawn from the ruling race, it nevertheless made the most determined effort to resist western influence. The religious consciousness of the Indian Muslims reacted in a positive manner exhibiting greater boldness and courage than any other Muslim or Arab country.$^1$ The endeavour of the Indian Muslims was, sure enough, not commensurate with their numbers and the need of time, yet it was greater than all the other Muslim --- 1. This is well illustrated by an incident. When Sir William Muir, the then Governor of North-Western Provinces wrote the Life of Muhammad in which he distorted facts to disparage the character of the holy Prophet, Sir Syed Ahmad Khan could not take it lying down. He was on friendly terms with the British government and an enthusiastic supporter of western education, yet he sold his entire belongings to make a trip to London in 1869, where he wrote a book to confute the charges of Sir William Muir. His Khutabat-i-Ahmadiya was perhaps the first effort of its kind whose importance and usefulness cannot be denied. countries. Let us postpone this discussion since it will be dealt with subsequently. For the ardent zeal and devotion to Islam had been a distinguishing feature of the Indian Muslims, a large number of scholarly critiques of the Bible and monographs refuting Christianity came to be written in this country. Indian Muslims were the first to make a determined bid to resist the missionaries although they were placed in a situation more hopeless$^1$ than that obtaining in other Muslim lands. Among those who were selected by God for the offensive against Christianity, and who made it their life-long mission, the foremost was Maulānā Rahmat Ullah Kirānwī (A.H. 1233-1308)$^2$. He had been endowed with all the qualities of head and heart save the knowledge of English language required for his momentous task. He enlisted the assistance of a zealous Muslim, Dr. Muhammad Wazīr Khān of Akbarābād, who had been to London in 1832 for higher education in medicine. Besides learning English Wazīr Khān had also studied Greek in order to gain acquaintance with the original works of Christianity. He had brought back with him --- 1. The British had wrested power in India from the Muslims who also played a leading role in the revolt of 1857. The British knew that the Muslims who were their adversaries on political and religious fronts, were the prime movers of the revolt and hence their heavy hand fell more heavily upon the Muslims than on other communities. 2. A.D. 1817-1890 a good collection of Christian literature and helped Maulānā Rahmat Ullah to examine the Gospels closely. It was the time when a Christian missionary, Dr. C.C. Pfander, had written the Mizān-ul-Haq¹ and invited the Muslims to answer his charges against Islam in public debates. Maulānā Rahmat Ullah accepted the challenge and the historic debate was held in a locality called ‘Abd-ul-Masīh in Akbarābād (Agra), on the 11th of Rajab, 1277 A.H.² It was attended by high British civil and military officials as well as the elite of the city belonging to different creeds. In the first two days of the debate Maulānā Rahmat Ullah was successful in forcing Dr. Pfander to acknowledge that the Gospels contained at least eight passages which had been tempered with by its redactors. Dr. Pfander’s obstinacy and impersuasibility were so fully exposed that he failed to turn up on the third and final day of the public debate and thereafter always avoided verbal contest with Maulānā Rahmat Ullah. Maulānā Rahmat Ullah wrote the Izhār-ul-Haq³ at the instance of the then Caliph Sultān ‘Abdul ‘Azīz and --- 1. A polemical treatise confuting Islam whose eighth edition was published from Agra in 1849. Its English translation was also brought out in 1910 while it saw a Urdu reprint in 1850. 2. April 10, 1854 3. Maulānā Rahmat Ullah Kirānwi also wrote three other books: Izālatul Awhām, Izālatus Shukūk and As-hah-ul-Aḥādith fi-Abtāl it-Tāthlith, all on the refutation of Christianity. his Prime Minister Khair Uddīn Pāshā. The Maulānā had migrated to Mecca after the revolt of 1857, whereafter he called upon the Caliph in Constantinople in 1864. In the afore-mentioned book, written in 1280/1863, Maulānā Rahmat Ullah follows the style of Ibn Tai-miyah's Al-Jawāb-ul-Saḥīḥ Liman-baddalla-dīn-al-Masīh in attacking Christianity by pointing out its contradictions, interpolations in the Biblical text, its erroneous and illogical teachings and irrationality of the concept of Trinity. His logic of reasoning clinches the issues and sets at rest the matters discussed by him. The book also includes discussions on the miraculous nature of the Qur'ān, miracle worked by the Prophet and the Biblical prophecies about the advent of the Prophet of Islam. The book which has since been rendered into several languages was thus reviewed by a noted journal of England: 'If the people continue to go through this book, Christianity would make no more progress in the world.' There were certain other Indian scholars who wrote critiques of Christianity and the Bible. Of these, Maulānā Syed Aal-i-Hasan of Mohān (d. 1287/1870) and Maulānā Ināyat Rasūl of Chiryākūt (d. 1320/1902) have left dissertations known for their graceful style and brilliant treatment of the subject. The former wrote the al-Istifsār and Istibshār while the latter, who also gained mastery --- 1. See Introduction to Izhār-ul-Haq, published by the Government of Qatar in 1981. in Hebrew, wrote the Bushrā. Besides these two scholars, there were others also who did valuable work in meeting the challenge of Christianity. Maulānā ‘Abdul Haq Haqqānī, author of Tafsīr Haqqānī, Maulānā Syed Muhammad ‘Alī of Monghyr the founder of Nadwatul ‘Ulamā, Qāzī Muhammad Sulaimān Mansūrpūrī, author of Rahmatul lil-‘Alamīn, Prof. Syed Nawāb ‘Alī, author of the Tārīkh Suhuf-i-Samāwī and Maulānā Thanā Ullah of Amritsar deserve to be mentioned here. Works in English Language Madarsat-ul-‘Uloom of Aligarh which later on developed into Muslim University, Aligarh, was established in 1875. If we take its inception as the time when Indian Muslims started taking interest in the study of English language, we would find that during the last one hundred years or so several Indian Muslims attained the distinction of speaking and writing that language like Englishmen. Such persons have left comparatively fewer works but they are still larger in number than those from the pen of the Muslims of other countries. These creations are also incomparable in their literary value. In the closing decades of the nineteenth and initial years of the twentieth century we find certain Muslim writers writing books on Islamic history and culture in such a graceful diction that impressed even the Englishmen. The foremost in this list of writers was Syed Amīr ‘Alī whose Spirit of Islam was received favourably in the literary circles of England. One may find it difficult to agree with the views of the writer but there can be no denying the fact that the book in question not only earned wide recognition but also helped many an Englishmen to come nearer to Islam. Osborn, a noted orientalist, wrote about the Spirit of Islam. "The book is certainly commendable for its author has a masterly command over English language. There would be few Englishmen who can take after his inimitable diction which is free from the defects common in the writings of the Indian writers of English. Indian Muslims deserve congratulation for having such writers within their ranks. One whose first attempt at penmanship is so stimulating is bound to leave durable impression of his vigour and poignancy in the future. As for the contents of the book, we differ on many points expounded in it and shall explain our view-point and the reason therefor later on."¹ Another book by Syed Amīr ‘Alī which attained considerable popularity owing to its simple and unaffected style and fluency was the Short History of the Saracens. Another Muslim writer who gained recognition even outside the country was Salāh Uddīn Khudā --- 1. Cited from Zu’amā ul-Islāh fil ‘Asr il-Hadīth (p. 140) by Dr. Ahmad Amin. Bakhsh who translated several important works on Islam from German into English. Two of his works, written in English, which were once celebrated, were Contributions to the History of Islamic Civilisation¹ and the Essays, India-Islamic.² His writings clearly show an influence of western thought and modernism which will be unacceptable to those who have a direct access to the Islam and original works on Islamic history; he was nevertheless held in esteem by western scholars, particularly those of England. Muslim writers of that period, that is, the span stretching from the later part of the nineteenth to the beginning of the twentieth century suffer from the weakness of being unduly impressed by western philosophy and science although these categories were then passing through the stage of infancy. These writers seem to be too anxious to explain away the facts of mute reality, miracles and supernatural events; they try to harmonize, on the one hand, laws of physical sciences and its discoveries with the metaphysical concepts, and, on the other, go out of their way to demonstrate compatibility of the Islamic and western thought and culture. Their writings are, in a nutshell, defensive and apologetic. Two of the later writers whose depth of knowledge --- 1. Published by the University of Calcutta. Its first part was translation of a work by Von Kremer in German. 2. Written in 1912 and thought-provoking ideas attracted the attention of scholars in India and abroad were Dr. Sir Muhammad Iqbal and 'Abdullah Yūsuf 'Alī. Reconstruction of Religious Thought in Islam, a collection of lectures delivered by the former at Madras, sheds a lustre on its author even though certain exaggerated philosophical interpretations of a few religious concepts by him are unacceptable.$^1$ The other scholar was 'Abdullah Yūsuf 'Alī whose translation of the holy Qur'ān in a poetic, graceful style attained considerable popularity. Its several editions were brought out from Pākistān, Sa'udi Arabia and other Muslim countries. Translation of the holy Qur'ān by Marmaduke Pickthall was also a great success owing to its fluency and majestic diction despite the fact that it contained certain mistakes. I would be guilty of ingratitude if I do not mention here the English translation and commentary of the holy Qur'ān$^2$ by the well-known scholar Maulānā 'Abdul Mājid Daryābādī whose Urdu compositions have earned for him a place among the foremost litterateurs of that language. His explanatory notes press into the service of the Qur'ān modern researches in the fields of history, --- 1. Maulūnā Syed Sulaimān Nadwi spoke highly of Dr. Sir Muhammad Iqbal but he had also expressed his disagreement with certain ideas of the latter. 2. Its first edition was published by the Taj Company of Lahore. Therefore the author revised his translation of the Qur'ān which, along with the commentary, is being brought out by the Academy of Islamic Research and Publications, Lucknow. geography, sociology, archaeology etc. and shed a new light on the meaning of the divine Scripture. His commentary in English also attempts a detailed comparative study of Islamic teachings vis-a-vis the principles of Christianity and Judaism and surpasses all other works of a similar nature inasmuch as it brings out the truth of Quranic teachings through supportive evidence found in the recent findings of Biblical scholars. It is, however, regrettable, that the work has yet to be accorded the recognition deserved by it. Ahmadiya’s Service to Islam The Ahmadiya sect of Lahore took special interest in producing Islamic literature in English which was once quite popular within the country and abroad. Molvi Muhammad ‘Ali, the founder of the Ahmadiya sect$^1$ of the Qādiānis was in the vanguard of Ahmadiya writers since he translated the Qur’ān in English which was received with enthusiasm by the English educated. --- 1. Molvi Muhammad ‘Ali was the head of the Lahore’s branch of the Qādiānis who deny the prophethood of Mirzā Ghulām Ahmad, as held by other Qādiānis. Ahmadis of his sect regard the Mirzā as the greatest renovator and reformer of the fourteenth century of Islamic era, and hold him to be the promised Messiah. The Muslims treat the Qādiānis including Ahmadis as non-Muslims, as declared recently by the government of Pakistan. For detailed account of the Qādiāni’s creed and beliefs see the author’s Qadiānism, a Critical Study. Muslims. His commentaries and explanations of the Quranic verses influenced those who were not deeply versed in Islamic branches of learning or were unduly impressed by modernism and technological progress of the West but wanted to understand Islam. They were swayed by his writings which laboured to bring the supernatural facts and events in conformity with the physical laws of nature even by twisting and distorting the meanings of Arabic texts.$^1$ Molvī Muhammad ‘Alī even disregarded the fact that the everchanging empirical sciences were then in their initial stages of development. Molvī Muhammad ‘Alī also wrote a biography of the Prophet under the title ‘Muhammad, the Prophet’. It was widely read by the Muslims and even warmly received by scholars and university teachers. The book successfully expounded the purpose of the holy Prophet’s apostleship, portrayed the conditions and circumstances in which Islam made its debut and gave an agreeably concise account of the Prophet’s life. The popularity of the book shows that suitable books introducing Islam and its Prophet are the need of the hour and, in the absence of such works, the modern educated youngmen would go for creations which contain objectionable material from the strictly Islamic point of view. 1. Some interesting examples of such distortions can be seen in the chapter dealing with the Ahmadiya sect in the aforementioned book of the author. Another writer and a fluent speaker, Khwājā Kamāl Uddīn was a contemporary of Molvī Muhammad ‘Alī. He wrote two popular works, the Ideal Prophet and the Sources of Christianity while he was working as the Imām of the Woking Mosque in London.$^1$ He shared the faith of his friend Molvī Muhammad ‘Alī. Present-day Writers Among the present-day writers Dr. Hamīd Ullah of Hyderābād, who has since settled down in Paris, is the most eminent since his literary and research works have made him well-known in the East as well as the West. His Introduction to Islam and Muhammad Rasoolullah have made thousands of modern educated persons familiar with Islam and the life of the Prophet while his translation of the holy Qur’ān in French has earned recognition of even French scholars. But he is at his best in his research dissertation published by the name of Sahīfah Humān ibn Munabbih wherein he has conclusively proved that the work relating to collection and compilation of hadith literature was started during the lifetime of the Prophet and continued uninterruptedly till the Sihāhs and Sunnans were compiled. The learned writer has rendered a yeoman service to Islam by writing this book and deserves the thanks of the Muslims for it. His two more research works which deserve to be mentioned --- 1. Now the London’s Woking Mosque is under the supervision of Sunnite Muslims. are 'Ahd-i-Nabwī ka Pahlā Siyāsī Dastūr (The First Political Constitution of the Prophet’s Era) and 'Ahd-i-Nabwī ke Maidān-i-Jang (The Battlefields of the Prophet’s time). Another notable work in this connection, which attests the findings of Dr. Hamīd Ullah by furnishing additional evidence, according to the modern norms of research, is the Studies in Early Hadīth Literature by Dr. Mustafā ‘Azamī. His treatise bears out the fact that the compilation of hadith literature was a continuous process beginning from the earliest period of Islamic era and completed over a much longer time than that presumed by the orientalists. The list of writers on Islamics in English is quite long. It includes, for instance’ M.A. Shustrī, author of the Outlines of Islamic Culture, Dr. Burhān Uddīn Farūqī, author of the Mujaddid’s Conception of Tauhīd, Hāfiz Ghulām Sarwar, Dr. Syed Abdul Lalīf (who has translated the Qurʾān), Syed Muzaffar Uddīn Nadwī (whose Muslim Thought and its Sources is a scholarly work on its subject). Sir Amin Jang, Dr. Mīr Wālī Uddīn, Prof. Zāhir Uddīn Farūqī (whose Aurangzeb and His Times vindicated Aurangzeb’s religious policy), Syed Athar Husain, Mohiuddīn and severval others but the 1. Orientalists, however, go on repeating their pet theories of unreliability of hadith literature by turning a blind eye to these researches by Muslim scholars which goes to show their deep-seated malevolence and prejudice against Islam. work done during the past one hundred years is not the least sufficient for this long period. Works by some New Converts to Islam That a new convert to Islam should write an inspiring book capable of stimulating a new hope and confidence in Islam is, obviously enough, a proof of the overpowering vigour and vitality of Islam. I mean Muhammad Asad who comes of a German Jewish stock and whose earlier name was Leopold Weis before accepting Islam. His first work entitled Islam at the Crossroads animated a new spirit of self-confidence in the educated and thinking class of the Muslims not only in Asia but of the entire Islamic world. He defended the hadīth and the Sunnah with a vigour and enthusiasm as had not been done for a long time, highlighted the fundamental difference between Islamic and western thought and forcefully brought out the weaknesses of the latter. Muhammad Asad wrote this book during his stay in India which was later rendered into Arabic as Al-Islām ‘alā Muftariq it-Turuq by a Lebanese historian and litterateur ‘Umar Farrukh. The book and its translation have since been repeatedly reprinted. Another book of Muhammad Asad which has received considerable attention in Europe and America is his Road to Mecca. The writer has given a masterly exposition of the truth and merits of Islam and the distinctive features of Islamic culture which were witnessed by him in the Muslim countries during his travels as a journalist. In describing his experiences of a journey undertaken in the wild sands of Arabia he expresses deeper thoughts which cannot be so effectively stated in a work designed to disseminate the message of Islam. Bearing a literary stamp the book has life and movement, and holds the reader's attention to the end. It was translated into Arabic as Al-Tariq ila Makkah and then into Urdu by the late Syed Muhammad Al-Hasani, editor of Al-Ba'ath al-Islami, under the name of Tufan se Sahil Tak and published by the Academy of Islamic Research and Publications, Lucknow. Services of the Academy of Islamic Research and Publications A nascent but very active organisation for production of Islamic literature according to the needs of the time, specially in the English language, is the Academy of Islamic Research and Publications which was established in 1959. The objective of the Academy was to restore confidence in the leading role that Islam can still play and the abiding nature of the prophethood of Muhammad (peace be upon him) among the modern educated Muslim youngmen. The Academy intended to present Islam in its correct perspective with such literary studies on comparative religions as could impart credence and assurance in the younger generation. The organisation had to start its work with such paltry resources as next to nothing but during the last twenty-three years it has succeeded in bringing out 155 publications of which 50 are in English, 60 in Urdu, 38 in Arabic and 7 in Hindi. Some of the Academy's publications, written by the present writer are Muhammad Rasūlullah, The Four Pillars of Islam, Western Civilisation—Islam and Muslims, Religion and Civilisation, Islam and the World, Saviours of Islamic Spirit, Qadianism—A Critical Study and the Musalmān. The Academy has also brought out English translation of the famous Khutbāt-i-Madrās by Syed Sulaimān Nadwī under the title of Muhammad, the Ideal Prophet; Syed Athar Husain’s Glorious Caliphate on early history of Islam as well as the Message of Qur'ān by the same author; and the English renderings of certain works of Maulānā Muhammad Manzoor N’omānī, namely, Meaning and Message of Traditions, What Islam is, Islamic Faith and Practice and The Qur'ān and You. The Academy has also published a number of literary and historical works. A few of these are Glory of Iqbal and Muslims in India by the present writer, India During Muslim Rule by Maulānā Hakim Syed ‘Abdul Ha‘ī and Syed Mohīudīn’s Saiyid Ahmad Shahīd. The last-mentioned work recapitulates not only the story of the great Jihād movement but also the religious, social and cultural history of the Indian Muslims during the eighteenth and nineteenth centuries which has been paid little attention by the historians. The collection of lectures by the present writer in Europe and America have been brought out under the titles Speaking Plainly to the West and From the Depth of Heart in America. I have mentioned here only some of the books brought out by the Academy in English. The translations published by the Academy are mostly from the pen of Dr. Mohammad Asif Kidwai and Muhiuddin although the former has had a greater share in this literary service.¹ These English works have also been warmly received all over the world and they are in such heavy demand in Europe, America and Africa that the Academy's slender resources are falling short to meet the requirements. Literary and Research Works in Urdu The academic and research works on Islamic subjects in English language undertaken during the twentieth century pertain to the period either before or after the partition of this sub-continent. But if we include Urdu also in this survey it would be worth-while to mention here that this language surpasses all other languages spoken by the Muslims in the depth of studies undertaken in it, extensiveness of the subjects and literary standard of the works. Also, the scholars of the old, oriental institutions have taken precedence over the modern educated class in showing their literary talents. They have, in fact, been more energetic and have put up a stiff resistance against the modern wave of cultural and intellectual apostasy which at times approaches disbelief. 1. I was told by an scholar who could be regarded as an authority in English language that Islam and the World was one of the best translations from any language into English. and agnosticism. Darul Masannifin, Shibli N’omani and Syed Sulaiman Nadwi The first literary and research organisation established through voluntary efforts to combat the baneful effects of Western thought and attacks of the orientalists on Islam, to impart an awareness of the superiority and eternal nature of Islamic teachings and to enlighten the Muslims of the greatness of the Prophet, his companions and descendants as well as to educate the people about the intellectual patrimony of Muslims was, to the best of my knowledge, Dārul Musannifīn of ‘Azamgarh. When in the beginning of this century the well-known Christian scholar of Egypt, Gurgī Zaydān, wrote the history of Islamic culture it made a splash in the intellectual circles. The book was remarkable in its extensive research but it minimised the contribution of Abbasid Caliphate besides falsifying certain historical facts such as the so-called burning of Iskandariya’s library under the orders of Caliph ʿUmar, which is still repeated by the orientalists. ʿAllāmā Shiblī was unable to suffer the distortions of Gurgī Zaydān and made up his mind to give a lie to the author despite his great prestige among the scholars. He wrote Al-Intiqād ‘alat-Tamaddun-il-Islāmī in 1912 and gave cogent reasons and proofs to invalidate the assertions of Gurgī Zaydān. The book was warmly received by the Egyptian scholars and some of them like Syed Rashīd Rizā expressed their thanks at the timely service rendered by 'Allāmā Shibli. The writers of the Shibli school later on presented numerous works, all of which were remarkable in depth and range and effortless style which showed all the simplicity of aesthetic and literary criteria. The scholars of this school played a leading role in presenting highly intellectual and philosophical discussions as well as purely research works in a fluent style. Their writings were sober and refined and engaged the attention of educated class which cannot go through anything lacking the literary charm. They created a consciousness of the luminous Islamic past and richness of its thought and literature in a way that the modern educated class was enabled to get over its inferiority complex and scepticism born out of modern education and western literature after the upheaval of 1857. Another remarkable feature of the writings of this school was that its literati not only followed the modern norms of research but were also familiar with original sources of Islamic literature. The result was that their creations showed boldness and originality usually lacking in the orientalists and such other writers who have to depend on second-hand sources because of their inerudition in Arabic and Persian literatures. A great achievement of 'Allāmā Shibli (who conceived the idea of setting up Dārul-Musannifīn)¹ was to --- 1. 'Allāmā Shibli desired to establish Dārul Musannifīn. He (Continued on next page) initiate work on a comprehensive biography of the holy Prophet which had a pattern altogether different from all the old and new works on the subject. He could write only the first volume and left the second volume unfinished which was completed in an extended form into seven volumes by Maulānā Syed Sulaimān Nadwī. The first two volumes of this great work describe the events and occurrences of the Prophet’s life; the third deals with the miracles; the fourth with the distinctive features of prophethood, conditions of pre-Islamic Arabia and the world in general, as well as the Islamic creed; the fifth is devoted to worship in Islam; the sixth delineates Islamic morality and its distinguishing features; while the seventh discusses Islamic injunctions about private dealings and behaviour towards others and the guiding principles of Islamic polity. Thus, the work has taken the shape of a short encyclopaedia of Islamic beliefs and teachings. One of the classical works of ‘Allāmā Shibli was Al-Farooq, the biography of Caliph ‘Umar, which can be treated as his masterpiece. This book has enkindled (Concluded from previous page) finalised its project and created a Waqf of his property in Azamgarh for the purpose but he died before it could start functioning. A few days after his death on the 18th November, 1914, his disciple Maulānā Syed Sulaimān Nadwī inaugurated the Academy with Maulānā Hamiduddin Farīdī as the first President, himself as its Secretary and Maulānā Mas’ūd ‘Ali Nadwī as Manager. many a heart with the love of Islam and strengthened the faith of several others, besides enabling countless persons to withstand the cultural attack of the West. A few other biographical works of 'Allāmā Shibli were Al-Ghazzālī, Swāneh Maulānā Rūm, Al-Māmūn and Sīrat-i-N'omān in which he has adapted the classical tradition to the new demands of popular literature. These works have showed the way to his disciples how to hunt out material from the classical Arabic literature for new biographical works and to present them with a literary technique that could hold the attention of educated classes. A few examples of such works written later on were Uswā-i-Sahābah, Uswā-i-Sahābiyāt, Siyar-us-Sahābiyāt, Khulafā'i Rāshidīn, Muhājirīn, Ansār, Siyar-us-Sahābah, Ahl-Kitāb Sahābah wa Tābi'een, Sīrat 'Umar bin 'Abdul 'Azīz and Tarīkh Islām. 'Allāmā Shibli's Sha'ir-ul-'Ajam, a critical history of Persian poetry, was his another literary masterpiece which is still treated as the best work on the subject despite later writings differing with or criticising certain views expressed in it. Other notable works of 'Allāmā Shibli were Al-Jizyah fil-Islām, Huqūq-uz-Zimmiyān, Kutub-khānā Iskandariya and Aurangzeb 'Alamgīr. The last mentioned work cleared up a number of the then prevalent misunderstandings about Aurangzeb and brought out new facts. In the closing years of the nineteenth century and the beginning of the twentieth century western Imperialism was at its peak. It was the time when unfavourable treatment of Islamic culture, history and polity by the western rulers had created doubts about Islam, specially its treatment of non-Muslims and the Islamic political theory. All this was being utilised to create scepticism and inferiority complex among the Muslims much in the same way as had been caused by the Greek philosophy during the third century of the Islamic era. It had, thus, become essential to present Islamic history in its correct perspective and remove the doubt created by its misrepresentation. This was the need of the hour—a new scholasticism was required at the movement for the defence of faith. 'Allāmā Shibli and the scholars of Nadwatul 'Ulamā' came forward to meet this need in a way that can never be forgotten. 'Allāmā Shibli was succeeded by Syed Sulaimān Nadwī, a cossus of knowledge, who happened to be an alumni of the Nadwatul 'Ulamā'. His 'Arz-ul-Qur'ān makes a searching study of the places connected with the prophets which are mentioned in the Qur'ān, gives their geographical location and historical background, conditions prevailing in Arabia before Islam and its cultural and commercial relations with other parts of the world and many other details. The book, written in 1915, utilised all the information available by that time in different languages. His other works were 'Arab-o-Hind Ke T'aluqāt, 'Arbon ki Jahāzrānī and Khayyām which evince modern techniques of research in bringing out facts from the old Islamic literature in a way unparalleled in the Urdu language. Omar Khayyām was one of the masterminds of Irān, a great poet and mathematician, but that country has failed to acknowledge its debt to him by producing his biography in a literary diction, bringing out his originality of ideas and erudition comparable to that written by Syed Sulaimān Nadwī. A biographical work on the life of the Prophet by Syed Sulaimān Nadwī, known as Khutabāt-i-Madrās in Urdu and Ar-Risālāt-ul-Muhammadiyah in Arabic rendering,¹ is a book of exceptional charm. It would be difficult to cite another work possessing a comparable charm and beauty in any other Islamic language. Similarly his Sirat-i-'Aishā is unique in the biographical literature. Syed Sulaiman Nadwi excelled even his mentor in depth and range of his knowledge and insight into the sources of hadīth, fiqh and the Islamic schools of thought. He had gathered a team of research scholars and litterateurs round him, many of whom were the graduates of the Nadwatul 'Ulamā. Limitation of space would allow us to mention here only the names and outstanding creations of these men of letters. Maulānā 'Abdus Salām Nadwī heads this list with Uswā-i-Sahābah, Sha'ir-ul-Hind and Hukumā'i Islām to his credit. Maulānā 'Abdul Bārī Nadwī, ex-professor of philosophy in the Osmania University, who wrote the --- 1. Translated by Muhammad Nazim Nadwi, ex-Principal, Nadwatul 'Ulamā' and Vice-Chancellor, Bhawalpur University. It has since seen several reprints in the Arab countries. chapter dealing with the miracles in the Sirat-un-Nabi and discussed the question in the light of modern philosophy and science, was also the author of Mazhab-o-Science and Mazhab-o-'Aqliyāt. The list also included the writers like Hājī Mo'īn Uddīn Nadwī, Shāh Mo'īn Uddīn Ahmad Nadwī, Molvī Syed Riyāsat 'Alī Nadwī, Prof. Syed Najīb Ashraf Nadwī, Molvī Sa'eed Ansārī, Molvī Abul Hasanāt Nadwī, Molvī Abul Jalāl Nadwī, Dr. Muhammad 'Uzair, Molvī Syed Abu' Zafar Nadwī, Maulānā Muhammad Owais Nadwī, Maulānā 'Abdus Salām Kidwā'i Nadwī, Molvī Mujīb Ullah Nadwī, Molvī Ziā Uddīn Islāhī and the present Secretary of the Dārul Musannifīn as well as Editor of Ma'arif, Syed Sabāh Uddīn 'Abdur Rahmān. A mention of Maulānā Mas'ūd 'Alī Nadwī also need be made here for it was his administrative ability which was mainly responsible for the development of the Shiblī Academy. Nadwatul Musannifin, Delhi Subsequent to the establishment of Dāraul Musannifīn in 1914, Nadwatul Musannifīn was set up as a literary organisation at Delhi in 1938. Its founder was Muftī 'Atīqur Rahmān Usmānī while his closest associate in the task was Maulānā Hifzur Rahmān, ex-Secretary of Jamī'at-ul-Ulmā'i Hind. The Nadwatul Musannifīn brings out the celebrated monthly journal Burhān under the editorship of Maulānā Sa'eed Ahmad Akbarābādī, the ex-Dean of Theology Department, Muslim University, Aligarh. This academy has published a number of books on the Qur'an, Islamic ethics, Islamic polity, Islamic history, history of Islamic jurisprudence and mysticism and biography.$^1$ The number of its publications exceeds a hundred and most of them have been treated as valuable additions to the Islamic literature in Urdu by the educated class of Muslims. Other Writers and Researchers There are certain other well-known scholars and writers, not associated with either of these two academies, whose creations have exerted a great influence. Tarjumān-ul-Qur'ān by the reputed political leader and literateur Maulānā Abul Kalām Āzad which, however, remained incomplete, made a deeper impact on the educated class and encouraged them to study the scripture with greater reverence. Other similar works were: Maulānā Syed Manāzir Ahsan Gilānī's An-Nabī ul-Khātim, Tadwīn Ḥadīth, Hamārā Nizām-i-T'ālīm-o-Tarbiyat, Islām ka Siyāsī Nizām and Imām Abū Hanīfā kī Siyāsī Zindagī; Maulānā 'Abdul Mājid Daryābādī's commentary on the holy Qur'ān and several other literary works; Maulānā 'Abdur Ra'ūf Dānāpūrī's Asahhus-Siyar and Islām aur Tamuddunī Masā'il; the works of Maulānā --- 1. The more important works published by the Darul Musannifin are Tarjumān-us Sunnah (in four volumes) by Maulānā Badr 'Alam of Meerut, Qasas-ul-Qur'ān by Maulānā Hifzur Rahmān, Ar-Riqū fil-Islām and Siddiq Akbar by Maulānā Sa'eed Ahmad Akbarābādī and Tarikh Mashā'ikh-i-Chisht by Prof. Khalīq Ahmad Nizāmī. Abul 'Ālā Maudūdī, the founder of Jamā'at Islāmī, like, al-Jihād fil Islām, Pardah, Sood and Tanqīhāt which is a critique of western thought and culture, Tafhīmāt containing essays on different aspects of Islamic teachings, and the Tafhīm-ul-Qur'ān, the commentary on the holy Qur'ān. Maulānā Maudūdī's works, far from being apologetic or defensive, employ a dignified and re-assuring diction and, despite the differences one may have with him in his interpretation of certain Islamic precepts¹, treat the issues which were a cause of concern to Muslim youngmen, in a most satisfactory manner imparting complete satisfaction to the searching minds. Maulānā Abul 'Ālā Maudūdī has undoubtedly rendered a great service to Islam during a period of mental stress and strain extending from 1931 to 1947. Other writers worth mentioning here are Maulānā Sa'eed Ahmad Akbarābādī, author of ar-Riqu fil-Islām, Siddīq Akbar, etc., Prof. Khalīq Ahmad Nizāmī, Head of the Department of History, Muslim University, Aligarh, Dr. Nazīr Ahmad, ex-head of the Department of Persian, Muslim University, Aligarh, Prof. Ziā-ul-Hasan Farūqī, Dr. Najāt Ullah Siddīqī and several other promising writers who seem to have a bright future. It is however, not necessary to list their names here as this short paper is not meant to be a directory of litterateurs and scholars but only seeks to make a brief mention of --- 1. See 'Asr-i-Hāzir men Din Ki Tafhīm-o-Tashrīh (since rendered into Arabic and English) by the writer of these lines. the outstanding efforts made in the field of Islamic literary and research work. Islamic Research in Pakistan I regret that it is not possible for me to describe the works or the writers of Pakistan on Islamic subjects in any detail.$^1$ A brief survey of the literary and research work done in the Indian sub-continent before partition has already been made earlier. It is rather difficult, and delicate too, to make a mention of the work done in Pakistan and therefore I have to content myself by giving the names of a few eminent scholars or their creations. Late Prof. Dr. Muhammad Shafi, ex-Principal, Oriental College and Professor of Arabic in the Punjab University has started, under his supervision, the publication of an Urdu edition of the Encyclopaedia of Islam for the University of Punjab. Others who have done valuable work in this field are Dr. Ishtiaq Husain Quraishī, ex-Minister of Education, Pakistan, Dr. Muhammad Rafī Uddīn, author of Qurʾān and Science,$^2$ Dr. Syed ‘Abdullah, present editor of Urdu Encyclopaedia of Islam, Bazmī Ansarī, Prof. Muhammad Aslam, Maulānā ‘Abdul Quddūs --- 1. The existing difficulties in exchange of journals and books between India and Pakistan have made it relatively difficult to keep in touch with the literary developments in the other country. 2. He has written two more books: Manifesto of Islam and Ideology of Future. Hashmī Nadwī, Maulānā Muhammad Taqī ‘Usmānī, who has published the latest Urdu translation of Izhār-ul-Haq under the title of Bible Se Qur’ān Tak with an scholarly introduction to it. Prof. ‘Abdul Hamīd Siddīqī, Mazhar Uddīn Siddīqī, Prof. Khurshaid Ahmad and Maulānā Amīn Ahsan Isāhī. Two Islamic research organisations have been set up in Pakistan; the one is Idārā Thaqāfat-i-Islāmiyah, Lahore, and the other is Islamic Research Institute, Islāmābād. The latter one, affiliated to the Islamic University of Islāmābād, is headed by Dr. ‘Abdul Wahīd Halipota. It also brings out two journals, one in Arabic under the name of ad-Dirāsat-ut-Islāmiyah and the other Fikr-o-Nazar in Urdu. Primacy of ‘Ulama in the Literary Field It is an undeniable fact that the alumini of the oriental institutions still following the old system of education, have never lagged behind in India like their colleagues in certain Arab countries, in the service to their language and culture. They have not only played a leading role in the political activities but also maintained their pioneering status in the literary field, as well and left such masterpieces of criticism, prose and poetry which speak volumes of their literary talents. Sometimes their creations are described as the literary compositions of an earlier phase of belles-lettres by certain self-styled critics, yet they continue to be the specimen of literary excellence. Maulānā Hālī’s Muqaddmā Sher-o-Sha’irī and Yādgār-i-Ghālib and Mawāznā-i-Anīs-o-Dabīr by ‘Allāmā Shiblī are still unsurpassed in Urdu literature. Gul-i-R’anā, a history of Urdu literature by Hakīm Syed ‘Abdul Ha’i and his concise literary, cultural, social and religious history of Gujarāt written under the name of Yād-i-Ayyām, are still regarded as classics. In the former the author had, for the first time, raised points which disproved the generally accepted views of Muhammad Husain Āzād expressed in a flowery language in the Ābe-Hayāt. This thought-provoking book threw new light on several issues¹. The other work by the same author, mentioned above, constituted a novel attempt of historiography by combining the biographical accounts of the sages and intellectuals of any region with the public events of given period.² Yet another work falling in the same category was the Sha’ir-ul-Hind by Maulānā ‘Abdus Salām Nadwī. One can differ with the author but --- 1. For details see Hayāt ‘Abdul Ha’i, pp. 314-337, published by Nadwatul Musannifīn, Delhi. 2. Nawab Sadar Yār Jang Maulānā Habibur Rahmān Sherwānī writes in the Introduction to the book: “The way author has succeeded in presenting different aspects of the Islamic period of Gujarāt speak volumes of his talents as a litterateur and historian. This is a charming example of the literary technique of the classicists belittled by modernists but the question is when the modernists will be able to come out with their own historiography with a diction possessing the same effectiveness.” cannot deny the value and importance of his work. Individuals who surpassed Academies Several masterminds of India have produced literary and research works comparable to the works done by academic bodies well-provided with rich libraries and assisted by several research scholars. What was more, these individuals completed their self-imposed task in an obscure place without any encouragement from anybody save the satisfaction of their literary urge. This, by the way, bears testimony to the fact that the old system of education and its literary traditions were much more successful in impressing the qualities of perseverance, hard work and selflessness upon the minds of its students. One of the most assiduous scholar falling in this category was Maulānā Mahmūd Hasan Khān of Tonk (d. 1366/1946) whose M’ojam-ul-Musannifīn in Arabic comprises sixty volumes covering twenty thousand pages and gives biographical sketches of forty thousand writers. With the assistance afforded by the late Mīr ‘Osmān ‘Alī Khān, Nizām of Deccan, its four volumes were published from Beirut in the year 1354/1935. The first volume is introductory giving such details as the importance of learning in Islam, the branches of learning developed at the outset, organised efforts to systematise certain disciplines etc. The comprehensiveness and range of the work being one of its remarkable features, the author writes in his preface to the book: "The work is thus a commentary and an addendum to Kashf-uz-Zunūn (of Hājī Khalīfā). I have spared no pains in collecting the material and giving an account of all those writers of the Muslim period who have left any valuable work in one of the then prevalent disciplines. It includes the accounts of scholars and philosophers belonging to Arabia, Irān, Egypt, Irāq, Undulus (Spain), Rūm (Asia Minor), Khurāsān, Māwarāun-Nahr (Transoxiana), India and other regions but I cannot claim that it is complete in all respects or includes every famous and unknown writer for that is beyond the capacity of any human being." The comprehensiveness of the book can be judged from the fact that 348 writers are listed in it under the name, 'Ibrāhīm'. The manuscript of this invaluable work is now lying in the archives of Hyderābād. We in the East neither lack indefatigable scholars nor connoisseurs of literary creations but we run short of the means of publication and assistance of governments and literary academies taking interest in such works. Another great writer of comparable worth and merit was Maulānā Hakim Syed ‘Abdul Ha’ī (d. 1341/1923), the ex-Secretary of the Nadwatul ‘Ulamā. He wrote a comprehensive work in eight volumes in Arabic, entitled the Nuzhatul Khawātir wa Bahjatul Masām‘e wan-Nawāzir. 1. Vol. I, p. 29 2. Dā‘iratul Ma‘ārif, Hyderabad has brought out two editions of the book. which gives biographical accounts of 4,500 Indian scholars, saints, nobles, litterateurs and poets of the region from Khaibar Pass to Bengal belonging to the period from the first to the fourteenth century of Islamic era. It is not only the most authentic source for the biographical accounts of Indian scholars but the period and area covered by it also sets it apart from other regional biographical annals written in other Muslims and Arab countries.$^1$ Another distinguishing feature of the work is the balanced assessment of the work and merit of every personality, accuracy and conciseness of the notices comparable to the Wafyātul A‘yān of Ibn Khallikān. Maulānā Abdul Ha‘ī’s another work is as-Thaqāfat-ul-Islāmiyah fil Hind which was published by the Royal Academy of Damascus. Its Urdu version under the title of Islāmī Uloom-o-Funūn Hindnstān Men has been brought out by Dārul Musannifīn. Besides being a complete directory of the creations of Indian scholars in various fields like grammar, tafsīr, hadīth, fiqh, usūl, philosophy and literature it also reviews the development of oriental system of education and the changes made in its curriculum from time to time. There is perhaps no other book which gives such a detailed account of the educational developments of the medieval period in --- 1. The biographical annals written in other countries either cover a shorter period or give the accounts of eminent personalities in one field only (as Traditionists, jurisconsults, grammarians etc.). Unlike such works it covers a longer span of time and area and leaves no eminent personality in any field. any other Muslim country. His third notable Arabic creation was Al-Hind fil-'Ahd il-Islāmī which has been published in Urdu and English also as Hindustān Islāmī 'Ahd Men and India During Muslim Rule. It gives important details about the administrative set up, judicial system, developmental works, etc. of the Muslim India and can be compared to Khitat-i-Misr and Khitat-is-Shām in its sweep and contents. Yet another encyclopaedic author who ought to be included in this category of writers was Maulānā Hamīd Uddīn Farāhī (d. 1349/1930) who gave origin to a new school of exegesis by demonstrating the interconnection between different verses of the Qur'ān and a pre-conceived pattern of the content and consistency of the message in the Scripture. His notable creations are Nizām-ul-Furqān al-Im'ānu fī-Aqsām il-Qur'ān and Ar-Rai-us-Sahīh fi-man Huwāz-Zabīh. The last-mentioned is a unique work on its subject. 'Allāmā 'Abdul 'Azīz Maiman of Rājkot (d. 1398/1978), author of Abul 'Alā'ī wa Mā llaih¹, has also to be included in this list of great writers. His another work is the Simt-ul-Lālī². Both these works show the depth and extensiveness of the author's knowledge in lexicography, Maiman was a life-member of the Academy of Literature of Damascus and when a committee --- 1. Published by Matb'a Salfiyah, Egypt, in 1344/1926. 2. Published in Egypt in 1936 in three volumes. was formed to edit the Lisān-ul-‘Arab, the famous lexicon of Arabic, he was included in the Committee. There are other Indian scholars who have also produced encyclopaedic works. Maulānā ‘Abdul Rahmān of Mubārakpur (d. 1353/1934) wrote a commentary of Jām‘e Tirmizī under the title Tuhfatul Ahwāzī, whose first volume comprises the introductory part and the other three volumes discuss the principles of hadīth criticism, biographies of Traditionists and other related matters. This book, published several times in India and the Arab countries, is highly valued by the students of hadīth. Another eminent savant of hadīth was Shaikhul Hadīth Maulānā Muhammad Zakarya¹ whose six volumes of Aw Juz al-Masālik ilā Muwattā lil-Imām Mālik constitute a monumental work of its kind. He has also written a comprehensive introduction to the book entitled Lāmī-ud-Darārī ‘alā Jām‘e-il-Bukhārī which is no less than a short encyclopaedia on the Indian scholars of hadīth. Maulana Zakarya’s Hujjatal Wad‘a wa ‘Umrāt un-Nabī is also a unique of work of its kind. Maulānā Habībur Rahmān Ā‘zamī is yet another scholar of hadīth whose depth of knowledge and insight into the original sources is evident from the Musannafu ‘Abdur Rizzāq.² Maulānā Habībur Rahmān has also edited several classical works like Musnad ul-Humaydī, Sunan Sa‘eed Ibn Mansūr, ‘Abdullāh Ibn --- 1. He died at Medina on 29th Rajab, 1402/24th May, 1982. 2. The book was published from Beirut. Mubārak’s Az-Zuhd war-Raqā’iq, Hāfiz Nūr Uddīn Nai-thamī’s Kashaf ul-Astār ‘an Zawāyed il Bezār and Hāfiz Ibn Hajar ‘Asqalānī’s Al-Matālib ul-‘Āliyā bī-Zawā’id il-Masānīd il-Thmāniyah. An encyclopaedic work delineating the religious and moral aspects of the life of Prophet’s companions was written in three volumes by Maulānā Muhammad Yūsuf of Kāndhla (d. 1384/1964), the head of Tablīghī Jamāʿat. The hard and sustained work done by the late Maulānā Imtiāz ‘Alī Khān ‘Arshī (d. 1981) in the editing, comparison and correction of the commentary on Qurʾān by Imām Sufyān Thaurī also deserves to be mentioned here. Da’iratul Ma’arif Osmania, Hyderabad The famous literary institution, Dā’iratul Ma’arif Osmāniā, has done an admirable work in comparison, editing and publication of the old classical works. The institution was set up in 1306/1888 jointly by Nawāb ‘Imād-ul-Mulk Syed Husain Bilgrāmī, Mullā ‘Abdul Qayyūm and Fazīlat Jang Maulānā Anwār Ullah Khān (the teacher of Mīr Osmān ‘Alī Khān, the late Nizām of Hyderābād). It brought out, within a few years, more than 150 invaluable books on hadīth, biographical annals, history, mathematics, philosophy etc. whose names alone were known to the scholars. The inestimable service rendered by this institution bears witness to the attachment of Indian Muslims to their religion, culture and intellectual partimony. The Dā’iratul Ma’arif Osmāniā has been acclaimed by both the eastern and western scholars for its services to the cause of Islamic literature.$^1$ Literary Works of Arab Countries It was expected that greater effort would be made to produce research dissertations on Islamic subjects in Arabic, if only because of its being an international as well as the main literary and religious language of the Islamic world. Unfortunately the effort made was not commensurate either with the resources or the extensiveness of the Arab world. However, a few examples of genuine literary and research endeavours do exist which need be mentioned here. Dr. Ahmad Amīn’s Fajar ul-Islām, Zuhal Islām and Zuhr ul-Islām occupy the pride of place among such works, which, despite their shortcomings and certain anomalous views that are unacceptable, present a good example of literary investigation, analysis and expert handling of original sources. Ahmad Amīn’s historical and literary works --- 1. Some of the important publications of the Dā’iratul Mā’arif Osmānia are Musnad Abi Dawūd it-Tiyālisi, As-Sunan al-Kubrā of Imam Baihaqi, al-Mustadrak and Ma’arafatu ‘Uloom-il Hadīth of Hakīm Nishāpūrī, Al-Isti‘ābu fi-Ma’arafatil Ashāb of Ibn ‘Abd al-Bar, Tazkiratul Huffāz of Imām Zahābī, Tahzīb-ut-Tahzīb of Hāfiz Ibn Hajar, al-Tārikh-ul-Kabīr of Imām Bukhārī, al-Muntazam fi-Tārikh il-Umam of Ibn al-Jauzi, Tahqīq ma lil-hind of Bairūnī, Al-Kamāl of Ibn Makakulā and Al-Azminatu wal-Amkina of Abū ‘Ali al-Marzūq. compare favourably with creations of orientalists in qualitative research but they also maintain the simplicity and charm which reminds one of 'Allāmā Shibli. Another man of letters, Amīr Shakīb Arsalān (d. 1366/1946), although not a writer by profession, can also not be forgotten. His Al-Hulal as Sundusiyatu fir-Riḥlatil Andlūsiyah is a treasure-house of information about Muslim Spain not found elsewhere. The Ḥāzir ul ‘Alam il-Islāmī, an Arabic translation of Lothrop Stoddard's The New World of Islam by the Palestinian writer Ujjāj Nauyahz, was elaborated by Amīr Shakīb Arsalān with numerous additions and critical notes which gave it the shape of a short encyclopaedia of the then events and affairs, political movements and personages of the Muslim countries. His comments bring out the mistakes in the views of the European orientalists, examine the cultural, religious and literary activities and give a moderate and balanced account of several happenings pertaining to Turkey and Osmanli Caliphate of which he was an eye-witness. His yet another book entitled Gazawāt ul-‘Arab fī-Faransā wa-Shumālī lytālīyā wa fis-Sūryā, is also a valuable work by virtue of its exhaustive study and research. The illustrated biographical dictionary of the orientalists and scholars of Islamic branches of learning, published in twelve volumes under the title of Al-‘Ālam, is a stupendous work of Khair Uddīn Zarkalī which would have done honour even to a literary academy. This work of singular pre-eminence by Zarkalī shows his grasp and wide knowledge as well as judicious selection and ability to be concise yet thorough. Two of the leading literary figures in this group exhibiting their extensive knowledge, grasp and familiarity with non-Arabic sources are 'Abbās Mahmūd al-'Aqqād and 'Allāmā Kurd 'Alī. The series written under the title of 'Abqariāt.$^1$ Al-Marātu fil-Qur'ān (Women in the light of Qur'ān), 'Athār al-'Arab fil-Hazārat il-Aurubbīa (Effect of the Arabs on European culture) and Haqā'iq il-Islam wa Abātil-o-Khusūmihī (Truth of Islam and Slander of its Enemies) by the former and Al-Islām wal-Hazāratul 'Arabīyate (Islam and Arab civilization) and the Khitut-us-Shām by the latter have an encyclopaedic sweep and are written in a style characterised by boldness and vigour. Similarly, two more works having the title of the Tārīkh al-'Arab Qabl al-Islām (History of the Arabia before Islam) by Dr. Jawwād 'Alī and the Tārīkh al-Turāth il-'Arabī (History of Arabic Belles Letters) by Fawād Sazkīn are penetrating studies. These are commendable works even though they contain certain matters which it may be difficult for others to agree. Two more brilliant dissertations that need a mention here are Qādat al-Fath al-Islāmī (Leaders of Islamic Victories) and Ar-Rasūl al-Qā'id (The Commander Prophet) by an Irāqi General Mahmūd Shīt Khattāb, both of which show a --- $^1$ 'Abqariāt consists of a series of biographies of the Prophet the first four Caliphs and certain eminent Companions bringing into focus their character and humanitarian qualites. great insight into the military history of early Islamic period. One cannot close one's eyes to the vast as well as useful literary project undertaken by my Egyptian friend Anwar al-Jundi under the name of Mausū'atu Muqaddamāt ul-'Uloom wal-Manāhij. It consists of a series of works envisaged by him which has its first volume devoted to Islamic thought, the second to Islamic history, the third to the contemporary Islamic world and the fourth to literature, philology and culture. These four volumes have already been published. Among the volumes under preparation, the fifth is to deal with the Christian missionary efforts and their disintegrating influence on Muslims, the sixth will be on the subject of contemporary Muslim society, the seventh on literature and social sciences, the eight on Islam and comparative religions, the ninth on common mistakes and misunderstandings in regard to Islam and the tenth on revivalism and renaissance in Islam. All these volumes, whenever they come to be published, will constitute an encyclopaedia on Islamic literary and intellectual efforts. Another notable work is Mo'jam ul-Muallifīn of 'Umar Razā Kuhālā. It is a biographical dictionary of Arabic men of letters compiled in fifteen volumes. Although it does not include some of the contemporary writers, it is nevertheless a commendable work of its kind. 1. Compiled in 1379/1957 and published by Matab'a al-Muthanna and Dar-ul-Ihya al-Turath il-'Arabi. Coming to purely theological works, the As-Sunnatu wa Makānutha fit-Tashrī’i il-Islāmī by the late Dr. Mustafa as-Sabā’ī and a few other works of the well-known Egyptian penman ‘Allāmā Muhammad Abū Zuhrā must be reckoned as creations of enduring value on the history of Islamic sects and juristic schools of thought. Three more works showing clarity and depth of thought are Al-Marātu Bain al Fiqhi wal Qānūn (Women in the light of Fiqah and Islamic law) by Dr. Mustafa as-Sabā’ī, Al-Madkhal-ul-Fiqhi il-Ām by Mustafa Ahmad Az-Zarqā and late ‘Abdul Qādir ‘Audah’s At-Tashrī’i ul-Jina’ī il-Islāmī Muqarnā bil Qānūn il-Waza’ī which meet the current legal needs of the Muslim countries. Al-Fath al-Rabbānī li Tartīb Musnad ul-Imām Ahmad as-Shaibānī by Shaikh Ahmad b. ‘Abdur Rahmān al-Banā as-Sā’ātī (the father of Ikhwān ul-Muslimīn’s founder Hasan al-Banā) is also a work of exceptional value.$^1$ It attempts to re-arrange and interpret Musnad of Imām Ahmad according to the needs of the modern times. Another work on the same subject was undertaken by Ahmad Muhammad Shākir which, if completed, would have been the most comprehensive work of its kind.$^2$ Studies in Religious Wisdom Shaikh Nadīm ul-Jisr, the Mufti of Tripolī and --- 1. Unfortunately it remained incomplete. Its 22 volumes have been published. 2. The author died before completing the work. Only 15 volumes of it have been published. northern Lebanon has recently written the Qissatul Imān bain al-Falsafate wal-‘ilm wal-Qur’ān which seeks to convey the deeper aspects of Islamic creed in the form of a story told in a delightful manner. The book shows both depth and range of knowledge in the fields of old and new philosophy as well as modern researches in physics and astronomy. An Iraqi scholar Muhammad Bāqar as-Sadr has written two works on Islamic economic thought. The first of these entitled Iqtisādina (Our Economics) reviews different economic systems vis-a-vis Islamic thought on the subject and the second one Falsafatunā (Our Philosophy) unfolds the bases of Islamic philosophy. Notwithstanding the differences one may have with the views expressed by the author no one can deny that both these works show an awareness of the modern economics and philosophy and successfully compare them with the Islamic economic system, and philosophical thought. There are also works on allied subjects, such as Al-‘Adlatul Ijtamā‘iyatu fil-Islam (Social Justice in Islam) by Syed Qutb, Shubuhāt Haul al-Islām (Islam the Misunderstood Religion) and a few other works on Islamic psychology and education by his brother Muhammad Qutb, Al-Fikr il-Islāmī al-Hadith by Dr. Muhammad Bihī, Fil Fikr il-Islāmī al-Hadith by Muhammad al-Mubārak, Alit Tajāhāt ul-Watnīyah fil Adab il-Ma‘āsir and Husūnanā Mahaddadat by Muhammad Husain and Dr. Yusuf al-Qurzāwī’s Fiqh-uz-Zakāt. The last-mentioned book is a comprehensive work on its subject which has since been rendered into Urdu. Writers on Islamic D’awah We have so far mentioned only literary works with an encyclopaedic sweep written on subjects normally favoured by the orientalists for their studies. The works mentioned here have depth and range and even make use of sources other than those in Arabic. The Muslim Brotherhood (Ikwan ul-Muslimin) of Egypt has given rise to a hold and vigorous literary movement resulting in the transformation of purely research and literary pursuits into popular literature inviting the people to strive for faith and its ideals. The new writers brought up by this movement possess literary charm as well as emotional appeal. The foremost among such writers are Syed Qutb, Muhammad al-Ghazzali, Syed Sadiq, the author of Fiqah us-Sunnah, Kabir ‘Ali Tantawi and a few others. Their works constitute a class by themselves whose scope and influence would require a detailed study which should better be left for the historians of literature in future.¹ Literary and Research Work in Arabian Peninsula Arabian peninsula lagged behind for a long time 1. Al-B’ath al-Islami, the journal published by the Nadwatul ‘Ulama contained a few articles on the subject written by Syed Wazeh Rashid Nadwi under the caption ‘Literature of Islamic Awakening’ (Issues 8, 9 and 10 volume VI, 1402/1982) which are being brought out separately. in the field of literary endeavour, which, however, continued to make headway in Egypt and Syria owing to their literary academies and institutions and journals. Now, under the Saudi Government, Arabia has also embarked upon its literary voyage with several scholarly and research dissertations which are representative of the searching investigation, erudition and comprehensiveness of its scholars. A few specimen of its literary talent are geographical tracts of Shaikh Hāmid al-Jāsir¹, linguistic dissertations of Shaikh Ahmad ‘Abdul Ghafūr ‘Attār,² writings of Shaikh ‘Abdul Quddūs Ansārī on archaeology and ancient culture of Arabia³ and the exhaustive studies of Islamic wars, particularly, the battles fought by the Prophet, undertaken by Muhammad Ahmad Bāshmīl.⁴ Besides these a good number of valuable works have been brought out on fiqah, sharī‘ah, hadīth, tafsīr and contemporary affairs. The list of its litterateurs is 1. He is the author of Fi Sarāti Ghāmidu Zahrān and Fi Shimāli Gharb-il-Jazīrata, and a regular contributor to Al-Mausu‘at ul-Jughrafiyah li-Jazīratil ‘Arab of which 15 issues have been brought out. 2. Some of his research work are As-sihāh wa-Madāris ul-Mujamāt il-Arabiyata and the studies of Zanjāni’s Tahzib us-Sihāh, Jauhari’s As-Sihāh and Azhari’s Muqaddmatu Tahzib ul-Lugha. 3. As, for example, Athār al-Madinatul Munawwarh and Midinata Jeddah 4. His studies on the battles of Badr, Ohud, Ahzāb, Bani Quraizah Hudaibiya, Khaibar, Mūta, Mecca, Hunain and Tabūk have since been brought out. too long to be given here in this short paper. The changing political conditions and to an extent lamentable circumstances in certain literary and educational centres of the Arab world have forced a number of eminent men of letters and erudite scholars of Islamics to seek asylum in Saudi Arabia, Kuwait, Qatar and United Arab Emirate although some of them have also migrated to Lebanon and Jordan. This has been to the advantage of the countries so long reckoned as backward in the educational field. These countries welcomed the emigre scholars with the result that the six universities of Saudi Arabia, Kuwait University, Qatar University of Doha and Al-'Ain University of the Arab Emirate have been enabled to provide for education at the post-graduate and doctorate levels. Although the standard of education shows a variation in these universities but there can be no denying the fact that the literary endeavours of their scholars have enriched Arabic language and literature. Considerable number of their teachers and visiting professors have added lusture to the universities with which they are associated. Research Dissertation of the Universities The papers written for the doctorate degrees by the University students of the Arab countries have proved useful in training them for a purposeful discussion of different subjects in accordance with the modern norms of research. It is true that a larger number of such papers do not contain anything of intrinsic literary value, often for the lack of proper guidance by the teachers, yet they combine the characteristics peculiar to the writings of orientalists with those that these students have inherited from their Islamic environment. To cite here a few examples of comparatively better works, Dr. Nasīr Uddīn Asad’s paper entitled Masādir-us-Sher il-Jahili is worth mentioning which has since taken the shape of a voluminous book after several additions. Some of the other commendable works are Al-Mujtamaʿat-ul-Islāmiyah fi-Qarʿn il-Awwal¹ of Dr. Shakri Faisal, Abul Kalām Āzād of Dr. ʿAbdul Munʿyim an-Nimir² (ex-Minister of Awqaf, Egypt), Makkah wal Madinah fi Jahiliyata wa ʿAhd ar-Rasūl of Ahmad Ibrahim Sharīf, teacher in the faculty of Arts, ʿAin Shams University, Al-Taʿif fil ʿAsr il-Jāhili wa fi-Sadr il-Islām³ by Dr. Nādiyah Hasani Saqār, Banu Isrāʾil fil Qurʾān was-Sunnata of Dr. Muhammad Syed Tantāwī and Al-Isrāʾiliyāt wa Athāruha fi Kutab ut-Tafsīr of Dr. Ramzī N’enāʿa. In Iran and Turkey I have little to say about the literary efforts made in Iran and Turkey because of my own non-familiarity --- 1. First published from Baghdad and then from Egypt in 1371/1952. 2. He has written two more books, the Tārikh il-Islām fil-Hind and Kifāh ul-Muslīmīn fi Tahīr il-Hind. The latter is one of the best books written about Indian Muslims by any non-Indian. 3. Published by Darʿus-Shurūq, Jeddah in 1980. with them. Dr. Seyyed Hossein Nasr is however, an exception whose English writings reflect deep study and literary polish. North African Arab Countries So far as the Arab countries of North-Africa are concerned, intellectual life based on Islamic culture, depth and range of knowledge specially in hadīth and its sources and refined literary style have been the chief characteristics of their scholarship. The works of ‘Allāmā ‘Abdul Ha’ī Kattānī, specially his Al-Taratīb-ul Idāriyatu fi-Nizām il-Hukūmatin Nabawīyah have an encyclopaedic sweep of invaluable worth and merit. Great scholars and litterateurs have come forth from these lands who have shown a deep insight into the Islamic religious thought. The foremost among such men of letters are ‘Allāmā ‘Allāl Fāsī, Shaikh Tāhīr’ ‘Ashūr and his learned son Fāzil b. ‘Ashūr, Mālik b. Banī and Muhammad Bashīr al-Ibrāhīmī. Among the contemporary scholars Muhammad al-Fasī, ‘Abdullah Kunūn, ‘Abdul Karīm al-Khatīb, Mahdī Ban‘abūd, Abdus Salām Yāsīn, Dr. Habīb Bilkhojā, Shāzlī al-Nayfar and Ahmad al-Hammānī continue to broaden the intellectual movement through their scientific studies and literary productions. There are many more up-coming writers whose creations published from time to time in the literary journals like the D’awatul Haq of Morocco show signs of their bright future. It would be difficult to mention all these writers here. The Jihād of Today As an epilogue to this paper an extract from another article from my own pen would bear reproduction here: "A paramount need of the present times—a Jihād of today—is to stand up against the onslaught of irreligiousness on the world of Islam which is threatening to destroy its intellectual and cultural bases. To bring back the confidence of educated Muslim youngmen in Islamic norms and values, principles and doctrines, and, above all, in the prophethood of Muhammad, would be the greatest act of renaissance. As this class is suffering today from intellectual confusion which is creating mental alienation to Islam, restoration of its self-confidence would serve the purpose of Islamic revival. The need of the hour today, therefore, is to combat the present-day jahiliyah and its thought with cogent reasoning and wisdom until Islamic precepts and principles are taken to heart with the fullest conviction. "It is a century now since the time Europe started sowing seeds of disbelief and doubt in the minds of Muslim intelligentsia. Skepticism is now order of the day, metaphysical realities stand rejected and materialistic concepts like separation of state and religion have taken their place. We have not given thought to this urgent problem during the last hundred years, nor cared to reclaim our intellectual heritage. We have not tried to understand the thoughts of Europe nor to analyse them with intelligence and expertise. We have spent our time in unnecessary wranglings and now we are confronted with a generation brought up in a secular atmosphere, possessing neither faith nor emotional attachment to Islam, nor even to its own people. If it has anything to do with its own folk, it is the bond of common nationality with a people who happen to be Muslims and to which it finds hinged its own political interest. But, this trend is not confined now to the educated class alone; for, the irreligious categories of thoughts and the ideas associated with them have become popular among the masses through literature, mass media and political institutions. The danger of secularism is besetting all the Muslim nations and, God forbid, it is threatening to replace Islam in every walk of life. "The Muslim world requires a new call to rally round Islam. The slogan of this new call should be: 'Come and revive the faith in Islam'. But only this slogan is not enough: it would first be necessary to think out how to reach the mind and heart of the class which happens to be in the saddle in Muslim countries and then, how to summon them back to Islam."
A vortex sheet based analytical model of the curled wake behind yawed wind turbines Majid Bastankhah\textsuperscript{1,†}, Carl R. Shapiro\textsuperscript{2,3}, Sina Shamsoddin\textsuperscript{4}, Dennice F. Gayme\textsuperscript{2} and Charles Meneveau\textsuperscript{2} \textsuperscript{1}Department of Engineering, Durham University, Durham DH1 3LE, UK \textsuperscript{2}Department of Mechanical Engineering, Johns Hopkins University, Baltimore, MD 21218, USA \textsuperscript{3}US Department of Energy, AAAS Science and Technology Policy Fellow, Building Technologies Office, Washington, DC 20585, USA \textsuperscript{4}Swiss Finance and Property Group, Seefeldstrasse 275, 8008 Zurich, Switzerland (Received 25 May 2021; revised 28 September 2021; accepted 2 November 2021) Motivated by the need for compact descriptions of the evolution of non-classical wakes behind yawed wind turbines, we develop an analytical model to predict the shape of curled wakes. Interest in such modelling arises due to the potential of wake steering as a strategy for mitigating power reduction and unsteady loading of downstream turbines in wind farms. We first estimate the distribution of the shed vorticity at the wake edge due to both yaw offset and rotating blades. By considering the wake edge as an ideally thin vortex sheet, we describe its evolution in time moving with the flow. Vortex sheet equations are solved using a power series expansion method, and an approximate solution for the wake shape is obtained. The vortex sheet time evolution is then mapped into a spatial evolution by using a convection velocity. Apart from the wake shape, the lateral deflection of the wake including ground effects is modelled. Our results show that there exists a universal solution for the shape of curled wakes if suitable dimensionless variables are employed. For the case of turbulent boundary layer inflow, the decay of vortex sheet circulation due to turbulent diffusion is included. Finally, we modify the Gaussian wake model by incorporating the predicted shape and deflection of the curled wake, so that we can calculate the wake profiles behind yawed turbines. Model predictions are validated against large-eddy simulations and laboratory experiments for turbines with various operating conditions. Key words: wakes † Email address for correspondence: firstname.lastname@example.org © The Author(s), 2021. Published by Cambridge University Press. This is an Open Access article, distributed under the terms of the Creative Commons Attribution licence (https://creativecommons.org/licenses/by/4.0/), which permits unrestricted re-use, distribution, and reproduction in any medium, provided the original work is properly cited. 1. Introduction Analytical models of various fluid mechanical phenomena in wind energy play an important role for basic understanding and for design and control of wind farms. Prime examples are models for the wind turbine wake velocity defect and its downstream evolution commonly used in wind farm layout optimization (Jensen 1983; Stevens & Meneveau 2017; Porté-Agel, Bastankhah & Shamsoddin 2020). In the classic Jensen model, for instance, a linearly expanding wake with a top-hat shape is assumed. More recent models allow for more realistic wake cross-sections with a Gaussian distribution (Bastankhah & Porté-Agel 2014), and cross-sections that transition from top hat near the turbine to Gaussian further downstream have also been proposed (Shapiro et al. 2019). Analytical wake models can be particularly useful in implementation of wake mitigation strategies such as wake steering, which has been receiving growing attention as an important control approach for increasing wind farm power output (Fleming et al. 2014; Gebraad et al. 2014; Bastankhah & Porté-Agel 2015; Campagnolo et al. 2016; Howland et al. 2016; Schottler et al. 2017; Bartl et al. 2018; Lin & Porté-Agel 2019; Kleusberg, Schlatter & Henningsson 2020; Speakman et al. 2021). Achieving increased power output through wake steering involves turbines, often in the front rows of wind farms, being intentionally operated in yawed conditions to redirect their wakes away from downwind turbines. Although this reduces the power produced by the yawed turbines, research has shown that the total wind farm efficiency can improve as a result of more power generated by downwind turbines (Park & Law 2016; Bastankhah & Porté-Agel 2019; Fleming et al. 2019; Howland, Lele & Dabiri 2019; King et al. 2021). Yawed turbine wake flows are known to exhibit complex features which makes their modelling more challenging than their unyawed counterparts. The most striking fluid-dynamic feature of a yawed turbine wake is arguably its curled cross-sectional shape (i.e. a kidney-shaped cross-section). This shape arises due to the action of a counter-rotating vortex pair (CVP) as detailed in Howland et al. (2016). Counter-rotating vortex pairs are typically generated when forcing with spatial cross-stream variations is applied perpendicular to the flow direction. One of the most notable examples are vortices trailing from finite-span wings that roll-up and lead to the formation of a CVP, i.e., wingtip vortices or wake vortices in the aerodynamics literature. The formation and evolution of these vortical structures has been the subject of numerous studies since seminal works of Prandtl and Lancaster (see Anderson (2011), and references therein). As noted in Bastankhah & Porté-Agel (2016), the CVP observed in yawed turbine wakes is also similar to those formed in many other free shear flows with strong spanwise variations of cross-wind velocity such as cross-flow jets (see, e.g. the review of Mahesh 2013). In order to exploit the basic understanding of induced velocity and circulation of CVPs generated by finite-span wings, Shapiro, Gayme & Meneveau (2018) proposed to regard a yawed turbine as a lifting surface with an elliptical planform. Based on this approach, the lateral component of the thrust force can be regarded as the transverse lift force. This analogy made it possible to determine: (i) the distribution of circulation at the yawed rotor modelled as a lifting line, and (ii) the transverse velocity (equivalent to downwash velocity for finite-span wings) at the rotor disk due to the yaw offset. The latter enabled modelling of the transverse displacement of the wake but the wake itself was still assumed to retain a circular cross-sectional shape rather than the curled shape observed in practice. The associated vorticity distribution was later used by Martínez-Tossas et al. (2019, 2021) to develop a Lagrangian vorticity transport model that can predict the curled shape of the wake after numerical integration. Recently, Martinez-Tossas & Brankard (2020) and Zong & Porté-Agel (2020) have instead expressed rates of vorticity shedding at rotor blade tips using vortex cylinder theory (Coleman, Feingold & Stempin 1945; Burton et al. 1995; Branlard & Gaunaa 2016) to determine the trailing vorticity distribution behind a yawed rotor. The numerical model developed by Zong & Porté-Agel (2020) also takes into account the redistribution of point vortices in the wake due to their self-induced velocities. More recently, Shapiro, Gayme & Meneveau (2020) have solved the linearised mean streamwise vorticity transport equation to develop an analytical expression that can predict the decay of the CVP due to atmospheric turbulence. Bossuyt et al. (2021) have also experimentally demonstrated the impact of vortical structures shedding from a misaligned (either tilted or yawed) rotor on the curled shape of the wake downstream. Capturing the curled shape of the wake for yawed turbines is of great importance since curling affects how much the wake will effectively overlap with downstream wind turbines, thus affecting the predicted power generation. However, models of the curled wake shape in the literature require numerical integration, and existing analytical wake models (e.g. Bastankhah & Porté-Agel 2016; Qian & Ishihara 2018; Shapiro et al. 2018; Blondel et al. 2020; King et al. 2021) cannot capture this deformation of the wake shape. There are several advantages to analytically expressed models that represent the trends in simple and explicit forms. Apart from their low computational cost, analytical flow models (Meneveau 2019) often prove to be useful in revealing additional insights on flow physics that may not be evident using numerical simulation tools. Therefore, the current study aims at developing an analytical model to predict displacement and shape deformation of the wake behind a yawed turbine. The proposed model is inspired by prior works on two-dimensional vortex sheets (e.g. Rottman, Simpson & Stansby 1987; Coelho & Hunt 1989). The proposed analytical model predicts displacement and deformation of a vortex sheet, shedding from the circumference of a yawed rotor, as it is convected downstream. The vortex sheet model is then combined with a model for downstream evolution of wake velocity deficit to predict the shape of the curled wake and velocity distribution downwind of a yawed turbine. The remainder of the paper is organised as follows. Section 2 derives the vortex sheet, truncated power series solution for the yawed turbine wake in uniform, ideal flow, and model predictions are compared with numerical simulation under laminar uniform inflow. In § 3 the model is extended to cases with turbulent boundary layer inflow, and the results are compared with corresponding large-eddy simulation (LES) data. Finally, § 4 provides a summary of the developed model and our main conclusions. 2. Vortex sheet evolution in uniform, ideal flow 2.1. Evolving vortex sheet governing equations As shown in Shapiro et al. (2020), among others, vortices shedding from the circumference of the yawed rotor represented as an actuator disk form a tubular vortex sheet. The objective of this section is to model the shape evolution of this vortex sheet with downstream distance or, equivalently, with time. Only the streamwise component of the shedding vorticity is modelled in this work because the lateral wake deflection and the deformation of the wake cross-section are mainly due to the velocities induced by the streamwise component of shedding vorticity (Martinez-Tossas & Branlard 2020). The vortex sheet consists of semi-infinite streamwise vortex lines. In order to enable solving the governing equations analytically, following Coelho & Hunt (1989) and Rottman et al. (1987), we assume that the vortex sheet is planar and that its constituent vortex lines are infinite instead of semi-infinite, an approximation that improves at increasing distances from the origin. Figure 1 shows a schematic of the vortex sheet in the plane normal to the incoming flow. The $(x, y, z)$ coordinate system is defined with an origin at the rotor centre and with $x$ in the streamwise direction (i.e. parallel to the incoming flow) and $y$ and $z$ in the spanwise and vertical directions, respectively. Alongside this Cartesian system, we define a polar coordinate system of $(r, \theta)$ in the $yz$-plane (i.e. plane normal to the incoming flow). This polar coordinate system is attached to the centre of the vortex sheet, denoted by $C$. The position of $C$ in the $(x, y, z)$ coordinate system is denoted by $(x_c, y_c, z_c)$. As $r$ is the radial distance from $C$, one can write $r^2 = (y - y_c)^2 + (z - z_c)^2$. The polar angle $\theta$ is measured from the positive $y$-axis toward the positive $z$-axis such that $\tan \theta = (z - z_c)/(y - y_c)$. The shape of the vortex sheet is represented by the polar function $\xi(\theta, t)$ that measures the distance of the vortex sheet from the centre, where $t$ is time. Our main objective is to describe the evolution of the vortex sheet as a function of time $t$ in a frame moving downstream with the convection velocity $U_{con}$, i.e. determine $\xi(\theta, t)$. This is equivalent to determining the downstream spatial evolution of the vortex sheet, with $x = U_{con}t$. The sheet location $\xi(\theta, t)$ obeys \[ \xi = \xi_0 + \int u_r(\theta, t) \, dt, \] where $\xi_0 = \xi(\theta, 0)$ and $u_r(\theta, t)$ denotes the radial velocity of the vortex sheet, which is affected by the strength of the evolving vortex sheet, whose evolution is treated next. Let us denote the strength of the vortex sheet by $\gamma = \gamma(\theta, t)$, where the vortex strength $\gamma$ is defined as the amount of circulation per unit length. In addition to the vortex sheet, there is a point vortex at $C$ with a circulation of $\Gamma_r$ (see figure 1$b$) to model the rotor root vortex, which is elaborated later in §2.3. We will show in §2.3 that the initial condition for the strength can be written as \[ \gamma_0 = \gamma(\theta, 0) = \gamma_r + \gamma_b \sin \theta \quad \text{at } r = \xi_0, \] \[ \Gamma_r = -2\pi \xi \gamma_r \quad \text{at } r = 0, \] where $\gamma_r$ and $\gamma_b$ are constants depending on turbine operating conditions. Later in §2.3, we show that $\gamma_b$ is related to the vorticity generated due to turbine yaw, while $\gamma_r$ and $\Gamma_r$ are related to the vorticity generated by turbine rotating blades. Our focus now is to predict the deformation of the vortex sheet provided that the initial conditions are given by (2.2)–(2.3). The velocity of the vortex sheet $\mathbf{u}(\theta, t)$ with respect to a coordinate system attached to the centre $C$ is given by $$\mathbf{u}(\theta, t) = \mathbf{u}_I + \mathbf{u}_{II} - \mathbf{u}_c.$$ \hspace{1cm} (2.4) In (2.4) and hereafter, bold letters denote vectors. Next, we employ the Biot–Savart law to determine the three velocity terms on the right-hand side of (2.4), starting with the self-induced velocity $\mathbf{u}_I = u_{I,r}\mathbf{e}_r + u_{I,\theta}\mathbf{e}_\theta$, where $\mathbf{e}_r$ and $\mathbf{e}_\theta$ are unit vectors in the radial and tangential directions, respectively. The radial $u_{I,r}$ and tangential $u_{I,\theta}$ components of the self-induced velocity at a given polar angle of $\theta$ are respectively given by $$u_{I,r}(\theta, t) = \int_0^{2\pi} \frac{\gamma(\theta', t) \sin \alpha}{2\pi l} \xi' \, d\theta',$$ \hspace{1cm} (2.5) $$u_{I,\theta}(\theta, t) = \int_0^{2\pi} \frac{\gamma(\theta', t) \cos \alpha}{2\pi l} \xi' \, d\theta',$$ \hspace{1cm} (2.6) where $l$ and $\alpha$ are defined in figure 1(a), $\theta'$ is a dummy integration variable, and $\xi' = \xi(\theta', t)$. According to the law of cosines, $l^2 = \xi^2 + \xi'^2 - 2\xi\xi' \cos (\theta' - \theta)$. The angle $\alpha$ shown in the figure 1(a) can be related to $l$ based on the law of sines for the drawn triangle, which results in $\sin \alpha = (\xi'/l) \sin (\theta' - \theta)$. For small values of time $t$ and yaw angle $\beta$, we can assume that the vortex sheet is approximately circular and, thus, $\xi \approx \xi'$. After some trigonometric manipulations, (2.5) and (2.6) can be simplified to $$u_{I,r}(\theta, t) = p.v. \frac{1}{4\pi} \int_0^{2\pi} \frac{\gamma(\theta', t)}{\tan \left[ (\theta' - \theta)/2 \right]} \, d\theta',$$ \hspace{1cm} (2.7) $$u_{I,\theta}(\theta, t) = p.v. \frac{1}{4\pi} \int_0^{2\pi} \frac{\gamma(\theta', t) \sin \left[ (\theta' - \theta)/2 \right]}{\sin \left[ (\theta' - \theta)/2 \right]} \, d\theta' = \frac{1}{4\pi} \int_0^{2\pi} \gamma(\theta') \, d\theta'.$$ \hspace{1cm} (2.8) Both integrals in (2.7) and (2.8) have singularities at $\theta' = \theta$ and, thus, we use the Cauchy principal values of these two integrals. While the principal value (p.v.) of the latter can be simply obtained by removing $\sin[(\theta' - \theta)/2]$ from the numerator and the denominator, the p.v. of the former needs to be determined for a given $\gamma(\theta, t)$. Next, we determine the velocity of the vortex sheet induced by the point vortex at C as shown in figure 1(b). We obtain $$u_{II,r}(\theta, t) = 0,$$ \hspace{1cm} (2.9) $$u_{II,\theta}(\theta, t) = \frac{\Gamma_r}{2\pi \xi} = -\gamma_r.$$ \hspace{1cm} (2.10) Finally, we determine $\mathbf{u}_c$, which is the velocity of $C$ induced by the vortex sheet, shown in figure 1(c). It can be readily shown that $\mathbf{u}_c$ is given by $$u_{c,r}(\theta, t) = \frac{1}{2\pi} \int_0^{2\pi} \gamma(\theta', t) \sin (\theta' - \theta) \, d\theta',$$ \hspace{1cm} (2.11) $$u_{c,\theta}(\theta, t) = -\frac{1}{2\pi} \int_0^{2\pi} \gamma(\theta', t) \cos (\theta' - \theta) \, d\theta'.$$ \hspace{1cm} (2.12) If we neglect streamwise ($x$-direction) straining, vorticity is a conserved quantity, so the vorticity transport equation for the vortex sheet strength $\gamma(\theta, t)$ provides the additional required evolution equation (Moore 1978) \[ \frac{\partial \gamma}{\partial t} + \frac{\partial (\gamma u_s)}{\partial s} = 0, \] (2.13) where $s$ is the arclength along the vortex sheet. At small values of time $t$ and yaw angle $\beta$, the vortex sheet remains approximately circular, so $u_s$ and $\partial s$ can be respectively replaced with $u_\theta$ and $\xi \partial \theta$. Therefore, (2.13) is simplified to \[ \frac{\partial \gamma}{\partial t} + \frac{1}{\xi} \frac{\partial (\gamma u_\theta)}{\partial \theta} \approx 0. \] (2.14) Next, we use $\gamma_b$ and $\xi_0$ to non-dimensionalise variables in (2.4) and (2.14). This leads to the following set of dimensionless equations: \[ \hat{u}_r(\theta, \hat{t}) \approx p.v. \frac{1}{4\pi} \int_0^{2\pi} \frac{\hat{\gamma}(\theta', \hat{t})}{\tan\left[\frac{1}{2}(\theta' - \theta)\right]} d\theta' - \frac{1}{2\pi} \int_0^{2\pi} \hat{\gamma}(\theta', \hat{t}) \sin(\theta' - \theta) d\theta', \] (2.15) \[ \hat{u}_\theta(\theta, \hat{t}) \approx \frac{1}{4\pi} \int_0^{2\pi} \hat{\gamma}(\theta') d\theta' + \frac{1}{2\pi} \int_0^{2\pi} \hat{\gamma}(\theta', \hat{t}) \cos(\theta' - \theta) d\theta' - \chi, \] (2.16) \[ \frac{\partial \hat{\gamma}}{\partial \hat{t}} \approx -\frac{1}{\hat{\xi}} \frac{\partial (\hat{\gamma} \hat{u}_\theta)}{\partial \theta}. \] (2.17) Here $\hat{t} = t \gamma_b / \xi_0$, $\hat{u} = u / \gamma_b$, $\hat{\gamma} = \gamma / \gamma_b$, $\hat{\xi} = \xi / \xi_0$ and $\chi = \gamma_r / \gamma_b$. Note that the dimensionless time $\hat{t}$ becomes negative for negative values of $\gamma_b$. In the following, we solve (2.15)–(2.17) using the power series method. ### 2.2. Analytical solution using power series approximation We write $\hat{\gamma}(\theta, \hat{t})$, $\hat{u}_r(\theta, \hat{t})$ and $\hat{u}_\theta(\theta, \hat{t})$ as power series in the form of \[ \hat{\gamma}(\theta, \hat{t}) = \sum_{n=0}^{\infty} \hat{\gamma}_n(\theta) \hat{t}^n; \quad \hat{u}_r(\theta, \hat{t}) = \sum_{n=0}^{\infty} \hat{u}_{rn}(\theta) \hat{t}^n, \quad \hat{u}_\theta(\theta, \hat{t}) = \sum_{n=0}^{\infty} \hat{u}_{\theta n}(\theta) \hat{t}^n. \] (2.18a–c) According to (2.1), for $\hat{\xi}$ and the factor $1/\hat{\xi}$ in (2.17), we have \[ \hat{\xi} = 1 + \int \hat{u}_r d\hat{t} = 1 + \sum_{n=0}^{\infty} \frac{1}{n+1} \hat{u}_{rn} \hat{t}^{n+1}, \] (2.19) \[ \frac{1}{\hat{\xi}} = \sum_{n=0}^{\infty} f_n(\theta) \hat{t}^n, \] (2.20) where $f_n$s are Taylor series expansion coefficients of $1/\hat{\xi}$. For example, the first three coefficients, which are used in the final solution of this paper, can be shown to be $f_0 = 1$, $f_1 = -\hat{u}_{r0}$ and $f_2 = \hat{u}_{r0}^2 - \frac{1}{2} \hat{u}_{r1}$. We insert the power series (2.18a–c) and (2.20) into (2.15)–(2.17) and equating coefficients we obtain \[ \hat{u}_{rn}(\theta) \approx p.v. \frac{1}{4\pi} \int_0^{2\pi} \frac{\hat{\gamma}_n(\theta')}{\tan\left[(\theta' - \theta)/2\right]} d\theta' - \frac{1}{2\pi} \int_0^{2\pi} \hat{\gamma}_n(\theta') \sin(\theta' - \theta) d\theta', \] \[ \hat{u}_{\theta n}(\theta) \approx \frac{1}{4\pi} \int_0^{2\pi} \hat{\gamma}_n(\theta') d\theta' + \frac{1}{2\pi} \int_0^{2\pi} \hat{\gamma}_n(\theta') \cos(\theta' - \theta) d\theta' - \begin{cases} \chi, & \text{if } n = 0, \\ 0, & \text{if } n > 0, \end{cases} \] \[ \hat{\gamma}_{n+1} \approx -\frac{1}{(n+1)} \left( \sum_{j=0}^n f_j \sum_{i=0}^{n-j} \frac{\partial (\hat{\gamma}_i \hat{u}_{\theta (n-j-i)})}{\partial \theta} \right). \] The first term on the right-hand side of (2.21) is a Cauchy p.v. of an improper integral. The following identities are useful to solve this integral: \[ p.v. \int_0^{2\pi} \frac{\sin nx}{\tan\left[(x - b)/2\right]} dx = 2\pi \cos nb, \] \[ p.v. \int_0^{2\pi} \frac{\cos mx}{\tan\left[(x - b)/2\right]} dx = -2\pi \sin mb. \] Here $ n \in \{1, 2, \ldots\}, m \in \{0, 1, 2, \ldots\} $ and $ b \in [0, 2\pi] $. The complete derivation of these integrals can be found in the Appendix A. From (2.2), $ \hat{\gamma}_0(\theta) = \sin \theta + \chi $. One can insert $ \hat{\gamma}_0 $ into (2.21) and (2.22) to respectively find $ \hat{u}_{r0}(\theta) $ and $ \hat{u}_{\theta 0}(\theta) $. Values of $ \hat{u}_{r0}(\theta), \hat{u}_{\theta 0}(\theta) $ and $ f_0 $ can be then inserted into (2.23) to find $ \hat{\gamma}_1(\theta) $. This recursive process is repeated until reaching the desired order of evaluation for the power series of (2.18a–c). After $ \hat{u}_r(\hat{\theta}, \hat{t}) $ is obtained using the developed recursive relations, the dimensionless shape of the vortex sheet $ \hat{\xi}(\theta, \hat{t}) $ is evaluated from (2.19). The solutions for $ \hat{\gamma}, \hat{u}_r $ and $ \hat{u}_\theta $ up to $ O(\hat{t}^3) $ and for $ \hat{\xi} $ up to $ O(\hat{t}^4) $ are written below, \[ \hat{\gamma}(\theta, \hat{t}) = \sin(\theta) + \chi - \frac{1}{2}\hat{t} \sin(2\theta) + \hat{t}^2 \left( -\frac{1}{4}\chi \cos(2\theta) + \frac{3}{16} \sin(3\theta) - \frac{\sin(\theta)}{16} \right) \] \[ + \hat{t}^3 \left( \frac{1}{12}\chi^2 \sin(2\theta) - \frac{1}{48}\chi \cos(\theta) + \frac{5}{32}\chi \cos(3\theta) + \frac{5}{96} \sin(2\theta) - \frac{7}{96} \sin(4\theta) \right), \] \[ \hat{u}_r(\theta, \hat{t}) = -\frac{1}{4}\hat{t} \cos(2\theta) + \hat{t}^2 \left( \frac{1}{8}\chi \sin(2\theta) + \frac{3}{32} \cos(3\theta) \right) \] \[ + \hat{t}^3 \left( \frac{1}{24}\chi^2 \cos(2\theta) - \frac{5}{64}\chi \sin(3\theta) + \frac{5}{192} \cos(2\theta) - \frac{7}{192} \cos(4\theta) \right), \] \[ \hat{u}_\theta(\theta, \hat{t}) = \frac{1}{2} \sin(\theta) - \frac{1}{2} \chi - \frac{1}{32} \hat{t}^2 \sin(\theta) - \frac{1}{96} \hat{t}^3 \chi \cos(\theta), \] \[ \hat{\xi}(\theta, \hat{t}) = 1 - \frac{1}{8} \hat{t}^2 \cos(2\theta) + \hat{t}^3 \left( \frac{1}{24} \chi \sin(2\theta) + \frac{1}{32} \cos(3\theta) \right) + \hat{t}^4 \left( \frac{1}{96} \chi^2 \cos(2\theta) - \frac{5}{256} \chi \sin(3\theta) + \frac{5}{768} \cos(2\theta) - \frac{7}{768} \cos(4\theta) \right). \] One can compute higher-order terms of (2.26)–(2.29), which may become relevant at increasing values of $\hat{t}$. However, since the above solution is developed based on the assumption that the vortex sheet remains approximately circular, increasing deformation of the vortex sheet makes the solution inaccurate at large values of $\hat{t}$. For practical applications at large $\hat{t}$, in Appendix B we propose an empirical formula that merges smoothly with the theoretical expression at small $\hat{t}$ (i.e. $\|\hat{t}\| \leq 2$), while it has desired reasonable properties at large times (i.e. $\|\hat{t}\| > 2$). In the next section we prove the validity of the initial conditions in (2.2) and (2.3). Moreover, values of $\hat{\xi}_0$, $\gamma_b$ and $\gamma_r$ are determined as functions of turbine operating conditions. ### 2.3. Setting vortex sheet initial conditions at yawed turbine location In this section we determine the vorticity shedding from a yawed rotor disk (i.e. $\gamma_0(\theta) = \gamma(\theta, 0)$). According to the Kutta–Joukowski theorem, lift force is proportional to the amount of circulation around a lifting airfoil. This means that an airfoil can be replaced with a bound vortex. Also, for any airfoil with finite span, free vortices must trail downstream from both sides of the bound vortex to infinity, forming a horseshoe vortex (Anderson 2011). Turbine blades rotate and produce power due to their generated lift force, and vorticity is shed from the root and the tip of rotor blades. In addition, the whole yawed rotor can be assumed as a big finite-span airfoil with the lateral component of the thrust force regarded as the lift force. Therefore, in order to find the total shedding vorticity at the rotor disk, we need to determine those due to both yaw offset and rotating blades. In the following, we assume that the yawed rotor can be modelled as a rotating actuator disk. #### 2.3.1. Vorticity shedding due to turbine yaw Prior studies have suggested two different approaches to model the distribution of circulation at a yawed disk. By modelling a yawed disk as a lifting line, the circulation is concentrated on a vertical line at the centre of the rotor with an elliptical distribution spanning from the bottom tip to the top tip of the rotor (Shapiro et al. 2018). Alternatively, vorticity due to yaw offset can be assumed to shed from the circumference of the rotor (Zong & Porté-Agel 2020). Martinez-Tossas & Branlard (2020) used vortex cylinder theory to state the equivalency of these two methods. Shapiro et al. (2020) proved that both vorticity distributions yield the same induced velocity inside the radius of the rotor disk. To determine the reference circulation density $\gamma_b$ needed in (2.2) and to provide more physical insight, we build upon the literature to show that the equivalency of these two vorticity distributions can be also verified simply by rearranging the position of horseshoe vortices over a yawed disk. Figure 2(a) shows a schematic of a yawed actuator disk modelled as a lifting surface with a constant vortex strength of $\gamma_b$ in the $\hat{z}$-direction. The coordinate system $(\hat{x}, \hat{y}, \hat{z})$ is defined based on the rotor plane as shown in figure 2(c), and its respective polar coordinate system $(\tilde{r}, \tilde{\theta})$ is defined such that $\tilde{r} = \sqrt{\tilde{y}^2 + \tilde{z}^2}$ and $\tan \tilde{\theta} = \tilde{z}/\tilde{y}$. The lifting surface shown in figure 2(a) can be envisaged as a surface with an infinite number of horseshoe vortices uniformly distributed across the yawed disk. The bound circulation at a given vertical position $z$ is given by \[ \Gamma(\tilde{z}) = \int_{-\sqrt{R^2 - \tilde{z}^2}}^{\sqrt{R^2 - \tilde{z}^2}} \gamma_b \, d\tilde{y} = 2\gamma_b \sqrt{R^2 - \tilde{z}^2}, \] (2.30) where $R$ is the rotor radius. Note that according to (2.30), the vertical distribution of the bound circulation for the lifting surface with a constant vortex strength $\gamma_b$ is elliptical. This means that if we concentrate all these horseshoe vortices on a vertical line at the centre of the disk, the lifting surface is transformed to a lifting line with an elliptical distribution of circulation, like the one used by Shapiro et al. (2018), as shown in figure 2(b). In this case, trailing vortices shed from all along the lifting line, because it consists of horseshoe vortices that vary in size. From (2.30), the maximum value of bound circulation for the lifting line, denoted by $I_b$, occurs at $\tilde{z} = 0$, and its value is equal to $2R\gamma_b$. From the lifting line theory, we know that $\Gamma_b = -U_h C_T R \cos^2 \beta \sin \beta$ (Shapiro et al. 2018), where $C_T$ is the turbine thrust coefficient. The value of $C_T$ is given by \[ C_T = \frac{2T}{\rho \pi R^2 U_h^2 \cos^2 \beta}, \] (2.31) where $T$ is the total magnitude of the turbine thrust force, $\rho$ is the air density and $U_h$ is the inflow velocity at the hub height. Note that this definition is the same as the one used in Shapiro et al. (2018), but it is different from the one used in some other prior studies (e.g. Burton et al. 1995; Bastankhah & Porté-Agel 2016). Since $\gamma_b = I_b/2R$, the value of $\gamma_b$ is given by \[ \gamma_b = -\frac{1}{2} U_h C_T \cos^2 \beta \sin \beta. \] (2.32) Next, we determine the distribution of trailing vortices shedding from the circumference of the lifting surface. The circulation of the vortex shedding from an infinitesimal circumferential element $d\bar{s}$, where $d\bar{s} = R \, d\bar{\theta}$, is $d\Gamma_{\text{shed,yaw}} = \gamma_b \, d\tilde{y}$. Given that $d\tilde{y} = d\bar{s} \sin \bar{\theta}$, we obtain \[ d\Gamma_{\text{shed,yaw}} = \gamma_b \sin \bar{\theta} \, d\bar{s}. \] (2.33) For the lifting line, on the other hand, the magnitude of circulation of trailing vortex over the segment $d\bar{z}$ is equal to $-(d\Gamma/d\bar{z}) \, d\bar{z}$ (Anderson 2011). From (2.30) and $\Gamma_b = 2R\gamma_b$, we obtain \[ d\Gamma_{shed, yaw} = \frac{\Gamma_0 \bar{z} d\bar{z}}{R \sqrt{R^2 - \bar{z}^2}}. \] (2.34) Using the variable change $ \bar{z} = R \sin \tilde{\theta} $, one can easily show that $ d\Gamma_{shed} $ for the lifting surface at any $ \tilde{\theta} $ (2.33) is half of that of the lifting line (2.34) at the respective height $ \bar{z} $. Note that for the lifting surface, at a given height, trailing vortices shed at both angles of $ \tilde{\theta} $ and $ (\pi - \tilde{\theta}) $ with the same magnitude of circulation. Therefore, trailing vortices shedding from the lifting line and the lifting surface vary with height in a similar manner. It is also worth mentioning that the results presented here are in agreement with those obtained from the skewed vortex cylinder theory (Coleman et al. 1945; Branlard & Gaunaa 2016). By modelling a yawed turbine wake as a skewed vortex cylinder, Martinez-Tossas & Branlard (2020) stated that the dominant vorticity shedding from the rotor is the tangential vorticity vector, which lies in the rotor plane. The streamwise projection of this tangential vorticity is equal to the one found in the present work (2.33) (c.f. (9) in Martinez-Tossas & Branlard 2020). ### 2.3.2. Inclusion of wake angular momentum effects In this section we determine the value of $ \gamma_r $ required in (2.2) and (2.3). Based on the method of Joukowsky that models a turbine blade as one single horseshoe vortex with constant bound circulation (see Okulov & Van Kuik (2012) for historical background), two free trailing vortices with the same magnitude of circulation are shed from both root and tip ends of each turbine blade. Under the assumption of a large number of blades, this creates a vortex system consisting of a bound vortex disk, an axial root vortex and a tubular vortex sheet as shown in figure 3(a). Let us denote the circulation of the root trailing vortex with $ \Gamma_r $. As the amount of circulation along any horseshoe vortex remains constant, the bound circulation on the rotor disk at any radial position should be the same as $ \Gamma_r $. According to the Kutta–Joukowsky theorem, the bound circulation over an annular ring at a radial position $ \bar{r} $ and thickness of $ d\bar{r} $ on the rotor disk generates a lift force $ dL $, which amounts to (Okulov & Sørensen 2010) \[ dL = \rho V_0 \times e_T \Gamma_r d\bar{r}, \] (2.35) where $ V_0 $ is the resultant relative wind velocity experienced by the blade element as shown in figure 3(b). In this figure, $ \phi $ denotes the angle between $ V_0 $ and $ \tilde{\theta} $-direction, and $ U_d $ is the component of $ V_0 $ in the $ \tilde{x} $-direction. The tangential component of $ dL $ produces power $ P $, which is given by \[ dP = \Omega \ dQ = \rho \Omega \Gamma_r U_d \bar{r} d\bar{r}, \] (2.36) where $ \Omega $ is the turbine rotational velocity and $ dQ $ is the torque generated by the given annular ring. From the axial momentum theory, the power generated by the annular ring can be written as the product of $ U_d $ and $ dT $, where $ dT $ is the thrust force exerted on the annular ring. Therefore, we obtain an additional equation for $ dP $ as \[ dP = U_d dT = \rho U_d U_\infty^2 C_T \cos^2 \beta(\pi \bar{r}) d\bar{r}. \] (2.37) Note that to derive (2.37), the local thrust coefficient for a given annular ring is assumed to be the same as its value for the whole rotor defined in (2.31). This is a correct assumption for the Joukowski vortex model (Van Kuik, Sørensen & Okulov 2015). Equating (2.36) and (2.37) leads to \[ \Gamma_r = \frac{\pi R}{\lambda} U_h C_T \cos^2 \beta, \] (2.38) where $ \lambda $ is the tip-speed ratio and defined as $ \Omega R / U_h $. As seen in figure 3(a), the trailing vorticity sheds over the circumference of the rotor disk. It is evident that the value of circulation for the vorticity shedding over the circumferential element $ d\bar{s} $ is given by \[ d\Gamma_{\text{shed, rot}} = \gamma_r d\bar{s}, \] (2.39) where $ \gamma_r = -\Gamma_r / (2\pi R) $. The variable $ \gamma_r $ denotes the strength of the shedding tubular vortex sheet, and from (2.38), \[ \gamma_r = -\frac{1}{2\lambda} U_h C_T \cos^2 \beta. \] (2.40) It is important to note that as discussed by Branlard & Gaunaa (2016), the above-mentioned shedding vortices are actually in the direction of the wake centreline axis that forms an angle with the streamwise coordinate $ x $. Prior studies (e.g. Coleman et al. 1945) however showed that the angle between the wake centreline and the $ x $-coordinate is expected to be much smaller than the turbine yaw angle. Therefore, we assume that both axial root and tip shedding vortices are in the $ x $-direction for simplicity. ### 2.3.3. Total vorticity shedding from a yawed turbine From findings of §§ 2.3.1 and 2.3.2, we can determine the total vorticity shedding from a yawed rotor due to both yaw offset and rotating blades as a function of turbine operating conditions. From (2.33) and (2.39), the value of the dimensionless initial vortex strength $ \hat{\gamma}_0 $ in the $(r, \theta)$ polar coordinate system is given by \[ \hat{\gamma}_0(\theta) = \frac{\gamma_0}{\gamma_b} = \sin \theta + \chi \quad \text{at } r = \xi_0, \] (2.41) where from (2.32) and (2.40), \[ \chi = \frac{\gamma_r}{\gamma_b} = \frac{1}{\lambda \sin \beta}. \] (2.42) The variable $ \chi $, called the rotation rate, is the ratio of the strength of vortex generation due to rotating blades to the one generated due to yaw offset. For the limiting cases of $ \lambda = \pm \infty $, $ \chi $ is equal to zero, and the shedding vorticity is only due to the yaw offset. As the tip-speed ratio $ \lambda $ goes to infinity, the amount of torque generated by the turbine goes... to zero. Therefore, according to the conservation of angular momentum, there should be no wake rotation downwind of the actuator disk in the limiting cases of $\lambda = \pm \infty$. Hereafter, the term non-rotating wake refers to the wake of an actuator disk with an infinite tip-speed ratio $\lambda$, while rotating wake refers to the wake of an actuator disk with a finite value of $\lambda$. 2.3.4. Initial shape of the vortex sheet The vortex sheet sheds from the circumference of the rotor, so it initially has a shape similar to the projected frontal area of the yawed disk, which is an ellipse with a semi-major axis of $R$ in the $z$-direction, and a semi-minor axis of $R \cos \beta$ in the $y$-direction. The disk-averaged velocity normal to the rotor $U_d$ is equal to $U_\infty \cos \beta (1 - a)$, where $a$ is the turbine induction factor, and it is given by $0.5(1 - \sqrt{1 - C_T \cos^2 \beta})$ (Burton et al. 1995). Behind the turbine, the rotor streamtube area expands further as pressure recovers to the background value (Manwell, McGowan & Rogers 2010). At this location, the streamwise velocity is given by $U_\infty (1 - 2a)$ (Bastankhah & Porté-Agel 2016; Shapiro et al. 2018). From continuity, $A_$, the ratio of the expanded streamtube area to the projected frontal area of the rotor is therefore given by $$A_ = \frac{(1 - a) \cos \beta}{1 - 2a} \cdot \frac{1}{\cos \beta} = \frac{1 + \sqrt{1 - C_T \cos^2 \beta}}{2\sqrt{1 - C_T \cos^2 \beta}}.$$ (2.43) Neglecting the distance between the rotor and the end of the streamtube expansion, we set the initial wake area enclosed by the vortex sheet at $t = 0$ to be the projected frontal area of the rotor times $A_$. Therefore, $\xi_0(\theta)$ has an elliptical shape expressed by $$\xi_0(\theta) = R \sqrt{A_} \frac{\|\cos \beta\|}{\sqrt{1 - \sin^2 \beta \sin^2 \theta}}.$$ (2.44) For a small yaw angle $\beta$, the vortex sheet initially has an approximately circular shape. Therefore, one can approximate $\xi_0$ with $\tilde{\xi}_0$ given by $$\tilde{\xi}_0 \approx R \sqrt{A_}.$$ (2.45) 2.4. Vortex sheet lateral deflection The analytical solutions of the vortex sheet shape developed earlier are represented in the $(r, \theta)$ polar coordinate system, which is attached to the vortex sheet centre $C$. Therefore, in order to fully determine the locus of the vortex sheet with respect to a stationary coordinate system, we also need to compute how $y_c$ and $z_c$ vary with time or downstream distance (i.e. wake deflection). From figure 1(c), the Kutta–Joukowski theorem can be used to obtain $$\hat{y}_c = \frac{1}{2\pi} \int_0^\hat{r} \int_0^{2\pi} \hat{\gamma}(\theta', \hat{r}) \sin \theta' \, d\theta' \, d\hat{r},$$ (2.46) $$\hat{z}_c = \frac{-1}{2\pi} \int_0^\hat{r} \int_0^{2\pi} \hat{\gamma}(\theta', \hat{r}) \cos \theta' \, d\theta' \, d\hat{r},$$ (2.47) where $\hat{y}_c = y_c / \xi_0$ and $\hat{z}_c = z_c / \xi_0$. Inserting $\hat{\gamma}(\theta, \hat{t})$ from (2.26) into (2.46) and (2.47) and performing the integration lead to \begin{align} \hat{y}_c &= \frac{\hat{t}}{2} - \frac{\hat{t}^3}{96}, \\ \hat{z}_c &= \frac{\chi \hat{t}^4}{384}. \end{align} From (2.49), the vertical displacement of $C$ is zero when $\chi = 0$ (i.e. actuator disks with non-rotating wake) as expected from symmetry and consistent with prior experimental and numerical works (e.g. Bastankhah & Porté-Agel 2016; Howland et al. 2016; Bartl et al. 2018). Comparison of (2.48) and (2.49) for non-zero values of $\chi$ shows that $\hat{z}_c$ is non-zero but still considerably smaller than $\hat{y}_c$ for small values of $\hat{t}$. Therefore, we neglect $\hat{z}_c$ in this work for simplicity. It is worth remembering that to derive the analytical solution for the deformation of the vortex sheet, we assumed that the shape of the vortex sheet does not largely deviate from a circle. Although this is an acceptable assumption for small values of yaw angle and time, it is less accurate for large values of time, when the vortex sheet rolls up and forms a CVP. As shown in figure 4(a), based on (2.48), the value of $\hat{y}_c$ may even decrease with an increase of $\hat{t}$, which is clearly unphysical. Since we expect that at large times (or downstream distances) a CVP can more realistically represent the vorticity shedding from the yawed rotor, we enhance our model for $\hat{y}_c$ so that at large distances it tends to the situation of a CVP instead of using the truncated series vortex sheet solution. Figure 4(b) shows a schematic of a CVP. The CVP has the circulation of $\Gamma_b$ (Shapiro et al. 2018) as shown in figure 4(b). The lateral position of the CVP is denoted by $y_{cvp}$, and the lateral distance between the wake centre $C$ and the CVP is denoted by $\delta_c$ in the figure. The vertical spacing between counter-rotating vortices is equal to $2\xi_0$ and it is assumed to remain constant. Initial values of $ y_c, y_{c\text{up}} $ and $ \delta_c $ are zero. In this analysis, only the vorticity shed due to the yaw offset is considered as the effect of shed vorticity due to rotating blades on the wake deflection is expected to be small. Our objective is to find the variation of $ y_c $ with time (or downstream distance), but let us first determine how $ \delta_c $ varies with time. According to the Biot–Savart law, \[ v_c = \frac{2\Gamma_b}{2\pi L} \cos \alpha = \frac{\Gamma_b \xi_0}{\pi (\xi_0^2 + \delta_c^2)}, \] (2.50) where $ v_c $ is the lateral velocity of $ C $ induced by the CVP, and $ L $ and $ \alpha $ are defined in figure 4(b). The CVP also moves with a lateral velocity of $ v_{c\text{up}} = \Gamma_b/(4\pi\xi_0) $ due to its self-induced velocity. Therefore, one can write \[ \frac{d\delta_c}{dt} = v_c - v_{c\text{up}} = \frac{\Gamma_b \xi_0}{\pi (\xi_0^2 + \delta_c^2)} - \frac{\Gamma_b}{4\pi\xi_0} = \frac{\Gamma_b}{4\pi\xi_0} \left( \frac{3\xi_0^2 - \delta_c^2}{\xi_0^2 + \delta_c^2} \right). \] (2.51) It is interesting to note that, according to (2.51), $ \delta_c $ increases until $ \delta_c $ approaches $ \sqrt{3}\xi_0 $. At this time $ v_c = v_{c\text{up}} $ and, therefore, the relative position of $ C $ with respect to the CVP does not change anymore, and $ \delta_c $ remains equal to $ \sqrt{3}\xi_0 $ afterwards. Next, we approximate $ I_b \approx 2\xi_0 y_b $ in (2.51). We then integrate (2.51) (with separation of variables, $ \delta_c $ and $ t $) and write the solution in the dimensionless form. This yields an implicit expression for $ \hat{\delta}_c(\hat{t}) $ (it will be later expressed explicitly using an empirical formula), \[ \frac{\hat{t}}{2\pi} = \frac{-2}{\sqrt{3}} \ln \left( \frac{\sqrt{3} - \hat{\delta}_c}{\sqrt{3} + \hat{\delta}_c} \right) - \hat{\delta}_c, \] (2.52) where $ \hat{\delta}_c = \delta_c/\xi_0 $. Note that to derive (2.52), we assume that $ \hat{\delta}_c < \sqrt{3} $. Given that $ \hat{y}_c = \hat{\delta}_c + \hat{y}_{c\text{up}} $, we have \[ \hat{y}_c = \hat{\delta}_c + \frac{\hat{t}}{2\pi}. \] (2.53) Predictions of $ \hat{y}_c $ based on modelling the vortex sheet as a CVP using (2.52) and (2.53) are shown in figure 4(a). As discussed earlier, the solution for $ \hat{y}_c $ based on the CVP is expected to provide acceptable predictions at large values of $ \hat{t} $, while the solution based on an approximately circular vortex sheet (2.48) works better at short values of $ \hat{t} $. An empirical formula that merges these two behaviours to leading order in both limits can be written as \[ \hat{y}_c = \frac{c_1\|\hat{t}\|^3 + c_2\hat{t}^2 + c_3\|\hat{t}\|}{c_4\hat{t}^2 + c_5\|\hat{t}\| + c_6} \text{sgn}(\hat{t}), \] (2.54) where $ \text{sgn}(x) $ is the sign function of $ x $, and $ c_1, \ldots, c_6 $ are polynomial coefficients, which need to be determined. Note that, similar to the vortex sheet and CVP solutions, the empirical relation is an odd function, so the wake deflection is opposite for turbines with opposite yaw angles. To find suitable values of polynomial coefficients ($ c_1, \ldots, c_6 $), we match the series expansion of (2.54) at $ \hat{t} \to 0 $ and $ \hat{t} \to \infty $ with $ \hat{t}/2 - \hat{t}^3/96 $ and $ \hat{t}/(2\pi) + \sqrt{3} $, respectively. This leads to a system of equations that needs to be solved. So we obtain \[ \hat{y}_c = \frac{(\pi - 1)\|\hat{t}\|^3 + 2\sqrt{3}\pi^2\hat{t}^2 + 48(\pi - 1)^2\|\hat{t}\|}{2\pi(\pi - 1)\hat{t}^2 + 4\sqrt{3}\pi^2\|\hat{t}\| + 96(\pi - 1)^2} \text{sgn}(\hat{t}). \] (2.55) Equation (2.55) provides predictions similar to (2.48) at small values of $ \hat{t} $ and approaches (2.53) at large values of $ \hat{t} $ as shown in figure 4(a). 2.5. Comparison with numerical simulations In this section we compare predictions of the vortex sheet (i.e. wake edge) shape $\xi(\theta, t)$ based on the new proposed model with numerical simulation data. For simulations, the pseudo-spectral LES code LESGO is applied. The LESGO code has been used in prior works (Calaf, Meneveau & Meyers 2010; Stevens, Graham & Meneveau 2014; VerHulst & Meneveau 2015; Martínez-Tossas et al. 2018; Shapiro et al. 2018; Stevens, Martínez-Tossas & Meneveau 2018) to simulate flow past wind turbines and wind farms. It has been validated by detailed comparisons with several other LES codes (Martínez-Tossas et al. 2018). Turbines are simulated using the actuator disk model with rotation (ADM-R). See the Appendix C for more information about the LESGO code and the LES set-up of this study. Under uniform inflow conditions the role of turbulence is minimal, and the code runs mostly as an inviscid solver with regularization, as it was also used in Shapiro et al. (2018). Simulations are performed for a range of local thrust coefficients $C_T = 0.8$, 1.0 and 1.33, yaw angles $\beta = 10^\circ$, $20^\circ$ and $30^\circ$, and rotation rates $\chi = 0$, 0.25 and 0.5. Note that according to (2.32) this means that $\gamma_\theta$ and $\hat{t}$ are negative and the curling is expected to be in the opposite direction of that shown in the sketch in figure 1, i.e. in the LES the wake is being deflected in the negative y-direction. Also, it is worth remembering that the rotation rate $\chi$ depends on both yaw angle $\beta$ and tip-speed ratio $\lambda$. According to (2.42), for a utility-scale wind turbine with a tip-speed ratio $\lambda = 8$ and yaw angle $\beta = 15^\circ–30^\circ$, rotation rate $\chi$ varies between 0.25–0.5. The non-rotating case commonly used in the LES corresponds to an infinite tip-speed ratio and reduces to the standard actuator disk model (ADM) without rotation. The local thrust coefficient $C'_T$ is related to the thrust coefficient $C_T$ through $C_T = 16C'_T/(4 + C'_T \cos^2 \beta)^2$ (Shapiro et al. 2018). A fringe forcing region is used to force the flow back to laminar inflow when using periodic boundary conditions in the x-direction. Excluding this fringe region the effective domain has sides that are $L_x = 15.12D$, $L_y = 5.76D$ and $L_z = 5.76D$ long. A uniform grid with $N_x = 384$ effective grid points in the streamwise direction and $N_y = N_z = 192$ grid points in the spanwise and vertical directions are used. The centre of the actuator disk is placed 3.6D from the inlet of the domain. In order to determine the shape of the wake edge based on the developed model, we need to first compute the value of $\hat{t} = \gamma_\theta t/\xi_0$, where $\xi_0$ can be approximated with $\tilde{\xi}_0$ (2.45) and $t = x/U_{con}$. Although the convection velocity $U_{con}$ in turbine wakes changes with the streamwise distance, it is approximated with a constant value in this study, as done in prior studies (e.g. Shapiro et al. 2020). For cases with no incoming turbulence, the turbine wake does not significantly interact with the surrounding flow, and it experiences a slow recovery. In this case, the streamwise velocity profile in the central part of the wake can be modelled as a top-hat core (i.e. potential core) with a constant velocity $U_0$ equal to $U_{in}\sqrt{1 - C_T \cos^2 \beta}$ (Bastankhah & Porté-Agel 2016; Shapiro et al. 2018), where $U_{in}$ is the incoming velocity. The top-hat core is surrounded by a shear layer in which the velocity changes from $U_0$ to $U_{in}$. Therefore, we approximate the convection velocity with $U_{con} = 0.5(U_0 + U_{in})$. For instance, based on this definition, $\|\hat{t}\| = 2$ (i.e. limiting value for using the analytical model) corresponds to a streamwise distance in the range of $12R – 29R$ for a turbine with $C'_T = 1.33$ (i.e. $C_T \approx 0.75$ for $\beta = 0$), and $\beta = 30^\circ–10^\circ$. The analysis presented in §2 suggests that the wake shape, non-dimensionalised by $\tilde{\xi}_0(\theta)$, only depends on the dimensionless time $\hat{t}$, and the rotation rate $\chi = 1/\lambda \sin \beta$. As a first test of the model, we compare the dimensionless model predictions with LES results normalised such that they can be presented as function of $\hat{t}$ and $\chi$. For the LES data, the edges of the wake are identified by tracking the edge of the streamtube that passes through... Figure 5. Dimensionless shape of the wake of yawed wind turbines in uniform inflow for $C_T = 0.8$ ($\circ$), $C_T = 1$ (□) and $C_T = 1.33$ (△) and yaw angles $\beta = 10^\circ$ (red), $\beta = 20^\circ$ (blue), $\beta = 30^\circ$ (green) at various evolution times $\hat{t}$ and rotation rates $\chi$. The analytical model (black solid line) is shown for comparison. Note that results of $\beta = 10^\circ$ are not shown for $\hat{t} = -1.6$ and $-2.0$ because for this yaw angle they correspond to downwind distances that exceed the computational domain. the face of the actuator disk which is appropriate in this case due to the lack of turbulent mixing. Results are shown in figure 5, which shows that the LES data for turbines with different operating conditions approximately collapse onto the same wake profile curve for given values of $\hat{t}$ and $\chi$, in agreement with the proposed theory. The figure also shows that the proposed analytical model is able to capture the scaled wake shape. At larger time magnitudes and large rotation rates some discrepancies appear, especially in the bottom right quadrant. The governing equations are developed by assuming small deviations of the vortex sheet from its initial shape. In addition, a severely truncated series expansion is used to solve governing equations. Therefore, the model cannot fully capture the vortex roll-up and transition of the vortex sheet to a CVP at large times, and some discrepancies are noticeable. For non-zero values of rotation rate, an additional level of vorticity $\gamma_r$ sheds from the rotor circumference due to blade rotation. Given the sinusoidal nature of vorticity due to yaw offset (2.33), the additional shedding vorticity due to rotation increases the vorticity magnitude on either bottom or top halves of the wake (e.g. bottom half for the data shown in figure 5), which in turn accelerates the vortex roll-up. At larger values of rotation rate, discrepancy is thus expected to be higher due to the earlier occurrence of vortex roll-up. This is confirmed in figure 5 by comparing model predictions at the same dimensionless time (e.g. $\hat{t} = -1.6$), but different values of rotation rate. Next, we expand the comparison and plot the results in terms of physical parameters that are more directly related to the flow configuration: downstream distance $x/R$, local thrust coefficient $C_T$, yaw angle $\beta$ and dimensionless rotation rate $\chi$. Figure 6 shows wake edge predictions of the analytical model together with the LES data for different values of $C_T$, $\beta$ and $\chi$, at several downwind locations. The figure shows that the degree of wake curling increases with yaw angle, thrust coefficient and streamwise distance, as expected from the analysis presented in § 2. Moreover, wake rotation breaks the vertical symmetry of... Figure 6. Wake of yawed wind turbines in uniform inflow for yaw angles $\beta = 10^\circ$ (red), $\beta = 20^\circ$ (blue), $\beta = 30^\circ$ (green) at various downstream locations $x/R$ and rotation rates $\chi$. Large-eddy simulation measurements are shown with symbols and modelled wake locations are shown with solid lines. The results presented in figure 6 show that the wake shape depends strongly on all of the varied parameters: thrust coefficient, yaw angle and rotation rate. The analytical model developed is seen to agree well with the LES results, up to intermediate levels of wake curling. The analytical model successfully predicts the shape of the wake for various operating conditions. As the wake deformation grows further downstream or at increasing $C_T'$, differences appear, as mentioned before due to the limitations of the model that is based on a severely truncated series expansion. It is clear that there is reduced agreement in the lower half of the wake for cases with large values of yaw angle and rotation rate. As discussed earlier, for these cases, the lower half of the wake cross-section is subject to a strong vortex roll-up caused by the cumulative vorticity due to both yaw offset and rotation. Still, the model is able to predict many qualitative features of the wake shape, including its vertical asymmetry for cases with rotation. In addition, the sideways displacement of the entire wake is also captured quite well in all cases. 3. Vortex sheet evolution in turbulent atmospheric boundary layer In this section we generalize the prior analytical model of a yawed wind turbine wake that is applicable for ideal non-turbulent flow to the case of a wake with a turbulent atmospheric boundary layer background flow. Here we seek a model for the entire mean velocity distribution as a function of downstream distance as well as cross-stream position, accounting for the fact that the wake will be curling due to turbine yaw. 3.1. Vortex sheet evolution in turbulent atmospheric boundary layer For the ideal flow case, we assumed that the vortex sheet does not decay as it moves downstream, and the strength of the streamwise vorticity only evolves along the vortex sheet in time following idealised vortex dynamics. Although this may be an acceptable assumption for turbines with uniform non-turbulent inflows, it is not expected to be valid for turbines immersed in turbulent environments such as the atmospheric boundary layer (ABL). The vertically varying mean inflow velocity in the ABL can be approximated as $U_{in}(z) = (u_/\kappa)\ln(z/z_0)$, where $u_$ is the friction velocity, $\kappa$ is the von-Kármán constant and $z_0$ is the roughness height. As discussed in Shapiro et al. (2020), the vorticity shedding from a yawed rotor decays due to the turbulent diffusion; i.e. $\gamma_b(t)$ and $\gamma_r(t)$ are functions of time. Instead of solving the full governing equations for a diffusing vortex sheet, we approximate the effects of diffusion by scaling $\gamma$ and the velocities by the circulation $\gamma_b(t)$ that is decaying according to a previously obtained analytical solution for the decay of CVP in a turbulent boundary layer (Shapiro et al. 2020). Specifically, we define new scaled variables $\hat{\gamma}$, $\hat{u}_r$ and $\hat{u}_\theta$ such that $$\gamma(\theta, t) = \gamma_b(t)\hat{\gamma}(\theta, \hat{t}), \quad u_r(\theta, t) = \gamma_b(t)\hat{u}_r(\theta, \hat{t}), \quad u_\theta(\theta, t) = \gamma_b(t)\hat{u}_\theta(\theta, \hat{t}). \tag{3.1a–c}$$ If one defines scaled displacement and time according to $$\hat{\xi}(\theta, \hat{t}) = \frac{\xi(\theta, t)}{\xi_0}, \tag{3.2}$$ $$\hat{t}(t) = \frac{1}{\xi_0}\int_0^t \gamma_b(t') \, \text{d}t', \tag{3.3}$$ one recovers the original governing equations (2.15), (2.16) and (2.55) for the new definition of variables $\hat{\gamma}$, $\hat{u}_r$, $\hat{u}_\theta$, $\hat{\xi}$ and $\hat{t}$. An additional term is however introduced in (2.17), so $$\frac{\partial \hat{\gamma}}{\partial \hat{t}} + \frac{1}{\hat{\xi}} \frac{\partial (\hat{\gamma} \hat{u}_\theta)}{\partial \theta} \approx -\frac{\xi_0 \hat{\gamma}}{\gamma_b^2} \frac{\text{d}\gamma_b}{\text{d}r}. \tag{3.4}$$ It will be shown later in (3.8) that $\int (\gamma_b/\gamma_{b0}) \, \text{d}r \propto c(1 - \exp(k_v t/c))$, where $\gamma_{b0} = \gamma_b(t = 0)$, $c$ is a constant and $k_v$ is the expansion rate of the turbulent diffusive scale, and it is modelled as $u_/U_{in}(z)$ (Shapiro et al. 2020). So the Taylor expansion of $\gamma_b(t)$ is given by $$\gamma_b(t) \approx \gamma_{b0}(1 + O(k_v)t + O(k_v^2)t^2). \tag{3.5}$$ For atmospheric flows, the value of $k_v$ at the hub height is equal to $u_/U_h << 1$ (Shapiro et al. 2020). Therefore, $\gamma_b$ is a slow varying reference quantity, and the additional term on the right-hand side of (3.4) is neglected for simplicity. This means that the solution already developed in § 2.2 will still be used as a model for the decaying vortex sheet once rescaled by the prescribed $\gamma_b(t)$ evolution and using the modified time $\hat{t}$. Note that for a constant $\gamma_b$, (3.1a–c)–(3.3) become the same as dimensionless variables defined earlier for a non-decaying vortex sheet. Next, in order to evaluate the integral of (3.3) and derive a relationship for $\hat{t}$ under turbulent inflow conditions we need to specify a convection velocity under turbulent inflow conditions. Due to atmospheric turbulence, the wake mixes and recovers more quickly than in the laminar inflow case, and, thus, the mean velocity at the wake edge is comparable to the incoming velocity. We therefore assume that in this case the vortex sheet at a height $z$ is convected downstream with the incoming velocity at that height $U_{in}(z)$; thus, $U_{con} = U_{in}(z)$ and $t \approx x/U_{in}(z)$. To evaluate (3.3), we must specify the decay of vorticity, i.e. of $\gamma_b$ with streamwise distance. In Shapiro et al. (2020) the decay of the total vortex circulation $\Gamma_b(x)$ was studied, its relationship with the density $\gamma_b$ being $\gamma_b = \Gamma_b/2R$. The resulting derived model for the total vortex circulation $\Gamma_b(x)$ as a function of downstream distance $x$ is given by $$\frac{\Gamma_b(x)}{\Gamma_{b0}} = \frac{\sqrt{\pi}}{4} \frac{R}{\eta(x)} \exp \left( -\frac{R^2}{8\eta^2(x)} \right) \left[ I_0 \left( \frac{R^2}{8\eta^2(x)} \right) + I_1 \left( \frac{R^2}{8\eta^2(x)} \right) \right], \quad (3.6)$$ where $\Gamma_{b0} = \Gamma_b(x=0)$, $I_n$ is the modified Bessel function of the first kind with order $n$, $\eta(x) = k_v(x-x_0)/24^{1/4}$ is the turbulent diffusive scale, and $x_0$ is the virtual origin assumed to be zero in the current work for simplicity. One can use $\gamma_b = \Gamma_b/2R$, $t \approx x/U_{in}(z)$ and $\eta(x) \approx k_v x/24^{1/4}$ to rewrite (3.3) as $$\hat{t} = \frac{24^{1/4}}{2k_v U_{in}(z)\xi_0 R} \int_0^\eta \Gamma_b(\eta') \, d\eta'. \quad (3.7)$$ Numerical integration of $\Gamma_b$, expressed by (3.6), yields results that can be conveniently approximated by the following (fitted) expression: $$\frac{1}{\Gamma_{b0} R} \int_0^\eta \Gamma_b(\eta') \, d\eta' \approx 1.3 \left[ 1 - \exp \left( -\frac{\eta(x)}{1.3R} \right) \right]. \quad (3.8)$$ We then use (2.32) to express $\Gamma_{b0}$ as a function of operating conditions, approximate $\xi_0(\theta)$ with $\tilde{\xi}_0$ given by (2.45), and insert (3.8) into (3.7) to obtain $$\hat{t}(x,z) \approx -1.44 \frac{U_h}{u_} \frac{R}{\tilde{\xi}_0} C_T \cos^2 \beta \sin \beta \left[ 1 - \exp \left( -0.35 \frac{u_}{U_{in}(z)} \frac{x}{R} \right) \right]. \quad (3.9)$$ Due to vorticity decay, $\hat{t}$ for turbulent inflow cases increases at a slower rate than the one for laminar inflow cases. For instance, according to (3.9), for a turbine with $C'_T = 1.33$ subject to an ABL with $k_v = 0.05$, the streamwise position associated with $\|\hat{t}\| = 2$ varies between $17R$ and $61R$ for $\beta = 30^\circ-10^\circ$. As mentioned in § 2.5, for the same turbine with $\beta = 30^\circ-10^\circ$ subject to a laminar flow, $\|\hat{t}\| = 2$ at $x = 12R - 29R$. It is also worth noting that the above definition of $\hat{t}$, (3.9), is reduced to the one used for non-decaying vortex sheets (i.e. $\hat{t} = \gamma_{b0} t/\xi_0$) as $u_$ tends to zero. The effect of the ground on the wake deflection was not modelled in the uniform inflow cases. To model the effect of the ground, we use an image technique to modify the wake centre location $y_c$, as shown in figure 7. Modelling the vortex sheet as a CVP, the image CVP induces a lateral velocity in the opposite direction, termed as $v_g$ given by $$v_g = \frac{\Gamma_b}{2\pi} \left[ \frac{1}{z+z_h-\xi_0} - \frac{1}{z+z_h+\xi_0} \right] = \frac{\Gamma_b \xi_0}{\pi \left[ (z+z_h)^2 - \xi_0^2 \right]}.\quad (3.10)$$ Therefore, the lateral wake deflection caused by the ground is given by $$y_g(z) = \int_0^t v_g(z,t') \, dt' = \frac{\xi_0 \int_0^t \Gamma_b(t') \, dt}{\pi \left[ (z+z_h)^2 - \xi_0^2 \right]}.\quad (3.11)$$ Approximating $\Gamma_b \approx 2\xi_0 \gamma_b$ and using $\hat{t} = \int_0^t \gamma_b(t')/\xi_0 \, dt'$, we find that $$\hat{y}_g = \frac{2}{\pi} \frac{\hat{t}}{\left[ (z+z_h)/\xi_0 \right]^2 - 1}, \quad (3.12)$$ where $\hat{y}_g = y_g / \xi_0$. Substituting $\xi_0$ with $\tilde{\xi}_0$ in (3.12) for simplicity and subtracting this result from (2.55) yields $$\hat{y}_c = \frac{(\pi - 1)\|\hat{t}\|^3 + 2\sqrt{3}\pi^2\hat{t}^2 + 48(\pi - 1)^2\|\hat{t}\|}{2\pi(\pi - 1)\hat{t}^2 + 4\sqrt{3}\pi^2\|\hat{t}\| + 96(\pi - 1)^2} \text{sgn}(\hat{t}) - \frac{2}{\pi} \frac{\hat{t}}{[(z + z_h)/\tilde{\xi}_0]^2 - 1}. \quad (3.13)$$ It is worth mentioning that for $z_h \to \infty$, the second term on the right-hand side of (3.13) vanishes, and, thus, the equation is reduced to (2.55). ### 3.2. Analytical model for mean velocity distribution The shape of the wake edge predicted earlier can now be used to model the spatial distribution of the velocity deficit in the curled wake at each streamwise position. For non-curved (i.e. non-yawed) wakes, a number of wake profiles have already been proposed in the literature, including top hat (Katić, Højstrup & Jensen 1986; Frandsen et al. 2006), Gaussian (Bastankhah & Porté-Agel 2014; Bastankhah & Porté-Agel 2016), double Gaussian (Schreiber, Balbaa & Bottasso 2020) and super-Gaussian (Shapiro et al. 2019; Blondel & Cathelain 2020). Most of these conserve flux of momentum deficit only in its linearised version valid far downstream; see discussion in Bastankhah & Porté-Agel (2014). Here we demonstrate the use of the shape deformation for an analytical model in the context of the Gaussian wake model (Bastankhah & Porté-Agel 2014; Bastankhah & Porté-Agel 2016), but it could be implemented in other wake models as well. The modelled streamwise mean velocity, $$U(x) = U_{in}(z) - \Delta U(x), \quad (3.14)$$ is defined based on the incoming velocity field $U_{in}(z)$ and the modelled velocity deficit in the wake, $\Delta U(x)$. In the Gaussian model, the velocity deficit profile is modelled as $$\frac{\Delta U}{U_{in}} = C(x) \exp \left[ -\frac{(y - y_c)^2 + (z - z_h)^2}{2\sigma^2} \right], \quad (3.15)$$ where $C(x)$ is the normalised maximum velocity deficit at each streamwise location and $\sigma$ is the characteristic wake width. In (3.15) the wake centre location is $y_c = \hat{y}_c \tilde{\xi}_0$, where $\hat{y}_c$ is obtained from (3.13) and $\tilde{\xi}_0$ is approximated with $\tilde{\xi}_0$ given in (2.45). In prior versions of the Gaussian wake model, it is assumed that the characteristic wake width depends only on downstream distance. Moreover, it is assumed that it grows linearly downstream at a rate $k$. The linear growth of the wake arises from the similarity solution when eddy viscosity is assumed to scale with a constant velocity, friction velocity $u^$ and the wake scale $\sigma$ itself (Shapiro et al. 2019), i.e. $$\sigma(x) = kx + \sigma_0,$$ (3.16) where $k$ is the wake expansion rate and $\sigma_0$ the initial wake size. We now propose to include wake curling and deformation by making $\sigma$ dependent also on the angle $\theta$ according to $$\sigma(x, \theta) = kx + 0.4\xi(\theta, x),$$ (3.17) where $\xi(x, \theta) = \tilde{\xi}_0(\theta)\hat{\xi}(\theta, \hat{t})$, and $\tilde{\xi}_0(\theta)$ is given by (2.44), and the dimensionless wake shape $\hat{\xi}(\theta, \hat{t})$ is given by either the analytical relation of (2.29) for $\|\hat{t}\| \leq 2$ or the empirical relation (B1) for given values of polar angle $\theta$ and dimensionless time $\hat{t}$. The polar angle is determined at each position from $\tan \theta = (z - z_h)/(y - y_c)$, and $\hat{t}$ is given by (3.9). In (3.17) the first term on the right-hand side of the equation expands the wake in all radial directions due to turbulent mixing, while the second term deforms the wake cross-section according to the vortex sheet solution derived earlier. According to (3.17), for an unyawed turbine, the initial characteristic wake width is reduced to $0.4R\sqrt{A_}$, which is the same as the one suggested by Bastankhah & Porté-Agel (2014). For the wake expansion rate, we assume that $k = \alpha u_/U_{in}(z)$ (Shapiro et al. 2019), where $\alpha$ is an empirical constant. Alternatively, $k$ can be estimated based on the turbulence intensity $I$ of the incoming boundary layer flow (i.e. $k = \alpha'I$, where $\alpha'$ is an empirical constant) as suggested in prior studies (see Niayifar & Porté-Agel (2016), Carbojó Fuertes, Markfort & Porté-Agel (2018), Zhan, Letizia & Lungo (2020), among others). At each height $z$, turbulence intensity $I(z)$ is defined as $\sqrt{\langle u'^2 \rangle}/U_{in}(z)$, where $u'$ is the turbulent fluctuation of streamwise velocity and the overbar denotes time averaging. Note that by invoking the logarithmic law for the fluctuating velocity variance in high-Reynolds-number turbulent boundary layers (Marusic et al. 2013; Meneveau & Marusic 2013), one can show that $u_/U_{in}$ and $I$ are related to each other by $I = (u_/U_{in})[B_1 - A_1 \ln(z/\delta)]^{1/2}$, where $\delta$ is the boundary layer thickness, and $A_1$ and $B_1$ are constants. The maximum velocity deficit $C(x)$ in (3.15) is obtained by enforcing the conservation of streamwise momentum deficit flux $\rho \int \Delta U(U_h - \Delta U) \, dA \approx T \cos \beta$. To simplify the integration and avoid dependence on $\theta$, we approximate $\sigma^2(x, \theta)$ with $\tilde{\sigma}^2(x)$ where the latter is given by $$\tilde{\sigma}^2(x) = (kx + 0.4\tilde{\xi}_0)(kx + 0.4\tilde{\xi}_0 \cos \beta).$$ (3.18) In this expression, $\tilde{\xi}_0$ is given by (2.45) and $k = \alpha u_/U_h$ is the wake expansion rate at $z = z_h$. This yields $$C(x) = 1 - \sqrt{1 - \frac{C_T \cos^3 \beta}{2\tilde{\sigma}^2(x)/R^2}}.$$ (3.19) Note that in stating conservation of flux of streamwise momentum deficit, pressure and turbulent and viscous shear stress effects are assumed to be negligible. This may be a questionable assumption in the near wake region as well as far wake of turbines deep inside a wind farm (Bastankhah et al. 2021). For the sake of completeness, a summary of the steps required to implement the proposed model and predict wake velocity deficit distributions at a given downwind location $ x = (x, y, z) $ is provided below. 1. Compute the approximate form of the initial wake shape $ \tilde{\xi}_0 $ (2.45). 2. Determine the dimensionless time $ \hat{t} $ from (3.9). 3. Find the wake centre location $ y_c \approx \hat{y}_c \tilde{\xi}_0 $, where $ \hat{y}_c $ is given by (3.13). 4. Find the polar angle $ \theta $, which is measured from the positive $ y $-axis toward the positive $ z $-axis such that $ \tan \theta = (z - z_h)/(y - y_c) $. 5. Evaluate the initial wake shape $ \tilde{\xi}_0(\theta) $ (2.44). 6. Calculate the wake shape function $ \xi(\theta, x) = \tilde{\xi}_0(\theta) \hat{\xi}(\theta, \hat{t}) $, where $ \hat{\xi}(\theta, \hat{t}) $ can be estimated either from the analytical solution (2.29) (if $ \|\hat{t}\| < 2 $) or the empirical one (B1), and $ \chi $ is given by (2.42). 7. Find the wake width $ \sigma(x, \theta) $ based on (3.17). 8. Evaluate the maximum velocity deficit $ C(x) $ from (3.19), where $ \hat{\sigma}^2(x) $ is given by (3.18). 9. Determine the wake velocity deficit $ \Delta U $ according to (3.15), where $ \sigma $ obtained in step (7) is used. ### 3.3. Comparison with LES In the following, the streamwise mean velocity distribution based on the proposed model is compared with the LES data for turbulent ABL inflow cases. Simulations of yawed wind turbines represented as rotating actuator disks (ADM-R) are performed using $ C_T = 1.33 $ and a local tip-speed ratio of $ \lambda' = 10.67 $ at yaw angles of $ \beta = 15^\circ, 20^\circ, 25^\circ $ and $ 30^\circ $, where the local tip-speed ratio is defined as $ \lambda' = \Omega R/U_d $. In unyawed conditions the selection of local thrust coefficient and tip-speed ratio corresponds to $ C_T = 0.75 $ and $ \lambda = 8 $, which are realistic of modern utility-scale turbines. The actuator disk with diameter $ D = 100 \text{ m} $ and a hub height of $ z_h = 100 \text{ m} $ is placed 500 m from the inlet of a domain with an effective size of $ L_x = 3.75, L_y = 3 $ and $ L_z = 1 \text{ km} $. The domain is divided into $ N_x = 360, N_y = 288 $ and $ N_z = 432 $ grid points. The velocity field is averaged for a time $ T u_/L_z \approx 8 $, where $ u_ = 0.45 \text{ m s}^{-1} $. A 0.49$ L_z $ shift is used to reduce streamwise streaks in the time-averaged velocity field. The roughness height is $ z_0 = 0.1 \text{ m} $. Figures 8 show contour maps of streamwise velocity on representative planes across the LES domain. It shows the streaks in the turbulent ABL at the turbine hub height and the generated wake behind the yawed wind turbine, which is shown as a black circle. At downstream locations, the effect of the curled yawed wind turbine wake on the cross-plane velocity field is shown at downstream locations of $ x/R = 8, 24 $ and $ 40 $. Figures 9 and 10 show the wake mean velocity distributions based on the LES results and the analytical model for $ \beta = 15^\circ $ and $ 25^\circ $ at various downstream locations. Top panels show the normalised velocity deficit $ \Delta U/U_h $ and bottom panels show the normalised streamwise velocity distribution. As in past studies (Bastankhah & Porté-Agel 2016; Shapiro et al. 2018), the wake recovery rate $ k $ in the analytical model is calculated by fitting a Gaussian profile to the downstream wake profiles at $ z = z_h $. This gives the resulting wake expansion rate as $ k = 0.6u_/U_{in} $. As seen in figures 9* and 10, the model captures the curling and deflection of the wake as well as some variation in the wake deflection as a function of vertical distance due to ground effects. The LES results display slightly less curling than the model as well as more noticeable wake deflection towards the ground that is opposite... Figure 8. Contour plots of instantaneous streamwise velocity including a wind turbine with turbulent boundary layer inflow from LES. Turbine operating parameters are $C'_T = 1.33$ and yaw angle $\beta = 25^\circ$. Contours are shown through the turbine centre at $z = z_h$, at the back of the domain at $y = L_y$ and $x = L_x$ and at cross-planes of $x/R = 8, 24$ and $40$. The swept area of the rotor is denoted as a black circle. A zoomed in flow field around the turbine (red box) is also shown and white arrows highlight the sense of rotation of the induced CVP. to the deflection of the bulk of the wake. Also, the analytical model does not predict small vertical wake deflections observed in the LES data. According to the vortex sheet analysis performed in the current study (see (2.49)), this vertical deflection is due to rotation effects (i.e. non-zero values of rotation rate $\chi$). As mentioned in § 2.4, for simplicity, we did not include the vertical wake deflection in the final version of the model. Despite these small differences, figures 9 and 10 show that overall model predictions are in acceptable agreement with the LES data. Wake flow results are also used to compute the power of a downwind turbine based on both the proposed analytical model and the LES data. In both cases, a virtual wind turbine is placed in the flow field at different distances downstream of the yawed turbine. The idea is that as yawing increases, the downstream turbine will overlap less and less with the wake due both to the sideways displacement of the wake and to the curled crescent shaped wake that creates lower velocity deficit at the centre of the hypothetical downstream turbine. In order to evaluate the power generated by the downwind turbine, we require the disk-averaged streamwise velocity defined according to $$U_d = (1 - a) \frac{1}{\pi R^2} \int \int_{disk} U(x_T, y, z) \, dz \, dy,$$ (3.20) where $U(x_T, y, z)$ is the mean velocity in the flow at the turbine location $x_T$ computed from the model or from the LES and the integration covers the turbine disk area. For the latter case, we evaluate the mean velocity by time averaging $U(x_T, y, z) = \langle u_1(x_T, y, z) \rangle$. Since the turbine is not included in the simulation, the turbine disk velocity that would occur there includes the $(1 - a)$ prefactor, where $a$ is the turbine’s assumed induction factor. The power is subsequently calculated as $$P = \frac{1}{2} \rho \pi R^2 C'_T U_d^3,$$ (3.21) and it is normalised by the power that an unyawed free-standing turbine would generate under similar conditions, $P_0 = (1/2) \rho \pi R^2 C'_T (1 - a)^3 U_h^3$ (thus making the result independent of assumed $C'_T$, etc.). Figure 11 shows the normalised power of this hypothetical turbine as a function of streamwise spacing for different yaw angles of the upwind turbine. The figure Figure 9. (a) Contour plots of normalised wake velocity deficit behind a wind turbine in turbulent inflow with a thrust coefficient of $C_T = 1.33$ and local tip-speed ratio $\lambda' = 10.67$ at a yaw angle of $\beta = 15^\circ$. White circles indicate the frontal area of wind turbines. (b) Contour plots of normalised streamwise velocity behind the same turbine. demonstrates good agreement between the analytical model and the LES results for a broad range of streamwise spacings and yaw angles. 3.4. Comparison with experimental data Model predictions are also compared with wind-tunnel experiments by Bastankhah & Porté-Agel (2016). Flow measurements were performed to quantify the wake of a yawed wind turbine with a diameter of 15 cm and hub height of 12.5 cm, and the turbine is subject to a turbulent boundary layer, naturally developed over the smooth surface of the wind-tunnel floor. Additional information on turbine properties ($C_T$, $\lambda$, etc.) and inflow conditions ($U_h$, $I$, etc.) may be found in Bastankhah & Porté-Agel (2016). The wake recovery rate $k$ for the analytical model is estimated based on $k = 0.35I$ (Carbajo Fuertes et al. 2018). Figure 12 shows contours of normalised velocity deficit in $yz$-planes at different downwind locations and different yaw angles based on both experiments and... Figure 10. Same as figure 9 but for a yaw angle of $\beta = 25^\circ$. Figure 11. (a) Sketch of a hypothetical turbine placed at various locations downstream of the yawed turbine in the LES field. (b) Normalised power of the hypothetical turbine operating at $C_T = 1.33$. Different yaw angles in LES are $\beta = 15^\circ$ ($\circ$, red), $\beta = 20^\circ$ ($\square$, green), $\beta = 25^\circ$ ($\triangle$, blue) and $\beta = 30^\circ$ ($\times$, purple). The predictions based on the analytical curled wake model are shown as solid lines. Figure 12. Contours of normalised velocity deficit in $yz$-planes at different downwind locations and different yaw angles based on: wind-tunnel experiments (Bastankhah & Porté-Agel 2016) and the new proposed analytical model. White circles indicate the frontal area of wind turbine. model predictions. Overall, the figure shows that the proposed model is able to successfully predict the complex curled shape of the wake and its lateral deflection. The opposite wake deflection close to the ground is also well captured by the model. While the overall trends and qualitative features of the velocity deficit distribution of the curled wake are reproduced by the analytical model, some differences between measurements and model can still be discerned. The figure shows that the vertical extent of the lower half of the wake is underestimated by the analytical model, which is mainly due to neglecting the wake of the turbine tower in the analytical model. Tower wake effects are however expected to be less significant for utility-scale wind turbines which tend to have less bulky towers (with respect to the rotor diameter). 4. Summary and conclusions A curled shape is a typical aerodynamic feature of wakes behind yawed turbines. In this study we develop an analytical model to describe the wake shape and its downstream evolution for both uniform ideal inflow and turbulent boundary layer background flow. The predicted wake shape is then used in a wake model to describe analytically the mean velocity deficit distribution behind a yawed wind turbine. To model the curled shape of the wake, we represent the wake edge as a vortex sheet shedding from the rotor disk circumference due to both yaw offset and rotation. A simple relationship is developed to estimate the initial distribution of vorticity along this vortex sheet as a function of turbine operating conditions such as thrust coefficient, yaw angle and tip-speed ratio. The goal is to obtain the evolution of the locus of this vortex sheet with time. The governing equations for the deformation of the vortex sheet are developed based on the Biot–Savart law and the vorticity transport equation. After non-dimensionalising the equations, they are solved using a power series expansion method. Subsequently, assuming a given downstream convection velocity, we map the time evolution to a spatial one in the streamwise direction. The developed solution is only valid for a limited range of dimensionless times $(\|\hat{t}\| < 2)$ or equivalent distances. For larger values of $\|\hat{t}\|$, an empirical expression is also proposed, which complies with the derived analytical solution for smaller times but is also realistic for larger times. Apart from deforming to a curled shape, the vortex sheet is also deflected laterally behind a yawed turbine. This deflection is modelled with an equation combining analytically derived deflections using two approaches: considering an approximately circular vortex sheet (valid for small times) and considering self-induced motion of a CVP (valid for larger times). Moreover, close to the ground the wake is deflected in the opposite direction. This ground effect is modelled using image flow that introduces an additional deflection term to account for the velocity induced by the image CVP. Wake shape predictions are first compared with numerical simulation data for a yawed turbine placed in a uniform, non-turbulent inflow. Several cases with different values of thrust coefficients, yaw angles and tip-speed ratios are considered. It is shown that the analytical model predictions agree well with LES results at moderate times. Also in agreement with the theory, we show that the numerical simulation results can be collapsed into a common wake shape when the problem variables are normalised using the scaling as suggested by the theoretical model. The theory is then adapted to the case of turbulent ABL inflow for applications to real wind turbine flows. It is known that, unlike the case of ideal flow, turbulent diffusion plays a central role in weakening the streamwise vortices during their downstream evolution. This phenomenon is modelled by non-dimensionalising the governing equations using a time-varying reference vortex sheet strength. Finally, we modify the Gaussian wake model... to incorporate the predicted shape $\xi(\theta, \hat{t})$ and lateral deflection $y_c$ of the curled wake. The analytical curled wake model thus describes the full spatial distribution of mean streamwise velocity downstream of a yawed turbine. To validate the model predictions for the ABL case, wake velocity contours at different downstream positions are compared with LES and wind-tunnel results at various yaw angles. Moreover, the power extracted by a hypothetical wind turbine located at different downwind positions is computed and compared with similar results from the LES-generated mean velocity distributions. A good agreement of the model predictions with the numerical and experimental data is observed, suggesting that the proposed model includes the most relevant fluid mechanical effects governing the mean velocity distribution in wakes downstream of yawed wind turbines. Also, the proposed analytical model should be useful for tasks such as wind farm optimization and control, where numerical simulations tend to be too time consuming and costly. While to our knowledge the developed analytical model is the first of its kind to predict the curled shape of yawed turbine wakes, more research is still needed to shed light on the impact of ABL characteristics such as wind veer on the wake of a yawed turbine. Of special interest is to study the combined effect of yaw offset and wind veer on the wake cross-section in future works. Moreover, the effect of ground and rotation on the wake cross-section needs to be thoroughly studied in future works for turbines with different geometries and operating conditions. Funding. M.B. acknowledges funding from Innovate UK (grant no. 89640). C.S., D.G. and C.M. acknowledge funding from the National Science Foundation (grant nos. 1949778) and computational resources from MARCC and Cheyenne (doi:10.5065/D6RX99HX). C.S. is an American Association for the Advancement of Science (AAAS) Science & Technology Policy Fellow hosted at the US Department of Energy. All opinions expressed in this article are the authors’ and do not necessarily reflect the policies or views of the Department of Energy, Oak Ridge Associated Universities, the Oak Ridge Institute for Science and Education, or AAAS. Declaration of interests. The authors report no conflict of interest. Author ORCIDs. - Majid Bastankhah [https://orcid.org/0000-0002-1326-027X](https://orcid.org/0000-0002-1326-027X); - Carl R. Shapiro [https://orcid.org/0000-0002-9868-7896](https://orcid.org/0000-0002-9868-7896); - Sina Shamsoddin [https://orcid.org/0000-0002-9867-6783](https://orcid.org/0000-0002-9867-6783); - Dennice F. Gayme [https://orcid.org/0000-0003-0330-415X](https://orcid.org/0000-0003-0330-415X); - Charles Meneveau [https://orcid.org/0000-0001-6947-3605](https://orcid.org/0000-0001-6947-3605). Appendix A. Evaluation of p.v. of required integrals This appendix evaluates the integrals (2.24) and (2.25). Here, we only provide the proof for (2.24), as (2.25) can be solved similarly. First, we define $I$ as $$I := \int_0^{2\pi} \frac{\sin(nx)}{\tan \left[ (x - b)/2 \right]} \, dx.$$ (A1) By defining the complex parameters $i := \sqrt{-1}$ and $a := e^{-i(b/2)}$ and the complex variable $z := e^{ix}$, and considering that $dx = dz/(iz)$, $\sin(nx) = (z^n - z^{-n})/(2i)$ and $\tan[(x - b)/2] = -i(a^2z - 1)/(a^2z + 1)$, the integral $I$ can be written as $$I = \frac{1}{2i} \int_{C_1} F(z) \, dz,$$ (A2) where $C_1$ is the integration path, which is the unit circle, $\|z\| = 1$, on the complex plane, and $F(z)$ is defined as $$F(z) := \frac{(z^{2n} - 1)(a^2 z + 1)}{a^2 z^{n+1} \left( z - \frac{1}{a^2} \right)}. \tag{A3}$$ In order to evaluate the integral in (A2), we need to calculate the residues of $F(z)$ at its singularities. Here $F(z)$ has two singularities: one at $z = 0$ (pole of order $n + 1$) and the other at $z = a^{-2}$ (pole of order one). To calculate the residue of $F(z)$ at $z = 0$, we define a function $\Phi(z)$ such that (see Ablowitz & Fokas (2003), chapter 4) $$F(z) = \frac{\Phi(z)}{z^{n+1}}. \tag{A4}$$ Therefore, the residue at $z = 0$ is $$Res(F(z); 0) = \left[ \frac{1}{n!} \frac{d^n}{dz^n} \Phi(z) \right]_{z=0}, \tag{A5}$$ or $$Res(F(z); 0) = \frac{1}{n!} \left[ \sum_{k=0}^{n} \binom{n}{k} \frac{d^{n-k}}{dz^{n-k}} (a^2 z^{2n+1} + z^{2n} - a^2 z - 1) \frac{d^k}{dz^k} \frac{1}{a^2 z - 1} \right]_{z=0}. \tag{A6}$$ It can readily be shown that the first derivative term is non-zero only for $k = n - 1$ and $k = n$. Also expanding the second derivative, and after some manipulation, we obtain $$Res(F(z); 0) = 2a^{2n} = 2e^{-ibn}. \tag{A7}$$ Now we calculate the residue of $F(z)$ at $z = a^{-2}$. To do this, we define a function $\Phi'(z)$ such that $$F(z) = \frac{\Phi'(z)}{\left( z - \frac{1}{a^2} \right)}. \tag{A8}$$ Therefore, the residue at $z = a^{-2}$ is $$Res(F(z); a^{-2}) = \Phi'(z)(z = a^{-2}) = 2(e^{ibn} - e^{-ibn}). \tag{A9}$$ Since the second singularity is located on the integration path, we cannot use the Cauchy residue theorem directly. However, this integral can be regarded as a Cauchy type integral, and we can use the Plemelj formulae to evaluate its Cauchy p.v.. To do this, we assume $I^+$ is the limiting value of the integral $I$ when the second singularity of $F(z)$ (i.e. $z = a^{-2} = e^{ib}$) approaches the integration path ($\|z\| = 1$) from inside the unit circle, and $I^-$ is the limiting value of the integral $I$ when the second singularity of $F(z)$ approaches the integration path from outside the unit circle (see Ablowitz & Fokas (2003), chapter 7). Thus, \[ I^+ = (2\pi i) \left( \frac{1}{2i} \right) [Res(F(z); 0) + Res(F(z); a^{-2})] = 2\pi e^{ibn}, \] (A10) and \[ I^- = (2\pi i) \left( \frac{1}{2i} \right) [Res(F(z), 0)] = 2\pi e^{-ibn}. \] (A11) According to the Plemelj formulae, we have the following for the p.v. of integral $I$, \[ p.v.(I) = \frac{1}{2}(I^+ + I^-) = \frac{1}{2}(2\pi e^{ibn} + 2\pi e^{-ibn}) = 2\pi \cos(bn), \] (A12) and (2.24) is proved. Appendix B. Empirical vortex sheet shape model for large times The analytical solution for the deformation of the vortex sheet derived earlier is valid only for relatively short times. In fact, $\hat{\xi}(\theta, \hat{t})$ can become negative (the vortex sheet crosses itself and becomes non-simple and non-analytic) at dimensionless times with magnitude larger than a critical time denoted by $\hat{t}_c$. Therefore, the analytical solution should be only used for $\|\hat{t}\| < \hat{t}_c$. By setting $\hat{\xi} = 0$ in (2.29), one can find that $\hat{t}_c$ is in the range of 2–2.5. Thus, a limit of $\|\hat{t}\| \leq 2$ is considered in this paper for the analytical solution to be used. Note that the downwind location where $\|\hat{t}\| = 2$ is reached depends on inflow and turbine operating conditions as discussed in §§ 2.5 and 3. In the following, we develop an empirical relationship for $\hat{\xi}(\theta, \hat{t})$. Using the same harmonic terms as those in the analytical solution (2.29), we assume the empirical model is given by \[ \hat{\xi}(\theta, \hat{t}) = 1 - \alpha[c_1(\hat{t}) \cos 2\theta + (c_2(\hat{t})\chi \sin 2\theta + c_3(\hat{t}) \cos 3\theta) \] \[ + (c_4(\hat{t})\chi^2 \cos 2\theta + c_5(\hat{t})\chi \sin 3\theta + c_6(\hat{t}) \cos 2\theta + c_7(\hat{t}) \cos 4\theta)], \] (B1) where $\alpha$ is a constant, and $c_1(\hat{t}), \ldots, c_7(\hat{t})$ are time-dependant coefficients that need to be determined. Equation (B1) must provide predictions similar to the analytical solution (2.29) at small values of $\|\hat{t}\|$, but it must provide desirable results for $\|\hat{t}\|$ beyond $\hat{t}_c$ too. To achieve this goal, we use a hyperbolic tangent function to express $c_i(\hat{t})$, \[ c_i(\hat{t}) = a_i \tanh \frac{\hat{t}^{n_i}}{b_i}, \] (B2) where $i = 1, \ldots, 7$ and $a_i, b_i$ and $n_i$ are constants. As $\hat{t} \to \infty$, (B1) is reduced to \[ \lim_{\hat{t} \to \infty} \hat{\xi}(\theta, \hat{t}) = 1 - \alpha[a_1 \cos 2\theta + (a_2\chi \sin 2\theta + a_3 \cos 3\theta) \] \[ + (a_4\chi^2 \cos 2\theta + a_5\chi \sin 3\theta + a_6 \cos 2\theta + a_7 \cos 4\theta)]. \] (B3) In (B3) the overall curled shape of the wake is achieved by a suitable selection of $a_1, \ldots, a_7$, while the extent of curling is controlled by $\alpha$. The constant $\alpha$ is introduced to ensure that the maximum possible curling is obtained as $\hat{t} \to \infty$. To estimate values of $a_1, \ldots, a_7$, one can use the analytical solution at an arbitrary dimensionless time which is sufficiently large but still smaller than $\hat{t}_c$. By doing so, we construct the curled shape of the wake for $\hat{t} \to \infty$ from its analytical shape at a finite value of $\hat{t}$. The values of $a_i$ \begin{table}[h] \centering \begin{tabular}{c c c c c c c} Term & 1 & 2 & 3 & 4 & 5 & 6 & 7 \\ $a_i$ & $\frac{1}{2}$ & $-\frac{1}{3}$ & $-\frac{1}{4}$ & $-\frac{1}{6}$ & $\frac{5}{16}$ & $-\frac{5}{48}$ & $\frac{7}{48}$ \\ $b_i$ & $4\alpha$ & $8\alpha$ & $8\alpha$ & $16\alpha$ & $16\alpha$ & $16\alpha$ & $16\alpha$ \\ $n_i$ & 2 & 3 & 3 & 4 & 4 & 4 & 4 \end{tabular} \caption{Coefficients of the empirical vortex sheet shape model (B1), where $\alpha = 1.263 \cos(0.33\chi)$ and $c_i = a_i \tanh(\hat{t}^{n_i}/b_i)$.} \end{table} ($i = 1, \ldots, 7$) are obtained based on the analytical solution (2.29) at $\hat{t} = 2$ and are written in table 1, although other values of $\hat{t}$ could be used. In order to obtain maximum curling as $\hat{t} \to \infty$, $\hat{\xi}$ must go to zero at $\theta = \theta_0$, where $0 \leq \theta_0 \leq 2\pi$, while $\hat{\xi}$ should be still non-negative for all polar angles. Note that for $\chi = 0$, $\theta_0$ is a multiple of $\pi$, but it might have a different value if $\chi \neq 0$ due to the wake rotation. Based on the values of $a_i$ written in table 1, one can show that $\hat{\xi}$ given in (B3) is always equal or greater than $1 - 0.792\alpha \sec(0.33\chi)$. Therefore, $\alpha$ must be equal to $1.263 \cos(0.33\chi)$ to guarantee that (i) $\hat{\xi}$ never becomes negative, and (ii) maximum possible curling occurs as $\hat{t} \to \infty$. The asymptotic behaviour of (B1) at $\hat{t} \to \infty$ was used to find values of $a_i$ and $\alpha$. Next, we look into the asymptotic behaviour of (B1) at $\hat{t} \to 0$ to find $b_i$ and $n_i$. The function $a_i \tanh(\hat{t}^{n_i}/b_i)$ asymptotes to $a_i \hat{t}^{n_i}/b_i$ as $\hat{t} \to 0$. Therefore, we obtain \begin{equation} \lim_{\hat{t} \to 0} \hat{\xi}(\theta, \hat{t}) = 1 - \alpha \left[ \frac{a_1 \hat{t}^{n_1}}{b_1} \cos 2\theta + \left( \frac{a_2 \hat{t}^{n_2}}{b_2} \chi \sin 2\theta + \frac{a_3 \hat{t}^{n_3}}{b_3} \cos 3\theta \right) + \left( \frac{a_4 \hat{t}^{n_4}}{b_4} \chi^2 \cos 2\theta + \frac{a_5 \hat{t}^{n_5}}{b_5} \chi \sin 3\theta + \frac{a_6 \hat{t}^{n_6}}{b_6} \cos 2\theta + \frac{a_7 \hat{t}^{n_7}}{b_7} \cos 4\theta \right) \right]. \tag{B4} \end{equation} Equation (B4) should match the analytical solution (2.29). Therefore, values of $n_i$ and $b_i$ can be readily determined, and they are written in table 1. Figure 13 shows predictions of the wake shape based on both the analytical and empirical solutions for different values of dimensionless time $\hat{t}$ and rotation rate $\chi$. As expected, the empirical relation provides similar results to those of the analytical solution at small values of $\hat{t}$. Moreover, unlike the analytical solution, it provides reasonable predictions for large values of $\hat{t}$ (i.e., $\|\hat{t}\| > 2$). Appendix C. Large-eddy simulation code The numerical code used in this study is the pseudo-spectral LES code LESGO. It solves the filtered Navier–Stokes equations in rotational form \begin{align} \frac{\partial \tilde{u}_i}{\partial x_j} &= 0, \tag{C1} \\ \frac{\partial \tilde{u}_i}{\partial t} + \tilde{u}_j \left( \frac{\partial \tilde{u}_i}{\partial x_j} - \frac{\partial \tilde{u}_j}{\partial x_i} \right) &= -\frac{\partial \tau_{ij}}{\partial x_j} - \frac{\partial \tilde{p}^}{\partial x_i} - \frac{1}{\rho} \frac{\partial p_\infty}{\partial x} \delta_{i1} + f_i, \tag{C2} \end{align} where $\tilde{u}_i$ is the filtered velocity field, $\tau_{ij}$ is the trace-free part of the subgrid stress tensor, $\tilde{p}^$ is the modified pressure, $\partial_x p_\infty$ is the driving streamwise pressure gradient and $f_i$ are the turbine forces. The trace-free part of the subgrid stress tensor is modelled using an eddy viscosity approach \[ \tau_{ij} = -2\nu_T \tilde{S}_{ij}, \] (C3) where $ \tilde{S}_{ij} = \frac{1}{2}(\partial_j \tilde{u}_i + \partial_i \tilde{u}_j) $ is the filtered strain rate tensor. The LESGO code simulates Cartesian domains using a pseudo-spectral numerical scheme that mixes spectral derivatives in the streamwise direction $ x $ and spanwise direction $ y $ with second-order finite-differencing in the vertical direction $ z $. Time integration uses the second-order Adams–Bashforth method. We consider wind turbines under both uniform laminar inflow (Shapiro et al. 2018) and turbulent boundary layer inflows (Shapiro et al. 2020). In the uniform inflow simulations, the Smagorinsky model is used for the eddy viscosity \[ \nu_T = C_s^2 \Delta^2 \|S\|, \quad \|S\|^2 = 2S_{ij}S_{ij}, \] (C4a,b) where $ C_s = 0.16 $ is the Smagorinsky coefficient. This choice has a negligible effect on the results as the eddy diffusivity is confined to regions of the flow with strong velocity gradients. The inflow conditions are enforced via a fringe region at the end of the domain. This fringe region smoothly transitions to a prescribed inflow velocity $ U_i(0, y, z) = U_{in}\delta_{i1} $ (Stevens et al. 2014). At the top and bottom of the domain, the stress-free boundary conditions for streamwise $ u $ and spanwise $ v $ velocity components are applied and the no-penetration condition is applied for the vertical component $ w $. For the turbulent boundary layer simulations, the Smagorinsky coefficient $ C_s $ is modelled using the Lagrangian-averaged scale dependent model (Bou-Zeid, Meneveau & Parlange 2005). Turbulent inflow conditions are applied using a fringe region forcing where the inflow condition is sampled from a concurrently running simulation (Stevens et al. 2014) with shifted periodic boundary conditions (Munters, Meneveau & Meyers 2016). At the ground, the stress with a roughness height of $z_0$ is modelled using the equilibrium wall model. The total wall stress is given by $$\tau_w = - \left[ \frac{\kappa V}{\ln(\Delta z / 2z_0)} \right]^2,$$ (C5) where $\Delta z$ is the vertical grid spacing, $\kappa$ is the von-Kármán constant and $V$ is the velocity magnitude obtained from $V^2 = \tilde{u}(\Delta z/2)^2 + \tilde{v}(\Delta z/2)^2$. The wall stress is then apportioned to each component as $$\tau_{i3}\|_{wall} = \tau_w \frac{\tilde{u}_i}{V}.$$ (C6) The LESGO code implements the ADM-R using the local formulation for the thrust and angular forces. The thrust force in this formulation is $$T = \frac{1}{2} \rho \pi R^2 C'_T U_d^2,$$ (C7) where $C'_T$ is the local thrust coefficient and $U_d$ is the disk-averaged velocity. The total thrust force is distributed across the swept area of the disk using the filtered indicator function $\mathcal{R}(x)$, $$f(x) = T \mathcal{R}(x)n$$ (C8) in the unit normal direction to the disk $n = \cos \beta i + \sin \beta j$. The filtered indicator function $$\mathcal{R}(x) = \int G(x - x') \mathcal{I}(x') \, d^3 x'$$ (C9) is found by convolving an indicator function $\mathcal{I}(x)$ for the geometric shape of the disk with finite thickness $s$ with a Gaussian filtering kernel $G(x)$ with a characteristic width $\sigma_R = 1.5h/\sqrt{12}$ that is proportional to the mean grid size $h = \sqrt{\Delta x^2 + \Delta y^2 + \Delta z^2}$. To define the angular force of the rotation actuator disk in a local formulation, we consider the ADM for unyawed wind turbines. The disk-averaged velocity $U_d = U_{in}(1-a)$, streamwise velocity deficit $u_x = 2U_{in}a$ and angular change in velocity $u_\theta = 2a'\Omega r$ are defined based on the streamwise $a$ and tangential $a'$ induction factors and rotation rate of the disk $\Omega$. Considering annular rings of the swept area of the rotor, the annular thrust is the product of the annular flow rate and the change in momentum $dT = U_{in}a(1-a)\pi r \, dr \, \rho 2U_{in}$. The annular torque is similarly the product of the annular flow rate and the change in angular momentum $dQ = U_{in}(1-a)\pi r \, dr \, \rho 2a'\Omega r^2$. Since the annular power is equal to the products $dP = dT \, U_d$ and $dP = dQ \, \Omega$, the equality $$\frac{1}{2}\rho U_{in}^3 4a(1-a)^2 \pi r \, dr = \frac{1}{2}\rho U_{in}^3 4a'(1-a) \left( \frac{\Omega r}{U_{in}} \right)^2 \pi r \, dr$$ (C10) can be solved for the tangential induction factor, so we obtain $$a' = a(1-a) \left( \frac{U_{in}}{\Omega r} \right)^2.$$ (C11) The torque can be written in local and standard forms $$dQ = \frac{1}{2}\rho U_{in}^2 R 4a(1-a)^2 \frac{U_{in}}{\Omega R} \pi r \, dr = \frac{1}{2}\rho U_{in}^2 RC_Q \pi r \, dr = \frac{1}{2}\rho U_d^2 RC'_Q \pi r \, dr.$$ (C12) Defining the tip-speed ratio $\lambda = \Omega R / U_{in}$ and local tip-speed ratio as $\lambda' = \Omega R / U_d$ the torque coefficient is $$C'_Q = \frac{C'_P}{\lambda'}. \tag{C13}$$ For ideal actuator disks, $C'_P = C'_T$. 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A laser system includes a gain medium for providing and amplifying a laser beam within an optical resonator. According to the invention, the laser system actively provides a plurality of different optical modes for stabilizing the laser beam, preferably by forcing the laser beam to jump between different optical modes more frequent than environmental disturbances occur. Providing the plurality of different optical modes can be achieved e.g. by varying the phase of the laser beam and/or by varying the optical length of the optical resonator. The laser system can be employed in a gas monitoring system, e.g. for monitoring a respiration and/or anaesthetic gas, for providing a Raman spectrum of the gas to be monitored. 20 Claims, 6 Drawing Sheets FIG. 1a FIG. 1b FIG. 2 FIG. 4b FIG. 3A FIG. 3b DIODE TEMPERATURE (°C) POWER PEAKING (µW) FIG. 3c POWER LEAKING (µW) DIODE CURRENT (mA) FIG. 4a INTENSITY TIME (h) LASER SYSTEM TOLERATING DISTURBANCES USING MULTIPLE MODES BACKGROUND OF THE INVENTION The present invention relates to a laser system comprising a gain medium for providing and amplifying a laser beam within an optical resonator. Molecules, and in particular gas molecules, are mainly investigated by spectroscopy. Two different spectroscopic methods, i.e. infrared absorption and Raman scattering, are generally applied for airway gas monitoring. The most common and widely spread measuring type is the infrared absorption, since it provides a robust and simple system with reliable accuracy. Disadvantageous, however, is that the infrared absorption is not flexible for upgrading to other molecules. Raman scattering overcomes that disadvantage because each molecule provides its own characteristic scattering signal. In addition and in contrast to the infrared absorption, the wavelength of the excitation light can be chosen flexibly. The drawback of the Raman scattering, however, lies in its minor effect, meaning that an excitation power of a light beam will create only a very low Raman signal (e.g. an excitation power of 1 W will create a Raman signal of 1 pW). For medical purposes, such as respiratory or anesthetic gas monitoring, Raman scattering has been investigated as shown e.g. by Van Wagenen et al in “Gas Analysis by Raman scattering”, Journal of Clinical Monitoring, vol. 2 No. 4, October 1986. Because of the minor effect in Raman scattering, the optical output power of the excitation light should be selected as high as possible. In addition, to achieve a good resolution of the molecule spectra, the excitation light source should be a narrow band source with a good wavelength and power stability. Thus, laser sources are commonly used as excitation light sources, whereby for reasons of compactness, lifetime and price, semiconductor lasers are normally superior to solid state or gas lasers. However, semiconductor lasers exhibit, in contrast to solid state and gas lasers, the disadvantage of a low internal circulating optical power and a low coupled out optical power. A known solution for increasing excitation power for Raman scattering is disclosed in U.S. Pat. No. 5,153,671 and U.S. Pat. No. 5,245,405 for a gas analyzing system. A gas analysis cell employing Raman scattering is positioned within a single optically resonant cavity. The gas flow is directed into the cavity and analyzed within the gas analysis cell. FIG. 1A shows in principle such a laser system 10 in the gas analyzing system of U.S. Pat. No. 5,153,671. The laser system 10 comprises a laser cavity 20 between a first mirror 30 and a second mirror 40. A gain medium 50 provides and amplifies a laser beam 60 which serves as an excitation beam in a gas analysis cell 70 within the laser cavity 20. The first mirror 30 may also be part of the gain medium 50. In a more sophisticated solution for increasing excitation power, in particular when semiconductor lasers are used as excitation sources for Raman scattering, the optical output power of the excitation laser is coupled into an external resonator as shown e.g. in U.S. Pat. No. 5,642,375 or U.S. Pat. No. 5,684,623 by the same applicant. FIG. 1B shows in principle such a coupled laser system 80. The coupled laser system 80 comprises the laser cavity 20 between the first mirror 30 and the second mirror 40 and the gain medium 50 providing and amplifying the laser beam 60. An external cavity 90 is provided between the second mirror 40 and a third mirror 95, and is optically coupled to the laser cavity 20. The laser beam 60 serves as excitation beam in the gas analysis cell 70 within the external cavity 90. By applying low loss mirrors with different reflection coefficients for the mirrors 30, 40 and 95, as described e.g. in U.S. Pat. No. 5,642,375, a very high built-up optical power inside the resonator of the external cavity 90 can be achieved. For example, a 10 mW semiconductor laser beam 60 is capable of pumping the external cavity 90 up to several hundreds of Watts. U.S. Pat. No. 5,432,610 further discloses a passive, purely optical locking of a laser diode on an external resonator. Using such an external pumped resonator, as depicted as the laser system 80 in FIG. 1B, for probing an unknown gas sample in the external cavity 90 will in particular provide enough optical power to excite a Raman signal well above the sensitivity limit of optical sensors. Optical sensors can simply be photodiodes, charged coupled devices or other image sensors for more sophisticated applications. As well in the single cavity laser system 10 as in the coupled cavity laser system 80, the gas analysis cell 70 represents the principal possibility of probing a gas sample, whereby the gas sample can be analyzed in a specific (separated) environment or directly in the respective cavity. Probing the gas sample can either be accomplished ‘offline’, i.e. the gas sample is taken and analyzed later (e.g. in a defined environment), or ‘online’, i.e. the gas sample is directly provided to the gas analysis cell 70 and analyzed. The latter case, in particular, allows monitoring of a gas flow such as a respiratory or anesthetic gas. Online gas monitoring, however, requires an increased effort with respect to stabilizing the laser system. If there are no changes of the applied active and passive components of the laser system, e.g. laser system 10 or 80, and as long as the environmental conditions remain unchanged, the light beam 60 (in the laser cavity 20 of FIG. 1A or in the external cavity 90 in FIG. 1B) will substantially remain at constant power. The light beam 60 circulating in the laser cavity 20 and the external cavity 90 comprises one or more (longitudinal) optical modes determined by the components of the laser system and the specific environmental circumstances within the respective cavity/cavities. Associated with each optical mode are a defined wavelength and a defined roundtrip phase shift. The gain medium 50 supports the optical mode(s) that match(es) the required wavelengths and provides the necessary phase, thus leading to a high intensity build-up light beam 60 at the supported optical mode(s). It is to be understood that semiconductor type lasers generally only support one optical mode at a time, while other laser types (e.g. gas laser) may support more than one optical mode concurrently. For the sake of simplicity, only semiconductor type lasers, supporting only one optical mode at a time, shall be considered in the following. However, it is clear that the principals as illustrated herein are applicable for multi-mode concurrently supporting lasers accordingly. In the coupled cavity system of FIG. 1B, a locking mechanism between the two resonators has to take place. To achieve substantial amplification and stability in the external cavity, the feedback of the external cavity into the laser cavity has to be adjusted, so that the laser diode radiation emits coherent radiation with a bandwidth and a wavelength to actively support the external cavity 90 at a cavity resonant frequency. This process is called hereinafter “optical locking”. When a change of the applied active and passive components (e.g. of the optical path length) of the laser system occurs and/or the environmental conditions change, the currently supported optical mode does not match anymore the required wavelength and phase shift, and the laser system has to ‘find’ another optical mode matching the changed resonating conditions within the laser system. Thus, the light beam 60 can suddenly extinguish (albeit temporarily) until a new optical mode is built up fitting to the changed cavity properties. This leads to a (significant and in most cases unwanted) variation of the optical power of the optical beam 60 over the time. FIG. 2 shows an example of a variation of the optical power over the time in the external cavity 90 in an arrangement according to FIG. 1B. The power variations in the measurement example of FIG. 2 were possibly induced by temperature or other environmental variations causing modifications in the optical lengths of the laser system 80. When applied for Raman scattering, the power variation leads to different results for the Raman scattering measurement due to a variation in the exciting power. A known possibility for avoiding environmental disturbances is disclosed in U.S. Pat. No. 5,245,405 for the gas analyzing cell as discussed above. A pressure control system eliminates pressure variations in the gas cell regardless of changes in restriction, gas viscosity and barometric pressure. Maintaining a constant pressure in the gas cell makes the system more stable, since optical alignment through the gas cell is sensitive to gas pressure. Other known solutions suggest to arrange mechanical pumps for providing the gas flow as far as possible away from the gas analyzing cell in order to reduce disturbances by the pump as much as possible. However, although all of those solutions refer to gas analyzing purposes, they have been proved unpractical in several cases since the gas flow, in particular for respiration gases, is hardly controllable and always provides a source of disturbances, e.g. due to variations in the gas compounds. A solution for an actively locked external optical resonator 90 is an external servo control loop, which changes the characteristics of the laser cavity 20 in a way that this cavity 20 remains locked to a single external cavity mode with a constant optical power. Parameters to change the characteristics of the laser cavity 20 are current and temperature of the active laser medium 50 as well as mechanical changes of the laser cavity 20. This solution, however, requires highly sophisticated countermeasures to ensure stable conditions, and because of the necessary resolution, such a servo control loop can become very expensive and costly. SUMMARY OF THE INVENTION It is an object of the present invention to provide a laser system that is less sensitive for variations of the optical components and/or for environmental disturbances. The object is solved by the independent claims. Preferred embodiments are shown by the dependent claims. According to the invention, the laser system is actively forced to jump between different optical modes, or, in other words, the laser system comprises means for providing a plurality of different optical modes. In contrast to conventional laser systems wherein different optical modes randomly (i.e. passively) occur, the inventive laser system actively provides the plurality of different optical modes and thus forces the laser beam to (preferably continuously) jump between the provided optical modes. As long as the applied active and passive components of the laser system and/or the environmental conditions remain unchanged, the average optical power of the laser beam 60 in the inventive laser system, forcing the laser beam to jump between different optical modes, is decreased with respect to the substantially constant (equilibrium state) optical power of the single optical mode laser beam 60 in the conventional laser system. However, when the applied active and passive components of the laser system and/or the environmental conditions change, the optical power of the laser beam 60 in the conventional laser system will suddenly dramatically decrease until a new optical mode has been ‘found’ and built up, thus leading to significant power variations. Since the laser system according to the invention already provides a plurality of optical modes, the likelihood for the inventive laser system to ‘find’ a ‘new’ matching optical mode is significantly increased, so that the inventive laser system will generally ‘recover’ much faster from variations of the optical components and/or environmental disturbances. Moreover, since the average optical power of the unchanged inventive laser system is generally lower than the (equilibrium state) optical power of the unchanged conventional laser system, and thus the differences in optical power due to disturbances are smaller in the inventive laser system, the optical power in the inventive laser system can be significantly stabilized. Thus, forcing the laser system to jump between different optical modes preferably much more frequent than ‘disturbances’ of the laser system occur allows stabilizing the optical power in the resonator. In most laser systems, the amplification of the laser beam 60 will be different for each optical mode. Therefore, the optical power might change from mode to mode. The optical power behavior of the laser beam 60 can be further stabilized by increasing the number of actively induced jumps between optical modes, in particular with respect to power averaging periods of the laser system. In case of Raman applications, e.g. for respiratory or anesthetic gas monitoring, the number of induced jumps between optical modes is preferably selected to be large during a time period wherein the Raman spectrum is averaged. Thus, the average optical power during that time period can be stabilized. There are several ways to actively force the laser system to jump between different optical modes, such as varying the phase of the light beam or varying the optical length of the laser system. Other possibilities might be applied accordingly, however, varying phase and/or optical length have been proved to be the most practical. Varying the phase of the laser, e.g. by adding phase to the light beam, can be achieved for example by varying (or dithering) the current and/or the temperature of a semiconductor laser as the gain medium 50, or by varying the refractive index, and thus the phase of the light, by means of electrical or mechanical forces. The temperature variation of the semiconductor laser is preferably performed with the semiconductor directly mounted to a cooling and/or heating device. Phase changes of the semiconductor laser can thus be induced because the refractive index of the semiconductor laser is a strong function of the temperature. Varying the optical length can be performed, for example, by varying (or dithering) the refractive index, e.g. by varying the cavity pressure or the physical cavity length(s), e.g. by moving one or more cavity mirrors or otherwise changing the mechanical length(s). The variation of the optical lengths in a coupled resonator system, as shown e.g. in FIG. 1B, can be executed in only one of the resonators and/or in all. In particular for varying the optical length, ‘natural’ or inherent sources of disturbances in the applied laser system can be intentionally used for actively forcing the laser system to jump between different optical modes. For example, in a laser system wherein a pump pumps a gas to be monitored to the gas analysis cell 70, it can be made use of the inherent disturbances caused by the pumping for varying the cavity pressure. Whereas e.g. in U.S. Pat. No. 5,245,405 the pump is deliberately arranged as far as possible away from the gas analysis cell 70 in order to avoid disturbances, the invention suggests e.g. to intentionally arrange a pump close(r) to the gas analysis cell 70 in a way that the laser system is to actively forced to jump between different optical modes. It is clear that in a multi-cavity laser system wherein the optical length of the system is determined by a plurality of individual optical lengths, varying the optical length of the system can be accomplished by varying one or more of the individual optical lengths. That means that e.g. in a coupled laser system as depicted in FIG. 1B, the optical length can be changed as well of the buildup cavity (external cavity 90) as of the laser cavity 20 (e.g. as the cavity between the back mirror of the diode laser and the input mirror of the buildup cavity), or even both. This can be done, for example, by changing the refractive index of the gas in either one or both cavities. In strict contrast to conventional laser systems wherein the system is stabilized by (actively) carefully controlling the environment and restricting the bandwidth of the system to only one single mode, the laser system according to the invention is actively ‘disturbed’ so that the inventive laser system is forced to jump between optical modes and thus deliberately runs in a continuous multi-optical mode. This means that in case of (external) instabilities, the inventive laser system can jump to another stable mode to continue lasing, whereas in conventional laser systems lasing immediately will stop. Although the best performance (e.g. with respect to the achievable optical power in the cavity) of an optical laser system can be reached if only one single optical mode will be supported by the system, however, the inventive multi-optical-mode-system provides a higher overall stability, so that the requirements on environmental and mechanical stability as well as on optical filters can be reduced, with a significant impact on the price performance of the laser system e.g. for gas monitoring purposes. It has to be noted that the principles of the invention also apply for laser systems concurrently supporting a plurality of optical modes (e.g. gas lasers). In that case, the laser system will be forced to concurrently jump between one or more different optical modes. In a preferred embodiment, the numbers of optical modes supported by the inventive laser system is reduced to a discrete number of optical modes in order to restrict the bandwidth of the laser system. This can be achieved e.g. by providing respective wavelength filters like prism, grating and/or etalon. It has to be understood that the requirements of stability and bandwidth of the laser system are contradicting, so that a certain tradeoff has to be found for each application. In a specific embodiment employing Raman scattering, the provision of four optical modes (which can lase) has been found to provide a good and acceptable compromise between those requirements. BRIEF DESCRIPTION OF THE DRAWINGS Other objects and many of the attendant advantages of the present invention will be readily appreciated and become better understood by reference to the following detailed description when considering in connection with the accompanied drawings. Features that are or can be built up substantially equally or similarly are referred to with the same reference sign. FIGS. 1A and 1B show laser system in the gas analyzing system as known in the art, FIG. 2 shows an example of a variation of the optical power over the time in the external cavity 90 in an arrangement according to FIG. 1B, FIGS. 3A–3C depict a first embodiment of the invention and corresponding measuring results, and FIGS. 4A–4B depict the behavior of the optical power in the external resonator over the time and a long term measuring result in a laser system according to the invention. DETAILED DESCRIPTION OF THE INVENTION FIG. 3A shows a first embodiment of the invention wherein varying the phase of the laser can be achieved by varying the current and/or temperature of a semiconductor laser as the gain medium 50. The embodiment of FIG. 3A is based on the embodiment of FIG. 5 as disclosed in U.S. Pat. No. 5,642,375 by the same applicant and one of the present inventors. The shown embodiment employs a coupled laser system 80 as depicted in FIG. 1B, however, the laser system 10 according to FIG. 1A can be employed accordingly. In FIG. 3A, the gain medium 50 is incorporated into the structure of a semiconductor diode laser 300. The back facet of the laser 300 is coated to be reflective and forms the surface 30. An emission facet 310 of the diode laser 300 is anti-reflection (AR) coated, with reflectivity preferably in the range of less than $10^{-3}$. Reflective surfaces 320 and 330 are coated onto the mirrors (substrates) 40 and 95, respectively. These surfaces have appropriate curvatures to support a stable spatial mode in the external cavity 90 (between the surfaces 320 and 330). Mode matching optics 340 (e.g. lenses and/or prisms) well known to those skilled in the art, can be used to spatially match the diode emission into the external cavity 90. A surface 350 of the mirror (substrate) 40 facing the laser cavity 20 is preferably anti-reflection coated with a reflectivity in the range about 0.04 to 0.001. Alternatively, the surface 350 can be a chamfer at an angle with the light path 60 to reduce its light reflection into the gain medium. A frequency-limiting device 360 is preferably placed between the mode matching optics 340 and the mirror 40. In this way, the frequency-limiting device 360 produces the most effect using a minimum number of components. Such a system may be constructed using a Philips CQL 801D diode laser as the gain medium 50, having its emission facet 310 coated to have a reflectivity in the range of $10^{-5}$ to $10^{-4}$. The mode matching optics 340 preferably consists of an anti-reflection (AR) coated lens with a numerical aperture (NA) of 0.48 and focal length of 4.8 mm, an anamorphic prism pair (3:1), and a 25 cm focal length lens. The surfaces 320 and 330 may have a 17 cm radius of curvature, with reflectivities $R_{320}=0.999$ and $R_{330}=0.99999$. The length of the external cavity 90 may be 10 cm. Other details of the preferred embodiments can be obtained from U.S. Pat. No. 5,642,375. The frequency-limiting device 360 in FIG. 3A is employed to filter out the undesirable frequencies in order to reduce the frequency bandwidth of the laser beam 60. The frequency-limiting devices 360 may include one or a combination of gratings, etalon, lyot filters, or dielectric stack filters. The rear surface of the diode laser gain medium 300 may be coated with a distributed Bragg reflector, which also limits the allowed frequencies in the laser system. Examples of applicable frequency-limiting devices 360 are described in great detail in U.S. Pat. No. 5,642,375. FIGS. 3B and 3C depict measuring results derived from an embodiment according to FIG. 3A. The average power that leaked out of the external cavity 90 is depicted on the Y-axis and was measured as a function (depicted on the X-axis) of the temperature (FIG. 3B) or the current (FIG. 3C) of the diode laser gain medium 300. Dashed line 370 in FIG. 3B depicts the behavior of the power leakage versus diode temperature without dithering the current of the diode 300. Straight line 375, in contrast thereto, depicts a power versus temperature curve, whereby the current of the diode 300 has been dithered with a 100 Hz triangle wave with 16 mA peak-to-peak. Both lines 375 and 380 were measured for a current of the diode 300 of 86 mA. FIG. 3C depicts power versus diode current behaviors. Dashed line 380 represents the power behavior when the diode current is not dithered. Lines 385, 390 and 395 display power behaviors, whereby the diode current has been dithered with 16 mA, 12 mA or 8 mA peak-to-peak, respectively. The effect of the dithering becomes clear from FIGS. 3B and 3C. In both FIGS. 3B and 3C, without dithering the average power varied greatly with environmental changes (i.e. diode current and temperature). With dithering, the changes could be greatly smoothed out (particularly evident in FIG. 3B). In another preferred embodiment, the optical length of the optical resonator (e.g. in a laser system according to FIG. A or 1B) is varied. FIGS. 4A and 4B display measuring results, wherein the refractive index of the laser cavity has been modified by varying the cavity pressure. It is to be understood that in case of coupled laser systems, a variation of the refractive index of each laser cavity will also vary the refractive index of the coupled laser system. FIG. 4A shows the behavior of the optical power in the external resonator over the time in a laser system 80 according to FIG. 1B. In contrast to the measuring result as depicted in FIG. 2 for the same laser system, the refractive index of the optical resonator length has been varied by means of a 60 Hz air pressure pulsation within the external cavity 90. By comparing FIG. 4A with FIG. 2, it becomes apparent that the resonator intensity can be significantly stabilized by dithering the cavity pressure. FIG. 4B depicts a long term measuring result for a laser system 80 according to FIG. 1B. The gas analysis cell 70 is provided for monitoring a respiration gas for medical purposes. All system parameters of the laser system 80 are maintained substantially constant except of the pressure within the gas analysis cell 70 which is maintained substantially constant during the first fourteen minutes and dithered with a frequency of approximately 60 Hz after fourteen minutes. During time periods T1, T2, T3 and T4, a respiration gas was directed through the gas analysis cell 70, thus leading to a significant variation of the resonator intensities during those periods of time. As apparent from FIG. 4B, the variation of the resonator intensity has been considerably stabilized after fourteen minutes by dithering the pressure within the external cavity 90. In particular during the periods of time wherein the respiration gas was directed through the gas analysis cells 70, the resonator intensity during the periods T3 and T4 has been dramatically stabilized with respect to the periods T1 and T2 without a dithering. The embodiment corresponding to the FIGS. 4A and 4B might further comprise frequency-limiting devices 360 in order to limit the bandwidth of the laser beam 60. It is to be understood that the frequency limitation, either in FIG. 3A or in other embodiments according to FIGS. 1, is not necessary for the purpose of the invention to stabilize the optical power of the laser beam 60 against (environmental) disturbances, but only provides a useful parameter required for certain applications such as Raman scattering demanding a certain (frequency) bandwidth of the laser beam 60. What is claimed is: 1. A laser system comprising: - a gain medium for providing and amplifying a laser beam within an optical resonator; - means for actively providing a plurality of different optical modes for stabilizing the laser beam; and - means for actively inducing jumps between optical modes with frequencies greater than power averaging frequencies for monitoring an average power of the laser beam in the laser system, wherein the number of induced jumps between optical modes is increased during a time period wherein a Raman spectrum derived from the laser beam is averaged. 2. The laser system of claim 1, wherein the mode-providing means comprises means for forcing the laser beam to jump between different optical modes more frequently than environmental disturbances occur. 3. The laser system of claim 1, wherein the mode-providing means comprises means for forcing the laser beam to continuously jump between different optical modes. 4. The laser system of claim 1, wherein the mode-providing means comprises means for varying the phase of the laser beam. 5. The laser system of claim 4, wherein the means for varying the phase of the laser beam comprises means for varying a current of the gain medium. 6. The laser system of claim 4, wherein the means for varying the phase of the laser beam comprises means for varying a temperature of said gain medium. 7. The laser system of claim 4, wherein the means for varying the phase of the laser beam comprises means for varying a refractive index of said gain medium. 8. The laser system of claim 1, wherein the mode-providing means comprises means for varying the optical length of the optical resonator. 9. The laser system of claim 8, wherein the means for varying the optical length of the optical resonator comprises means for varying the refractive index of the optical resonator. 10. The laser system of claim 9, wherein said means for varying the refractive index of the optical resonator comprises means for varying a pressure of the optical resonator. 11. The laser system of claim 9, wherein said means for varying the refractive index of the optical resonator comprises means for varying a physical length of the optical resonator. 12. A method for stabilizing a laser beam in a laser system comprising a gain medium for providing and amplifying a laser beam within an optical resonator, said method comprising the steps of: - actively providing a plurality of different optical modes for stabilizing the laser beam; - actively inducing jumps between optical modes with frequencies greater than power averaging frequencies for monitoring an average power of the laser beam in the laser system; and - increasing the number of induced jumps between optical modes during a time period wherein a Raman spectrum derived from the laser beam is averaged. 13. A gas monitoring system for monitoring a respiration and/or anaesthetic gas comprising: - a laser system for providing a Raman spectrum of the gas to be monitored, further comprising: a gain medium for providing and amplifying a laser beam within an optical resonator; means for actively providing a plurality of different optical modes for stabilizing the laser beam; and means for actively inducing jumps between optical modes with frequencies greater than power averaging frequencies for monitoring an average power of the laser beam in the laser system, wherein the number of induced jumps between optical modes is increased during a time period wherein a Raman spectrum derived from the laser beam is averaged. 14. A laser system comprising: a gain medium for providing and amplifying a laser beam within an optical resonator; means for actively providing a plurality of different optical modes for stabilizing the laser beam; and a filter for reducing said plurality of different optical modes to a discrete number of optical modes to restrict the bandwidth of the laser system. 15. A laser system comprising: a gain medium for providing and amplifying a laser beam within an optical resonator; and means for actively providing a plurality of different optical modes for stabilizing the laser beam further comprising means for varying the optical length of the optical resonator. 16. The laser system of claim 15, further comprising means for actively inducing jumps between optical modes with frequencies greater than power averaging frequencies for monitoring an average power of the laser beam in the laser system. 17. The laser system of claim 16, wherein the number of induced jumps between optical modes is increased during a time period wherein a Raman spectrum derived from the laser beam is averaged. 18. The laser system of claim 15, wherein the means for varying the optical length of the optical resonator comprises means for varying the refractive index of the optical resonator. 19. The laser system of claim 18, wherein said means for varying the refractive index of the optical resonator comprises means for varying a pressure of the optical resonator. 20. The laser system of claim 18, wherein said means for varying the refractive index of the optical resonator comprises means for varying a physical length of the optical resonator.
A GENERALIZATION OF THE GENTZEN HAUPPTSATZ LUIS E. SANCHIS 1. Gentzen rules describe proofs in first order logic on the basis of simple transformations, each one related to the meaning of some logical operation, which are enough to avoid the use of the cut rule. A fundamental application of the rules is the reduction of predicate logic to propositional logic via the so-called extended Gentzen Hauptsatz or midsequent theorem (also called the Herbrand-Gentzen theorem in [1]). We present in this paper another reduction which seems very convenient for consistency proofs of universal theories. It is shown that if such a theory is inconsistent then some inconsistency can be found just using the cut rule to eliminate atomic formulas. In the system considered by Gentzen only one kind of axiom is admitted: those of the form $A \rightarrow A$. We allow other axioms and prove the elimination of the cut rule under certain restrictions. The resulting system provides a good frame for the description of axiomatic theories and preserves the characteristic symmetry of the Gentzen rules. 2. We shall deal with some given first order language in which we assume the following symbols: free individual variables, bound individual variables, individual constants, function letters, the equality symbol, predicate letters, propositional connectives: $\neg$, $\lor$, $\land$, $\supset$, =, and quantifiers: $\forall$, $\exists$. Letters $a, b, c, \ldots$ are used as syntactic variables for free individual variables and letters $x, y, z, \ldots$ for bound individual variables. Terms are defined in the usual way. Atomic formulas are either expressions of the form $R(t_1, \ldots, t_n)$ where $R$ is some predicate letter and $t_1, \ldots, t_n$ are terms, or expressions of the form $t = h$ where $t$ and $h$ are terms. Formulas are defined by induction in the usual way. Letters $M, N, P, \ldots$ will denote finite (possible empty) sequences of formulas. The formulas of the sequence $M$ are called components of $M$. We introduce a symbol $\rightarrow$ and expressions of the form $M \rightarrow N$ are called sequents. The notation $A(t/b)$ denotes the result obtained when the term $t$ is substituted for the variable $b$ in the formula $A$ and it is also a formula. If Received February 23, 1970 $M$ is the sequence $A_1, \ldots, A_n$ then $M(t/b)$ denotes the sequence $A_1(t/b), \ldots, A_n(t/b)$. If all the components of a sequence $M$ are atomic we say that $M$ is atomic. If both $M$ and $N$ are atomic we say that the sequent $M \rightarrow N$ is atomic. The notation $M < N$ means that every component of $M$ is also a component of $N$ and in that case we say that $N$ is an expansion of $M$. Hence if $M$ and $N$ are considered as sets (disregarding order and repetitions) this notation indicates ordinary set inclusion. If $P$ is an expansion of $M$ and $Q$ is an expansion of $N$ then we say that $P \rightarrow Q$ is an expansion of $M \rightarrow N$. We list below the derivation rules. These rules describe transformation from one or two sequents (called the premises of the rule and written above a line) to another sequent called the conclusion of the rule and written below the line. In these rules $M$, $N$, $P$, $Q$ are arbitrary sequences, $A$ and $B$ are arbitrary formulas, $t$ is any term, $b$ is any free variable, $c$ is a free variable that does not occur in $M$ or $N$, and $x$ is a bound variable that does not occur in $A$. Expansion: $\frac{M \rightarrow N}{P \rightarrow Q}$ provided $P \rightarrow Q$ is an expansion of $M \rightarrow N$ - left: $\frac{M \rightarrow N, A}{\neg A, M \rightarrow N}$ - right: $\frac{A, M \rightarrow N}{M \rightarrow N, \neg A}$ - left: $\frac{A, B, M \rightarrow N}{(A \land B) M \rightarrow N}$ - right: $\frac{M \rightarrow N, A \quad P \rightarrow Q, B}{M, P \rightarrow N, Q, (A \land B)}$ - left: $\frac{A, M \rightarrow N \quad B, P \rightarrow Q}{(A \lor B), M, P \rightarrow N, Q}$ - right: $\frac{M \rightarrow N, A, B}{M \rightarrow N, (A \lor B)}$ - left: $\frac{M \rightarrow N, A \quad B, P \rightarrow Q}{(A \supset B), M, P \rightarrow N, Q}$ - right: $\frac{A, M \rightarrow N \quad B}{M \rightarrow N, (A \supset B)}$ - left: $\frac{A, B, M \rightarrow N \quad P \rightarrow Q, A, B}{(A \equiv B), M, P \rightarrow N, Q}$ - right: $\frac{A, M \rightarrow N, B \quad B, M \rightarrow N, A}{M, P \rightarrow N, Q (A \equiv B)}$ - left: $\frac{A(t/b), M \rightarrow N}{\forall x A(x/b), M \rightarrow N}$ - right: $\frac{M \rightarrow N, A}{M \rightarrow N, \forall x A(x/c)}$ - left: $\frac{A, M \rightarrow N}{\exists x A(x/c), M \rightarrow N}$ - right: $\frac{M \rightarrow N, A(t/b)}{M \rightarrow N, \exists x A(x/b)}$ Cut: $\frac{M \rightarrow N, A \quad A, P \rightarrow Q}{M, P \rightarrow N, Q}$ A basic set $E$ is a set of atomic sequents that contains all sequents $A \rightarrow A$ for any atomic formula $A$. We say that $E$ is closed if, whenever $M \rightarrow N$ is in $E$ then $M(t/b) \rightarrow N(t/b)$ is also in $E$ for any term $t$ and free variable $b$. Let $E$ be some basic set. We shall say that a sequent $M \rightarrow N$ is $E$-valid if it can be obtained by a finite number of applications of the derivations rules starting with sequents in $E$. Hence $M \rightarrow N$ is $E$-valid if and only if it belongs to the smallest set that contains $E$ and is closed under the derivations rules. We shall say that $M \rightarrow N$ is strictly $E$-valid if it can be obtained from $E$ without using the cut rule. If $M \rightarrow N$ is $E$-valid there is a derivation from $E$ which can be described in a tree form as explained in [2, p. 106]. We call such tree an $E$-derivation tree. The notion of the height of a tree is used as in [2]. If the cut rule is not used in the derivation tree we say it is a strict $E$-derivation tree. Lemma 1. Let $E$ be closed and suppose there is a (strict) $E$-derivation tree for $M \rightarrow N$ of height $k$. Then, given a term $t$ and a variable $a$ there is a (strict) $E$-derivation for $M(t/a) \rightarrow N(t/a)$ of height $k$. The proof is by induction on $k$. In case of rules $\forall$ right and $\exists$ left the induction hypothesis allows changing the variables in the proof in such a way that the restrictions for those rules are satisfied. 3. We consider in this section the possibility of eliminating the cut rules in $E$-derivations. In general this is not possible but it is easy to show that the cut rule can be restricted to the elimination of atomic formulas. If $M$ is a sequence and $A$ is a formula then $M(A)$ denotes the sequence obtained by deleting in $M$ all components identical with $A$. The following rule can be obtained by means of the cut and expansion rules (where $A$ is any formula that appears as a component of both $N$ and $P$): \[ \text{Mix rule: } \frac{M \rightarrow N}{M, P(A) \rightarrow N(A), Q} \quad P \rightarrow Q \] Given a basic set $E$, we call $E^$ the smallest set that contains $E$ and is closed under the mix rule. Clearly $E^$ is also a basic set. If $E$ is closed then $E^$ is also closed. Theorem 1.* Let $E$ be a closed basic set and suppose $M \rightarrow N$ and $P \rightarrow Q$ are both strictly $E^$-valid. Assume $N < S$, $A$ and $P < T$, $A$ for sequences $S$ and $T$ and formula $A$. Then $M, T \rightarrow S, Q$ is also strictly $E^$-valid. This theorem is essentially the elimination of the cut rule for $E^$-derivations. Gentzen's proof of the Hauptsatz actually reduces the complex cases of the cut rule to elimination between axioms. In our system the closure property of $E^$ will take care of that situation. Hence it is clear that Gentzen's proof can be adapted to our theorem. We have chosen a formulation of the theorem which is very convenient in dealing with the different cases of the induction. We do not think it is necessary to consider these cases in detail since the ideas are the same as appear in the proofs of the Hauptsatz in [1] or [2], but we shall explain the kind of induction which is used in the proof. Let $k$ be the number of connectives and quantifiers in the formula $A$. Suppose there is a strict $E^$-derivation tree for $M \rightarrow N$ of height $m$ and another strict $E^$-derivation tree for $P \rightarrow Q$ of height $n$. Then we use a main induction on $k$ and a secondary induction on $m + n$. The cases $m = 1$ and $n = 1$ are covered by the closure property of $E^$. In the other cases it can be assumed that either $M \rightarrow N$ or $P \rightarrow Q$ is obtained in the tree by the application of some rule. Whenever the formula introduced in one of these rules is not $A$ the secondary induction hypothesis will be sufficient. If the formula $A$ is introduced in both rules then it is necessary to use the main induction hypothesis. Corollary.* Let $E$ be a closed basic set. Then, if $M \rightarrow N$ is $E^$-valid, it is also strictly $E^$-valid. Theorem 2. Let $E$ be a closed basic set. Then, the following conditions are equivalent: (i) $M \rightarrow N$ is $E$-valid (ii) $M \rightarrow N$ is strictly $E^$-valid (iii) there is some $E$-derivation for $M \rightarrow N$ in which for all applications of the cut rule the formula eliminated is atomic. If $M \rightarrow N$ is $E$-valid then it is also $E^$-valid, hence by the corollary to Theorem 1 it is strictly $E^$-valid. If $M \rightarrow N$ is strictly $E^$-valid then there is an $E^$-derivation in which the cut rule is not used. But any sequent which is not in $E$ but is in $E^$ can be obtained from $E$ by means of the mix rule, hence using the cut rule and expansions. In this way we obtain an $E$-derivation in which for all applications of the cut rule, the formula eliminated is atomic. That (iii) implies (i) is trivial. Remark. Let $E_0$ be the set of all atomic sequents of the form $A \rightarrow A$ where $A$ is an atomic formula. Then $E_0$ is closed and $E^_0 = E_0$. In this case Theorem 2 reduces to the ordinary Gentzen Hauptsatz. Theorem 3.* Let $E$ be a closed basic set and $M \rightarrow N$ an atomic sequent. Then $M \rightarrow N$ is $E$-valid if and only if it is the expansion of some sequent in $E^$. Suppose $M \rightarrow N$ is $E$-valid. Then by Theorem 2 there is a strict $E^$-derivation for $M \rightarrow N$. In this derivation the only rule that can be used is the expansion rule, hence $M \rightarrow N$ is the expansion of some sequent in $E^$. The converse is trivial. Corollary.* The empty sequent is $E$-valid if and only if $E^$ contains the empty sequent. For these results the condition that $E$ is closed is essential. For instance, consider the set $E$ that contains exactly two sequents: $\neg A$, and $A(t/b) \neg$, where $A$ is some atomic formula, $b$ is a variable that occurs in $A$ and $t$ is a term different from $b$. The empty sequent is $E$-valid, but $E^ = E$, and hence the empty sequent is not in $E^$. 4. We shall say that a basic set is consistent if the empty sequent is not $E$-valid. In this section we give a semantical characterization of such sets $E$ for the case when $E$ is closed. We know that in this case $E$ is consistent if and only if $E^$ does not contain the empty sequent. We shall consider assignments of truth values to the atomic formulas of the language. A given assignment satisfies a sequent $M \rightarrow N$ if either there is a component of $N$ that takes the value true, or there is a component of $M$ that takes the value false. Hence, the empty sequent is never satisfied. An assignment satisfies a basic set $E$ if it satisfies all the sequents in $E$. Hence, if $E$ is empty, then it is satisfied by all assignments. We say that an atomic sequent $M \rightarrow N$ is a consequence of the basic set $E$ if, whenever some assignment satisfies $E$ then it satisfies $M \rightarrow N$ also. A tautology is an atomic sequent which is satisfied by all assignments. It is clear that $M \rightarrow N$ is a tautology if and only if $M$ and $N$ have some common component. Theorem 4. Let $E$ be some basic set and $M \rightarrow N$ an atomic sequent. The following conditions are then equivalent: (i) $M \rightarrow N$ is a consequence of $E$. (ii) $M \rightarrow N$ is an expansion of some sequent in $E^$. It is clear that (ii) implies (i). To prove the converse note that if $M \rightarrow N$ is a tautology then it is an expansion of some sequent in $E$, since $E$ is a basic set. So we assume that $M \rightarrow N$ is not a tautology and is not an expansion of some sequent in $E^$ and prove that $M \rightarrow N$ is not a consequence of $E$. Let $A_1, A_2, \ldots$ be an enumeration without repetitions of all atomic formulas in the language excluding those that are components of $M$ or $N$. We define a complete string as an infinite sequence of sequents: $M_0 \rightarrow N_0, M_1 \rightarrow N_1, \ldots$ such that $M_0 \rightarrow N_0$ is $M \rightarrow N$ and $M_{k+1} \rightarrow N_{k+1}$ is either $A_k, M_k \rightarrow N_k$ or $M_k \rightarrow N_k, A_k$, for $k = 0, 1, \ldots$. If both $A_k, M_k \rightarrow N_k$ and $M_k \rightarrow N_k, A_k$ are expansions of some sequent in $E^$ then $M_k \rightarrow N_k$ is also an expansion of some sequent in $E^$. Hence there is one complete string with the property that no sequent in the string is the expansion of some sequent in $E^$. Let $L$ be one such complete string. It is clear that every atomic formula appears as a component in some sequent of $L$. Since $M \rightarrow N$ is not a tautology there is no atomic formula that appears as a component both in the left and the right side of some sequent of $L$. Hence, we use $L$ to define the following assignment of truth values: an atomic formula which is a component in the left side of some sequent in $L$ takes the value true and any atomic formula appearing as component in the right takes the value false. This assignment satisfies all sequents in $E^$, for if some sequent is not satisfied this means that after some step all sequents in the complete string are expansions of such a sequent. Since $M \rightarrow N$ is not satisfied by the assignment it follows that it is not a consequence of $E$. Corollary. $E^$ does not contain the empty sequent if and only if there is some assignment that satisfies $E$. Theorem 5.* Let $E$ be closed. Then, $E$ is consistent if and only if it is satisfiable by some assignment. Remark. If $T$ is a theory with equality in which all the axioms are universal sentences, then there is a closed basic set $E$ such that for any formula $A$, $A$ is a theorem of $T$ if and only if $A$ is $E$-valid. For instance, suppose a language is given with just one unary function letter $f$ and a binary predicate letter $R$ and the only axiom is the formula: $$\forall x \forall y (R(x, f(y)) \equiv (R(x, y) \lor x = y))$$ Then, $E$ consists of all sequents of the following form for arbitrary terms $t$, $h$, $g$, $t_1$, $t_2$, $h_1$, $h_2$: $$R(t, f(h)) \rightarrow R(t, h), \ t = h$$ $$R(t, h) \rightarrow R(t, f(h))$$ $$t = h \rightarrow R(t, f(h))$$ $$\rightarrow t = t$$ $$t = h \rightarrow h = t$$ $$t = h, \ h = g \rightarrow t = g$$ $$t = h \rightarrow f(t) = f(h)$$ $$R(t_1, h_1), \ t_1 = t_2, \ h_1 = h_2 \rightarrow R(t_2, h_2)$$ For theories in which not all axioms are universal sentences it is necessary to eliminate the existential quantifiers by the use of Skolem functions to get a similar basic set $E$. REFERENCES [1] Curry, H. B., Foundations of Mathematical Logic, McGraw-Hill, New York (1963). [2] Kleene, S. C., Introduction to Metamathematics, Van Nostrand, Princeton, New Jersey (1950).
Production of /st/ Clusters in Trochaic and Iambic Contexts by Typically Developing Children Joanne Arciuli and Sharynne McLeod University of Sydney, Australia and Charles Sturt University, Australia E-mail: email@example.com Abstract English has variable lexical stress - disyllables can exhibit either a trochaic pattern of lexical stress ('ZEbra') or an iambic pattern ('girAFFE'). The majority of English disyllables have trochaic stress and children are sensitive to this statistical property of the language. However, an iambic pattern of stress becomes more apparent in language input with increasing age and, thus, it could be argued that increasing vocabulary knowledge may assist in accommodating both trochaic and iambic patterns in English. A recent study by Sokol by Fey [1] examined singleton consonant production in unstressed syllables in trochaic vs. nontrochaic contexts in 8 typically developing 28-32 month-old children. Their analyses revealed more accurate production in trochaic contexts. The current study differs from Sokol and Fey's study in examining the consonant cluster /st/ with a larger sample of 70 typically developing children from 7-10 years and by including of a vocabulary test. Our results demonstrate: (1) accuracy of production of the /st/ cluster is moderated by lexical stress, (2) these effects are seen in children as old as 10 years of age, and (3) the lack of age effects might be due to the fact that our did not exhibit significant differences in vocabulary knowledge. 1 Introduction The opposition of stressed and unstressed syllables within individual words, termed lexical stress, is a fundamental distinction in English. English has variable lexical stress and disyllables can exhibit a trochaic pattern of lexical stress (strong-weak – 'ZEbra') or an iambic pattern of lexical stress (or weak-strong – 'girAFFE'). The majority of English disyllables exhibit a trochaic pattern of stress and it is known that children are sensitive to this statistical property of the language [2]. It has been suggested that, in English, the trochee may function as a kind of metrical template that guides phonological development [3,4]. Certainly, young children do appear to omit unstressed (or ‘weak’) syllables that fall outside the trochee pattern (e.g., a child might omit the unstressed syllable in ‘banana’ or ‘tomato’ and instead pronounce just ‘nana’ or ‘mato’). Adults do not make these mistakes so it seems clear that at some point children learn to produce words that vary from this pattern. Recent research provides important information that helps us to understand the gap between children’s preference for the trochee and adult mastery of iambically stressed words. Perhaps the gap is bridged by virtue of statistical patterns in the very language that people are exposed to over their years. It has now been empirically demonstrated by Monaghan, Arciuli and Seva that an iambic pattern of stress becomes more apparent in language with increasing age [5]. Specifically, Monaghan et al. examined a database of age-based English reading materials for children aged 5-12 years and found that the percentage of iambically stressed disyllabic word increases from 11.94% in the reading materials of 5/6 year olds up to 16.41% in the reading materials of 11/12 year olds (and, remember, much of children’s reading is, in fact, reading aloud). The dominant pattern of trochaic stress remains throughout these elementary years (at least in terms of children’s reading materials). However, there is clearly an increase in the proportion of iambically stressed words that children are exposed to as they get older. Interestingly, the total number of disyllabic words in these age-appropriate reading materials increased from 3743 for the 5/6 year olds up to 5833 for the 11/12 year olds. Thus, it could be hypothesised that increasing vocabulary knowledge may assist children to accommodate both trochaic and iambic patterns in English their speech production. There is a growing body of research examining stress assignment mechanisms in children. However, much of the research has examined syllable truncation and preservation and stress shift [6]. Very little is known about how lexical stress does or does not affect the production of particular phonemes, in particular, the production of consonants. This is perhaps because it is known that, in English, vowels have a close relationship to stress, and, it has often been assumed, a closer relationship to stress than consonants. However, research has shown that consonants carry stress information [7]. Recently, Sokol and Fey (2006) reported a study of singleton consonant production in unstressed syllables of trochaic vs. nontrochaic contexts in 8 typically developing 28-32 month-old children. Their analyses revealed more accurate production in trochaic than nontrochaic contexts. This appears to be in line with the view that very young children might be guided by a trochaic pattern of lexical stress in that segmental productions in their unstressed syllables are more accurate when preceded by a strong syllable. The current study differs from Sokol and Fey’s study in its examination of consonant cluster production, in particular production of /st/, its focus on a range of older primary-school-aged children and the inclusion of a measure of vocabulary knowledge (PPVT). In terms of research on children’s speech production processes most previous research concerning acquisition processes has focused on individual consonants. There has been limited investigation of the production of consonant clusters despite these being very common in English. Regardless of the prevalence of consonant clusters in English research has shown that their acquisition is slow in even typically developing children. While some very young children can produce consonant clusters correctly some older children of around 9 years of age may still be mastering production of consonant clusters [8]. A recent study conducted by McLeod and Arciuli [9] examined 74 typically developing children aged 5-12 years and found the average age of mastery of consonant cluster production in monosyllables to be younger than Smit et al. (1990). With regard to particular clusters, the study showed that the /st/ cluster was accurately produced 97.4% of the time. Thus, we chose a cluster without a strikingly low or high level of difficulty. All the cluster studies mentioned above examined consonant cluster production in monosyllables where there is no stress variation. As mentioned earlier, Sokol and Fey did look at the effect of stress context but only in terms of singleton consonant production. To our knowledge, there has been no previous study that has examined the effect of lexical stress placement on consonant cluster production in typically developing English-speaking children. Here, we examined production of the /st/ cluster in stressed and unstressed syllables of trochaically and iambically stressed nonsense words that conformed to the phonotactic rules of English – in a large sample of typically developing children from age 7-10 years. We expected that consonant cluster production would be more accurate in stressed syllables. We hypothesised that accuracy of consonant cluster production (especially in unstressed syllables) might increase with age – perhaps in line with vocabulary growth (which presumably results in increased exposure to iambically stressed words). We chose to use imitation to elicit productions and to construct nonsense words after a search revealed that it would be impossible to select an equal number of real words that containing the /st/ cluster in initial vs. final syllable position and with trochaic vs. iambic stress patterns (i.e., 4 conditions). This is in line with the methods used by Sokol and Fey. 2 Method Participants Seventy typically developing children aged 7-10 years were participants in this research: 7 years (n=20), 8 years (n=18), 9 years (n=15) and 10 years (n=17). Participants were recruited from primary schools in the Western Sydney – Central West region of NSW, Australia. According to their teacher/parent, each of the participants were reported to have no speech difficulties (e.g., they had not received speech therapy), no hearing difficulties, or any other disabilities. They were reported as being ‘typical’ of their age group on cognitive tasks such reading. Stimuli There were four conditions containing 6 disyllabic items each: nonsense words with initial /st/ and a trochaic pattern of lexical stress ('STUven'), nonsense words with initial /st/ and an iambic pattern of lexical stress ('stavENE'), nonsense words with final /st/ and trochaic pattern of lexical stress ('TAMist'), and, nonsense words with final /st/ and an iambic pattern of lexical stress ('reEEST'). The average length of items in terms of number of phonemes was the same across conditions (6 phonemes). There were no other consonant clusters present in 23 of the 24 nonsense words (exception was 'STAdent' which also contained a word-final cluster). All items were recorded by a female speaker of Australian English and verified by a second person as having the intended stress assignment. Two list orders were created and half the children received one order while the other half received the alternative order. Procedure Children were tested individually in a quiet room. They were simply asked to listen to the recorded nonsense words and imitate each one. They were also given the Peabody Picture Vocabulary Test (4th Edition) (PPVT-IV) that is a test of vocabulary knowledge. Scoring Here, we report the productions of the /st/ clusters only. We utilised a dichotomous scale (accurate/not accurate), including all substitutions, deletions and distortions as errors. Scoring was conducted on the basis of perception (in accordance with native Australian English). ### 3 Results We conducted a 2 (stress pattern: trochaic vs. iambic) x 2 (position: initial vs. final) x 4 (age) ANOVA with stress pattern and position as repeated measures and age as a between subjects measure. The results revealed only one significant effect – a significant interaction between stress pattern and position $(F(1.66) = 17.31, p < .0001)$. Follow-up t-tests confirmed that regardless of age, participants produced /st/ clusters more accurately in initial position when in a trochaic context vs. an iambic context (93.26% vs. 86.83%, $t(69) = 2.98, p = .004$) and in final position when in an iambic context vs. a trochaic context (94.7% vs. 89.17%, $t(69) = -3.47, p = .001$). We also assessed the vocabulary of our participants using the PPVT-IV. A one-way ANOVA with age as a non-repeated measure with four levels (7, 8, 9, 10 years) revealed no significant difference in vocabulary knowledge amongst participants of different ages $(F < 1)$. ### 4 Discussion There is a growing interest in stress assignment mechanisms in children. To date, investigations have primarily focused on syllable truncation/preservation and stress shift. Much less attention has been paid to whether lexical stress affects the production of particular phonemes – especially consonants and consonant clusters. This is not to say that the production of consonants in singleton and cluster contexts has not been widely investigated. However, it is true that their production has usually been examined in monosyllabic utterances [10]. As mentioned earlier, Sokol and Fey did look at the effect of stress pattern but only in terms of singleton consonant production. Their results showed that singleton production in unstressed syllables was more accurate in trochaic contexts. To our knowledge, there has been no previous study that has examined the effect of lexical stress on the accuracy of consonant cluster production in typically developing English-speaking children. In the current study, we examined production of the /st/ cluster in both stressed and unstressed syllables of trochaically and iambically stressed disyllabic nonsense words – by eliciting imitations from a large sample of typically developing children aged 7-10 years. Broadly speaking, our results revealed three findings: (1) the accuracy of production of the /st/ cluster is moderated by lexical stress, (2) these effects can be seen in typically developing children as old as 10 years of age and (3) the lack of age effects might be due to the fact that our participants representing the four age groupings did not exhibit significant differences in vocabulary knowledge. Specifically, our results showed that the highest accuracy rates were seen in stressed syllables regardless of whether those stressed syllables appeared in a trochaic or an iambic context (93.26% and 94.7% respectively). A more direct comparison with Sokol and Fey’s analysis is the comparison of production accuracy in unstressed syllables in trochaic vs. iambic contexts. Here, our study revealed similar accuracy rates of 89.17% and 86.83% respectively. Thus, taken together the results we have reported do suggest that stress pattern affects production accuracy of the /st/ cluster (in that they perform better in stressed syllables), however, by 7 years of age children appear to be able to produce the consonant cluster /st/ in stressed syllables no matter whether those stressed syllables are in trochaic or iambic contexts. We had expected a more gradual developmental trajectory in line with the stress patterns that children are exposed to in disyllables they are exposed to in language (at least in terms of their reading materials) but, then again, our children did not appear to differ in terms of vocabulary knowledge. Future research might extend this topic of investigation production by older children, adolescents and adults. It would also be valuable to compare consonant cluster production accuracy rates in spontaneous productions vs. imitation. Here, we only examined imitation because we found it difficult to construct the necessary four conditions using the /st/ cluster in real words (real words are easier to utilise in a spontaneous production design). Other consonant clusters might be easier to work with in an orthogonal design using real word stimuli. Moreover, comparison of production of various consonant clusters is another interesting avenue for research in order to address the question of whether the results we report here are in some way unique to the /st/ cluster – though we think this unlikely. Finally, if such real word stimuli using a variety of clusters and in spontaneous vs. imitation conditions can be designed, it would be interesting to examine the impact of other lexical variables such as word frequency. 5 Acknowledgment This research was supported by an Australian Research Council grant awarded to the first author (LX0775703). 6 References [1] Sokol, S., & Fey, M. (2006). Production of ‘sh’ in trochaic and nontrochaic weak contexts. Clinical Linguistics and Phonetics, 20(9), 677-689 [2] Jusczyk, P., Cutler, A., & Redanz, N. (1993). Infants’ preferences for the predominant stress pattern of English words. Child Development, 64, 675-687. [3] Gerken, L. (1994a). A metrical template account of children’s weak syllable omissions from multisyllabic words. Journal of Child Language, 21, 565-584. [4] Gerken, L. (1994b). Young children’s representation of prosodic phonology: Evidence from English-speakers’ weak syllable productions. Journal of Memory and Language, 33, 19-33. [5] Monaghan, P., Arciuli, J., & Seva, N. (2008). Constraints for computational models of reading: Evidence from learning lexical stress. Proceedings of the Cognitive Science Conference, Washington, USA. [6] Kehoe, M. (2001). Prosodic patterns in children’s multisyllabic word productions. Language, Speech, and Hearing Services in Schools, 32(4), 284-294. [7] Van Dalen, R., Wiggers, P., & Rothkrantz, L. (2005). Modelling lexical stress. In Lecture Notes in Artificial Intelligence, 3658, 211-218. [8] Smit, A. B., Hand, L., Freilinger, I. J., Bernthal, J. E., & Bird, A. (1990). The Iowa articulation norms project and its Nebraska replication. Journal of Speech and Hearing Disorders, 55, 779-798. [9] McLeod, S., & Arciuli, J. (in preparation). School-aged children’s production of /s/ and /t/ consonant clusters. [10] James, D. G. H., van Doorn, J., & McLeod, S. (2008). The contribution of polysyllabic words in clinical decision making about children’s speech. Clinical Linguistics and Phonetics 22(4), 345-353.
Transfer of Tn925 and Plasmids between Bacillus subtilis and Alkaliphilic Bacillus firmus OF4 during Tn925-Mediated Conjugation ARTHUR A. GUFFANTI, PHILIP G. QUIRK, AND TERRY A. KRULWICH* Department of Biochemistry, Mount Sinai School of Medicine of City University of New York, New York, New York 10029 Received 26 July 1990/Accepted 12 December 1990 Conjugative transposon Tn925 was transferred to alkaliphilic Bacillus firmus OF4 during mating experiments, as monitored by the acquisition of tetracycline resistance at pH 7.5 and confirmed by Southern analysis of chromosomal DNA from transconjugants. Tetracycline resistance could not be demonstrated at pH 10.5, but transconjugants acquired the resistance upon growth at pH 7.5 after having grown for several generations at pH 10.5. When the Bacillus subtilis donor strain contained plasmid pUB110 or pT7, in addition to Tn925, transfer of the plasmid to the alkaliphile occurred during conjugation, either together with or independently of the transfer of the transposon. The plasmids were stable in B. firmus OF4, expressing their resistance markers for kanamycin or chloramphenicol at pH 7.5 after growth of the transformants at high pH. Transconjugant B. firmus OF4, which carried Tn925, could serve as the donor in mating experiments with B. subtilis lacking the transposon. These studies establish a basis for initiation of genetic studies in this alkaliphilic Bacillus species, including the introduction of cloned genes and the use of transposon-mediated insertional mutagenesis. Alkaliphilic Bacillus species are of both bioenergetic and biotechnological interest (10, 13). The most extensively studied species are obligate aerobes that grow optimally at pHs in the range of 10 to 11 on either sugars or nonfermentative carbon sources. Because various alkaliphiles produce extracellular enzymes that are stable under unusually alkaline conditions, efforts have been successfully mounted to express the genes encoding these potentially useful enzymes in Escherichia coli (10, 13). By contrast, the development of procedures for transforming DNA to alkaliphiles, and hence via an associated molecular biology program for the exploration of these organisms, have lagged behind. There was one report of a lytic bacteriophage (11) and of an endogenous plasmid from one alkaliphilic strain (18). Recently, Kudo et al. (14) reported plasmid transformation of a facultative alkaliphile by a protoplast polyethylene glycol method. With our alkaliphilic strain, however, this precise protocol and several variations of it did not prove effective. With this modest background in mind, we recently undertook a substantial effort to develop molecular approaches to the facultatively alkaliphilic species Bacillus firmus OF4. The choice of this particular strain was based on its ability to grow at nearly neutral as well as extremely alkaline pH (7), extensive available data on its major bioenergetic properties (13), the availability of mutant derivatives with at least one auxotrophic and/or antibiotic resistance marker (3), and successful experience in cloning the genes encoding the F₁F₀ ATPase from it and its obligately alkaliphilic homolog (12). Initial efforts to establish gene transfer approaches to B. firmus OF4 included attempts to isolate bacteriophages from soil samples that had been enriched with the organism and attempts to achieve transformation with plasmids into Bacillus subtilis by electroporation. No bacteriophage have yet been isolated for B. firmus OF4. Electroporation of this strain with several different plasmids under a large variety of experimental conditions at nearly neutral pH resulted in only very low frequencies of transformation. Only with one plasmid, pUB110, were transformants observed in over one-third of apparently replicate experiments. Kanamycin-resistant transformants obtained from such experiments could be shown to express the resistance marker and harbor the plasmid after growth at pH 10.5; plasmids isolated from such transformants showed a restriction pattern identical to that of the initial pUB110 and actively transformed both B. subtilis and B. firmus OF4. However, the frequencies of transformation of the alkaliphile were still too low to be useful until the development of a more efficient vector and no obvious vehicle for transposon mutagenesis emerged from these studies (8). Recently, therefore, we turned to a conjugative transposon that has mobilized its own transfer from Enterococcus faecalis to other gram-positive organisms and has facilitated plasmid transfer during transposon-mediated conjugation in species of Bacillus (2) and Lactobacillus (19). We here report that Tn925-mediated conjugation allows the transfer of the transposon from B. subtilis to alkaliphilic B. firmus OF4 and that plasmids can be delivered during this conjugation event either together with or independently of the transfer of Tn925. MATERIALS AND METHODS Bacterial strains, plasmids, and growth conditions. The bacterial strains and plasmids used in this study are listed in Table 1. For experiments in which the alkaliphilic property of transconjugant strains was verified or in which the stability of genetic markers after growth at high pH was probed, facultatively alkaliphilic B. firmus OF4811M was grown at pH 10.5 on the D, l-malate-containing medium that we have routinely employed for the growth of alkaliphiles (9). B. subtilis is the donor strain in most experiments and cannot grow at pH 10.5. For the mating experiments, B. firmus OF4811M and the strains of B. subtilis were grown in MMB medium (2) adjusted to pH 7.5 with NaOH. Selective agar plates for determination of transposon or plasmid transfer to B. firmus OF4811M from B. subtilis contained the following medium: TABLE 1. Bacterial strains, plasmids, and transposons used in this study \| Strain or plasmid \| Genetic markers \| Plasmid content \| Reference or source \| \|-------------------\|-----------------\|-----------------\|---------------------\| \| Bacteria \| \| \| \| \| B. firmus OF4811M \| met Str<sup>r</sup> \| None \| 3 \| \| B. subtilis \| \| \| \| \| CU4050 \| trpC2 Tet<sup>r</sup> (Tn925) \| None \| S. Zahler \| \| CU4353 \| trpC2 Tet<sup>r</sup> (Tn925) \| None \| S. Zahler \| \| MS4060 \| trpC2 Tet<sup>r</sup> Kan<sup>r</sup> (Tn925) \| pUB110 \| This study \| \| MS4071 \| trpC2 Tet<sup>r</sup> Cam<sup>r</sup> (Tn925) \| pTV1 \| This study \| \| BD99 \| trp thr his \| None \| A. Garro \| \| CU1065 \| trpC2 \| None \| S. Zahler \| \| MS1066 \| trpC2 \| pUB110 \| This study \| \| MS1067 \| trpC2 \| pTV1 \| This study \| \| Plasmid pCF10 \| Tet<sup>r</sup> (Tn925) \| G. Dunny \| 50 mM D,L-malate, 95 mM Na<sub>2</sub>HPO<sub>4</sub>, 5 mM KH<sub>2</sub>PO<sub>4</sub>, 0.1% (wt/vol) (NH<sub>4</sub>)<sub>2</sub>SO<sub>4</sub>, 0.1 mM MgSO<sub>4</sub>, 0.05% Casamino Acids, 100 μg of L-methionine per ml, 0.1% trace salts (9), 0.02% yeast extract, and 1.5% agar. Antibiotics were added to the following final concentrations where indicated: 5 μg of chloramphenicol per ml, 10 μg of kanamycin per ml, and 2 μg of tetracycline per ml. On this medium, the donor strain formed only a light lawn because of the low levels of tryptophan, and the B. firmus OF4 transconjugants were discrete yellowish colonies on that lawn. Once isolated as single colonies by streaking on pH 7.5 agar plates without antibiotics, the putative transconjugants of B. firmus OF4811M were checked for their ability to grow in antibiotics on pH 7.5 plates; this second screening employed plates with higher yeast extract content (0.1%), since suppression of the donor strain was no longer relevant, and lower concentrations of antibiotics (i.e., 0.1 μg of tetracycline per ml, 0.5 μg of chloramphenicol per ml, or 0.2 μg of kanamycin per ml). The wild-type B. firmus OF4811M was found to be sensitive to very low concentrations of antibiotics relative to B. subtilis, so that once the donor B. subtilis was no longer present, the concentrations of antibiotics used in the second of the two mating mix were too high to allow growth of the transconjugants. Presumably, during the initial plating of the mating mixture, the lawn of antibiotic-resistant donor lowered the effective concentration of antibiotic in the plates so that the transconjugants could grow. The lowered antibiotic concentrations in the second screening medium allowed growth of transconjugants of the alkaliphile, while still being considerably in excess of the concentration required to completely inhibit growth of the alkaliphile parent strain. Preparation of plasmids, chromosomal DNA, and Southern analysis. Chromosomal DNA was isolated and purified by the method of Marmur (15), and plasmids were prepared by the method of Guerry et al. (6). For Southern analysis (17), pCF10, an Enterococcus plasmid carrying Tn925 (1), was labeled by random primer extension (5) and used as the probe for hybridization (16) with HindIII-digested chromosomal DNA preparations from B. subtilis and B. firmus OF4 strains. Transformation and conjugation procedures. For introduction of plasmids into the donor strain B. subtilis CU4050 or the isogenic strain CU1065 without Tn925, the strains were first grown to competence and then transformed with the desired plasmid as described by Dubnau and Davidoff-Abelson (4). Transfer of Tn925 and/or plasmids between B. subtilis and B. firmus OF4811M was achieved by using the broth mating procedure of Christie et al. (2). Overnight cultures (2 ml) of donor and recipient were each diluted 1:1 with fresh MMB medium (pH 7.5). After incubation for 2 h at 30°C, 200 μl of donor suspension and 2 ml of recipient suspension were combined and incubated for another 4 h and then plated onto antibiotic selective medium. RESULTS *Transfer of tetracycline resistance between B. subtilis* and B. firmus OF4811M during conjugation.** Upon mating with B. subtilis CU4050, tetracycline-resistant transconjugants of B. firmus OF4811M were observed. The identity of the transconjugants was confirmed by growth of these strains at pH 10.5 (at which tetracycline resistance is not demonstrable) and their retention of the resistance marker upon replating at pH 7.5. Use of the B. firmus OF4811M strain made it possible to additionally check the two markers carried by that strain, so that the identity of the transconjugants could also be confirmed without plating at pH 10.5. This would be important in experiments in which transpositions that lead to loss of the capacity for alkaliphilism were sought. The B. firmus OF4811M transconjugants still required tryptophane. The frequency of appearance of tetracycline-resistant transconjugants was unaffected by inclusion of 50 μg of DNase per ml in the mating mixture. Neither the mixture filtrate nor the donor that did not harbor Tn925 could substitute for the B. subtilis donor that contained the conjugal transposon. When one of the tetracycline-resistant transconjugants was used as the donor in a mating experiment, with a strain of B. subtilis lacking the transposon used as the recipient, tetracycline-resistant transconjugants of B. subtilis arose that still required tryptophan. It thus appeared that Tn925-mediated conjugation between the two Bacillus species could occur in either direction. The tetracycline resistance marker was transferred to B. firmus OF4811M from either CU4050 or a transformant thereof, MS4071, that also contained pTV1 at a frequency of approximately 6.5 × 10<sup>-7</sup> per donor and 3.5 × 10<sup>-7</sup> per recipient. The equivalent values for strain CU4050 were 5.6 × 10<sup>-7</sup> and 2.7 × 10<sup>-7</sup>, respectively. To verify that transfer of the resistance marker represented transfer to and transposition in the recipient by Tn925, chromosomal DNA from two transconjugants of B. firmus OF4811M was subjected to Southern analysis with the Tn925-containing plasmid pCF10 as the probe. The plasmid itself, cut with HindIII, exhibited FIG. 1. Southern transfer analysis of chromosomal DNA of transconjugants of B. firmus OF4811M. Radiolabeled pCF10 was used to probe blots from an electrophoretic separation of fragments from HindIII digests of the following samples (lanes): 1, pCF10; 2, B. subtilis BD99; 3 and 4, B. subtilis CU4050 grown with and without tetracycline, respectively; 5, B. firmus OF4811M; 6, B. firmus OF4811M transconjugant from a mating with B. subtilis CU4353; 7, B. firmus OF4811M transconjugant from a mating with B. subtilis CU4050; 8, lambda standards. TABLE 2. Transfer of plasmids during Tn925-mediated conjugation \| B. subtilis donor \| No. of transconjugants per B. firmus OF4811M recipient \| \|---------------------\|--------------------------------------------------------\| \| \| Tet<sup>r</sup> \| Cam<sup>r</sup> \| Cam<sup>r</sup>Tet<sup>r</sup> \| Kan<sup>r</sup> \| Kan<sup>r</sup>Tet<sup>r</sup> \| \| MS4071<sup>a</sup> \| 1.8 × 10<sup>-7</sup> \| 1.5 × 10<sup>-8</sup> \| 1.7 × 10<sup>-7</sup> \| \| \| \| MS4060<sup>b</sup> \| 9 × 10<sup>-8</sup> \| \| \| 1 × 10<sup>-8</sup> \| 7 × 10<sup>-8</sup> \| <sup>a</sup> The first selection was for Tet<sup>r</sup> or Cam<sup>r</sup>. At least 100 colonies of each type were then tested for resistance to the other antibiotic marker to yield Cam<sup>r</sup>Tet<sup>r</sup> frequency. The frequency of resistance to the second marker (Tet<sup>r</sup> or Cam<sup>r</sup>) was calculated by dividing the number of original Tet<sup>r</sup> or Cam<sup>r</sup> colonies that were not resistant to the other antibiotic. <sup>b</sup> The first selection was for Tet<sup>r</sup> or Kan<sup>r</sup>, and frequencies of Tet<sup>r</sup> alone, Kan<sup>r</sup> alone, and Tet<sup>r</sup> and Kan<sup>r</sup> together were calculated as for strain MS4071. DISCUSSION The results presented here demonstrate that the conjugative transposon Tn925 is capable of mobilizing its own transfer between B. subtilis and B. firmus OF4. The transposon is integrated into the alkaliophile resistant chromosome, and there is stable and capable of conferring tetracycline resistance at pH 7.5 even after growth of the transconjugants at pH 10.5. During the mating event, recipient alkaliophile cells can also acquire plasmids contained in the donor strain. Since approximately 10% of the transconjugants in such a mating receive the plasmid without the conjugative transposon, the transfer of the plasmid does not appear to depend upon any intermediate form involving the transposon. Plasmid transfer is, however, clearly dependent upon the conjugative transposon Tn925, as has been observed for transfer of plasmids from one B. subtilis strain to another during conjugation (20). Although the frequencies of conjugal transfer of Tn925 and/or plasmids in these experiments were not extremely high, they were sufficient to offer a viable option for introduction of useful transposons and cloning vectors into the alkaliophile. The exquisite sensitivity of B. firmus OF4 strains to at least some antibiotics and the difficulty in achieving reproducible expression of some resistant markers are notable but should not impede progress toward genetic manipulation of this organism with the general approach developed here. ACKNOWLEDGMENTS We are grateful to David Dubnau and Stanley Zahler for their counsel and their generosity in providing useful plasmids and transposons. Mary Dunny is also gratefully acknowledged for providing pCF10 for use as a probe for Tn925. This work was supported by grant DCB8919510 from the National Science Foundation. REFERENCES 1. Christie, P. J., and G. M. Dunny. 1986. Identification of regions of the Streptococcus faecalis plasmid pCE-10 that encode antibiotic resistance and pheromone response functions. Plasmid 15:230–241. 2. Christie, P. J., R. Z. Korman, S. A. Zahler, J. C. Adsit, and G. M. Dunny. 1987. A conjugal transfer system associated with Streptococcus faecalis plasmid pCF10. Identification of a conjugative transposon that transfers between S. faecalis and Bacillus subtilis. J. Bacteriol. 169:2529–2536. 3. Clejan, S., A. A. Guffanti, M. A. Cohen, and T. A. Krulwich. 1989. Mutation of Bacillus firmus OF4 to duramycin resistance results in substantial replacement of membrane lipid phosphatidylethanolamine by its plasmalogen form. J. Bacteriol. 171:1744–1746. 4. Dubnau, D., and R. Davidoff-Abelson. 1971. Fate of transforming DNA following uptake by competent Bacillus subtilis. I. Formation and properties of the donor-recipient complex. J. Mol. Biol. 56:209–223. 5. Feinberg, A. P., and B. Vogelstein. 1983. A technique for radiolabeling DNA restriction fragments to high specific activity. Anal. Biochem. 132:6–13. 6. Guerry, P., D. J. Leblanc, and S. Falkow. 1973. General method for the isolation of plasmid deoxyribonucleic acid. J. Bacteriol. 116:1008–1011. 7. Guffanti, A. A., O. Finkelthal, D. B. Hicks, L. Falk, A. Sidhu, A. Garro, and T. A. Krulwich. 1986. Isolation and characterization of new facultatively alkaliphilic strains of Bacillus. J. Bacteriol. 167:766–773. 8. Guffanti, A. A., P. Quirk, and T. Krulwich. Unpublished data. 9. Guffanti, A. A., P. Susmann, R. Blanco, and T. A. Krulwich. 1978. The proton motive force and α-aminoisobutyric acid transport in an obligately alkaliphilic bacterium. J. Biol. Chem. 253:708–715. 10. Horikoshi, K. 1988. Genetic applications of alkaliphilic microorganisms, p. 297–315. In R. A. Herbert and G. A. Cold (ed.), Microbes in extreme environments. Academic Press, Inc. (London), Ltd., London. 11. Horikoshi, K., and Y. Yonezawa. 1978. A bacteriophage active on an alkalophilic Bacillus sp. J. Gen. Virol. 39:183–185. 12. Ivey, D. M., and T. A. Krulwich. 1990. Sequence of the gene encoding the ATP synthase beta subunit from alkaliphilic Bacillus firmus RAB. Nucleic Acids Res. 18:1296. 13. Krulwich, T. A., and A. A. Guffanti. 1989. Alkalophilic bacteria. Annu. Rev. Microbiol. 43:435–463. 14. Kudo, T., H. Hino, M. Kitada, and K. Horikoshi. 1990. DNA sequences required for the alkalophily of Bacillus sp. strain C-125 are located close together on its chromosomal DNA. J. Bacteriol. 172:7282–7283. 15. Marmur, J. 1961. A procedure for the isolation of deoxyribonucleic acid from microorganisms. J. Mol. Biol. 3:208–218. 16. Meinkoth, J., and D. Wahl. 1984. Hybridization of nucleic acids immobilized on solid supports. Anal. Biochem. 138:267–284. 17. Southern, E. M. 1975. Detection of specific sequences among DNA fragments separated by gel electrophoresis. J. Mol. Biol. 98:503–517. 18. Usami, R., H. Honda, T. Kudo, H. Hirokawa, and K. Horikoshi. 1983. Plasmids in alkalophilic Bacillus sp. Agric. Biol. Chem. 47:2101–2102. 19. van der Leij, D., H. A. B. Wosten, S. Bron, L. Oskam, and G. Verbrugge. 1990. Conjugal mobilization of streptococcal plasmid pMV158 between strains of Lactococcus lactis subsp. lactis. J. Bacteriol. 172:47–52. 20. Zahler, S. A. Personal communication.
Comments on “A new look at low-energy nuclear reaction research” Kirk L. Shanahan* Received 20th January 2010, Accepted 28th April 2010 DOI: 10.1039/c001299h Cold fusion researchers have accumulated a large body of anomalous results over the last 20 years that they claim proves a new, mysterious nuclear reaction is active in systems they study. Krivit and Marwan (J. Environ. Monit., 2009, 11, 1731) give a brief and wholly positive view of this body of research. Unfortunately, cold fusion researchers routinely ignore conventional explanations of their observations, and claim much greater than the real accuracy and precision for their techniques. This paper attempts to equally briefly address those aspects of the field with the intent of providing a balanced view of the field, and to establish some criteria for subsequent publications in this arena. Introduction Krivit and Marwan\textsuperscript{1} (referred to hereafter as ‘K&M’) present a wholly positive view of so called low energy nuclear reactions (LENR) research. The history of LENR research, more commonly known as cold fusion research, is dominated by one prevailing fact, irreproducibility. From the very beginning, this has caused consternation and frustration in all those who have attempted to research and/or study the field. In the ‘hard’ sciences like chemistry and physics, which is the arena wherein cold fusion plays, no significant scientific progress can ever be made without reproducibility. However, K&M gloss over this problem while attempting to promote the idea that significant progress \textit{has} been made. While some limited progress has been made in the 20 years since cold fusion was first announced, seemingly by simple trial and error methodologies, in general the only thing that has actually occurred is a mutating diversification of what was once the simple Fleischmann and Pons (F&P) electrochemical experiment. Thus K&M provide lists of experimental methods, triggering methods, and effects and products. Unfortunately, simply providing lists of anomalies without providing compelling reasoning to interconnect these methods and results is a logical flaw. Anomalous results are typical occurrences in scientific research. Without knowing why each individual anomaly occurred, \textit{i.e.}, without knowing, or at least postulating, the cause of the anomaly, it is impossible to relate that anomaly to any other anomaly by anything other than coincidence. And certainly, one must resolve causes before anomalies can be used as proof of any thesis. The process of resolving anomalies is what science is all about, since all known processes and effects began as ‘anomalies’ or unexplained observations to the researcher of that time. In the case of K&M’s lists, conventional explanations are readily brought up that have the potential to explain how the anomalous event(s) occurred. But K&M do not bring any of these to light, instead focusing on the presumed nuclear explanation favored by cold fusion researchers, who also generically fail to consider conventional explanations adequately. The only appropriate way to discuss the methods and results presented by K&M is individually. However, this produces an excessively long article if attempted to completeness, and this author is not skilled enough in many of the areas needed to address the complete listings. Therefore, we here will address some selected areas in detail, some we will comment on in passing, and others we will not address, all the while attempting to limit the length of this paper, which necessarily may not bring out all the details the reader may have preferred to see. Calorimetry The largest single block of results claiming to support the nuclear thesis is measurements of what is commonly known as excess heat. Cold fusion researchers construct calorimeters and place various types of experiments in these calorimeters in an attempt to detect the heat released by these purported unexpected nuclear reactions. Many positive results have been reported with very high signal to noise ratios as normally computed, and therein resides the problem. In 2002, this author published a reanalysis\textsuperscript{2} of laboratory data claimed to have shown unequivocal excess heat\textsuperscript{3} (or more correctly, power), wherein a previously unrecognized systematic error was demonstrated to have the capacity to explain the observations without invoking a nuclear reaction. This error was termed the ‘calibration constant shift’ (CCS). This explanation was challenged twice,\textsuperscript{4,5} and responses published,\textsuperscript{6,7} although the first challenge was non specific. The second challenge focused on the proposed speculative mechanism for how the CCS might have occurred in F&P type cells rather than on the CCS explanation itself. The responses clarified the issues and left the CCS unchallenged as a potential explanation of apparent excess heat signals. The CCS is a fundamental problem that can actually occur any time a calibration equation is used to interpret experimental data, and thus is actually widely applicable and not just limited to cold fusion calorimetry. The basic requirement for being able to successfully calibrate an analytical device (such as a calorimeter or voltmeter) is for that device to be stable for a reasonable period of time. If a calibration is established on a device, and then it changes its condition, the previously determined calibration expressed \textit{via} a calibration equation with constants is suddenly made invalid. If this shift is not recognized, the experimentalist will apply the prior calibration equation with currently invalid calibration constants to compute the experimental result(s), giving an error. What should have been done was to recalibrate under the new steady state and use the new calibration constants, since the constants have now ‘shifted’ to new values. This is the genesis of the term ‘calibration constant shift’. In the reanalysis,\textsuperscript{2} a simple assumption was made, namely that the system’s steady state had changed due to the onset of what was called the non nuclear Fleischmann Pons Hawkins effect (FPHE). This change in steady state was assumed to have been accomplished without the introduction of a new excess heat source. The data was then reanalyzed under that assumption and the ‘new’ calibration constants determined for each individual run. The calibration equation used in this case was a simple linear one ($y = mx + b$) and the slope term was explicitly examined, with the result that the variation in that term of $\pm 1\%$ (1 $\sigma$) was found. This is a common precision level for a good analytical technique, yet it was adequate to explain an excess power signal of 780 mW, which was $\sim 10$ times the commonly assumed error level determined by baseline noise fluctuation. This is why the CCS is such an important realization regarding these experiments. It increased the quantitative measure of system noise by a factor of 10. And there is no reason to believe this one case developed with a top line calorimeter (98%/+ heat capture efficiency) limits that factor in any way. The CCS is a systematic error, and it is an unfortunate fact of systematic errors that they tend to invalidate all prior work since the error was not recognized before the point where they are delineated. Thus it becomes imperative to evaluate the sensitivity of the calorimetric results to potential changes in the calibration constants in a process knows as sensitivity analysis. To date, no cold fusion calorimetric study has done this, even though this revelation was published 7 years ago. What is required of cold fusion calorimetric reports is the clear inclusion of the calibration equation and constants used, and some measure of their variability. As well, some sensitivity analysis of the impact of this variation on the results is required, since it was shown in the reanalysis\textsuperscript{2} that less efficient calorimeters could be expected to show a greater CCS effect. This is consistent with the idea that the function of the calibration equation is to ‘adjust’ the signals up to equate to the actual input power (upwards adjustment is required since some heat is always lost). In a less efficient calorimeter this adjustment is larger than in a more efficient one, and thus variation in those constants will have a larger impact on the computed result. In principle, such data exists in laboratory records, but none has been presented to date. Thus it would seem that cold fusion calorimetry is currently near or at its limits of accuracy and precision. But these limits still allow for large apparent excess power peaks, and thus excess heat measurements must be carefully scrutinized to insure that they are not caused by a CCS. To date this author knows of only one instance of this\textsuperscript{2} and that case rejected the claim of true excess power. In the response of 2005\textsuperscript{4} this author pointed out that the claims of excess heat in the paper\textsuperscript{4} preceding the response could likewise potentially be explained by a CCS, but actual data that would allow such a determination was missing. K&M go on to discuss a specific type of calorimetric result obtained by F&P commonly known as ‘heat after death’ (HAD). In the HAD experiment, a F&P electrolysis cell is allowed to lose enough electrolyte \textit{via} evaporation, entrainment, and electrolysis that electrical contact is broken and current flow stops. Such an event is shown in K&M’s Figure 4 and 5, where an excess power signal is observed for approximately 3 h after this point is reached. It is instructive to review this result with the prior discussion of the CCS in mind. Once current stops, the driving force to load the Pd electrode with hydrogen is removed, and the system seeks to obtain equilibrium under the new state by releasing gas, converting the situation from an electrolysis cell to a gas unloading experiment. At the point where electrical contact was broken, the cell gas was very nearly a stoichiometric mixture of hydrogen and oxygen. Significant hydrogen release will occur because the electrolytic loading was equivalent to many atmosphere spheres of hydrogen gas pressure exposure, but the hydrogen present will inhibit complete Pd unloading. The equilibrium plateau pressure of Pd D at $\sim 70$ 100 °C is $\sim 300$ 1000 mbar,\textsuperscript{8} and the cell pressure is $\sim 1000$ mbar since it is an open cell, with at least 2/3 of that consisting of D$_2$. Thus initial unloading to $\sim 0.6$ D M$^{-1}$ units should occur, and not much more, leaving plenty of hydrogen in the electrode as hydride. With the Pd and Pt electrodes exposed, a metal surface is presented which will catalyze the recombination of hydrogen and oxygen. That process does three things; (a) it reduces the hydrogen pressure, causing the Pd to unload further, and (b) it reduces the overall pressure, causing air to be drawn back into the cell, resupplying the oxygen content of the cell gas somewhat, and (c) it produces heat, which will presumably be detected by temperature sensing devices in the cell. Clearly, the steady state is now \textit{radically} different and the system would have to be recalibrated under the new steady state to translate those temperatures into heats. However, K&M report that the \textit{energy} detected was “far beyond the quantity of possible stored chemical energy”. No recalibration was reported in the 1993 F&P paper, so one wonders how this was determined accurately. At an even more subtle level is the consideration of the \textit{rate} of hydrogen release from the Pd electrode, which would impact the amount of time heat would be produced by recombination. It is well known that surface contaminants affect the ability of Pd to absorb and desorb hydrogen,\textsuperscript{9,10} and after being immersed in an electrolyte solution for hundreds of hours, it is unlikely the Pd surface is pristine, and in fact there are many studies showing it is not (see below). Furthermore, crack free Pd is supposedly required to allow high loading to be attained, and high loading is supposedly required to obtain the FPHE. This in turn implies a low surface to volume ratio (SVR) is the desired condition. Hydrogen desorption from Pd is a diffusional process, and the lower the SVR, the slower the desorption will proceed. To maintain, or even slightly increase, the registered temperature would only require enough heat to be supplied to replace that lost from the cell, which is now an unstirred gas cell instead of a well stirred liquid cell. The original cell design was well insulated, implying the natural heat loss rate would be low. It seems eminently reasonable to assume that that amount of heat lost would be small per unit time. The Pd in the 1993 experiment likely evolved hydrogen slowly, allowing for heat production over extended periods. Thus the HAD event was completely predictable by conventional chemistry. This author knows of no HAD event reports that recalibrate due to the obvious CCS and consider the above concerns. Thus reported HAD events certainly do not significantly advance the nuclear hypothesis. What is required to fully understand HAD events is (a) recalibration (with supplied data/results as above) and (b) detailed surface examinations of the Pd coupled with gas loading/unloading studies. With that information the above concerns might be addressable. To summarize then, CCSs and standard Pd hydride chemistry seem to be a crucial part of understanding cold fusion calorimetry results, and some discussion and experimentation aimed at them should have been expected since the 2002 recognition of their possible impact. Unfortunately this is not the case. In fact, exactly the opposite has occurred. In 2007, Dr E. Storms, author of the original reanalyzed data,\textsuperscript{3} published a book purporting to review the LENR field.\textsuperscript{11} While the book contains hundreds of references, it falls short of being a definitive exposition on the subject for two reasons. First it fails to critically examine the field’s papers, instead just providing another uncritical list of what has been published. Second, it seemingly deliberately omits crucial negative publications. Of relevance here is the omission of the 2006 rebuttal\textsuperscript{10} to Storms’ 2006\textsuperscript{3} publication. A simple omission would potentially have been understandable (except in this case the omitted publication appeared directly after a referenced one), but Storms compounds his error by asserting in the book that the objections raised\textsuperscript{2} were adequately addressed.\textsuperscript{12} In fact (a) the points responded to by Storms\textsuperscript{8} involved \textit{only} the admittedly speculative chemical mechanism proposed to explain the FPHE,\textsuperscript{2} not the CCS, and (b) the rebuttal\textsuperscript{10} addressed each of Storms’ objections in a point by point fashion. Thus the CCS remains the most viable explanation for apparent excess heat events (including HADs) and its potential contribution must be eliminated from any set of results before a nuclear explanation can be put forward as compelling. It is worth noting that addressing potential CCSs does not supersede or replace the need to watch for other errors as well. For example, the first set of Storms’ data presented on the internet in January of 2000 has a severe negative feedback of the input power in the excess power signal which was subsequently traced by Storms to poor grounding. This necessitated rejecting that data. The data reanalyzed was posted in February, 2000, after changes had been made. And, in Figure 3 of the reanalysis,\textsuperscript{2} residual error of two types was indicated, severe transient spikes and baseline shifts. Transmutation or contamination? As noted by K&M, once calorimetry discussions are over, what is left is an accumulation of results from a variety of methods that purport to show nuclear products, \textit{i.e.} ‘nuclear ash’, have been detected, thereby proving the nuclear hypothesis. The earliest of these was detection of classical nuclear particles/radiation (alpha, beta, gamma, neutron). This author is not skilled enough in those areas to do more than generally comment that much doubt remains as to the validity of those techniques when sophisticated counting electronics are employed. Some comments can be made about the early use of X ray film regarding a technique from photography known as ‘hypering’ combined with heat sensitivity of the films. These two things basically cast all X ray film based detection techniques into doubt. But with regards to techniques and methods that purport to detect new elements arising from nuclear reactions such as fusion or fission, much can be said. Storms’ book shows the second most populous type of nuclear ash results is He detection results. Both isotopes of He (\textsuperscript{3}He and \textsuperscript{4}He) have been supposedly detected at levels that would seem to validate the nuclear hypothesis. However, the issue in detecting the moieties is always: were they generated by a new nuclear reaction or did they arise \textit{via} a contamination pathway? K&M note the Paneth and Peters incident but did not clarify that it was with regards to He detection. Paneth and Peters originally claimed to have detected He formation but then retracted. The basic problem is that normal air has about 5 ppm He in it, and thus air inleakage or just He diffusion through glass can produce trace amounts of He in any experiment. Thus the perennial question noted above. Storms and K&M try to use reports of He detection as proof of the nuclear hypothesis, but Storms (and K&M) again fails to report crucial negative results. In 2001 3 Oliver, Clarke and coworkers reported a series of papers in \textit{Fusion Science and Technology}. One paper in particular\textsuperscript{13} deals with a situation where cold fusion researchers submitted four experimental Arata and Zhang ‘double structure’ cathodes that were purported to be hydrogen loaded cells where cold fusion had occurred producing \textsuperscript{4}He to W. Clarke \textit{via} B. Oliver for trace level He analysis. Clarke was a well qualified expert in trace level He detection and discrimination from atmospheric leaks. What Clarke found was that the samples had massive air inleakage, and the He present came from that. Storms fails to mention this paper in his book at all. Obviously, the problems that plagued Paneth and Peters in 1926 still plague us today. In order to prove reported He results are legitimately assigned to a nuclear origin, the other potential origin (contamination) must be excluded. This is done by reporting on the experimental protocols used to eliminate that option, which must include both proof that the instrumentation used to detect the He is in working order \textit{and} that the process of running the experiment did not allow for air inleakage. While some information is often presented on the first point, routinely no information is provided on the second. This leaves cold fusion researchers technically unable to conclude the nuclear hypothesis is true, which of course does not seem to impair them at all from doing so, as evidenced by K&M in particular. In the 1989 DOE review of the cold fusion field, contamination was mentioned as a problem to be addressed, with specific reference to He detection since at that time only He results were being claimed. Today as pointed out by K&M, additional elements are being detected and used to support the nuclear hypothesis. Unfortunately, the contamination question applies equally well to these claims, a fact that was recognized in 1989.\textsuperscript{9} This author does not dispute the findings of new elements on electrode or membrane surfaces after use, simply the claim that they arise from transmutation. There are clear cases of data misinterpretation resulting in mis assignment of contaminant identities and a couple of cases where possible contamination pathways were actively identified by additional research that bear consideration. One of the earliest examples of this was the unpublished work of S. Little of Earthtech International\textsuperscript{14} on the RIFEX kit sold by Patterson and Miley in the mid 1990s (details of the business arrangements are not discussed here). The RIFEX kit was a modified F&P cell that used a packed bed of Pd/Cu coated plastic beads as the cathode in a flowing electrolyte system that ostensibly generated significant excess heat. Miley reported\textsuperscript{15,16} heavy metal transmutation detected \textit{via} a cornucopia of elements found on the bead surfaces after use (one of Miley’s Figures is reproduced as Figure 51 in the Storms book). Little replicated Miley’s finding using different analytical methods, but then went further. Little first computed what concentration of contaminants in the cell materials (primarily electrolyte) would represent the detection limit of his techniques. Then he concentrated on locating a potential contamination source of those elements that did not fall below that line. In his search, he found several of the ‘new’ materials had been leached out of parts used to manufacture the RIFEX cell, thus strongly suggesting that transmutation was not their source. K&M cite the 2002 report of Iwamura \textit{et al.}\textsuperscript{17} on the transmutation of Sr into Mo and Ca into Pr in a process where deuterium was diffused through a complex Pd/CaO sandwich structured membrane. Furthermore, the Mo so detected supposedly had an anomalous isotope distribution. Subsequently, it was reported that the ‘Mo’ contaminant was actually S,\textsuperscript{18} and that a Pr contamination was found in Iwamura’s laboratory.\textsuperscript{19} It is worth noting that MoS\textsubscript{2} is a common thread lubricant used in ultrahigh vacuum systems (UHV) to prevent thread galling during system bakeouts needed to reach UHV and that the two major techniques used by Iwamura \textit{et al.}, were X ray photoelectron spectroscopy (XPS) and secondary ion mass spectrometry (SIMS), both techniques based in UHV. The apparent detection of Mo by SIMS is probably correct. The primary isotopic anomaly reported for the Mo was a large overabundance of the mass 96 isotope, which could be derived either from an S\textsubscript{3} ion (S is 95% mass 32) or an FeCa\textsuperscript{20} ion. K&M also present Iwamura’s ‘temporally correlated growth’ results (Fig. 16), however, they (and Iwamura) fail to understand what results would have been anticipated if contaminants were deposited progressively on the membrane surface. XPS samples a semi fixed depth of the surface layers due to the escape length of the ejected photoelectron. Thus, as an element is deposited over the existing surface, it covers the existing surface and increases the depth an ejected photoelectron has to travel through to reach free space. This increases the probability of the electron’s readsorption in the solid, which decreases the count of those electrons originating from the original substrate material. Meanwhile the freshly deposited material’s signal increases in proportion to how fast it is deposited. Eventually the deposited material would begin to cover itself, decreasing the rate of rise of the XPS signal. Beyond that, the signal from the original substrate would have completely disappeared, assuming uniform coverage. This is exactly what is seen in K&M’s Figure 16, and thus does \textit{not} exclusively imply transmutation is occurring. It should be mentioned that the contaminant elements on electrode surfaces were noted early in the history of the cold fusion story. In 1989, Augustynski \textit{et al.}\textsuperscript{9} reported on Pt, Pb, and Zn appearing on Pd electrode surfaces, but nothing was claimed based on this, the working assumption being that these materials were contaminants. It is only after the mutating diversification of the field began that these observations began being used as proof of a nuclear process. In fact, the electrolytes used in most P&F type cells dissolves some metals and these can then be transported to the other electrode and deposited.\textsuperscript{20–25} Thus we see in K&M’s Figure 9 an EDX spectrum of a used cold fusion electrode showing Pt, Fe and Cr, and some other elements. Pt is attributable to dissolved anode material depositing on the Pd. Fe and Cr are primary constituents of steels. Again, the source of these new elements is unclear, but dissolved or leached contaminants seem more likely than transmutation as the source. So, all of the above elements have probable or confirmed non nuclear sources in the lab reporting their formation \textit{via} transmutation. Complicating the situation was a failure to consider multi atom ions in the SIMS results (the latter is a common problem in cold fusion research, particularly with respect to metal hydrogen multi atom species.) These problems, as well as failure to understand the impact contamination deposition has on a membrane surface has apparently led cold fusion researchers to invalid conclusions. Bringing the He cases back into the discussion, it is clear that much more work is required from cold fusion researchers than they have reported in order to be able to conclude proof of the nuclear hypothesis has been obtained this way. Contamination will continue to be the preferred explanation for any supposed nuclear ash detected in cold fusion experiments, as long as methods and approaches used to eliminate it as a source term are not described. This issue will continue to raise its head in other areas as well (see below). Pits in CR-39 plastic K&M present two more major experimental areas, one being so called ‘bubble fusion’, which they admit is peripheral. Nevertheless, they spend considerable time on it. This is a typical tactic used by pro cold fusion advocates, namely the uncritical listing of anomalies that, even though clearly unrelated, are presented as supporting evidence. Presumably they wish to convince readers of their primary thesis by a ‘mass of evidence’ approach, but this is an invalid tactic. We here will neglect the bubble fusion section and move on to the other major block of evidence discussed as proof of neutrons and/or charged particles (‘nuclear ash’), pits in CR 39 plastic. CR 39 has elsewhere been used as a radiation detector in situations where radiation is expected. The basic process by which this works is that a nuclear particle such as a neutron or alpha particle strikes the CR 39 material, which is a polymeric hydrocarbon. The hydrocarbon is damaged by the collision with the particle. The CR 39 is then developed by etching (heating the CR 39 in an etchant solution for varying times). The damaged material with its broken chemical bonds serves as a nucleation site for more rapid etching. Etching removes some of the undamaged material, but the nucleated damage points suffer faster etching. This causes a pit to develop, which becomes large enough with a long enough etch to be seen and counted microscopically. Use of the CR 39 material in controlled situations where only nuclear radiation is expected to expose the CR 39 has proven to be reasonably reliable. There are some known interfering effects. Background cosmic radiation can induce pitting, but this is normally handled by exposing controls at the same time as the live plates. Bartlett\textsuperscript{26} discussed several environmental factors that can produce or alter background pit size, shape, and number distributions. Factors affecting this include, presence of oxygen, heat, humidity, and possible plasticizer affects (originating from storage cases, \textit{etc.}). Duranni\textsuperscript{27} implies that these (and other) factors are still important to this day in his section discussing the lack of a theoretical framework for understanding what is to be expected in CR 39 plates after a given exposure, and he discusses the variety of factors routinely studied phenomenologically to measure such effects. Calmosca and Penzo recently published just such a study\textsuperscript{28} in the same Proceedings as Duranni. It is reasonable that if such problems exist in the comparably well defined cases studied by those authors, the use of CR 39 in an experimental situation with large unknowns present is somewhat uncertain. One other important pit inducing process is mechanical damage. It is well known by the cold fusion researchers that scratches can produce strings of pits in developed CR 39 plates. Oriani\textsuperscript{29} notes that “We rejected etch pits that occurred in clusters and those that formed linear arrays fearing that they may have arisen from surface scratches.” Little (unpublished\textsuperscript{30}) says “We quickly discovered that mechanical damage often leads to round, track like marks after etching,” and “We were able to create various marks with sandpaper, needle points and simply by carrying around a chip in a pocket for a day.” Also noted by cold fusion researchers is a vague ‘chemical attack’. In 2007, Little\textsuperscript{31} posted a document entitled “Initial Report of EarthTech’s PACA Experimentation”, where PACA stands for protected against chemical attack. (Kowalski\textsuperscript{32} attributes this to Oriani) This author first suggested O$_2$ attack as a possible pit cause in 2001 on the internet usergroup sci.physics.fusion. The SPAWAR group supposedly eliminated this as a cause, along with attack by H$_2$ or Cl$_2$\textsuperscript{33,34} (however, see below for more discussion). All of these factors can affect CR 39 results in the best situations, but in cold fusion research new conditions are added that aggravate the problem. There are two basic ways CR 39 plates have been employed in cold fusion research. First, the plates have been placed \textit{in} the electrolyte (or in very close proximity, sometimes separated only by thin layers of materials) of modified P&F type cells, and second, they have been placed \textit{out} of the electrolyte. Pits have been detected in both conditions, but many more pits per square centimetre are detected in plates that have been \textit{in} the electrolyte. The pits in plates located outside of the electrolyte have led researchers to believe they are primarily caused by neutrons, since charged particles, like alpha particles, would not have the range to have reached the plates. Likewise then, the additional pits in the plates placed \textit{in} the electrolyte or near the electrodes are thought to be formed primarily by charged particles like alpha particles or tritons. Plates placed \textit{out} of the electrolyte include those that are separated from the cell and those that have been suspended in the gas space of a working cell (Oriani and Fisher\textsuperscript{35}). Extensive studies were conducted recently by cold fusion researchers in what is referred to as ‘The Galileo Project’, of which only partial publication of results has occurred. Most of the recent publications on CR 39 tracks by the SPAWAR group seem to have arisen from that study or have been strongly impacted by it. The recent literature debate between the SPAWAR group and Kowalski also come out of this.\textsuperscript{32,34} However, what tends not to get published is the negative results that do not support the nuclear conclusion. In 2007, S. Little reported\textsuperscript{31,36} that in attempting to replicate results reported by R. Oriani,\textsuperscript{29} a radioactive contaminant was discovered in and on the O rings used to seal the Oriani apparatus. So once again, the issue of contamination has been raised. Prior to 2007, adequate testing for such contamination was not conducted, thus all results reported prior to that point must be deemed inconclusive. Any observed pits could have come from an undetected radioactive contaminant. That contaminant could have been introduced as a fixed component of a cell part, such as with the O rings mentioned above, or it could have been leached out of such a component and then transferred to another locale within the cell. Post 2007, some reports have continued to filter in on this, but none of them so far has given anything but passing mention of checking for this problem, primarily as assertions that such checks have been made. Viewed in the light of the Clarke paper,\textsuperscript{13} such assertions are unacceptable at this point in time. Actual protocols used must be discussed openly and freely to convince scientists that the contamination issue has been properly handled, which requires publication to reach all potentially interested parties. With regards to pits on plates located \textit{in} the electrolyte, a couple of novel and interesting conventional explanations come to mind that have not been seriously examined. First is the idea of oxidative attack on the plates by oxygen bubbles, \textit{i.e.} ‘chemical attack’. The argument that F&P cells are well mixed by bubbling action has been presented by Fleischmann and others and was used in the development of the speculative chemical model of what occurs in an F&P cell.\textsuperscript{2-6,7} If so, then O$_2$ bubbles generated at the anode reach everywhere in the cell, including the CR 39 plates (front and back sides). Pure O$_2$ is highly reactive, and it can be postulated that contact between bubbles and the CR 39 leads to oxidation at the contact point. That oxidized contact point could serve as a nucleation point of a pit. This thesis may have been disproved by cold fusion experiments where thin Mylar sheets were placed over the front of the CR 39 in the electrolyte (ostensibly to modify the energy profile of the alphas striking the CR 39). Pits are still detected but they are modified in nature. Presumably the Mylar would stop the O$_2$ bubble, but that is also a speculation that would need to be tested. Fortunately, all of this could be potentially tested by bubbling fine O$_2$ bubbles from a glass frit over CR 39 under otherwise identical experimental conditions but without ongoing electrolysis and developing it normally. This remains to be done at this date. The SPAWAR group does claim that O$_2$ does not impact the CR 39 plates based on an earlier set of results,\textsuperscript{33,34} but it is unclear if that study fully tested the O$_2$ theory. In that study, electrolysis with Cu and Ni mesh cathodes was attempted without plating out the normal surface coating of Pd, and no pits or hollows were observed. The actual runs purported to produce cold fusion derived pits ran for a total of $\sim$11.3 days, with the last three days of this being at the current used in the control runs or higher. However, the publication fails to mention the duration of the control experiment which is likely an important factor. Until such important details are published, any conclusion remains elusive. A second argument is a little more intriguing and difficult to prove. Both this author and the SPAWAR group conclude that hot spots photographed by the SPAWAR group\textsuperscript{37,38,39} on an operating cold fusion co deposited Pd electrode represent ‘explosions’. The hallmark of an explosion is a shockwave. In fact, Dr F. Gordon reported\textsuperscript{40} at a 2009 conference that such pressure spikes had been recorded, so clearly, said shockwaves exist. This author claims such explosions are chemical in nature while the SPAWAR group claims they are nuclear. However, in either case, the resultant shockwaves are potentially capable of doing physical damage which would produce nucleation points for etch pits. The Mylar covering mentioned before would not stop all the shockwaves, but would modify the number with enough remaining energy to damage the plastic, and perhaps even the shape of the shockwave. (It is to be expected that there would be some anisotropy to these shockwaves since they are produced by an explosion in a bubble that would ignite at the metal surface and travel to the far end, giving the resultant shockwave a directionality.) Also, the shockwave would further disperse as it travels through the CR 39 to the back side of the plate, where upon exiting, if it still had adequate energy, it would also make pits (\textit{via} etching of damaged plastic, not by explosive expulsion of material), which has been observed.\textsuperscript{41} Thus, the shockwave postulate seems to fit the observations as well as the emitted particles hypothesis. An interesting side point can be made based on an observation presented by Williams.\textsuperscript{41} In his presentation, one slide stated that “Before etch, electrolyzed CR 39 showed SMALL [author’s emphasis] amounts of apparent Pd deposition on the CR 39 plastic track detector.” (These were apparently unprotected CR 39 plates.) So the concerns about dissolution and transfer of electrode material noted in the prior section have also been confirmed from the CR 39 studies. What form (ionic, metallic) this Pd is in on the CR 39 is unknown, but if it were in the metallic form it could \textit{also} serve as bubble explosion nucleation points. Such explosions would be physically proximate to the CR 39 and thus would have a large impact with respect to damaging the plastic. Note that the Pd could also deposit on Mylar and if metallicized could foster the same proximal explosions. More evidence for this thesis are the copious pits detected on CR 39 plates that were immersed in the electrolyte, whose geometric distribution mimics the physical shape of the co deposited electrode. In the conventional FPHE explanation, bubbles of mixed hydrogen and oxygen have to form on the electrode surface so that the electrode surface can initiate the explosive reaction. Thus only bubbles on the surface would ignite and emit shockwaves and their impingement on the CR 39 would mirror their physical distribution as controlled by the electrode configuration. In the end, this mechanism for pit nucleation will be quite difficult to prove out independently. However whenever a rational alternative explanation can be provided for a phenomenon, the issue necessarily remains undecided until one or the other of the alternatives is excluded, regardless of the difficulty associated with obtaining such evidence. A further issue involving CR 39 pits is the claim to have observed ‘triplets’ which K&M bring up. Figure 12 in K&M presents one such triplet (three nearly coincident pits). Unfortunately, these images do not look very much like the triplets that they are supposed to be. Pictures of triplets in ref. 42-45 cited by the SPAWAR group\textsuperscript{46} clearly show shape and spatial features absent from the picture in Figure 12. Instead the three pits in Figure 12 seem to be accidentally coincident pits. It is unclear how one could distinguish between the real and accidental ‘triplet’ cases. In fact Oriani and Fisher\textsuperscript{29} report “Recognizing that there is an element of judgement in applying criteria for the acceptance of an etch pit as representing a true track, all measurements were made by one of us (RAO) to achieve consistency” for regular pits. If the pits in Figure 12 are in fact from a triplet event, the etching procedure used by the SPAWAR group needs to be modified to show structures developed that mimic those in the references arising in controlled experiments with known radiation sources. Little\textsuperscript{40} has also attempted to replicate the SPAWAR type experiments, which use CR 39 plates \textit{in} the electrolyte (or very near the cathode in one publication\textsuperscript{46-48}). While observing pits, Little found a variety of claims made by the SPAWAR group were inaccurate, one even being admitted to during the experimentation with a resultant change in protocol recommended by the SPAWAR group.\textsuperscript{40} It is of note that this particular SPAWAR claim was reproduced in their 2009 publication (submitted Jan. 2009) with no indication of the possible inaccuracy. In the end, Little concluded his experiments “do show that chemical origin is a distinct possibility and therefore that nuclear origin is not a certainty.” Unfortunately, this point was apparently lost on the SPAWAR group, as their most recent publication\textsuperscript{46} on this topic goes into extensive detail on the analysis of the observed pits \textit{assuming} their nuclear origin without proof, and mentions no serious attempt to test conventional origin theories. The claims to have detected neutrons and perhaps other charged particles emitted from cold fusion experiments thus remain unsubstantiated. The issues and speculations raised above simply illustrate that pits observed in CR 39 are not conclusive of nuclear particle emission at this point, and may never be. A conclusive experimental protocol aimed at disproving one or the other putative sources is as yet unavailable. Until such a separation can be accomplished, the CR 39 pits are not compelling proof of nuclear events. Temporal correlations and otherwise We have already discussed the origin of the temporal correlation in Iwamura’s data (Figure 16 in K&M). K&M also bring up the idea of using correlated events as proof as well, citing an example of such in Figure 13. Unfortunately this temporal correlation needs to be reproducible as well, and no such bulk of data has been published to date. In fact the reference cited by K&M in the Figure 13 caption is to a presentation and not a publication. Thus, this information is nearly impossible for non attendees to be aware of, let alone to be able to examine in detail. Figure 13 purports to show a ‘triggering’ effect, but it is not clear that said event was deliberate or not. The figure seems to imply something happened to induce a neutron emission that also caused a drop in cell potential. These events are correlated in the colloquial use of the term. They are also coincident. The question is whether a cause and effect relationship exists between the plotted variables or not. Figure 13 also shows that a subsequent sudden increase in cell potential did not affect the neutron counts, that a slight increase in neutron counts was not tied to any change in cell potential as per the prior event, and an abrupt drop in neutron counts did not affect the cell potential. As well at the very beginning of the figure, an abrupt increase in cell potential, a subsequent drop, and a subsequent change in drop rate all did not produce any response in neutron counts. Thus, one can define at least seven events in this trace and only one shows a coincident event. This is not a correlation, this is a coincidence. The only way this event could be used to promote the nuclear proposal is if it were a part of a much larger set of such events. As it stands, Figure 13 illustrates another unexplained anomaly in a long line of such. Another correlation often pointed to is the $^4$He excess heat correlation presented by Hagelstein, et al\textsuperscript{49} at the 2004 DOE Review. The plot, Figure 6 of the report, shows what appears to be a well correlated set of data indicating that as the $^4$He signal gets larger, so does the excess heat signal. (This plot is constructed from data originated at Dr M. McKubre’s SRI laboratory, and is reproduced as Figure 49 in the Storms book.) Recalling the discussions of prior sections, it is imperative to reconsider this plot. If in fact there is no excess heat, then what exactly is being plotted on the $Y$ axis? If there is no proof that the observed He is not from a leak, then how does one know that is not what is being plotted on the $X$ axis? Both ‘errors’ would accumulate with time, which is probably the interrelating variable in the plot. There is an additional problem regarding the span of data chosen to construct the plot as well. The data in Figure 6 is also presented as time plots spanning 45 and 20 days in Figures 12 and 13 of that report,\textsuperscript{49} respectively. It seen in Figure 12 that at day 20 the ‘SC4.2’ run’s He values begin to decrease, and that at approximately day 30 the ‘SC2’ run’s He values also begin to decrease. The question raised to this is ‘Why?’ The ‘Case cell’ is a closed cell and no dilution should be expected. Has the cold fusion reaction now reversed? Or is there perhaps some unknown and therefore uncontrolled systemic error in the mass spectrometer results? One factor that must always be kept in mind in these kinds of experiments is that the laboratory air may not be at the nominal recognized standard He concentration due to the periodic and uncontrolled use of He in the entire laboratory complex. Varieties of the heating and ventilation systems can cause He released in leak testing or liquid He studies to be transported into other labs, and the day to day or hour to hour values may fluctuate because of this. This requires that researchers sample their laboratory air and analyze it as well during these experiments, but what is shown in Figure 12 is the nominal 5.22 ppm line derived from ‘outside’ air values. Without lab air data, one can draw no solace from the fact that numerically the experimental He concentration is above that of normal air. This is a requirement that must be met \textit{in addition to} proving that the hydrogen handling system does not leak and that the mass spectrometer is functioning properly. Storms\textsuperscript{11} also presents another heat He plot as Figure 47 in his book. However, this plot shows no correlation such as presented by K&M or Hagelstein.\textsuperscript{49} In fact, digitizing the data of Figure 47 and neglecting the one obvious flyer at the lowest excess power value produced a correlation coefficient of 0.0995. This is a highly statistically significant number indicating strong confidence that in fact \textit{no} correlation exists. Including the single flyer produces $R = 0.38$, which is indeterminate as to whether a correlation exists or not. This plot was constructed from data from two different laboratories, one from 1998 and the other from 2003. Apparently, it depends on where and when one gets the data as to whether or not a correlation is observed. This is a typical problem observed when one attempts to plot two truly uncorrelated variables in a correlation plot. Conclusions This letter has attempted to provide some balance to the wholly positive K&M report by presenting several criticisms of cold fusion researcher claims. The overarching one is that cold fusion researchers refuse to consider conventional explanations of their experimental results. This clearly limits any validity of their conclusions. However, their standard approach is to ignore such issues and jump to the conclusion that some new and completely unexpected nuclear event has taken place. This is exactly what K&M do, and in this they are simply typical of the field, but the educated reader will understand that fallacy now that the problem has been pointed out. Beyond that however, cold fusion researchers seem to have been trapped into believing that their signals are well out of the noise level, one of Langmuir’s indications of pathological science. This paper has discussed several examples; calorimetry ‘signals’ that would seem to be noise, misunderstanding the mechanism of contaminant transfer (He and other elements) and its impact on experimental results, and claiming that 10 ‘triplets’ out of many thousands of pits indicates fast neutrons for example. Then there is just the wishful thinking evidenced by claims based in misinterpretation of instrumental results, such as the various cases of selective interpretation of SIMS results. Because of their beliefs, conventional explanations remain unexplored, and these researchers’ strongly held conclusions unfortunately fall under the definition of pathological science. It bears repeating that the primary problem of cold fusion research is irreproducibility. But a further subtlety of that issue is the lack of critical review to which such reports are subjected. Typically, cold fusion researchers simply accept with little serious analysis any results claiming to support the nuclear hypothesis. This is illustrated by the uncritical listing of results found in the Storms book, but again Storms is merely typical of the field. Each individual report must first be analyzed independently of all others in a critical and careful search for errors, and if some are found, that report must be shelved until those errors are addressed instead of being added to a long list of other positive reports as some sort of proof by sheer numbers. Critical analysis of each report usually leads to finding one of the common errors discussed above, and thus will greatly reduce the number of papers that might be considered truly anomalous. In many cases, the number is reduced to so few that one can do little but agree that a dedicated researcher might be encouraged. There needs to be a body of replicated results present before one can proceed to any level of understanding of anomalous effects, and replication must be in detail, not simply in finding another but different anomaly in systems with some similarities. It is certainly true that the cold fusion researchers have accumulated a large body of anomalous results. Further, it is reasonable to assume these results are real (even if they would indicate equipment malfunction) and therefore that their causes are potentially knowable. But it is in the economic consideration of that knowledge that leads one group of researchers to fanatically pursue the purported nuclear event, and other more prevalent numbers of researchers to abandon the field as a waste of time. Tracking down anomalies is a laborious process, and the failure of the cold fusion researchers to provide enough evidence to eliminate conventional explanations is probably a direct result of this workload. Until such time as the conventional explanations are adequately addressed, and such studies published in standard peer reviewed journals, the cold fusion field observer is fully justified in rejecting unsubstantiated claims of novel nuclear reactions occurring in the many situations cold fusion researchers present as definitive. It should be said however that there remains one way to conclusively prove cold fusion is true, and that is to bypass all the scientific debate about questionable data, experiments, and interpretations, and just jump to a working device powered by cold fusion. As Douglas Morrison was wont to say (in paraphrase), “Where’s my cold fusion brewed cup of tea?” Acknowledgements This document was prepared in connection with work under Contract No. DE AC09 08SR22470 with the U.S. Department of Energy. References 1 S. B. Krivit and J. Marwan, A new look at low energy nuclear reaction research, J. Environ. Monit., 2009, 11, 1731. 2 K. L. Shanahan, A systematic error in mass flow calorimetry demonstrated, Thermochim. Acta, 2002, 387, 95. 3 E. Storms, ‘Excess Power Production from Platinum Cathodes Using the Pons Fleischmann Effect’, in F. Scaramuzzi (Ed.), ICCF8 Proceedings of the 8th International Conference on Cold Fusion, Lerici (La Spezia), Italy 21 26 May 2000, Società Italiana di Fisica, 2001, 55. 4 S. Szpak, P. A. Mosier Boss, M. H. Miles and M. Fleischmann, Thermal behavior of polarized Pd/D electrodes prepared by co deposition, Thermochim. Acta, 2004, 410, 101. 5 E. Storms, Comment on papers by K. Shanahan that propose to explain anomalous heat generated by cold fusion, Thermochim. Acta, 2006, 441, 207. 6 K. L. Shanahan, Comments on ‘Thermal behavior of polarized Pd/D electrodes prepared by co deposition’, Thermochim. Acta, 2005, 428, 207. 7 K. L. Shanahan, Reply to ‘Comment on papers by K. Shanahan that propose to explain anomalous heat generated by cold fusion’, E. Storms, Thermochim. Acta, 2006, Thermochim. Acta, 2006, 441, 210. 8 R. Lasser and K. H. Klatt, Solubility of hydrogen isotopes in palladium, Phys. Rev. B: Condens. Matter, 1983, 28, 748. 9 J. Augustynski, M. Ulmann and J. Liu, Electrochemical measurements on palladium cathodes in LiOD/D$_2$O solutions related to the ‘cold fusion experiments’, Chimia, 1989, 43, 355. 10 E. Storms and C. Talcott, Electrolytic tritium production, Fusion Technol., 1990, 17, 680. 11 E. Storms, The Science of Low Energy Nuclear Reaction, World Scientific, 2007. 12 E. Storms, The Science of Low Energy Nuclear Reaction, World Scientific, 2007, pps 41, 172. 13 W. B. Clarke, S. J. Bos and B. M. Oliver, Production of $^4$He in D$_2$ Loaded Palladium Carbon Catalyst II, Fusion Sci. Technol., 2003, 43, 250. 14 S. Little and H. Puthoff, “Search for Evidence of Nuclear Transmutations in the CETI RIPEX Kit”, http://www.earthtech.org/experiments/rilex/rilex.pdf. 15 G. H. Miley and J. A. Patterson, “Nuclear transmutations in thin film nickel coatings undergoing electrolysis”, Second International Conference in Low Energy Nuclear Reaction, Texas A&M, College Station, Texas, (September 13 14, 1996). 16 G. H. Miley, G. Narne, M. J. Williams, J. A. Patterson, J. Nix, D. Cravens, and H. Hora., “Quantitative observation of transmutation products occurring in thin film coated microspheres during electrolysis”, Proceedings of the ICCF 6. Hokkaido Japan (October 14 17, 1996). 17 Y. Iwamura, M. Sakano and T. Itoh, Elemental Analysis of Pd Complexes: Effects of D$_2$ Gas Permeation, Jpn. J. Appl. Phys., 2002, 41, 4642. 18 T. Hioki, N. Takakashi, T. Motohiro, “XPS Study on Surface Layer Elements of Pd/CaO Multilayer Complex with and without Deuterium Permeation”, 13th International Conference on Cold Fusion, Dagomys, Russia, June 25 July 1, 2007. 19 K. Grabowski, D. Kidwell, C. Cetina, C. Carosella, “Evaluation of the Claim of Transmutation of Caesium to Praesodymium with the Mitsubishi Heavy Industries (MHI) Structure Part 1”, 15th International Conference on Cold Fusion, Rome, Italy, Oct. 5 9, 2009. 20 T. 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Britz, Aarhus University, found at http://www.chem.au.dk/~db/fusion/biblio.html. 26 D. T. Bartlett, Ageing of and Environmental Effects on PADC (CR 39), Radiat. Prot. Dosim., 1987, 20, 71. 27 S. A. Durrani, Nuclear tracks today: Strengths, weaknesses, challenges, Radiat. Meas., 2008, 43, S26. 28 M. Calamosca and S. Penzo, Are aging and fading really a problem for the quality of the passive radon measurements?, Radiat. Meas., 2008, 43, S422. 29 R. A. Oriani and J. C. Fisher, Generation of Tracks during Electrolysis, Jpn. J. Appl. Phys., 2002, 41, 6180. 30 S. Little, “Extraordinary Evidence: Replication Effort”, http://www.earthtech.org/CR39/index.html. 31 S. Little, “Initial report on EarthTech’s PACA Experimentation”, http://www.earthtech.org/experiments/PACA/report.htm. 32 L. Kowalski, Comment on ‘The use of CR 39 in Pd/D co deposition experiments’ by P. A. Mosier Boss, S. Szpak, F. E. Gordon and L. P. G. Forsley, Eur. Phys. J.: Appl. Phys., 2008, 44, 287. 33 P. Mosier Boss, S. Szpak, F. Gordon and L. Forsley, Characterization of tracks in CR 39 detectors obtained as a result of Pd/D co deposition, Eur. Phys. J.: Appl. Phys., 2009, 46, 30901. 34 P. A. Mosier Boss, S. Szpak, F. E. Gordon and L. P. G. Forsley, Reply to comment on: ‘The use of CR 39 in Pd/D co deposition experiments’: a response to Kowalski, Eur. Phys. J.: Appl. Phys., 2008, 44, 291. 35 R. A. Oriani and J. C. Fisher, Energetic charged particles produced in the gas phase by electrolysis, Proceedings of the 10th International Conference on Cold Fusion, 2003. 36 S. Little, “Follow up report of EarthTech’s PACE Experimentation”, http://www.earthtech.org/experiments/PACA/report2.htm. 37 S. Szpak and P. A. Mosier-Boss, Anomalous Behavior of the Pd/D System, Office of Naval Research, 1995 Technical Report 1696. 38 S. Szpak, P. A. Mosier-Boss, J. Dea, F. Gordon, “Polarized D+/Pd-D-O system: Hot spots and mini-explosions,” Tenth International Conference on Cold Fusion, 2003, Cambridge, MA, downloaded from http://www.lenr-canr.org/acrobat/SzpakSpolarizedd.pdf. 39 P. A. Mosier-Boss and S. Szpak, The Pd(n)H system: transport processes and development of thermal instabilities, Nuovo Cimento, 1999, 112A, 577. 40 L. Forsley, F. Gordon, P. Mosier-Boss, “Twenty-Year History of Lattice-Enabled Nuclear Reactions Using Pd/D Co-deposition”, Vice Chancellor for Research Seminar Series, Excess Heat and Particle Tracks from Deuterium-Loaded Palladium, U. Missouri, May 29, 2009. 41 W. Williams, “Search for Charged Particle Tracks Using CR-39 Detectors to Replicate the SPAWAR Pd/D External Field Co-Deposition Protocol”, presentation at Winter Meeting of American Physical Society, 2007, Denver, CO. 42 A. M. Abdel-Moneim and A. Abdel-Naby, A study of fast neutron beam geometry and energy distribution using triple-$\alpha$ reactions, Radiat. Meas., 2003, 37, 15. 43 S. A. R. Al-Najjar, A. Abdel-Naby and S. A. Durrani, Fast-neutron Spectrometry Using the Triple- Reaction in the CR-39 Detector, International Journal of Radiation Applications and Instrumentation Part D Nuclear Tracks and Radiation Measurements, 1986, 12, 611. 44 J. K. Palfalvi, J. Szabo, Y. Akatov, L. Sajo-Bohus and I. Eordogh, Cosmic ray studies on the ISS using SSNTD, BRADOS projects, 2001–2003, Radiat. Meas., 2005, 40, 428. 45 L. Sajo-Bohus, J. K. Palfalvi, Y. Akatov, O. Arevalo, E. D. Greaves, P. Nemeth, D. Palacios, J. Szabo and I. Eordogh, Neutron-induced complex reaction analysis with 3D nuclear track simulation, Radiat. Meas., 2005, 40, 442. 46 P. Mosier-Boss, S. Szpak, F. Gordon and L. Forsley, Triple tracks in CR-39 as the result of Pd-D co-deposition: evidence of energetic neutrons, Naturwissenschaften, 2009, 96, 135. 47 S. Szpak, P. Mosier-Boss and F. Gordon, Further evidence of nuclear reactions in the Pd/D lattice: emission of charged particles, Naturwissenschaften, 2007, 94, 511. 48 S. Szpak, P. Mosier-Boss and F. Gordon, Erratum: Further evidence of nuclear reactions in the Pd/D lattice: emission of charged particles, Naturwissenschaften, 2007, 94, 515. 49 P. Hagelstein, M. McKubre, D. Nagel, T. Chubb, R. Hekman, “New Physical Effects in Metal Deuterides”, 2004, Washington: US Department of Energy, http://web.archive.org/web/20070106185101/www.science.doe.gov/Sub/Newsroom/News_Releases/DOE-SC/2004/low_energy/Appendix_1.pdf (manuscript).
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This indemnity shall survive the Closing and the purchase and sale of the Property as contemplated herein and/or the termination of this Agreement. 3.1.1 Seller shall cooperate fully with Buyer (at no expense to Seller) in completing the Inspections herein permitted, and shall deliver all information in its possession required hereunder. 3.1.2 Buyer shall have the right to terminate this Agreement for any reason and at any time up to and including the last day of the Contingency Period or Extended Contingency Period, as applicable, by written notice to Seller, upon which Escrow Agent shall refund to Buyer the Escrow Funds and this Agreement shall terminate, become null and void and there shall be no further rights and obligations between Seller and Buyer under this Agreement, other than the indemnity provisions set forth in Section 3.1 hereof. 3.1.3 The parties hereby acknowledge and agree that Buyer’s intended use of the Property is a credit union branch and/or office headquarters. If Buyer has not received final site plan approval from South Fayette Township for its intended use of the Property during the Contingency Period, Buyer may extend the Contingency Period for an additional sixty (60) days (the “Extended Contingency Period”), upon written notice to Seller prior to the expiration of the initial one hundred twenty (120) day Contingency Period. 3.1.4 Buyer shall submit copies of all due diligence materials to Seller within fourteen (14) days after receipt by Buyer. In the event Buyer terminates this Agreement, and to the extent not already delivered, Buyer shall deliver to Seller copies of all documents, plans, surveys and reports related to its investigations and permitting within thirty (30) days following such termination. 4. Conditions of Buyer’s Obligations. 4.1 The obligations of Buyer under this Agreement to purchase the Property are subject to the satisfaction at Closing, of the following conditions precedent: 4.1.1 All representations and warranties made by Seller set forth in this Agreement shall be true and correct, at and as of Closing in all respects as though such representations and warranties were made on, at and as of Closing. 4.1.2 Seller has performed, observed and complied with all covenants, agreements and conditions required by this Agreement to be performed, observed and complied with prior to or as of the date of Closing. 4.1.3 Buyer has not terminated this Agreement as provided in Paragraph 3.1.2 or Paragraph 3.1.3 hereof. 4.2 In the event that the conditions precedent to Buyer’s obligations are not satisfied at Closing, then the Escrow Agent shall refund to Buyer the Escrow Funds and this Agreement shall terminate, become null and void and there shall be no further rights and obligations between Seller and Buyer under this Agreement. 5. Representations and Warranties of Seller. Seller covenants, represents and warrants to Buyer as follows: 5.1 Seller has the full and unrestricted right and power to execute, deliver and perform Seller's obligations under this Agreement and to consummate all transactions on Seller’s part contemplated hereunder and upon delivery by Seller, this Agreement shall constitute the legal, valid and binding obligation of Seller. 5.2 The execution and delivery of this Agreement, the consummation of the transactions provided for herein and the fulfillment of the terms hereof will not result in a breach of any of the terms or provisions of, or constitute a default under, any agreement of Seller or any instrument to which Seller is a party or by which Seller or the Property is bound, or any judgment, decree or order of any court or governmental body, or any applicable law, rule or regulation. 5.3 There are no rights, options or other agreements of any kind to purchase or otherwise acquire or sell or otherwise dispose of any of the Property, or any interest therein, nor any claims to such rights, options or other agreements. 5.4 There are no oral or written leases or rights of occupancy or grants or claims of right, title or interest in any portion of the Property. 5.5 To Seller’s knowledge, the Property is currently zoned C-1 Limited Commercial and to Seller’s knowledge, the Property is in full compliance with all applicable building, safety, zoning and fire ordinances and Seller has not received any notice of any uncorrected violations. 5.6 To Seller’s knowledge, there are not presently pending any special assessments of any nature with respect to the Property or any portion thereof, nor has the Seller received any notice of or has any knowledge of any such special assessment being contemplated. 5.7 Reserved. 5.8 To Seller’s knowledge, the Property is in full compliance with all applicable laws, ordinances, rules, regulations and requirements of all applicable governmental and regulatory authorities having jurisdiction thereof, including, without limitation, those pertaining to zoning, building, subdivision, safety, fire, electricity, planning, health, the environment and the storage, handling, treatment, disposal and production of any Hazardous Materials. As used in this Agreement, the term “Hazardous Materials” shall mean asbestos (including asbestos in friable form), polychlorinated biphenyls, petroleum products, any flammable explosives, radioactive materials, hazardous materials, hazardous wastes, hazardous or toxic substances or related materials as defined in the Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended (42 U.S.C. §9601, et seq.), the Hazardous Materials Transportation Act, as amended, (49 U.S.C. §1801, et seq.), the Resource Conservation and Recovery Act, as amended (42 U.S.C. §6901, et seq.), the Toxic Substances Control Act, as amended (15 U.S.C. §2601, et seq.), and any other federal, state or local governmental law or the regulations adopted and publications promulgated pursuant thereto. Seller agrees to provide Buyer any and all environmental reports it has in its possession pursuant to Paragraph 3.1 of this Agreement. 5.9 No work has been performed or is in progress at, and no materials have been furnished to, the Property during the past six (6) months which, though not presently the subject of, might give rise to construction, mechanic’s, materialmen’s, municipal or other liens against the Property or any portion thereof, except that for which full and complete releases have been obtained. 5.10 To Seller’s knowledge, no suit, action, arbitration, or legal, administrative, or other proceedings is pending or has been threatened against the Property or against the Seller with respect to the Property. 5.11 No bankruptcy, insolvency, rearrangement, or similar action or proceedings, whether voluntary or involuntary, is pending or, to Seller’s knowledge, threatened against Seller and Seller has no intention of filing or commencing any such action or proceeding. “To Seller’s knowledge,” or words of similar meaning, as used herein shall mean the actual (as opposed to constructive or imputed) knowledge of Nicholas B. Hoban, President of Seller. 6. Operations Prior to Settlement. 6.1 Between the Effective Date of this Agreement and the date of Closing: 6.1.1 Seller shall maintain the Property in its present condition, reasonable wear and tear excepted; 6.1.2 Seller shall maintain liability insurance on the Property; 6.1.3 Seller shall deliver to Buyer copies of any written notice(s) relating to the Property received by Seller from any governmental authorities; and 6.1.4 Seller shall not, without first obtaining Buyer’s prior written consent, which may be given or withheld in Buyer’s reasonable discretion, enter into any contract or other agreement affecting the Property, including a new lease, unless such contract or agreement can be terminated on thirty (30) days’ notice or less without penalty. 7. Representations and Warranties of Buyer. Buyer represents and warrants to Seller as follows: 7.1 Buyer has the full and unrestricted right and power to execute, deliver and perform Buyer's obligations under this Agreement and to consummate all transactions on Buyer’s part contemplated hereunder and upon delivery by Buyer, this Agreement shall constitute the legal, valid and binding obligation of Buyer. 7.2 The execution and delivery of this Agreement, the consummation of the transactions provided for herein and the fulfillment of the terms hereof will not result in a breach of any of the terms or provisions of, or constitute a default under, any agreement of Buyer or any instrument to which Buyer is a party or by which Buyer is bound or any judgment, decree or order of any court or governmental body or any applicable law, rule or regulation. 8. Closing. 8.1 The closing under this Agreement (the "Closing") shall be held at the offices of Buyer’s legal counsel or Escrow Agent in Pittsburgh, Pennsylvania or in escrow by delivery of documents to the Escrow Agent, within fifteen (15) days after the expiration of the Contingency Period or Extended Contingency Period, as applicable, or on such earlier date or at such other time or place as Seller and Buyer may mutually agree. 8.2 Should Buyer fail to complete performance hereunder within the time or times specified in Paragraph 8.1 hereof, Seller may thereupon, in Seller’s sole discretion and after five (5) business days written notice served upon or mailed (via certified or registered mail) to Buyer at the address specified in Paragraph 11, declare time to be of the essence of this Agreement and shall set forth in such notice the time, place and date of final settlement. Buyer hereby covenants to complete performance hereunder strictly in accordance with the terms of such notice. Should Seller fail to complete performance hereunder within the time or times hereinabove specified, Buyer may thereupon, in Buyer’s sole discretion and after five (5) business days written notice served upon or mailed (via certified or registered mail) to Seller at the address specified in Paragraph 11, declare time to be of the essence of this Agreement and shall set forth in such notice the time, place and date of final settlement. Seller hereby covenants to complete performance hereunder strictly in accordance with the terms of such notice. 8.3 At or prior to Closing, Seller shall deliver to Buyer: (a) A special warranty deed, duly executed and acknowledged by Seller and in proper form for recording; (b) Possession of the Property; (c) A settlement statement; and (d) Any certificates, affidavits or other instruments as may be reasonably required by Buyer's title insurer as a condition to completion of Closing and issuance of any owner's policy of title insurance, including, but not limited to, an owner's affidavit. 8.4 At Closing, Buyer shall deliver to Seller: (a) A settlement statement; (b) The Purchase Price; and (c) Any documents required by law, or reasonably required by the Buyer's title insurer, for consummating the transaction contemplated hereunder. 9. Prorations/Expenses. 9.1 Prorations and Adjustments: The following items shall be adjusted and prorated as of the date of Closing between Seller and Buyer as follows: 9.1.1 All real estate taxes, charges and assessments affecting the Property shall be pro rated on the basis of the calendar or fiscal year of the taxing body as applicable. If any of the same have not been finally assessed, as of the date of Closing, for the current fiscal year of the taxing authority, then the same shall be adjusted at Closing based upon the most recently issued bills therefor, and shall be re-adjusted immediately when and if final bills are issued. 9.1.2 Realty transfer taxes resulting from the conveyance from Seller to Buyer will be split equally between the parties. 9.2 Expenses. Each party shall pay all its own expenses incurred in connection with this Agreement and the transactions contemplated hereby, including, without limiting the generality of the foregoing, (i) all costs and expenses stated herein to be borne by a party, and (ii) all of their respective accounting and legal. Seller shall pay for the cost of deed preparation and matters of title clearance. Buyer shall pay for the cost of recording the deed, title search and title policy and a survey of the Property, if desired by Buyer. 10. Quality of Title. Title to the Property shall be good and marketable and such as will be insured by a reputable title insurance company at regular rates. Title to the Property shall be conveyed free and clear of liens, claims and encumbrances, subject, however, to the following (collectively, the “Permitted Exceptions”): (a) building and use restrictions of record; (b) vehicular or pedestrian easements of record affecting the Property; (c) water, sewer, gas, electric, cable television, and telephone lines or easements therefor of record or as presently installed; (d) prior grants, reservations or leases of coal, oil, gas or other minerals as shown by instruments of record; (e) any matters of record raised on the title commitment for the Property except those which are timely objected to as provided herein and which Seller agrees to (and does) cure; (f) any matters shown on a survey obtained or used by Buyer in connection with its diligence for the Property except those which are timely objected to by Buyer and which Seller agrees to cure; (g) if Buyer does not elect to obtain a survey, the title insurer’s standard preprinted exception for matters that would be disclosed by an accurate survey of the Property. Buyer shall advise Seller prior to the expiration of the Contingency Period what exceptions to title, if any, will not be accepted by Buyer (the “Title Objections”). Buyer shall not be obligated to specify any monetary liens in its notice of Title Objections, including any mortgage, financing statement, tax lien, mechanic’s lien, etc., which Seller shall be obligated to pay at or prior to Closing to release or discharge the same. Seller shall, within ten (10) business days after receipt of Buyer’s Title Objections, give Buyer notice that: (i) Seller agrees to remove any Title Objections prior to the Closing; or (ii) Seller does not elect to remove such Title Objections. If Seller gives Buyer notice under clause (ii), Buyer shall have five (5) business days after receipt of such notice to elect by written notice to Seller, to either proceed with the purchase of the Property subject to such Title Objections, or to terminate this Agreement, whereupon the Escrow Funds shall be returned to Buyer. Seller’s conveyance of the Property will be made subject to the Permitted Exceptions. In the event Seller shall not be able to convey title to the Property on the date of Closing in accordance with the foregoing provisions of this Agreement, then Buyer shall have the option, exercisable by written notice to Seller at or prior to Closing of (i) accepting at Closing such title as Seller is able to convey, with no deduction from or adjustment of the Purchase Price except for adjustment equal to the amount of any lien, judgment or other encumbrances of an ascertainable and liquidated amount together with interest and penalties thereon, if any; or (ii) declining to proceed to Closing; and in the latter event all obligations, liabilities and rights of the parties under this Agreement shall terminate, the Escrow Funds shall be returned to Buyer and Seller shall reimburse Buyer for all direct, out-of-pocket costs and expenses, including, but not limited to, title examination, survey, environmental, and other property inspections, and reasonable attorney’s fees. Buyer shall be responsible for paying the Title Policy premiums (or for any cancellation costs that may be incurred in the event Buyer terminates this Agreement). Buyer shall also be responsible for any costs, fees and premiums for all additional coverages and endorsements desired by Buyer. 11. Notices. All notices and other communications hereunder shall be in writing (whether or not a writing is expressly required hereby), and shall be deemed to have been given if hand delivered or sent by certified mail, return receipt requested or by recognized overnight carrier, then if and when delivered to and received by the respective parties at the below addresses (or at such other address as a party may hereafter designate for itself by notice to the other party as required hereby): If to Seller: Perissos Development, LLC P.O. Box 284 Presto, PA 15142 Attention: Nicholas B. Hoban with a copy to: Paul Didomenico, Esquire Reed Smith LLP Reed Smith Centre 225 Fifth Avenue Pittsburgh, PA 15222 If to Buyer: Chrome Federal Credit Union 440 Racetrack Road Washington, PA 15301 Attention: Robert Flanyak, President With a copy to: Tammy L. Ribar, Esquire Houston Harbaugh, P.C. Three Gateway Center 401 Liberty Avenue, 22nd Floor Pittsburgh, PA 15222-1005 12. Risk of Loss. Risk of loss and damage to the Property shall remain upon Seller until Closing; provided, however, that if prior to the Closing a casualty occurs that renders the Property unusable for Buyer’s intended use, in Buyer’s reasonable judgement, Buyer shall have the option to: (i) cancel this Agreement and receive a refund of the Escrow Funds from the Escrow Agent, in which event neither party shall have any further liability or obligation to the other hereunder, except as otherwise expressly set forth herein; or (ii) enforce this Agreement and obtain an assignment from Seller of all insurance proceeds payable as a result of such loss or damage, and all insurance proceeds theretofore paid in connection with such casualty shall be paid over to Buyer. 13. Municipal or Other Governmental Improvements. In the event of closing, Seller shall pay for all work and improvements resulting in an assessment against the Property where an ordinance or resolution authorizing such work or improvement is adopted or approved by a municipal or other public body or authority prior to the date of Closing. Buyer shall pay for all work and improvements resulting in an assessment against the Property where an ordinance or resolution authorizing such work or improvement is adopted or approved by a municipal or other public body or authority on or after the date of Closing. 14. Intentionally Deleted. 15. Brokers. Except for Seller’s broker, David Glickman with Newmark and Buyer’s broker, Kelley Hoover Heckathorne with Burns Scalo Real Estate, Inc., who shall be paid by Seller pursuant to a separate listing agreement, each party represents and warrants to the other that, it has not made any agreement or taken any action which may cause any person to become entitled to a commission or other compensation as a result of the transactions contemplated by this Agreement. Each party will indemnify and defend the other from any and all claims, actual or threatened, for such commission or other compensation by any third person by reason of such party’s breach of its representation or warranty contained in this Paragraph. This indemnification shall survive the Closing. 16. Sewage Facility. The Pennsylvania Sewage Facilities Act, 35 P.S. § 750.2 et seq., as amended, requires that there be a statement regarding the availability of a community sewage system. The Property is serviced by a community sewage system. 17. Certification of Non-Foreign Status of Seller. Section 1445 of the U.S. Internal Revenue Code of 1986, 26 U.S.C. § 1445, as amended (the Foreign Investment in Real Property Tax Act of 1980, 26 U.S.C. §§ 861 et seq., as amended) provides that a buyer of property located in the United States must withhold tax if the seller is a foreign person. Seller hereby certifies that Seller is not a foreign person within the meaning of Section 1445(b)(2) of the Internal Revenue Code. Seller understands that this certification may be disclosed to the Internal Revenue Service and that any false statement contained herein could be punished by fine, imprisonment, or both. 18. Survival of Representations and Warranties. All representations and warranties of Seller and Buyer in this Agreement shall survive delivery of the deed for the period provided under applicable statutes of limitation and, unless otherwise noted herein, are true, material, and relied upon by the other parties hereto in all respects, both as of the date of execution of this Agreement and as of the date of Closing. 19. Default. 19.1 In the event Seller fails to perform or breaches any of its representations, warranties or covenants to be performed by Seller under this Agreement, or Seller materially misrepresents any fact or circumstance, Buyer shall be entitled (a) to enforce specific performance of this Agreement so long as such specific performance action is served upon Seller no later than ninety (90) days after the scheduled date of Closing, or (b) to terminate this agreement by written notice to Seller and title insurer and have the Escrow Funds returned to Buyer, and Seller shall reimburse Buyer for all reasonable costs and expenses, and reasonable attorneys’ fees associated therewith up to a maximum amount of Fifty Thousand and 00/100 Dollars ($50,000.00). 19.2 If Buyer defaults in its performance of any term, covenant, condition, or obligation under this Agreement, including the obligation of Buyer to purchase the Property if all conditions precedent to such obligations have been satisfied, Seller shall be entitled to receive the Escrow Funds as complete liquidated damages. The parties acknowledge that the Escrow Funds represent a reasonable effort to ascertain the damages to Seller in the event of a Buyer default, which damages are difficult or impossible to quantify. Seller waives all other remedies. 20. Eminent Domain. If a material portion of the Property is taken by eminent domain after the Effective Date of this Agreement and prior to Closing, Buyer shall have the option to: (a) terminate this Agreement, by written notice to Seller within ten (10) days of receipt of notice of condemnation, whereupon the Escrow Funds shall forthwith be paid to Buyer and, upon such payment, Seller and Buyer shall be relieved of liability hereunder except as otherwise expressly set forth herein, or (b) elect to proceed with this Agreement and pay the full consideration, in which event Seller shall assign to Buyer all damages to which Seller may be entitled and which may be assigned by Seller pursuant to the Pennsylvania Eminent Domain Code, 26 P.S. § 1-101 et seq., as amended. Within five (5) days after notification of any such taking, but in no event later than the Closing, Seller shall notify Buyer of its election thereof. For purposes of this section, “material” shall mean all or any portion of the Property which prevents or significantly interferes with Buyer’s intended use of the Property. 21. Good Faith and Reasonableness Implied. In all matters contained herein, both parties shall have an implied obligation of good faith and reasonableness. 22. Waiver of Tender. Formal tender of deed and of purchase price are hereby waived. 23. Entire Contract. This Agreement constitutes the entire contract between the parties hereto, and there are no other understandings, oral or written, relating to the subject matter hereof. This Agreement may not be changed, modified, or amended, in whole or in part, except in writing signed by all parties affected thereby. Wherever used in this Agreement, the singular shall include the plural, the plural the singular, and the use of any gender shall be applicable to all genders. 24. Binding Effect. This Agreement and all of its terms and conditions shall extend to and be binding upon the parties hereto and upon their respective heirs, executors, administrators, successors, and assigns. 25. Contract Formation; Counterparts. This Agreement is effective only upon execution and delivery by all parties hereto. This Agreement may be executed in any number of counterparts, each of which, when executed, shall be deemed an original. One or more of such counterparts may be delivered via facsimile, email or other electronic format, and the parties intend that they shall have the same legal force and effect as an original counterpart hereof. 26. Headings. The headings preceding the text of the paragraphs and subparagraphs hereof are inserted solely for convenience of reference and shall not constitute a part of this Agreement, nor shall they affect its meaning, construction or effect. 27. Calculation of Time. Whenever used herein, unless expressly provided otherwise, the term “days” shall mean consecutive calendar days, except that if the expiration of any time period measured in days occurs on a Saturday, Sunday, legal holiday or other day when federal offices are closed in Pittsburgh, PA, such expiration shall automatically be extended to the next business day. 28. Coal Notice. NOTICE: THIS DOCUMENT MAY NOT SELL, CONVEY, TRANSFER, INCLUDE OR INSURE THE TITLE TO THE COAL AND RIGHT OF SUPPORT UNDERNEATH THE SURFACE LAND DESCRIBED OR REFERRED TO HEREIN, AND THE OWNER OR OWNERS OF SUCH COAL MAY HAVE THE COMPLETE LEGAL RIGHT TO REMOVE ALL OF SUCH COAL AND IN THAT CONNECTION, DAMAGE MAY RESULT TO THE SURFACE OF THE LAND AND ANY HOUSE, BUILDING OR OTHER STRUCTURE ON OR IN SUCH LAND, THE INCLUSION OF THIS NOTICE DOES NOT ENLARGE, RESTRICT OR MODIFY ANY LEGAL RIGHTS OR ESTATES OTHERWISE CREATED, TRANSFERRED, EXCEPTED OR RESERVED BY THIS INSTRUMENT. (This notice is set forth in the manner provided in Section 1 of the Act of July 17, 1957, P.L. 984, as amended, and is not intended as notice of unrecorded instruments, if any.) 29. "AS IS", "WHERE IS" CONDITIONS; WAIVER OF ALL WARRANTIES: EXCEPT WITH RESPECT TO SELLER'S REPRESENTATIONS AND WARRANTIES AND OTHER PROVISIONS IN THIS AGREEMENT AND THE DEED TO BE DELIVERED AT CLOSING, THE PROPERTY IS BEING SOLD ON AN "AS IS, WHERE IS" CONDITION AND BASIS WITH ALL FAULTS, AND SELLER MAKES NO REPRESENTATION OR WARRANTY OF ANY KIND AS TO THE CONDITION THEREOF, AND BUYER ACKNOWLEDGES AND AGREES THAT SELLER HAS NOT MADE, DOES NOT MAKE AND SPECIFICALLY NEGATES AND DISCLAIMS ANY REPRESENTATIONS, WARRANTIES, PROMISES, COVENANTS, AGREEMENTS OR GUARANTIES OF ANY KIND OR CHARACTER WHATSOEVER, WHETHER EXPRESS OR IMPLIED, ORAL OR WRITTEN, PAST, PRESENT OR FUTURE, OF, AS TO, CONCERNING OR WITH RESPECT TO (I) THE VALUE, NATURE, QUALITY OR CONDITION OF THE PROPERTY, AND EACH PORTION THEREOF, (II) THE INCOME TO BE DERIVED FROM THE PROPERTY, (III) THE SUITABILITY OF THE PROPERTY FOR ANY AND ALL ACTIVITIES AND USES WHICH BUYER MAY CONDUCT THEREON, (IV) THE COMPLIANCE OF THE SELLER WITH REGARD TO THE PROPERTY OR THE PROPERTY ITSELF WITH ANY LAWS, RULES, ORDINANCES OR REGULATIONS OF ANY APPLICABLE GOVERNMENTAL AUTHORITY OR BODY, (V) THE HABITABILITY, MERCHANTABILITY, MARKETABILITY, PROFITABILITY OR FITNESS FOR A PARTICULAR PURPOSE OF THE PROPERTY, (VI) THE MANNER QUALITY, STATE OF REPAIR OR LACK OF REPAIR OF THE PROPERTY, OR (VII) ANY OTHER MATTER WITH RESPECT TO THE PROPERTY. BUYER FURTHER ACKNOWLEDGES AND AGREES THAT IT WILL BE GIVEN THE OPPORTUNITY TO INSPECT THE PROPERTY, BUYER WILL RELY SOLELY ON ITS OWN INVESTIGATION OF THE PROPERTY AND NOT ON ANY INFORMATION PROVIDED OR TO BE PROVIDED BY SELLER AND, AT CLOSING, AGREES TO ACCEPT THE PROPERTY AND WAIVE ALL OBJECTIONS OR CLAIMS AGAINST SELLER (INCLUDING, BUT NOT LIMITED TO, ANY RIGHT OR CLAIM OF CONTRIBUTION) ARISING FROM OR RELATED TO THE PROPERTY OR TO ANY HAZARDOUS MATERIALS ON THE PROPERTY. BUYER FURTHER ACKNOWLEDGES AND AGREES THAT ANY INFORMATION PROVIDED OR TO BE PROVIDED WITH RESPECT TO THE PROPERTY WAS OBTAINED FROM A VARIETY OF SOURCES AND THAT SELLER HAS NOT MADE ANY INDEPENDENT INVESTIGATION OR VERIFICATION OF SUCH INFORMATION AND MAKES NO REPRESENTATIONS AS TO THE ACCURACY OR COMPLETENESS OF SUCH INFORMATION. SELLER IS NOT LIABLE OR BOUND IN ANY MANNER BY ANY VERBAL OR WRITTEN STATEMENTS, REPRESENTATIONS OR INFORMATION PERTAINING TO THE PROPERTY, OR THE OPERATION THEREOF, FURNISHED BY ANY REAL ESTATE BROKER, AGENT, EMPLOYEE, SERVANT OR OTHER PERSON. IT IS UNDERSTOOD AND AGREED THAT THE PURCHASE PRICE HAS BEEN ADJUSTED BY PRIOR NEGOTIATION TO REFLECT THAT THE PROPERTY IS SOLD BY SELLER AND PURCHASED BY BUYER SUBJECT TO THE FOREGOING. THE PROVISIONS OF THIS SUBSECTION SHALL SURVIVE CLOSING. 30. Assignment; Binding upon Successors and Assigns. No party shall delegate or assign this Agreement or any rights or duties hereunder (including without limitation by the merger or consolidation of a party with any third person) without the prior written consent of the other; provided however, that Buyer shall have right to assign its interest under this Agreement to an affiliate of Buyer without Seller’s consent; provided, further, however that Buyer shall pay (and indemnify Seller for) any and all costs and expenses associated with such assignment by Buyer, including, without limitation, any transfer taxes that may be imposed as a result of the assignment. This Section shall survive the Closing or termination of this Agreement. This Agreement shall be binding upon and shall inure to the benefit of Seller and Buyer and the respective successors and permitted assigns of each upon execution hereof by Seller and Buyer. This Agreement creates no rights as a third party beneficiary or otherwise in any person not a party. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] [SIGNATURE PAGE TO FOLLOW] IN WITNESS WHEREOF, and intending to be legally bound hereby, the parties have executed and delivered this Agreement as of the dates written below. SELLER: PERISSOS DEVELOPMENT, LLC By: ________________________________ Name: Nicholas B. Hoban Title: President Date: January ____, 2022 BUYER: CHROME FEDERAL CREDIT UNION By: ________________________________ Robert Flanyak, President Date: January ____, 2022 IN WITNESS WHEREOF, and intending to be legally bound hereby, the parties have executed and delivered this Agreement as of the dates written below. SELLER: PERISSOS DEVELOPMENT, LLC By: ____________________________________________ Name: Nicholas B. Hoban Title: President Date: January ____, 2022 BUYER: CHROME FEDERAL CREDIT UNION By: ____________________________________________ Robert Flanyak, President Date: January ____, 2022 1/25/2022 \| 12:56 PM EST FIRST AMENDMENT TO AGREEMENT OF SALE THIS FIRST AMENDMENT TO AGREEMENT OF SALE (this “First Amendment”) is made effective as of July 25, 2022 by and between PERISSOS DEVELOPMENT, LLC, a Pennsylvania limited liability company (the “Seller”) and CHROME Federal Credit Union, a Pennsylvania not-for-profit corporation (the “Buyer”). WITNESSETH: WHEREAS, Buyer and Seller entered into that certain Agreement of Sale dated effective as of January 25, 2022 (the “Agreement”) for the purchase of the real property located 233 Millers Run Road, Bridgeville, Pennsylvania 15017, in South Fayette Township, Allegheny County, identified as tax parcel number 256-K-21 (the “Property”); WHEREAS, pursuant to the Agreement, Buyer had a Contingency Period of one hundred twenty (120) days after the effective date of the Agreement to conduct reasonable investigations, evaluations, tests, appraisals, and other due diligence concerning the Property; WHEREAS, the Buyer exercised its right to an Extended Contingency Period in accordance with the Agreement to extend the time to conduct such investigations, etc. for an additional sixty (60) days; and WHEREAS, the Extended Contingency Period will expire on July 25, 2022, and Buyer and Seller desire and agree to amend the Agreement to extend the Extended Contingency Period until November 11, 2022 and provide for a non-refundable portion of the Escrow Funds. NOW, THEREFORE, the parties hereto, in consideration of the mutual premises contained herein, and intending to be legally bound hereby, do covenant and agree as follows: 1. Recitals. The foregoing recitals are incorporated herein by reference as if set forth at length. All capitalized terms not otherwise defined herein shall have the meaning given to such terms in the Agreement. All references herein to the Agreement shall include this First Amendment. 2. Extension of Extended Contingency Period. The Extended Contingency Period shall be further extended until November 11, 2022. 3. Escrow Funds. A portion of the Escrow Funds in the amount of Dollars ($__________) shall become non-refundable to the Buyer, except in the event that the Agreement is terminated due to a Seller default, on the earlier of (i) the date Buyer receives preliminary site plan approval from South Fayette Township, or (ii) October 1, 2022 (such earlier date being hereafter referred to as the “Non-Refundable Date”). In the event that the transaction is terminated by Buyer after the Non-Refundable Date and such termination is not due to a Seller Default, the title company is hereby instructed to deliver the non-refundable portion of the Escrow Funds to Seller. This provision shall survive the termination of the Agreement. 4. Reinstatement and Ratification of the Agreement; Reservation. Except as specifically amended hereby, the Agreement shall continue in full force and effect according to its terms. The parties hereto, by their execution hereof, do hereby ratify, affirm and agree to continue to be bound by the Agreement, as amended, nothing herein being deemed a waiver of strict compliance with the terms thereof or of any rights, claims, demands or causes of action arising in relation to the Agreement. Any further modification of the Agreement must be in writing and signed by both Buyer and Seller. 5. Provisions Binding. All rights and liabilities herein given to or imposed upon either of the parties to this First Amendment shall extend to, and be binding upon and inure to, the benefit of the parties hereto and their respective successors and assigns. 6. Counterpart Execution. This First Amendment may be executed in one or more counterparts, each of which shall be deemed an original, but all of which shall constitute one instrument. Further, electronic or facsimile signature of either party on any counterpart may be relied upon as an original signature. WITNESS, the due execution hereof by the Seller and Buyer intending to be legally bound hereby. BUYER: CHROME FEDERAL CREDIT UNION --- SELLER: PERISSOS DEVELOPMENT, LLC --- [Signature] By: [Signature] Nicholas B. Hoban, President
RULING ON DEFENDANTS’ MOTION FOR SUMMARY JUDGMENT Plaintiff Borough of Naugatuck brings this action against Knight Transportation, Inc. and its employee Warren L. Huggins, Jr. (“Defendants”) alleging negligent property damage to Plaintiff’s high school track. Defendants concede liability and move [Doc. # 18] for summary judgment on the applicable measure of damages to be awarded to Plaintiff. Defendants’ Motion for Summary Judgment is granted for the reasons that follow. I. Background Plaintiff did not submit a Local Rule 56(a)(2) Statement, and the following set of facts is undisputed for the purposes of this motion. See D. Conn. L. Civ. R. 56(a)(1) (“Each material fact set forth in the Local Rule 56(a)(1) Statement and supported by the evidence will be deemed admitted … unless such fact is controverted by the Local Rule 56(a)(2) Statement.”)$^1$ $^1$Plaintiff attached a deposition transcript and two affidavits to its Memorandum as exhibits. The deposition, (Ex. 5 to Pl.’s Mem. Supp. Obj. to Mot. Summ. J. [Doc. # 19-5],) and one affidavit, (Ex. 6 to Pl.’s Mem. [Doc. # 19-6],) are from the Naugatuck High School Athletic Director, Brian Mariano, which corroborate facts contained in Defendant’s Local Rule 56(a)(1) Statement. The second affidavit (Ex. 9 to Pl.’s Mem. [Doc. # 19-9]) addresses the costs of additional track repairs desired by Plaintiff. On December 31, 2014, Defendants were making a scheduled delivery of products to Naugatuck High School. (Def.’s Stmt. of Material Facts [Doc. # 18-2] ¶ 2.) Defendant Huggins had trouble finding a road off the Plaintiff’s property that would accommodate his tractor trailer vehicle. He opened the gate to and drove onto Plaintiff’s high school track to turn his vehicle around. (Id. ¶¶ 3-4.) This maneuver resulted in damage to two parts of the track: a portion of one lane of the track itself (“Lane 3”) and an infield area of the track. (Id. ¶ 5.) The damaged area of Lane 3 was approximately 1.5 square feet and required a patch of 1.3 square yards; the total area of the track is 6,980 yards. (Id. ¶¶ 5, 22.) Plaintiff hired a subsidiary of the company that originally installed the track to perform the repairs to the track, which were completed by August 26, 2015 for a cost of $16,283.00. (Id. ¶ 7-8; Ex. B to id. [Doc. # 18-4] at 20.) This professional installer made the repairs using the same material used for the original installation and created a texture similar to the rest of the track. (Def.’s Stmt. ¶ 9.) There is no evidence to suggest that the repairs were not performed in a proper and workmanlike manner or that the repairs failed to meet industry standards for safety and performance. (Id. ¶ 10.) Nonetheless, the repaired area of Lane 3 does not match the color of the rest of the track. (Id. ¶ 16.) There is also a slight difference in compression between the repaired portion of Lane 3 and the adjacent track. (See Dep. Tr. of Brian Mariano, Ex. A to id. [Doc. 18-3] at 23:3-8 (“... when the weather is cold, the track is hard everywhere, but as you get into track season, there’s a definite squishier feel. There’s a little more compression to the patch than the rest of the track. Typically, the track is a little bit firmer for that grip, and that area is a little bit softer. . . .”)) The repaired portion of the infield area of the track is visually imperceptible. (Def.’s Stmt. ¶ 17; Engineer’s Report, Ex. C to id. [Doc. # 18-5] at 5 (“Recent photographs show uniform color and texture throughout the repaired Infield...”). The repaired area of the track is both safe to use and fully functional for its intended use—there is no evidence that the difference in compression affects the performance of the track, and the track has been in continuous, normal use since it was repaired. (Def.’s Stmt. ¶¶ 13, 16–17.) No visiting coach or athlete has raised concerns about the track, and the track coach at Naugatuck High School has never voiced any safety concerns about the track.$^2$ (Id. ¶¶ 14–15.) However, some community members have complained about the track’s aesthetics. (Mariano Dep. Tr. at 19:12-14.) In its proposal submitted to Plaintiffs, the repair installer included an optional component of the repair: “‘Additional Charge’ -- In the event that the patch area is still visible and the [Plaintiff] is not satisfied an[d] a[n] additional structural spray layer is needed there will be a charge of $5900.00 added to the [$16,283.00] base price below.” (3/28/15 Proposal, Ex. B to Def.’s Stmt. at 22.) Plaintiff did not purchase this option. (Def.’s Stmt. ¶¶ 19-20.)$^3$ More than one year after repairs were completed, Plaintiff received a proposal for applying a structural spray layer to the surface of the entire track at an estimated cost of $119,250.00. (10/29/16 Proposal, Ex. B to id. at 23.) Even $^2$ The Defendants note that at the time of the repairs, the track had already reached between 40-69% of its projected service life, and it was foreseeable that the track would require repairs or resurfacing in the future, apart from any issues related to Defendants’ negligence. (Id. ¶¶ 11-12.) $^3$ The Sales and General Manager of the repair installer stated that the additional spray layer needed to be applied at the same time as the rest of the repair; if applied afterwards, it is more expensive due to necessary pre-spraying preparations. The addition of a spray layer would lessen the appearance of the seams between the repaired portion and the adjacent track but would not completely eliminate color or texture differences or the appearance of the seams. (Aff. of Douglas Stone, Ex. 9 to Pl.’s Mem. [Doc. 19-9] ¶¶ 11–13.) with this additional step, the repair to Lane 3 will remain somewhat noticeable. (Stone Aff. ¶ 17 (“It is almost impossible to completely correct a color difference in the track surface after a repair is made. It is possible that a structural spray layer over the entire track surface will minimize the appearance of any color differences, but it will not completely restore the appearance of the track surface to its original, pre-damage condition.”).) Plaintiffs make no argument that the infield portion of the track requires further repairs. (Pl.’s Mem. [Doc. # 19] at 9 (“The plaintiff submits that there is sufficient evidence . . . to establish the existence of a genuine issue of material fact, namely, whether the running track was restored to substantially the same condition it was in before the damage . . . .”)). II. Discussion A. Legal Standard Summary judgment is appropriate where, after all ambiguities and inferences are drawn in favor of the party against whom judgment is sought, the moving party shows there is no genuine issue of material fact. Gallo v. Prudential Residential Servs., L.P., 22 F.3d 1219, 1223 (2d Cir. 1994) (citing Heyman v. Commerce & Indus. Ins. Co., 524 F.2d 1317, 1320 (2d Cir. 1975)). “The moving party bears the burden of establishing the absence of any genuine issue of material fact,” Zalaski v. City of Bridgeport Police Dep’t, 613 F.3d 336, 340 (2d Cir. 2010), but “in cases where the nonmovant will bear the ultimate burden of proof at trial on an issue, the moving party’s burden under Rule 56 will be satisfied if he can point to an absence of evidence to support an essential element of the nonmoving party’s claim.” Brady v. Town of Colchester, 863 F.2d 205, 210-11 (2d Cir. 1988) (citing Celotex Corp. v. Catrett, 477 U.S. 317 (1986)). “[S]ummary judgment will not lie if the dispute about a material fact is ‘genuine,’ that is, if the evidence is such that a reasonable jury could return a verdict for the nonmoving party.” Anderson v. Liberty Lobby, Inc., 477 U.S. 242, 248 (1986). In determining the motion for summary judgment, the Court may consider pleadings, depositions, affidavits, interrogatory answers, and other exhibits in the record. Fed. R. Civ. P. 56(c). B. Damages The parties do not dispute Defendants’ liability for negligent damage to Plaintiff’s property; at issue is only the measure of recoverable damages. Defendants contend that damages should be limited to $16,283.00—the cost of the completed repairs—while Plaintiff claims there remains a genuine issue of material fact as to whether those repairs restored the track to substantially the same condition as before it was damaged, given the additional work Plaintiff desires to minimize the visible seams in Lane 3.$^4$ The parties agree that the amount of Plaintiff’s recovery must be the cost of repairs necessary to return the track to substantially the same condition it was in before Defendant’s negligence. “[W]hen the property injured may be repaired, if the repairs will substantially restore the property to its former condition, the cost of such repairs will ordinarily furnish proper proof of the loss.” Hawkins v. Garford Trucking Co., 96 Conn. 337 (Conn. 1921); see also Whitman Hotel Corp. v. Elliott & Watrous Eng’g Co., 137 Conn. 562, 573 (Conn. 1951) (holding that measure of damage to a property “may be determined by the cost of repairing the damage,” provided the repairs do not increase the value of the property and the cost of the repairs does not exceed the value of the property). Defendants correctly note that substantially restoring a property for $^4$ Defendants argue in the alternative that Plaintiff’s measure of damages should be limited to $22,183.00—the $16,283.00 cost of repairs plus the $5,900.00 “Additional Charge” for an additional spray layer available to Plaintiff when the repairs were performed. (Def.’s Mem. Supp. Mot. Summ. J. [Doc. # 18-1] at 2.) However, Plaintiff chose not to pay for this additional repair when it was offered, and given the Court’s determination, discussed below, that the track has been substantially repaired as required by law, there is no need to award costs for any additional repairs. purposes of damage calculations does not require that the property be returned to its exact original condition before the loss. See Substantial, Black’s Law Dictionary (10th ed. 2014) (“Containing the essence of a thing; conveying the right idea even if not the exact details.”). Plaintiff’s track has been largely repaired—even taking the evidence in the light most favorable to Plaintiff, that evidence demonstrates that the track is fully functional, though aesthetic concerns and a slight compression difference remain for the repaired portion of Lane 3. The only question currently before the Court is whether there is a genuine dispute whether this repair returned Plaintiff’s track to “substantially” the same condition as before Defendant’s negligence. Defendants argue that Plaintiff’s track has been returned to substantially the same condition, and that Plaintiff’s requested additional repairs seek unnecessary restoration to “exactly the same condition.” (Def.’s Mem. at 6.) Defendants argue that because the track is safe to use, has been in continuous use since it was repaired with no complaints about safety or performance, and suffers only from some discoloration and a slight difference in compression on approximately 0.02% of the track, the track has been returned to substantially the same condition. (Id.) Moreover, Defendants argue that Plaintiffs declined the opportunity to further assuage their aesthetic concerns by choosing not to pursue the $5,900 additional spray layer at the time of repair. (Id. at 7.) Nonetheless, Plaintiff maintains that these remaining issues are enough for a reasonable jury to find that the track has not been substantially repaired and that further repairs are required to substantially restore the track to its original condition, the cost of which should be included in Plaintiff’s damages award. (Pl.’s Mem. at 7-9.) Plaintiff analogizes to a situation in which a car’s door is damaged and the body shop repairs the car with a functional door of a different color, arguing that the car would not be in substantially the same condition as it was before the accident, even if it were functional and safe. (Id. at 7.) Plaintiff’s analogy is unconvincing. A mismatched door would constitute a major change to the aesthetics of a car, altering a large proportion of the car’s surface area. Here, the discolored area in Lane 3 constitutes only 0.02% of the surface area of the track. Moreover, at the time of the repairs, Plaintiff opted not to pay the $5,900.00 “Additional Charge” for an additional spray coat to reduce the visibility of the patch, (Def.’s Stmt. ¶¶ 19–20,) undermining Plaintiff’s arguments as to the significance of the appearance of the patch. Plaintiff offers little else in support of its contention that the remaining aesthetic and compression differences leave the track in a condition which is not substantially the same as its pre-damage condition. Plaintiff does not proffer any evidence that the track is less functional than it was before it was damaged, and the track has remained in continuous use since the time of the repairs with no evidence in the record showing that Plaintiff has made any further repairs or received any complaints related to safety or usability from either visiting coaches and athletes or the track coach at Naugatuck High School. (See Def.’s Stmt. ¶¶ 14-15.) Even Plaintiff’s own Athletic Director admits that although there is “a definite feel difference, . . . [and] a definite little bit of compression difference, . . . the main thing is the color” and there are no safety or functionality concerns. (Mariano Dep. Tr. at 32:8-11.) It is therefore undisputed that the track has been restored to its useful condition, with remaining slight differences in feel and color. Moreover, even after Plaintiff’s requested additional repairs—at an estimated cost of $119,250.00—some difference in color would remain. (Stone Aff. ¶ 17.) The Court finds that the track has been substantially restored to its prior condition, and the proper measure of damages is the $16,283.00 cost of the completed repair, not the total do-over which Plaintiff seeks. III. Conclusion For the foregoing reasons, Defendants’ Motion for Summary Judgment on damages is GRANTED. Judgment is hereby entered in favor of Plaintiff for the amount of $16,283.00. The Clerk is directed to enter Judgment and close the case. IT IS SO ORDERED. Janet Bond Arterton, U.S.D.J. Dated at New Haven, Connecticut this 11th day of September 2018.
Safety and Effectiveness Considerations with Particulate Lung Scanning Agents Several thousand nonradioactive drugs are administered to patients each day in U.S. hospitals. Many of these drugs are potent substances administered multiple times to the same patient during a routine course of therapy. Thus, attendant risks of both acute and chronic toxicity are associated with their use. By contrast, radioactive drugs are typically administered only once or twice and contain subpharmacologic amounts of drug. Therefore, the traditional safety concerns are less significant with radioactive drugs but considerations of radiation dose to the patient replace them. While a relaxed attitude for toxicity concerns may be justified for most radiopharmaceuticals, at least one notable exception exists: radioactive particles for perfusion lung imaging. Typically, the particles used are radiolabeled macroaggregated albumin (MAA) or human albumin microspheres (HAM) and the amount of drug administered requires careful consideration. From the very beginning when MAA preparations were being developed for lung scanning, much concern was given to the potential deleterious effects of injecting hundreds of thousands of protein particles intravenously. At the same time, concern focused on the potential antigenic effects of denatured protein particles. Following extensive testing, however, Iio and Wagner (1) demonstrated that there was no evidence to prove that aggregated human albumin was antigenic to man. This was corroborated in studies by Taplin who reported that "human serum albumin when converted to particulate form by heat treatment and pH adjustment is not made antigenic to man." (2). Another concern was the threat of cerebral microembolization due to particles that enter the systemic circulation either following degradation in the lung or through a right-to-left cardiac shunt. In this regard Taplin (2) reported that suspensions of albumin particles, which show initial pulmonary retention, are subsequently cleared from the lungs and transposed to the liver and spleen. Thus, it appeared that if the small particles were able to traverse the pulmonary capillaries, they would also do so through cerebral vessels without significant danger of embolization. In other studies Taplin (3) estimated the margin of safety for particles that were not degraded into smaller sizes in the lungs but entered the systemic circulation directly through a right-to-left cardiac shunt. These studies were performed in monkeys receiving direct carotid arterial injections of MAA. From the results, it was estimated that the margin of safety (based on no evidence of behavioral abnormalities or histological changes in brain tissue) was greater than 2,000 if one injected less than 1 mg of aggregates (10–60 μm) for a lung scan. This margin of safety also assumed that there was a 50% shunt to the general circulation, including 10% to the head and 3% to each hemisphere. Since lung imaging agents have pulmonary extraction efficiencies greater than 90%, the extent of blood flow occlusion in the lung is a major concern. Early studies demonstrated that the clinical utility and safety of radiolabeled MAA particles in man (4,5) was due to the biodegradability of MAA particles and the small percentages of blood vessels actually occluded. Indeed it was shown that the mechanism of MAA clearance was due to particle fragmentation by blood cell bombardment and by continuous forward-and-backward movement within the arterioles until the aggregates were small enough to traverse the pulmonary capillary lumina (6–10 μm) (3). Typical preparations of I-131 MAA used for lung scanning cleared the lungs with biological half-times of 4–6 hr (3). In a review by Davis (6), it was estimated that immediately following administration of a typical lung scanning dose (LSD) of $1 \times 10^6$ particles of I-131 MAA, only 0.5–0.7% of the pulmonary arterioles and capillaries were occluded in normal adult human lungs. Taplin’s early studies using this agent in dogs demonstrated that the first sign of acute toxicity, observed as a rise in pulmonary arterial pressure (PAP), occurred at a dose of 20 mg/kg body weight, which was greater than 1,000 times the average LSD and about 5,000 times the minimum lethal dose (MLD) (3). A large safety factor appeared to exist for this agent and indeed thousands of clinically useful lung scans were performed with no ill effects. In 1966 Dworkin (7) reported the first fatality linked to the administration of I-131 MAA particles for a lung scan. The patient was a 38-year-old woman with a 2½-year history of adenocarcinoma of the breast. Within 1–2 min after injection of I-131 MAA (11 mg of albumin or 0.219 mg/kg body weight) she complained of faintness, and became cyanotic, diaphoretic, and agitated, with distended neck veins. The pulse rate rose rapidly and blood pressure fell. The patient responded to oxygen therapy and returned to pre-scan status within several hours. The next day, however, she experienced a rise in temperature and increased dyspnea and died 26 hr after the lung scan. Microscopic examination of the lungs showed extensive occlusion of arteries and lymphatics with adenocarcinoma. The factors that linked the MAA dose to the cause of death were: (1) the degree of tumor embolization probably compromised the lungs’ ability to tolerate the dose of MAA; (2) the amount of albumin administered was among the largest doses used, due to low specific activity of the preparation; and (3) the particle size injected was larger than usual, with 74% being greater than 20 μm compared to the usual 34%. In the final analysis, it was stated that in cases as just described, the usual compensatory mechanisms (dilatation of vessels producing A-V shunts), which respond to embolic vascular occlusion, were probably already fully operational and therefore could not respond further to the additional occlusion caused by the MAA particles. Thus, it was concluded that the wide margin of safety reported for normal subjects was of questionable value in patients with significant pulmonary vascular complications. These suggestions followed: (1) limit the size of the dose to no more than 0.020 mg/kg; (2) use a high specific activity product, with particle size 10–50 μm; and (3) inject the dose slowly, e.g., over 2 min in patients with similar pathology while observing for increasing dyspnea, tachypnea, and cyanosis. In addition, it was suggested that the minimum amount of albumin compatible with an adequate lung scan should be determined. After this report others also appeared in the literature (8–10) linking suspected severe pulmonary pathology and the close association of MAA dose administration, patient symptoms, and death. In all of these reports the patients suffered from severe pulmonary hypertension; their underlying diseases had caused narrowing and occlusion of the pulmonary vessels. In each case, immediately following injection of the MAA dose, clinical deterioration occurred manifested by respiratory distress, cyanosis, hypertension, and eventual death. Each of these reports discussed the need in such cases to decrease the number of particles injected and to restrict their size below 50 μm, preferably in the 10–30 μm range. In response to these reported problems, several investigators embarked on the task of determining the ideal number of particles that would produce a satisfactory lung scan. In 1974 Heck and Duley (11) reported the results of their investigation to determine the number of particles of Tc-99m albumin microspheres (15–30 μm) required to provide satisfactory lung images. Their analysis demonstrated that increasing the number of counts, by increasing the collection time, did not improve image uniformity unless an adequate number of particles were present in the lungs. Spurious scan abnormalities (patchy scans) resulted when less than 15,000 particles were administered. When a dose containing 30,000 particles was injected, scan patchiness near the periphery of the lung was observed. This abnormal pattern was noted first in the periphery because this area of the lung has minimal tissue thickness. Further, since the total number of particles viewed by the detector was lowest in this region, the percent variability of particle distribution was greatest near the lung edge. Because of these results and the observation that a syringe may retain particles, particularly with small volume doses, a minimum of 60,000 microspheres was recommended for an adequate lung image. At the same time greater than 150,000 microspheres was determined to be unnecessary. In 1977 Dworkin (12) reported the results of a similar study that determined the effect of particle number on lung images with 10–50-μm sized particles of Tc-99m stannous MAA in dogs. The results confirmed the work of Heck and Duley and concluded that the minimum number of particles required for a satisfactory lung scan was 60 particles/g of lung or 60,000 particles/study if one assumes that the weight of the lungs in standard man is 1,000 g. The upper limit of 250,000 particles for a lung scan was suggested since little is to be gained above this number where the chances of toxicity are increased. The acute cardiopulmonary toxicity associated with injecting particles for lung scans has been studied in animals. Allen (13) investigated several physiologic variables in dogs following the injection of various sized doses of Tc-99m stannous MAA (30–50 μm). The most sensitive indication of a “toxic” effect was elevation in PAP. In all instances, a single dose of $1 \times 10^6$ particles (typical LSD) produced no detectable PAP change in the normal dog. No increases in PAP were observed until more than 60 LSDs had been injected; whereas 100–150 times the LSD routinely produced a 10–20% elevation and 1428 times the LSD produced death. If dogs with sustained elevated PAP caused by previous microembolization were given a single LSD, no further changes in PAP were noted except when the PAP was greater than 300% of normal. Apparently, this experiment was done to simulate conditions of giving an LSD to patients with pre-existing pulmonary hypertension. It was concluded that the usual human LSD produced no measurable effect in normal or abnormal dog. When extrapolated to man the minimum dose expected to increase the PAP was 125 times the LSD, which is substantially smaller than the safety factor of 1,000 times the LSD previously reported for I-131 MAA (3). The substantial reduction in safety factor for Tc-99m MAA may be due to its stannous ion content and the difference in chemical and physical properties compared to I-131 MAA. In a subsequent study Allen (14) evaluated the acute cardiopulmonary toxicity of microspheres using a similar experimental dog model. From this study it was shown that the toxicity of lung scanning radiopharmaceuticals was essentially the result of the numbers and sizes of particles injected. Thus, microspheres with mean diameter of 15.8 μm required 2,250 times the LSD to double the PAP; whereas microspheres of 115 μm diameter required only 15 times the LSD for the same response. This inverse relationship between particle size and acute toxic response is derived from the fact that larger particles block larger sized pulmonary arterioles, which are fewer in number in the lungs. Additional studies on particle size as it relates to safety in lung scanning were reported by Davis (15) who worked with microspheres in mice and rats. He demonstrated that the acute toxic response was not associated with nonbiodegradability of particles but was due solely to the occlusion of vessels by particles. Similar to the results of Allen, the safety factor was found to be inversely related to particle size. Davis determined the relationship between particle size and MLD in mice and rats. The MLD was the smallest dose that caused death. Based upon this MLD and an injected dose of 1 million microspheres/70-kg man, particles with mean diameters of 13.5, 28, 45.4 and 90.7 μm could have safety factors of 6,283, 1,663, 401, and 36, respectively. In other words, it would require about 401 lung scanning doses of 1 million microspheres 45.4 μm in diameter to cause death. Allen (14) found that the safety factor for similar sized microspheres was only about 150. His criterion was doubling the PAP, which is a more conservative measure of safety than the MLD and, therefore, 150 is a more realistic safety factor. If only 100,000 particles are injected these safety factors would be 10 times larger; this emphasizes why it is desirable to limit the number of particles administered to only that number that will give satisfactory lung scans, i.e., 100,000 to 150,000. While safety factors for 100,000 particles appear large, it must be emphasized that they are for normal lungs and must be considered with caution in patients with severe pulmonary disease. Thus, in patients with pulmonary hypertension only the minimum number of particles (60,000) is recommended if a lung scan is performed. In addition to patients with pulmonary hypertension, the pediatric patient requires special consideration. Heyman (16) makes note that a significant increase in the number of alveoli and pulmonary arteries occurs during the first few years of life, reaching adult levels at about 8 years of age. Further, the increase in alveolar development is 10–33% of adult values during the first year of life and up to 50% the adult number by 3 yr. He suggests limiting the number of particles to 50,000 in the newborn infant and 165,000 in children up to 1 yr. Under such circumstances Davis (17) describes a technique for preparing pediatric doses whereby excess particles from MAA kits are discarded while a number that can be radiolabeled with pertechnetate to achieve the desired concentration for pediatric doses is retained. In conclusion, several factors must be considered before a lung scanning dose of radiolabeled particles is administered to a patient. Most important are particle size and number and the patient’s condition. It appears that the minimum number of particles required for a satisfactory lung scan is 60,000 with a recommended maximum of about 250,000. Commercially available MAA kits contain the majority of particles in the 10–90 μm range but each kit varies considerably in its total number of particles. Thus, a protocol should be established in each department for the preparation of lung scanning doses based on the type of kit used, and the age and condition of the patient. It is strongly recommended that separate protocols be established for the preparation of lung scanning doses for normal adults, patients suspected of pulmonary hypertension, who should receive only the minimum number of particles, and pediatric patients, who should receive the appropriate fraction of the adult dose. RICHARD J. KOWALSKY University of North Carolina, School of Medicine Chapel Hill, North Carolina References 1. Iio M, Wagner HN Jr. Studies of reticuloendothelial system (RES) I. Measurement of the phagocytic capacity of the RES in man and dog. J Clin Invest 1963;42:417–26. 2. Taplin GV, Johnson DE, Dore EK, et al. Suspensions of radioalbumin aggregates for photoscanning in the liver, spleen, lung and other organs. J Nucl Med 1964;5:259–75. 3. Taplin GV, MacDonald NS. Radiochemistry of macroaggregated albumin and newer lung scanning agents. Semin Nucl Med 1971;1:132–52. 4. Wagner HN Jr, Sabiston DC Jr, Iio M, et al. Regional pulmonary blood flow in man by radioisotope scanning. JAMA 1964;187:601–3. 5. Gold WM, McCormack KR. Pulmonary-function response to radioisotope scanning of the lungs. JAMA 1966;197:146–48. 6. Davis MA. Particulate radiopharmaceuticals for pulmonary studies. In Radiopharmaceuticals, Subramanian G, Rhodes BA, Cooper JR, Sodd VI, eds. New York, Society of Nuclear Medicine, Inc., 1975: 267–81. 7. Dworkin HJ, Smith JR, Bull FE. A reaction following administration of macroaggregated albumin (MAA) for a lung scan. Am J Roentgen 1966;98:427–33. 8. Vincent WR, Goldberg SJ, Desilets D. Fatality immediately following rapid infusion of macroaggregates of Tc-99m albumin (MAA) for lung scan. Radiology 1968;91:1181–84. 9. Williams JO. Death following injection of lung scanning agent in a case of pulmonary hypertension. Br J Radiol 1974;47:61–3. 10. Child JS, Wolfe JD, Tashkin D, et al. Fatal lung scan in a case of pulmonary hypertension due to obliterative pulmonary vascular disease. Chest 1975;67:308–10. 11. Heck LL, Duley JW. Statistical considerations in lung imaging with Tc-99m albumin particles. Radiology 1974;113:675–9. 12. Dworkin HJ, Gutkowski RF, Porter W, et al. Effect of particle number on lung perfusion images. J Nucl Med 1977;18:260–2. 13. Allen DR, Nelp WB, Harrett DE, et al. Critical assessment of changes in the pulmonary circulation following injection of lung scanning agent (MAA). In Radiopharmaceuticals and Labeled Compounds, Vol II, Vienna, IAEA, 1973:37–42. 14. Allen DR, Ferens JM, Cheney FW, et al. Critical evaluation of acute cardiopulmonary toxicity of microspheres. J Nucl Med 1978;19:1204–8. 15. Davis MA, Taube RA. Pulmonary perfusion imaging: acute toxicity and safety factors as a function of particle size. J Nucl Med 1978;19:1209–13. 16. Heyman S. Toxicity and safety factors associated with lung perfusion studies with radiolabeled particles. Letter to the Editor. J Nucl Med 1979;20:1989–9. 17. Davis MA, Taube RA. Reply. Letter to the Editor. J Nucl Med 1979;20:1099.
\| CO-OPTED (10) \| LOCAL AUTHORITY (1) \| ASSOCIATE MEMBERS \| \|---------------\|---------------------\|-------------------\| \| Tony Burgess, Chair \| Matthew Kirk \| \| \| Gaby Thomas \| \| \| \| Liz Rattue \| \| \| \| Brenda Maragh \| \| \| \| Rosemary Partin* \| \| \| \| Maureen Ramsay \| \| \| \| Sandra Wallman \| \| \| \| Simone Paul \| \| \| \| Janet Grauberg \| \| \| \| STAFF (2) \| PARENTS (3) \| OTHERS PRESENT \| \|-----------\|-------------\|----------------\| \| Jeanette Lowe, CCfL Director \| Claire Turner \| Graham Watson - Clerk \| denotes Absence \| ITEM \| ACTION \| \|------\|--------\| \| 1 WELCOME AND APOLOGIES \| The Chair welcomed everyone to the meeting. He welcomed in particular Janet Grauberg, a new prospective co-opted governor. Apologies were received and accepted from Rosemary Partin. \| \| 2 DECLARATION OF INTERESTS IN RESPECT OF ITEMS ON THE AGENDA \| There were no declarations of interests in respect of items on the agenda. \| \| 3 MINUTES AND MATTERS ARISING FROM PREVIOUS MEETING HELD ON 9 OCTOBER 2018 (previously circulated) \| The minutes of the previous meeting held on 9 October 2018 were approved as a true and accurate record and would be signed by the Chair at the end of the meeting. There were no matters arising. \| \| 4 GOVERNANCE OF THE SCHOOL \| \| 4.1 To consider the appointment of Ms Janet Grauberg as a co-opted governor* The Chair introduced Ms Janet Grauberg, a prospective co-opted governor. Both he and the Director had interviewed Ms Grauberg and recommended to the Board that she be appointed as a co-opted governor. Ms Grauberg gave a brief account of her skills and experience and the reasons why she wished to become a governor at the school. Ms Grauberg was appointed unanimously to be a co-opted governor for a 4 year term. 4.2 To consider the reappointment of Tony Burgess, Gaby Thomas, Liz Rattue and Brenda Marash as co-opted governors The Chair reported that his term of office, and that of 3 other co-opted governors expired at the end of the month. He and the other 3 governors expressed a wish to be reappointed for a further 4 year term. This was agreed unanimously. 4.3 Governing Body Membership and vacancies (previously circulated) The Chair reported that there were currently 4 vacancies on the governing body, comprising 2 parent governors, one co-opted governor and a staff governor. The Clerk reported that the advice he had received from Camden was that, given the special position of CCIL, the total number of governors comprising the governing body (including vacancies) could be counted when calculating the ratio of governors employed at CCIL and the total number of governors on the Governing Body. 4.4 Terms of reference for FSP and CPSI Committees The Chair reported that the terms of reference of the FSP and CPSI Committees had been agreed by their respective committee and had been published on the school website. The terms of reference were agreed. 4.5 Nomination of a Careers Governor The Chair advised that it was necessary to appoint a Careers Link Governor. He proposed that, subject to her agreement, Ms Rosie Partin be appointed. This was agreed. It was also agreed that Maureen Ramsay be appointed SEND Link Governor. 4.6 Governor visits Autumn term, 2018 and future visits scheduled Governors reported on recent visits to the school. - Claire Turner visited the school to look at CPD and career progression. She will produce a written report shortly. - Matthew Kirk visited the multi-agency team and his written report was to follow. The meeting was useful for him as a new governor to increase his awareness of the range of the expertise being used at CCIL. - Simone Paul had looked at the Single Central Record and was pleased to report that all her recommendations had been applied. In the spring term she planned to visit the school support team and look at exclusions. - Sandra Wallman will be attending a parents meeting the next day. - The Director reported that the Careers Fair was being held at the KS4 site on 8 January from 9.30am to 12.30pm. Governors were encouraged to attend, as it would be a good opportunity to meet parents and members of the multi-agency team. - The Director also reported that the School Wine and Cheese event will be on Wednesday 19 December at the KS3 site from 4pm to 5.30pm. Governors were welcome. Preparation of questions for Spring term data report The Chair requested the views of governors regarding the formulation of questions on the Headteachers’ report. Governors agreed that it was useful in demonstrating challenge to the school leadership and providing a basis for discussion in the meeting. It was agreed that governors would prepare questions on the whole report, rather than assign sections to individual governors. This will be kept under review. It was also agreed that the Director would produce a glossary of acronyms used in the report. ‘Meet the Governors’ – CCfL website The Director reported that, further work was required on this, due to the significant changes in membership. She requested the recent governors to submit profiles and also photos if possible. ALTERNATIVE PROVISION – REPORT FROM KIRSTI BYRNE (previously circulated) The Director presented the Alternative Provision Programme Report for 2017-18. This was the first year of the Provision. The Alternative Provision Coordinator, Kirsti Byrne, apologised that she could not attend the meeting. The following points were highlighted: - The Director and Camden Secondary Heads were working on behalf of the local authority to find alternative pathways for disaffected students from mainstream education. The Programme was currently only for Y10 and Y11 students and all Camden secondary schools had bought into the provision. All providers were quality assured. - The Programme looked at 5 possible outcomes, i. Remaining within placement or education setting; ii. Attendance; iii. Attainment; iv. Progression Post 16; v. Parental and student satisfaction surveys. - There were currently more girls than boys on the Programme. This seemed mainly due to the tendency of more boys being excluded. Disaffected girls tended to disengage from education and therefore were potentially more suitable for the Programme. However, schools were looking at alternative pathways to exclusions and it was hoped the proportion of boys on the Programme will increase. - Out of the 18 students in Y11, 83% remained in their initial placement. Three placements broke down but all three students were transferred successfully to new placements. Overall attendance was 71%. This was below the Camden and national average. However, it was above the average for PRUs and alternative provision providers. One third of students took GCSEs with the remaining taking a range of functional vocational qualifications. All students, with one exception, achieved accreditation. This student progressed to Y12 and is currently on an apprenticeship course. Parental and student surveys currently show a high level of satisfaction with the Programme. Comments and questions were invited from governors. Q From the surveys there was evidence of some dissatisfaction. Did this come from particular students or was it directed at one individual provider? The dissatisfaction was not directed at a particular provider and was from a very small number of students. Q What happens if a student does not like a particular provider? Students were not transferred to a provider without their consent. Most students are transferred from school to a college. Q What was the previous alternative provision before the commencement of the Programme? Each school was responsible for seeking out provision and referring provision to them. The Alternative Provision Programme co-ordinates this process for all secondary schools to monitor quality of provision and improve outcomes for students. Q Was student data collected and analysed by individual schools before September 2017? Could this data be collated and analysed to show the current Programme is improving student outcomes? Any data collected was not done in a consistent way. There was little data collated on baseline assessment and analysis of outcomes. It was agreed that the Director would examine the data of each secondary school before September 2017 to show that outcomes for students was improving with the new Programme. Action Points Some areas for development include, - Increased support for students with poor attendance to improve overall attendance rates. Early identification of attendance issues and meet with providers to set targets and evaluation. - Review gaps in alternative education provision in order to plan for 2019-20. - Trial a new student engagement questionnaire to measure at the beginning of the programme and during the summer term, to ascertain if the programme had increased student engagement in their learning. - Design an information brochure on the Alternative Provision Programme for parents, young people and schools. - Liaise with Camden Secondary Heads to design a funding model for 2019-20 when schools forum funding will no longer be available and schools will be responsible for meeting full costs of the Programme if the current format was to continue beyond the 2 year pilot programme. Q How would the new funding be structured? The Director will submit to secondary heads an options paper in January for heads to decide how they wish to move forward. This will also be submitted to the full governing body meeting in the spring term. \| 6 \| SCHOOL IMPROVEMENT PLAN 2018-19 \| \|---\|--------------------------------\| \| \| Gaby Thomas and Liz Rattue presented a summary of work currently being carried out at CCfL to achieve overarching priorities. \| 6.1 Gaby tabled and presented a brief summary of work she had been carrying out in developing the skills of support staff. This involved encouraging self-development and awareness, and arranging appropriate training. The central thrust of the work was to assist support staff in self-evaluation in order for them to produce an action plan. It was hoped they would achieve a standard equivalent to a Higher Level Teaching Assistant. There were 4 areas of development. Supporting Student Learning; Supporting Student Emotional and Social Development; Supporting the Classroom Environment: Supporting the School Community. Objectives for each individual and their team are mapped out and specific training and workshops arranged to achieve the objectives. It was a big project but it was hoped to see the benefits in time. Governors were impressed with the project. Q Do support staff stay at CCfL or move on to other things? Some staff want to go into teaching and others want to go into other fields such as psychology. Most support staff stay at least 12 months. The Director added that she was very keen on support staff development, and a range of external training was available. 6.2 Liz Rattue gave a short presentation focusing on teaching and learning. With assistance from a Camden Adviser, she was carrying out an audit with the purpose of fine-tuning teaching to produce an assessment model which will improve student progress. The Strategy Team met once a fortnight. There were 3 main areas of focus. i. Review current assessment process with a view to improvement One of the main targets was to increase opportunities for independent learning by KS4 students. At the same time, it was important to move KS3 students away from an over reliance on adult support. ii. To embed Oracy; The target was to firmly embed Oracy at CCfL in particular to enable students to speak with confidence iii. To improve and develop the curriculum to make it more fit for purpose for CCfL. This would involve developing the curriculum to adapt to CCfL eg developing independent lifeskills and looking at animal husbandry. The school was looking to accredit all subjects offered by CCfL The needs of some students at CCfL were complex and needed to be catered for, especially the provision of life and social skills training. Precise planning for each student was essential to meet their individual needs. The Multi agency team was also closely involved in this work. Brenda Maragh left the meeting at 6.35pm \| 7 \| SAFEGUARDING UPDATE \| \|---\|---------------------\| \| \| The Director reported that she was updating the Child Protection Policy to reflect recent changes in legislation. The Policy will be published on the school website when finalised. The E-Safety declaration form was circulated for governors to sign. \| \| 8 \| REPORTS FROM COMMITTEES (previously circulated) \| \|---\|-----------------------------------------------\| \| 8.1 \| Curriculum, Pastoral, School Improvement Committee The Chair fed back on the meeting held on 20 November 2018. The following points were highlighted: - There was discussion on Employability Destinations. - The E-Safety and Safeguarding Policies were also discussed. \| \| 8.2 \| Finance, Staffing and Premises Committee Claire Turner reported back on the meeting held on 13th November 2018. The following points were highlighted: - Income was up slightly due to an increase in the school roll. - Staff pay progression was agreed and the School Pay Policy ratified. - Discussion of the Pupil Premium Grant was deferred until the next meeting in January. \| \| 9 \| HEALTH AND SAFETY \| \|---\|-------------------\| \| \| There were no health and safety issues to discuss. \| \| 10 \| IMPACT OF GOVERNING BODY \| \|----\|--------------------------\| \| \| - The first year of the Camden Alternative Provision Programme was reviewed. - The FS Committee agreed the staff salary progression for 2018-19. - The reports from the KS3 and KS4 headteachers were discussed. \| \| 11 \| ANY OTHER BUSINESS \| \|----\|--------------------\| \| \| There was no other business. \| \| 12 \| CONFIDENTIAL ITEMS \| \|----\|--------------------\| \| \| There were no confidential items. \| \| 13 \| DATE OF NEXT MEETING \| \|----\|----------------------\| \| \| The next full governing body meeting will be on Tuesday 5th February 2019 at KS3 School Harwood Street \| There being no further matters to discuss, the Chair thanked all for attending and the meeting was closed at 6.45pm. Signed: [Signature] Date: 5/2/2019 Tony Burgess, Chair of Camden’s Centre for Learning Governing Body
Avoiding invasive mechanical ventilation by extracorporeal carbon dioxide removal in patients failing noninvasive ventilation S. Kluge (✉) · S. A. Braune · A. Nierhaus · D. Frings · M. Metschke Department of Intensive Care Medicine, University Medical Centre Hamburg-Eppendorf, Martinistr. 52, 20246 Hamburg, Germany e-mail: email@example.com; firstname.lastname@example.org Tel.: +49-40-741057010 Fax: +49-40-741057020 K. Wegscheider Department of Medical Biometry and Epidemiology, University Medical Center Hamburg-Eppendorf, Hamburg, Germany Abstract Purpose: To evaluate whether extracorporeal carbon dioxide removal by means of a pumpless extracorporeal lung-assist (PECLA) device could be an effective and safe alternative to invasive mechanical ventilation in patients with chronic pulmonary disease and acute hypercapnic ventilatory failure not responding to noninvasive ventilation (NIV). Methods: In this multicentre, retrospective study, 21 PECLA patients were compared with respect to survival and procedural outcomes to 21 matched controls with conventional invasive mechanical ventilation. Matching criteria were underlying diagnosis, age, Simplified Acute Physiology Score II and pH at ICU admission. Results: Of the 21 patients treated with PECLA, 19 (90 %) did not require intubation. Median PaCO$_2$ levels and pH in arterial blood prior to PECLA were 84.0 mmHg (54.2–131.0) and 7.28 (7.10–7.41), respectively. Within 24 h, median PaCO$_2$ levels and pH had significantly improved to 52.1 (33.0–70.1; $p < 0.001$) and 7.44 (7.27–7.56; $p < 0.001$), respectively. Two major and seven minor bleeding complications related to the device occurred. Further complications were one pseudoaneurysm and one heparin-induced thrombocytopenia type 2. Compared to the matched control group, there was a trend toward a shorter hospital length of stay in the PECLA group (adjusted $p = 0.056$). There was no group difference in the 28-day (24 % vs. 19 %, adjusted $p = 0.845$) or 6-month mortality (33 % vs. 33 %). Conclusions: In this study the use of extracorporeal carbon dioxide removal allowed avoiding intubation and invasive mechanical ventilation in the majority of patients with acute on chronic respiratory failure not responding to NIV. Compared to conventional invasive ventilation, short- and long-term survivals were similar. Keywords Endotracheal intubation · Mechanical ventilation · Extracorporeal · Carbon dioxide removal · COPD · Hypercapnia · Acute respiratory failure Introduction Endotracheal intubation and subsequent mechanical ventilation are often a necessary and life-saving treatment for patients with severe respiratory failure. However, the side effects of the endotracheal tube, the invasive mechanical ventilation itself and the accompanying analgesodation may trigger a vicious cycle leading to prolonged weaning and may even contribute to mortality [1, 2]. The main underlying pathophysiological mechanisms are ventilator-associated pneumonia (VAP) and ventilator-induced lung injury (VILI) as well as a range of neurological disorders associated with prolonged analgesodation [3–5]. Despite the evidence that lung-protective ventilation can reduce the degree of lung injury and in turn morbidity and mortality in patients with acute respiratory distress syndrome (ARDS), avoiding invasive mechanical ventilation whenever possible is essential [6]. In selected populations, especially in patients with acute hypercapnic respiratory failure, noninvasive ventilation (NIV) is a well-established means to support the failing ventilatory pump and thus to avoid intubation and invasive mechanical ventilation [7, 8]. However, this approach often fails for a variety of reasons and is therefore followed by intubation and invasive mechanical ventilation. The prognosis of these patients depends on the severity of the chronic underlying respiratory disease. For example intubated patients with cystic fibrosis (CF) or advanced chronic obstructive pulmonary disease (COPD) have a poor prognosis [9, 10]. Extracorporeal technologies such as extracorporeal membrane oxygenation (ECMO) have been used for more than 30 years in patients with severe, life-threatening respiratory failure to improve gas exchange [11, 12]. However, its use is restricted to highly specialised centres because of invasiveness, complexity and costliness. More recently, minimally invasive extracorporeal devices for selective carbon dioxide removal have become available. So far, these have been used and studied in intubated and mechanically ventilated patients with ARDS to allow for more lung-protective ventilation [13–16]. To our knowledge, no study has yet been published that evaluates the use of a device for selective extracorporeal carbon dioxide removal in awake patients with acute hypercapnic respiratory failure in order to avoid endotracheal intubation. Therefore, the purpose of this matched case control study was to compare the feasibility, effectiveness and safety of a pumpless extracorporeal lung assist (PECLA) with conventional mechanical ventilation in patients with acute hypercapnic respiratory failure unresponsive to noninvasive ventilation. Methods Study design This observational study was conducted in four tertiary-level hospitals in Germany, comprising three university hospitals [Department of Intensive Care Medicine, University Medical Center Hamburg-Eppendorf; Department of Internal Medicine, Infectious Diseases and Respiratory Medicine, Charité-Universitätsmedizin Berlin; Department of Medicine III, University of Halle (Saale)] and one, large university-affiliated hospital (Department of Cardiology and Intensive Care, Klinikum Bogenhausen, Munich). All centres have an established record of treating critically ill patients with acute respiratory insufficiency and have considerable experience with NIV and extracorporeal lung-assist devices. The data were analysed retrospectively. The institutional review boards of all participating centres approved anonymised data collection and analyses. All patients or their legal representatives had given informed consent to treatment with the PECLA at the time of intervention. PECLA patients All non-intubated patients who were treated with PECLA for acute hypercapnic respiratory failure between 1 January 2007 and 31 December 2010 were included. All patients initially received standard treatment including NIV, antibiotic and bronchodilator therapy, nutritional support and physiotherapy, according to international guidelines [17, 18]. Criteria for initiation of NIV were respiratory acidosis (pH < 7.35) and/or clinical signs of ventilatory pump failure in patients with chronic pulmonary disease. Criteria for failure of NIV and intubation were (1) worsening respiratory acidosis, (2) worsening oxygenation, (3) increasing respiratory rate, and (4) clinical signs suggestive of respiratory muscle fatigue and/or increased work of breathing. The decision to use a PECLA in these patients was always made by at least two senior intensivists. These procedures were applied in patients with potentially reversible respiratory failure when endotracheal intubation carried a high risk of secondary complications because of prolonged invasive mechanical ventilation. Pumpless extracorporeal lung assist (PECLA) The device used for extracorporeal carbon dioxide removal was a pumpless, percutaneous extracorporeal lung assist (interventional lung assist; iLA®, Novalung GmbH, Heilbronn, Germany). In brief, the cannulas are inserted under local anaesthesia without sedation in the femoral artery and vein by means of the Seldinger technique. Technical details and procedures are presented in the electronic supplementary material and have been described previously [13, 4]. For weaning of the device the sweep gas flow is reduced stepwise under close monitoring of blood gases and respiration of the patient. Finally, when a sweep gas flow of only 1 l/min is reached and respiratory parameters remain stable, the cannulas are removed manually, followed by compression of the insertion site. All patients received anticoagulation with heparin to achieve a mild prolongation of the activated partial thromboplastin time (45–55 s). Controls Controls were patients who had been admitted with acute hypercapnic respiratory failure and were treated with invasive mechanical ventilation after failing NIV. All controls were selected from a large database of patients who had been admitted during the study period to the Department of Intensive Care Medicine at the University Medical Center Hamburg-Eppendorf. The Department consists of ten intensive care units with 120 beds and serves all specialities of adult intensive care medicine. We compared the PECLA patients with cases matched 1:1 based on the following criteria: (1) underlying diagnosis; (2) age ± 10 years; (3) simplified acute physiology score (SAPS) II, assessed within the first 24 h after ICU admission, ± 6 points; (4) pH ± 0.05 before PECLA or intubation. If more than one match was available, a random selection was done. All control patients received analgesodation with continuous infusion of propofol and sufentanil, and underwent daily awakening and spontaneous breathing trials for ventilatory weaning according to the centre’s clinical protocols. Data collection All data were routine clinical data, retrospectively collected and anonymised from medical records. Aspects covered were: demographics, admission diagnoses, discharge diagnoses, length of stay in the intensive care unit (ICU) and hospital, diagnostic procedures and treatment, reason for and duration of noninvasive or invasive mechanical ventilation, ventilator settings, vital signs, laboratory values, and arterial blood gases before and after initiation of the PECLA. Survival data were obtained from records and/or telephone follow-up. Adverse events associated with the PECLA were also recorded. Statistical Analysis The software used for analyses of data was SigmaPlot for Windows, version 11.0 (SyStat Software, Inc., Chicago, IL, USA), SPSS 18.0 (IBM® SPSS® Statistics Version 19) or STATA 12.0 (StataCorp, College Station, TX, USA). To increase the statistical robustness with regards to the relatively small numbers of cases all quantitative findings are presented as medians (with range), irrespective of scale and distribution. Pre-post PECLA changes in the three main ventilatory physiological parameters arterial partial pressure of carbon dioxide (PaCO$_2$), arterial pH (pH) and respiratory rate (RR) were tested for significant differences between two predefined time intervals: before and 21–24 h after implementation of PECLA. Exact Wilcoxon rank-sum tests were used for non-parametric changes with time and comparisons of matched samples. In order to adjust for residual baseline differences and to increase the power of the analyses, outcomes were additionally analysed applying mixed logistic regression models with baseline covariates as fixed and pairs as random effects or Cox regression models with baseline covariates as regressors and with pairs as shared frailties. Two-sided $p < 0.05$ values were considered significant. Results Baseline patient characteristics Between 1 January 2007 and 31 December 2010, a total of 21 non-intubated patients received a PECLA. All patients had hypercapnic ventilatory pump failure and were started on NIV after admission to the ICU. At the time of implementation of the PECLA, all patients had failed NIV and had a clear indication for endotracheal intubation. The reasons for NIV failure were variable and in some cases multiple. In 18 cases (86 %), hypercapnia was refractory to NIV despite optimising noninvasive ventilatory settings; four patients (19 %) did not tolerate NIV and became progressively noncompliant; in 11 patients (52 %) clinical signs of respiratory muscle fatigue set in despite continuous and prolonged NIV. The median score on the Glasgow Coma Scale (GCS) on ICU admission was 14 (5–15); this fell to 11 (5–15) before initiation of the PECLA. The main cause of respiratory insufficiency refractory to NIV was acute exacerbation of severe COPD ($n = 14$). Figure 1 shows a flowchart of all patients admitted to the ICU at the University Medical Center Hamburg-Eppendorf with this primary diagnosis. Nine of the 21 patients (43 %) were listed for and awaiting lung transplant. Two patients (10 %) had expressed a clear desire not to be intubated under any circumstances. These 21 patients were matched with 21 controls. Complete matching was possible for all predefined criteria. The matching variables and baseline patient characteristics are shown in Table 1; a detailed list of all comorbidities is presented in the electronic supplementary material (Table 1 ESM). Intubation rate in the PECLA group Nineteen out of 21 patients (90 %) did not require intubation for respiratory failure after initiation of the PECLA. Of the two intubated patients (10 %), one patient with an acute exacerbation of COPD developed upper airway obstruction with subsequent hypoxaemia on the first day on PECLA. She subsequently developed multi-organ failure and died on the ventilator 21 days after ICU admission. The second patient had received a lung transplant 19 years earlier and was admitted with pneumonia under immunosuppression. He required intubation after the PECLA cannulas had to be removed because of major local bleeding on day 5. He then developed multiorgan failure and died on the ventilator 52 days after ICU admission. Clinical course and outcomes The median duration of PECLA support and mechanical ventilation in the PECLA group was 9 days (range 1–116); the median duration of mechanical ventilation in the control group was 21 days (range 1–47; $ p = 0.944 $). Table 2 in the electronic supplementary material gives technical details regarding the PECLA cannulas and number of membrane replacements. Tracheostomy rates differed significantly ($ p = 0.004 $) between the PECLA group (10 %) and the control group (67 %). Patients with PECLA had a shorter median ICU (15 vs. 30 days) and hospital stay (23 vs. 42 days) than the patients with invasive mechanical ventilation. There was a trend towards a shorter length of hospital stay, but this did not reach statistical significance (adjusted ### Table 1 Comparison of matching criteria and patient characteristics between the PECLA group and the mechanical ventilation (control) group \| Matching criteria \| PECLA group ($ n = 21 $) \| MV group ($ n = 21 $) \| $ p $-value \| \|-------------------\|----------------------------\|------------------------\|--------------\| \| 1. Underlying diagnosis \| \| \| \| \| COPD (GOLD stage IV) \| 14 (66.7) \| 14 (66.7) \| 1 \| \| Cystic fibrosis \| 2 (9.5) \| 2 (9.5) \| 1 \| \| Pulmonary GvHD \| 2 (9.5) \| 2 (9.5) \| 1 \| \| Pulmonary fibrosis \| 1 (4.8) \| 1 (4.8) \| 1 \| \| Bronchial asthma \| 1 (4.8) \| 1 (4.8) \| 1 \| \| Pneumonia post lung transplant \| 1 (4.8) \| 1 (4.8) \| 1 \| \| 2. Age (years) \| 58 (27–80) \| 58 (23–79) \| 0.488 \| \| 3. SAPS II score \| 39 (22–66) \| 40 (28–60) \| 0.183 \| \| 4. pH before PECLA/MV \| 7.28 (7.10–7.41) \| 7.27 (7.11–7.42) \| 0.587 \| \| Baseline characteristics \| \| \| \| \| Gender, female (%) \| 11 (52) \| 12 (57) \| 1 \| \| PaO$_2$/FiO$_2$ before PECLA/MV \| 208 (153–396) \| 179 (113–591) \| 0.320 \| \| PaCO$_2$ before PECLA/MV \| 84.0 (54.2–131.0) \| 65.0 (39.2–108.0) \| 0.001 \| \| Respiratory rate (/min) PECLA/MV \| 27 (15–36) \| 27 (12–45) \| 0.185 \| \| Ventilatory parameters (NIV) \| \| \| \| \| Inspiratory pressure (mbar) \| 20 (12–24) \| 18 (11–27) \| 0.332 \| \| PEEP (mbar) \| 5 (2–9) \| 5 (4–8) \| 0.116 \| \| Tidal volume (ml) \| 366 (250–816) \| 352 (200–621) \| 0.486 \| \| Minute volume (/l/min) \| 9.5 (5.1–13.2) \| 7.7 (4.8–20) \| 0.141 \| \| Duration of NIV prior to PECLA or MV (h) \| 7 (2–127) \| 7 (1–216) \| 0.249 \| Values given as median (range) or number (%). PECLA pumpless extracorporeal lung assist, MV invasive mechanical ventilation, GOLD Global Initiative for Chronic Obstructive Lung Disease, GvHD graft-versus-host disease, SAPS Simplified acute physiology score, PEEP positive end-expiratory pressure, NIV noninvasive ventilation Table 2 Comparison of outcomes between the PECLA group and the mechanical ventilation group \| Outcome \| PECLA group (n = 21) \| MV group (n = 21) \| p value \| p value* \| \|----------------------------------------------\|----------------------\|-------------------\|-----------\|----------\| \| Intubation, n (%) \| 2 (10) \| 21 (100) \| <0.001 \| <0.001 \| \| 28-day mortality, n (%) \| 5 (24) \| 4 (19) \| 1 \| 0.845 \| \| 6-month mortality, n (%) \| 7 (33) \| 7 (33) \| 1 \| 0.897 \| \| Time on PECLA/MV (days) \| 9 (1–16) \| 21 (1–47) \| 0.944 \| 0.944 \| \| Length of ICU stay (days) \| 15 (4–137) \| 30 (4–66) \| 0.577 \| 0.263 \| \| Length of hospital stay (days) \| 23 (4–137) \| 42 (4–248) \| 0.342 \| 0.056 \| \| Tracheostomy, n (%) \| 2 (10) \| 14 (67) \| 0.004 \| 0.004 \| Values given as median (range) or no (%). PECLA pumpless extracorporeal lung assist, MV mechanical ventilation Adjusted for baseline characteristics of patients (Table 1) p = 0.056). There was no difference in 28-day (24 % vs. 19 %) or 6-month mortality (33 % vs. 33 %) between the two groups (Table 2). Physiological changes post PECLA Median values for PaCO₂, pH, arterial partial pressure for oxygen (PaO₂), arterial O₂-saturation (O₂-Sat), and the PaO₂/FIO₂ ratio as well as the respiratory rate (RR) from the time of ICU admission until 7 days after implantation of the PECLA are displayed in the electronic supplementary material (Table 3 ESM). Changes of the three main ventilatory physiological parameters PaCO₂, pH and RR from ICU admission until 24 h after PECLA start are displayed in more detail in Fig. 2. Changes in all three parameters from pre-PECLA to 21–24 h post-PECLA were significant (p < 0.001). Complications There were no immediate complications attributed to the implantation of the device. The haemodynamic state was not significantly altered with the institution of the PECLA. Two major and seven minor bleeding complications occurred during the course of the PECLA treatment. In one patient, a major bleed at the insertion site on day 7 required bedside surgical repair. In the second patient, bleeding led to removal of the cannulas on day 5 and to subsequent intubation and invasive mechanical ventilation. One patient developed a pseudoaneurysm of the... femoral artery and another patient developed a heparin-induced thrombocytopenia type 2. Discussion In our study the application of a pumpless extracorporeal lung-assist (PECLA) device prevented intubation in the majority of patients with acute hypercapnic respiratory failure who were not responding to NIV. Compared to the matched control group who received invasive mechanical ventilation, there was a trend to a shorter hospital length of stay. The ICU length of stay and the overall survival rate did not differ significantly. To our knowledge, this is the first study addressing the feasibility, effectiveness and safety of selective extracorporeal carbon dioxide removal in patients with hypercapnic respiratory failure to avoid intubation and invasive mechanical ventilation. Until now, extracorporeal carbon dioxide removal devices have been used almost exclusively to enable lung-protective ventilation in patients who are already intubated and mechanically ventilated. Only a few case reports have described their use in spontaneously breathing patients, nearly all in patients on waiting lists for lung transplantation [19, 20]. Crotti et al. reported the case of a patient with an acute hypercapnic exacerbation of COPD failing NIV who was successfully treated with a pump-driven venovenous extracorporeal system to avoid intubation [21]. Fuehner et al. recently presented a retrospective study evaluating the use of ECMO in awake patients with right heart failure or terminal respiratory failure, mostly with severe hypoxaemia, as a bridge to lung transplantation [22]. Twenty of 26 patients were bridged to lung transplantation with the extracorporeal device. Despite these encouraging results, the authors stated that since ECMO is associated with serious complications, it should be used only in experienced centres. In contrast to this study, the majority of our patients had severe COPD, and only a few patients were listed for lung transplantation. These results emphasise the potential value of using an extracorporeal lung-assist device in selected patients [23]. In our study, 14 of the 21 patients were experiencing acute hypercapnic respiratory failure because of acute exacerbations of severe COPD. It is well known that patients with severe chronic lung disease such as advanced COPD or cystic fibrosis when intubated and invasively mechanically ventilated are often difficult to wean, have a prolonged ICU stay and a high mortality [9, 10]. In particular, this is true for patients listed for lung transplantation or undergoing haematopoietic stem cell transplantation [24, 25]. Extracorporeal carbon dioxide removal can avoid the drawbacks and complications associated with intubation, sedation and prolonged mechanical ventilation, allowing patients to breath spontaneously, to communicate, to eat and drink, as well as to receive active physiotherapy (Fig. 3). The basic concept of extracorporeal carbon dioxide removal can be seen from the original description of extracorporeal membrane oxygenation (ECMO), which appeared in the clinical setting more than 30 years ago. At that time, Hill et al. were the first to report the successful use of extracorporeal circulation to treat acute hypoxaemic respiratory failure in an adult patient [11]. In 1977, Kolo-bow and Gattinoni described a technique of extracorporeal removal of carbon dioxide through an extracorporeal membrane. They found that pulmonary ventilation could be supported by extracorporeal carbon dioxide removal [26, 27]. However, the high incidence of side effects, the complexity and the costs involved limited the use of this strategy. Technological improvements led to the development of minimally invasive and highly effective devices for extracorporeal carbon dioxide removal that caused relatively few side effects. Such devices include the single use, pumpless interventional lung assist used in our study (iLA®; Novalung GmbH, Heilbronn, Germany) and the decapneization system Decap® (Hemodec, Salerno, Italy) [14, 15]. Of course, the limitations and side effects of a pumpless extracorporeal lung assist need to be discussed. First, because the PECLA is a pumpless device, a cardiac index greater than 3 l/min/m² and a mean arterial pressure above 70 mmHg are necessary to allow for the circulatory tolerance of an artificial arterio-venous shunt of up to 25% of cardiac output. Second, the arterial cannulation can cause vascular complications. Episodes of lower limb ischaemia from arterial cannulation were frequently observed in the early period after introduction of the PECLA when large (17–19 French) cannulas were used. Fig. 3 Spontaneously breathing patient with an acute exacerbation of COPD receiving ventilatory support from a PECLA. The venous cannula is inserted in the right femoral vein, and the arterial cannula is placed in the left femoral artery (the patient gave consent for publication of this picture) [14]. Subsequent studies with smaller arterial cannulas (13–15 French) have had lower complication rates [16, 28]. In our series of 21 patients there were two major device-related complications, both related to local bleeding. Major complications related to lower limb ischaemia, haemolysis or thromboembolic problems were not observed. Pump-driven venovenous low-flow devices for extracorporeal CO$_2$ removal may overcome some of the vascular and haemodynamic limitations of a pumpless system, albeit being potentially more susceptible to technical failure because of their higher technological complexity. Our study has some methodological limitations. First, the interpretation of the results is limited by the design. Due to the retrospective nature of the study, data for short- and long-term side effects of ventilator-associated and analgesodation-associated complications are lacking. The relatively small number of patients reduces the power of the study with respect to an alpha error, not detecting a potential true difference of outcomes between the two strategies. Despite all efforts of matching, the PECLA-patients had significantly worse respiratory failure with respect to hypercapnia than the controls. Additionally, 9 of the 21 patients (43 %) in the PECLA group were listed for and awaiting a lung transplant, as opposed to none in the control group. Second, although all patients were treated as part of routine care, it needs to be emphasised that this treatment took place in expert centres. Therefore, the results may not be generalisable to other centres. For almost 60 years now, mechanical ventilation has been used as a standard treatment procedure for patients with respiratory insufficiency [29]. We describe a novel approach in which an extracorporeal device replaces intubation and invasive mechanical ventilation in selected patients with acute hypercapnic respiratory failure. This approach would carry the modern concept of lung-protective ventilation to the next level, beyond the use of a ventilator. Further evaluation of technological innovations and improvements in extracorporeal lung support might be key for a substantial change in the management of acute hypercapnic respiratory failure. These novel extracorporeal devices may have the potential to become a regular therapeutic option for selected patients with acute respiratory failure who fail NIV, and may avoid the excess morbidity and mortality associated with intubation and invasive mechanical ventilation [30–32]. Conclusion The results of our preliminary study suggest that the preemptive application of extracorporeal carbon dioxide removal is a feasible therapeutic option to prevent intubation and invasive mechanical ventilation in selected patients with episodes of acute hypercapnic respiratory failure. Larger, prospective, randomised trials on the efficacy, effectiveness and efficiency are needed to further evaluate this new strategy. Conflicts of interest AN, ME and SR have received lecture honoraria from Novalung GmbH, Heilbronn, Germany. SK is a member of the advisory board of Novalung GmbH and therefore has received advisor honoraria. All other authors declare that they have no conflicts of interest. References 1. Esteban A, Anzueto A, Frutos F, Alia I, Brochard L, Stewart TE, Benito S, Epstein SK, Apezteguia C, Nightingale P, Arroliga AC, Tobin MJ (2002) Characteristics and outcomes in adult patients receiving mechanical ventilation: a 28-day international study. JAMA 287:345–355 2. 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Using Machine Learning Algorithms to Forecast the Sap Flow of Cherry Tomatoes in a Greenhouse AMORA AMIR\textsuperscript{1}, MARYA BUTT\textsuperscript{2}, AND OLAF VAN KOOTEN\textsuperscript{1,3} \textsuperscript{1}Research and Innovation Centre Techniek, Ontwerpen en Informatica, Inholland University of Applied Sciences, 2628 AL Delft, The Netherlands \textsuperscript{2}Research and Innovation Centre Techniek, Ontwerpen en Informatica, Inholland University of Applied Sciences, 2015 CE Haarlem, The Netherlands \textsuperscript{3}Horticultural Production Chains Group, Department of Plant Sciences, Wageningen University & Research, 6708 PB Wageningen, The Netherlands Corresponding author: Amora Amir (email@example.com) This work was supported in part by the European Funds for Regionale Ontwikkeling (EFRO) EVERGREEN Greenport Noord-Holland Noord under Project 3355 EFRO Evergreen, in part by Kansen voor West under Project KVW-00052, and in part by the EFRO Fieldlab Vertical Farming under Project A1411. ABSTRACT The sap flow of plants directly indicates their water requirements and provides farmers with a good understanding of a plant’s water consumption. Water management can be improved based on this information. This study focuses on forecasting tomato sap flow in relation to various climate and irrigation variables. The proposed study utilizes different machine learning (ML) techniques, including linear regression (LR), least absolute shrinkage and selection operator (LASSO), elastic net regression (ENR), support vector regression (SVR), random forest (RF), gradient boosting (GB) and decision tree (DT). The forecasting performance of different ML techniques is evaluated. The results show that RF offers the best performance in predicting sap flow. SVR performs poorly in this study. Given water/m$^2$, room temperature, given water EC, humidity and plant temperature are the best predictors of sap flow. The data are obtained from the Ideal Lab greenhouse, in the Netherlands, in the framework of the European Funds for Regionale Ontwikkeling (EFRO) EVERGREEN Greenport Noord Holland Noord project (2018-2020). INDEX TERMS Sap flow, tomato, future forecasting, machine learning, feature importance, hyperparameters, adjusted $R^2$. I. INTRODUCTION In alignment with artificial intelligence (AI) and big data technology, machine learning (ML) introduces new opportunities to unravel, measure, mine and understand the hidden patterns of data processes in dynamic and static environments [1]. ML is defined as the scientific field of statistical techniques that confers machines with the ability to learn from a series of input and output examples. ML is applied in many scientific fields, for example, bioinformatics, medicine, finance and economic sciences, robotics and vision engineering, sentiment analysis of social media, agriculture, climatology and food security. One important use of ML is predicting possible factors that influence crop management, specifically yield forecasting, crop growth forecasting, health prediction, decision making and crop mapping [2]. ML has potential to address existing and future challenges in agriculture by means of massive volumes of data containing a wide variety of indicators that can be captured, analyzed, processed and used for decision making. It is essential to gather data from various sources when making predictive decisions e.g., preventing crop loss and increasing yield while minimizing the use of resources. Many studies have investigated applications of ML in agriculture. Kaul \textit{et al.} [3] applied artificial neural networks for highly accurate corn and soybean yield prediction. Logan \textit{et al.} [4] applied generalized linear model (GLM), Bayesian additive regression tree (BART), and classification and regression tree (CART) methods together to utilize the high predictive power to achieve efficacy in the decision-making process with respect to Royal Gala apples. In another study, Delgado \textit{et al.} [5] adapted a fuzzy logic information network and a decision-support system to address imprecision and inaccuracy for effective decision making in olive cultivation. Furthermore, Utkarsha \textit{et al.} [6] focused on clustering ML for crop growth prediction, while Jing-Xian \textit{et al.} [7] performed regression supervised learning to forecast sugarcane yield. This study aims to predict sap flow in cherry tomatoes. Currently, automated irrigation systems are commonly used in greenhouses. In contrast to the manual effort required to water plants, farmers need only one person to control the computer. The amount of the water to be given is determined by solar radiation. However, with the use of new technologies, the current irrigation strategy does not meet the required accuracy for greenhouse applications. According to Sutton and Barto [8], the water given to plants based on solar radiation might be wasted by the low water storage capacity substrate (Rockwool), which contradicts the energy-saving strategy and might cause declines in production and quality. Sap flow sensors make the water requirements of plants more obvious, accurate and direct. In contrast to the mass-balance technique to check plant water uptake, the sap flow sensor provides real-time data [9] and shows precise changes in water use in response to different environmental conditions. For commercial purposes, such sensors can help farmers to improve or adjust their water management strategy, as according to Gimenez et al. [10], sap flow can be used as an indicator of a plant’s water status. Sap flow sensors are commonly used in forestry and vine production for research and commercial purposes and have even been adopted in the orchid industry. However, there is a gap in the use of sensors for edible herbaceous plants. Some features of cherry tomato plants make them good research objects. Tomato plants are perennials that are grown throughout the entire year in greenhouses, which provides a long time for research. Moreover, tomato plants have strong and thick stems, which simplify sensor installation [8]. Another motivation of this study is to avoid water drainage or loss, which is directly proportional to the amount of given water. We can prevent excessive drainage or loss by providing only the required amount of water to the plant. To contribute to the application of sap flow information, this study attempts to predict tomato sap flow based on multiple variables using ML algorithms. Three categories of variables are considered in this study: climate data, irrigation data, and sap flow data. These data were collected from the Ideal Lab greenhouse [11] in Naaldwijk, the Netherlands. To achieve optimum monitoring, various sensors with actuators are installed on and around the tomato plants in our experimental greenhouse lab. The sensors on the plant provide information about sap flow. In addition, sensors are installed in the greenhouse to obtain (big) data about the conditions within the greenhouse: for example, climate sensors for measuring temperature, humidity, sunlight and irrigation water supply. Moreover, sensors in the substrate mat continuously measure mat weight and the pH and electrical conductance (EC) of water. The forecasting problem in this study is considered as a regression problem, and ML regression models, such as linear regression (LR), least absolute shrinkage and selection operator (LASSO), elastic net regression (ENR), support vector regression (SVR), random forest (RF), gradient boosting (GB) and decision tree (DT), are used to predict sap flow. The models are trained using the climate, irrigation and sap flow datasets provided by Ideal Lab greenhouse in Naaldwijk, the Netherlands. The dataset is divided into a training set, including 80% of the records, and a test set, with the remaining 20%, and the R-squared score ($R^2$), adjusted R-squared score (adjusted $R^2$), mean square error (MSE), root mean square error (RMSE) and mean absolute error (MAE) are used as performance metrics. The key findings of this study are listed as follows: - RF offers the best sap flow prediction capability with the highest $R^2$ value of 81% (approx.) and an MSE of 0.25. - Given water/m$^2$, room temperature, given water EC, humidity and plant temperature are the best predictors. This paper is divided into five sections. Section I describes the background and goals of this study; in Section II, the materials and methods are described. The methodology is presented in Section III. Section IV presents the results and discussion of the results, including figures and tables. Finally, Section V concludes this paper. II. MATERIALS AND METHODS A. DATASET A cherry tomato variety is used in this project. Tomato plants were grown in the Ideal Lab greenhouse (length: 12.50 m, width: 6.50 m; height: 6 m) located at the World Horti Center, Naaldwijk, the Netherlands [11]. The seedlings (16 cm) were provided by Axia Vegetable Seeds company [12] and were grafted onto rootstocks (Maxifor, provided by Rijk Zwaan) on 8th November 2018 [13]. Rockwool slabs were provided by Grodan’ GT Master [14]. Artificial light was applied between 7:00 am and 6:00 pm each day, the average day temperature inside the greenhouse was 23 °C, the average night temperature was 17 °C, the CO$_2$ application was 533 ppm, and the irrigation system applied water at a rate of 0.5 L/m$^2$ on average. These amounts can be adjusted to meet the Dutch cultivation strategy depending on the weather outside the greenhouse. A total of 364 records from 12 samples of cherry tomato plants were considered. 1) CLIMATE AND IRRIGATION DATASETS The climate dataset includes the room temperature, air humidity, carbon dioxide (CO$_2$), outside radiation, air density, outside temperature, outside air humidity, outside air density, wind speed and plant temperature. The irrigation dataset consists of given water EC, given water pH, given water/m$^2$, drained water EC, drained water amount, and absorbed water amount. All these data were monitored and recorded automatically via the Priva [15] climate system on a daily basis. 2) SAP FLOW DATASET The sap flow dataset was recorded using Dynagage SF sensors provided by 2GROW [16]. The sap flow rate was recorded every 2.5 seconds. One sensor was installed on tomato plant, and data were monitored and recorded automatically for the entire project period. The data are presented visually using the Phytosense software package of 2GROW [17]. Data samples from each dataset are shown in Tables 1, 2, and 3. The variables selected for inclusion in the study are as follows: - Room temperature - Air humidity - Carbon dioxide (CO₂) - Plant temperature - Given water EC - Given water pH - Given water/m² - Drained water amount - Sap flow ### B. SUPERVISED MACHINE LEARNING MODELS The purpose of this study is to construct models to predict sap flow based on input predictors: seven supervised ML methods are considered in this study. 1) LINEAR REGRESSION LR is a supervised ML algorithm [18] based on independent and dependent variables. According to the number of variables, LR can be categorized as simple LR or multiple LR, as shown in the following equations. The goal of LR is to identify the best combination of weight (w) and bias (b) that leads to the lowest cost (J). \[ f(x) = wx + b \tag{1} \] Or \[ J = \frac{1}{n} \sum_{i=1}^{n} (f(x_i) - y_i)^2 \tag{2} \] $ J $ is the cost function, $ f(x_i) $ is the predicted value, and $ y_i $ is the actual value. 2) LEAST ABSOLUTE SHRINKAGE AND SELECTION OPERATOR LASSO is an LR regression technique [19] that performs well in cases of high multicollinearity and sparse models [20]. In contrast to normal multiple LR, LASSO performs automatic selection among the predictors. The goal of LASSO is to minimize a coefficient, i.e., to minimize (sum of squared residuals + $ \lambda^\|slope\| $). The equation is shown below. \[ \sum_{i=1}^{n} (y_i - \sum_{j} x_{ij}\beta_j)^2 + \lambda \sum_{j=1}^{p} \|\beta_j\| \tag{3} \] $ \lambda $ is the shrinkage. When $ \lambda $ equals 0, the estimate is the same as that from LR. 3) ELASTIC NET REGRESSION* ENR is a regularized regression algorithm that combines LASSO and ridge regression [21]. The estimates for ENR are the minima (sum of the squared residuals + $ \lambda^\|slope\| + \lambda^\|slope^2\| $). ENR addresses the disadvantage of LASSO by removing the limitation on the number of selected variables. The equation is shown below. \[ \sum_{i=1}^{n} (y_i - \sum_{j} x_{ij}\beta_j)^2 + \lambda \sum_{j=1}^{p} \|\beta_j\| + \lambda \sum_{j=1}^{p} \|\beta_j\|^2 \tag{4} \] 4) SUPPORT VECTOR REGRESSION SVR is widely used in classification problems in ML [22]. A line, also called a hyperplane, is constructed to separate the training data in N dimensions. Multiple hyperplanes can be used to classify the data. The hyperplane with the best performance is the one that achieves the largest separation. Subsequently, the regression is performed based on the hyperplanes. The equation of SVR is as follows: \[ f(x) = x' \beta + b \tag{5} \] 5) RANDOM FOREST RF is a supervised ML algorithm that is used for classification and regression tasks [23]. RF is an ensemble of multiple regressions, where multiple DT regressions are performed in a parallel manner. The result aggregates many DTs into a single ensemble regression via voting or by taking the mean value of different DTs. The goal of RF is to perform forecasting based on the regression trees. 6) GRADIENT BOOSTING GB converts weak learners into strong learners [24], typically starting with a DT model. GB builds upon a previous model by adding another DT. If the new DT does not correlate with the previous forecasting system, it will be selected out. The final prediction is the weighted sum of the previous predictions. 7) DECISION TREE DT builds regression models in a tree structure and uses a set of binary rules to calculate a target value [25]. The model can be trained to fit any historical data and to learn any relationships between data and variables. C. EVALUATION PARAMETERS The performance of each model was evaluated in terms of the R-squared (R²) score, adjusted R-squared (adjusted R²) score, mean square error (MSE), root mean square error (RMSE) and mean absolute error (MAE). 1) R-SQUARED SCORE The R-squared score represents the performance of the regression model [26]. When R² is less than 0, the model has no value. When it is equal to 0, the predicted value is equal to the mean value of the dependent variable. When it is equal to 1, the model performs the best. The value of R² score ∈ (0, 1); the higher the R² score is, the better the performance of the model. \[ R^2 = 1 - \frac{\sum(y_i - \hat{y})^2}{\sum(y_i - \bar{y})^2} \] (6) 2) ADJUSTED R-SQUARED SCORE Adjusted R² can avoid the over-feeding data problem, which leads to a continuously increasing R² score [27]. When useless variables are added to the model, the adjusted R² decreases. \[ R_{adj}^2 = 1 - \left[ \frac{(1 - R^2)(n - 1)}{n - k - 1} \right] \] (7) 3) MEAN SQUARE ERROR (MSE) Mean square error is the average of the squared error [28]. The smaller the MSE value is, the better the performance of the model. \[ MSE = \frac{1}{N} \sum_{i=1}^{N} (y_i - \hat{y})^2 \] (8) 4) ROOT MEAN SQUARE ERROR (RMSE) RMSE is the square root of the mean square error [29]. The equation is shown below. \[ RMSE = \sqrt{MSE} = \sqrt{\frac{1}{N} \sum_{i=1}^{N} (y_i - \hat{y})^2} \] (9) 5) MEAN ABSOLUTE ERROR (MAE) MAE is the average of all the absolute errors between the predicted values and actual values [30]. The smaller the absolute error is, the lower is the MAE, and lower values indicate better model performance. \[ MAE = \frac{1}{N} \sum_{i=1}^{N} \|y_i - \hat{y}\| \] (10) D. HYPERPARAMETERS The parameters of the model that must be set before running the model, in contrast to parameters that are learned during the training process, are referred to as hyperparameters [31]. To optimize the performance criteria, these parameters should be carefully tuned, as using excessively large or small values may result in poor model performance [32]. Hyperparameter tuning is, therefore, the process of finding good values of parameters for a specific dataset [31]. Sometimes, default values of the hyperparameters are defined by the packages being used; for example, in Python, if a value for a certain hyperparameter is not provided by the user for a particular ML algorithm, the default value is applied for training. The following hyperparameters are used. 1) ALPHA The Scikit library in Python provides GridSearchCV to find the optimum value of alpha. In this study, alpha is a hyper-parameter used for LASSO and ENR, and the chosen alpha values for LASSO and ENR are 0.05 and 0.06, respectively. 2) KERNEL SVR uses linear and nonlinear kernels to map low-dimensional data to high-dimensional data. This study uses a linear kernel that supports listing feature importance, which is not possible when using other kernels, as data are transformed to another space via the kernel method. 3) N_ESTIMATORS n_estimators represent the number of trees to be built for making average predictions. Higher values make the model stronger and more stable, but the code becomes slower. Therefore, the highest value that a processor could handle can be chosen for best results. n_estimators is the hyperparameter used in RF and GB, with a value of 1,500. 4) MAX_DEPTH In DT, the dataset is partitioned into different subsets. Partitioning starts with a binary split and continues until no further splitting is possible. The max_depth refers to the depth of each tree in the forest, where deeper trees are expected to capture more information about the data. In the study, max_depth was set to 3, as higher values resulted in poor model accuracy. III. METHODOLOGY This study focuses on sap flow prediction in tomato plants using multiple predictors, such as climate variables (room temperature, humidity, CO₂) and irrigation variables (given water, drainage water, given water pH), which are daily data. Three main steps were used to construct the forecasting system, as shown in Fig. 1. The initial dataset was processed into Table 4. Standard scaling in Python was used to obtain a dataset close to a normal distribution, which benefits the performance of many ML algorithms, such as LR and SVR. The output dataset after application of standard scaling is shown in Table 5. The forecasting was performed using seven ML techniques. The potential important features were pre-selected based on the variance inflation factor (VIF), which accelerated the modeling process, and the correlations between predictors and sap flow are shown in Fig. 2. Then, the dataset was split into training and test sets based on a parameter between 0 and 1, expressed as a percentage. The dataset was split to prevent look-ahead bias, overfitting and underfitting. Common split percentages include 80%, 67% and 50% [33]. The value of 80% indicates that 80% of the data are included in the training set, while 20% of the data are included in the test set. These values were adopted in this study. Commonly, there is no optimal split percentage. A chosen split percentage needs to meet the project’s objectives with respect to the following consideration [33]: - Computational cost in training the model. - Computational cost in evaluating the model. - Training set representativeness. - Test set representativeness. The ML models LR, LASSO, ENR, SVR, RF, GB and DT were implemented, and the performance was evaluated in terms of $R^2$, adjusted $R^2$, MSE, RMSE and MAE. IV. RESULTS AND DISCUSSION A. RESEARCH METHODOLOGY Sap flow directly represents the water requirements of a plant and provides an opportunity to understand the plant’s hydraulic function and plant growth in a given environment [34]. The movement of sap illustrates the connection between a plant and its surroundings [34], and sap flow sensors are applied broadly in the forestry sector for water management and research purposes [35]. However, such sensors are rarely used for herbaceous plants. In this research, the tomato, an herbaceous plant, was chosen as the research object to contribute to the sap flow database. The relationships between sap flow and climate factors were analyzed, and a predictive model of sap flow was constructed and tested. This model can be used to enhance greenhouse automation management, to improve water use efficiency and to reduce waste during production. In previous studies, sap flow was generally studied in reference to solar radiation, vapor pressure deficit, relative humidity, and air temperature [36]. By contrast, this study includes more measured variables as compared with vapor pressure deficit, which is calculated based on measured data, and more potential variables, such as plant temperature and CO$_2$, are included. Moreover, since most of the sensors are developed for woody plants [37], this research may contribute to sap flow sensor innovation. B. SAP FLOW FORECASTING Models for predicting tomato plant sap flow were developed and tested in this study. The performance evaluation results are presented in Table 6. According to the results, RF shows the highest correlation between the predicted values and actual values. RF is followed by LR, ENR, SVR and LASSO, which have similar $R^2$ values of approximately 0.790. GB shows the worst correlation, with an $R^2$ value of 0.663. Figs. 3, 4, 5, 6, 7, 8, and 9 show the predicted values and actual values of sap flow for the different models. Figs. 10, 11, 12, 13, 14, 15, and 16 show the performances of different ML algorithms for sap flow prediction. According to the results, the sap flow data change frequently. Most of the forecasted values are accurate at the lowest peak; however, predictions of the highest peak are unstable. SVR shows good predictive ability for the highest peak of sap flow; however, the predicted values are not highly correlated with the actual values and the mean square error is relatively high, which reduces the reliability of SVR. LR, LASSO and ENR show similar patterns with respect to the trend of sap flow data. LR shows the highest correlation between the predicted data and actual data (0.792) TABLE 4. Unnormalized dataset view. \| Sap flow \| Humidity \| CO₂ \| Outside temperature \| Given Water EC \| Given Water pH \| Given Water per/m² \| Drained Water EC \| Drained Water amount \| Absorbed Water amount \| Radiation Morning \| \|----------\|----------\|-----------\|---------------------\|----------------\|---------------\|--------------------\|-------------------\|-----------------------\|----------------------\|------------------\| \| 3948.530 \| 4.134644 \| 534.991186\| 6.169085 \| 3.600000 \| 5.780000 \| 1.776400 \| 4.820000 \| 0.047400 \| 1.729000 \| 62.036431 \| \| 4287.320 \| 4.296558 \| 525.989956\| 7.742307 \| 3.528571 \| 5.942857 \| 2.600000 \| 4.457143 \| 0.080571 \| 2.519429 \| 64.225337 \| \| 4465.725 \| 4.076610 \| 539.001600\| 8.608055 \| 3.257143 \| 6.085714 \| 2.674000 \| 3.871429 \| 0.105286 \| 2.568714 \| 58.735539 \| \| 4644.130 \| 4.191465 \| 539.763186\| 7.221450 \| 3.228571 \| 5.800000 \| 2.959571 \| 3.757143 \| 0.873571 \| 2.086000 \| 58.233885 \| TABLE 5. Normalized dataset view. \| Sap flow \| Humidity \| CO₂ \| Outside temperature \| Given Water EC \| Given Water pH \| Given Water per/m² \| Drained Water EC \| Drained Water amount \| Absorbed Water amount \| Radiation Morning \| \|----------\|----------\|-----------\|---------------------\|----------------\|---------------\|--------------------\|-------------------\|-----------------------\|----------------------\|------------------\| \| -0.703 \| 0.546 \| 0.981 \| -1.443 \| 2.873 \| 0.721 \| -2.742 \| 0.443 \| -3.011 \| -1.948 \| 0.007 \| \| -0.665 \| 0.742 \| 0.757 \| -1.105 \| 2.465 \| 1.063 \| -1.822 \| -0.022 \| -2.921 \| -0.810 \| 0.743 \| \| -0.645 \| 0.475 \| 1.081 \| -0.919 \| 0.911 \| 1.363 \| -1.740 \| -0.773 \| -2.853 \| -0.739 \| -1.105 \| \| -0.625 \| 0.614 \| 1.100 \| -1.217 \| 0.748 \| 0.763 \| -1.421 \| -0.919 \| -0.755 \| -1.434 \| -1.273 \| FIGURE 2. Correlation heatmap. and is closely followed by ENR (0.788). In terms of the MSE and MAE, LR achieves the lowest values; therefore, LR performed the best in the linear regression technique group. RF performed best in this study; it achieved the best sap flow prediction with the highest correlation and lowest error for peaks. In previous research, RF was described as a simple and diverse supervised learning algorithm, as it can be easily used for both classification and regression. Niklas illustrated that RF is likely to achieve better performance than other approaches because of its high tree diversity [38]. When splitting a node, the best feature among a random subset of features, rather than the most important feature overall, is selected [38]. Additional advantages are reported by Julia: RF works well with high-dimensional data and unstable data [39]. RF achieves a lower variance than DT, as the variance of each DT is averaged in RF [39]. Moreover, RF does not suffer from excessive overfitting [40] and includes a rapid training process [39]. GB and DT show lower correlation and higher error than other algorithms. Therefore, GB and DT did not perform well with respect to sap flow prediction in this study. C. FEATURE IMPORTANCE To further improve the sap flow prediction performance, the feature importance in LR, ENR, SVR, RF, GB and DT was analyzed. LASSO was excluded from this process, as the features are automatically selected in LASSO. The feature importance results are presented in Table 7 as the feature importance score (FI score). Four features contributed to the prediction by LR: given water/m$^2$, given water EC, room temperature and humidity. Features such as CO$_2$, plant temperature, given water pH and drained water have negative values and should be removed from the LR sap flow prediction model. The prediction of sap flow by ENR is based on given water/m$^2$, room temperature, humidity, given water EC and plant temperature; thus, removing CO$_2$, given water pH and drained water might improve the performance. The most important features for SVR sap flow prediction are given water/m$^2$, room temperature, given water EC and humidity. By contrast, RF and GB rely on all 7 features: given water/m$^2$ has the highest FI score, followed by room temperature. The remaining features have similar FI scores (greater than 0 and less than 0.1). The most important features for DT are water amount, room temperature, plant temperature and humidity. Given water/m$^2$, room temperature, given water EC and plant temperature contribute the most to the sap flow predictions of the different models. Given water/m$^2$ has previously been identified as an important feature in the prediction of plant sap flow [41]. The relationship between room temperature and sap flow is also consistent with previous research [42]. Given water EC has previously been found to negatively influence sap flow [43]. Moreover, plant temperature, an indicator of sap flow in this research, has not been reported in previous research. Plant temperature represents stomatal conductance, which is linked to transpiration and plant growth [44]. Furthermore, transpiration is the main driver of sap flow; therefore, theoretically, plant temperature and sap flow may be related. Given water EC indicates the degree of difficulty for plants to absorb water [45]. CO$_2$ is strongly related to plant photosynthesis and does not show strong correlation with sap flow in this research. However, Remy et al. showed that CO$_2$ concentration exerts a significant negative influence on sap flow [46]. The relationship might be very minimal, which would require an accurate measurement methodology to support it. Given water pH contributes to nutrient uptake, which exhibits no relationship with sap flow. As shown in Table 6, RF offers the best sap flow prediction performance. Moreover, on the basis of Table 7, the predictors CO$_2$, given water pH and drained water amount should be removed to improve the prediction performance of RF. \| Features \| LR \| ENR \| SVR \| RF \| GB \| DT \| \|-------------------\|------\|------\|------\|------\|------\|------\| \| Room Temperature \| 0.281\| 0.230\| 0.385\| 0.133\| 0.177\| 0.150\| \| Humidity \| 0.057\| 0.046\| 0.083\| 0.065\| 0.070\| 0.009\| \| CO$_2$ \| -0.008\| -0.000\| -0.050\| 0.074\| 0.078\| 0.000\| \| Plant Temperature \| -0.002\| 0.008\| -0.079\| 0.066\| 0.071\| 0.076\| \| Given Water EC \| 0.125\| 0.035\| 0.227\| 0.027\| 0.024\| 0.000\| \| Given Water pH \| -0.028\| -0.000\| -0.032\| 0.027\| 0.032\| 0.000\| \| Water/m \| 0.724\| 0.6421\| 0.74610\| 0.511\| 0.455\| 0.764\| \| Drained Water \| -0.022\| 0.000\| -0.036\| 0.095\| 0.093\| 0.000\| \| Model \| Hyperparameter \| \|------------------------\|-------------------------------------\| \| Lasso Regression \| $\alpha=0.055$ \| \| Elastic Net Regression \| $\alpha=0.06$ \| \| Support Vector Regressor\| Kernel= linear \| \| Random Forest \| n = 1500 min samples split = 8 min impurity decrease = 0.0 \| \| Gradient Boosting \| n= 1500, min samples split = 12 min impurity decrease = 0.0 max features = auto max depth= 36 criterion=mae \| \| Decision Tree \| max depth=3 \| V. CONCLUSION The use of sap flow information can improve water management. Such information allows farmers to easily adapt irrigation strategies, which may help to minimize the waste of resources. In this study, an ML-based prediction system was used to predict sap flow, and the results show that RF performed best. Moreover, the literature has previously shown that RF has high tree diversity, low bias, moderate variance, and minimal problems with overfitting, which contributes to good predictions. LR and ENR also show good performance. Given water/m$^2$, room temperature, given water EC, humidity and plant temperature were identified as the most important features for sap flow predictions. Among these features, given water/m$^2$ was the most important variable for RF, and plant temperature was newly identified as an indicator for plant sap flow. A reliable prediction model (with higher R$^2$ value) for sap flow may contribute to better decision making during the irrigation process. 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Weigel, “Effects of free-air carbon dioxide enrichment on sap flow and canopy microclimate of maize grown under different water supply,” J. Agronomy Crop Sci., vol. 202, no. 4, pp. 255–268, Aug. 2016. --- AMORA AMIR was born in Baghdad, Iraq, in 1979. She received the B.S. degree in computer science from the University of Baghdad, in 2002, and the M.Sc. degree in computer engineering from the Delft University of Technology, The Netherlands, in 2012. From 2015 to 2017, she was a Lecturer Expert on big data with the Computer Sciences Department, Inholland University of Applied Sciences. Since 2018, she has been a Senior Researcher with the Data Driven Smart Society Research Group, Inholland University of Applied Sciences, where she has also been working with the Agriculture, Horticulture and Business Department. She is the developer of the Ideal Research Greenhouse Laboratory, which is part of the program of smart farming at the Inholland University of Applied Sciences. Her research interests include big data and artificial intelligence, machine learning and applications in horticulture, specifically greenhouses, and studying plants through the data from shared value for business and vertical farming. MARYA BUTT was born in Rawalpindi, Pakistan, in 1981. She received the B.S. degree in software engineering, in 2004, the master’s degree (Hons.) in governance and organizational sciences, in 2007, and the Ph.D. degree in the emerging field of electronic governance from Utrecht University, The Netherlands, in 2015. She wrote four research articles as a part of her Ph.D. research. Since 2019, she has been working with the Faculty of Engineering, Design and Computing Inholland University of Applied Sciences, as a Lecturer/Researcher, where she is also associated with the Data Driven Smart Society and the Robotics Research Group. Her research interests include image localization and segmentation, multi-class classification, and multi-label classification using deep learning and computer vision in smart farming and health. OLAF VAN KOOTEN was born in The Netherlands, in 1952. He studied at the Escola Americana do Rio de Janeiro, from 1964 to 1967. He received the M.Sc. degree in experimental physics from Vrije Universiteit Amsterdam, in 1980, and the Ph.D. degree in biophysics in plant physiology from Wageningen University & Research, in 1988. From 1989 to 1999, he was the Department Head of Postharvest Physiology and Technology at Wageningen University & Research, where he became a Professor of horticultural production chains and produce quality control throughout supply chain, in 1999. He was a Representative of The Netherlands on the ISHS Council, from 2000 to 2014. Since 2011, he has been lecturing at the Inholland University of Applied Sciences, Delft. His research interests include the transition from pre-harvest to post-harvest in product physiology and product quality.
The Kentucky Smart Grid Roadmap Initiative SMART GRIDS IN THE COMMONWEALTH OF KENTUCKY FINAL REPORT OF THE KENTUCKY SMART GRID ROADMAP INITIATIVE Prepared by the University of Louisville Conn Center for Renewable Energy Research And the University of Kentucky For the Kentucky Public Service Commission M. Turner, Y. Du, Y. Liao, M. Sunkara, J. Naber, A. Elmaghraby, and J. Graham. 6/29/2012 The Kentucky Smart Grid Roadmap Initiative (KSGRI) was tasked with the development of a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. In support of this effort, the KSGRI developed a series of interrogatories to collect information from utilities regarding smart grid deployments in seven infrastructure areas: general smart grid, advanced metering, distribution, transmission, asset management, consumer education, and distributed energy resources. Additionally, the KSGRI hosted a series of three Kentucky Smart Grid Workshops to gather leading electric power stakeholders to discuss issue pertinent to grid modernization. This report is a compendium of documents produced as part of these interrogatories and workshop events. Two chapters are devoted to each of the infrastructure areas. In the first chapter, a general overview is given of the infrastructure area. This includes technology definitions, standards, deployment examples, benefits, risks, and barriers. In the second chapter, the state of the infrastructure area for the state is given in specific detail. The last chapter of this document summarizes the proceedings of the three workshop events. All interrogatories used to collect data are included as appendices. # TABLE OF CONTENTS Chapter 1: Kentucky Smart Grid Assessment Model Definition ...........................................4 Chapter 2: Results of the Kentucky Smart Grid Assessment Model .....................................16 Chapter 3: Advanced Metering Infrastructure Overview ....................................................68 Chapter 4: Advanced Metering Infrastructure in the Commonwealth of Kentucky ...............96 Chapter 5: Advanced Distribution Operations Overview ..................................................114 Chapter 6: Advanced Distribution Operations in the Commonwealth of Kentucky ............142 Chapter 7: Advanced Transmission Operations Overview ...............................................155 Chapter 8: Advanced Transmission Operations in the Commonwealth of Kentucky ..........170 Chapter 9: Advanced Asset Management Operations Overview ......................................181 Chapter 10: Advanced Asset Management in the Commonwealth of Kentucky ................189 Chapter 11: Consumer Education Overview ......................................................................198 Chapter 12: Consumer Education in the Commonwealth of Kentucky .............................205 Chapter 13: Distributed Energy Resources Overview ......................................................215 Chapter 14: Distributed Energy Resources in the Commonwealth of Kentucky ...............225 Chapter 15: Proceedings of the Kentucky Smart Grid Work Shop Series ........................236 Appendix A: Electric Utility-Kentucky Smart Grid Assessment Model Survey ....................265 Appendix B: Stakeholder – Kentucky Smart Grid Assessment Model Survey .....................287 Appendix C: Advanced Metering Infrastructure Deployment Survey ................................299 Appendix D: Advanced Distribution Operations Deployment Survey ................................318 Appendix E: Advanced Transmission Operations Deployment Survey ................................333 Appendix F: Advanced Asset Management Deployment Survey .......................................344 Appendix G: Consumer Education Deployment Survey ....................................................355 Appendix H: Distributed Energy Resources Deployment Survey ......................................361 CHAPTER 1: Kentucky Smart Grid Assessment Model Definition # TABLE OF CONTENTS Abstract ................................................................................................................................. 6 Introduction ....................................................................................................................... 7 ABOUT THIS DOCUMENT .............................................................................................. 7 DOCUMENT OVERVIEW ............................................................................................... 7 Electric Utility Kentucky Smart grid Assessment Model Definition .................................. 8 INTRODUCTION ............................................................................................................. 8 DEVELOPMENT LEVELS ............................................................................................... 8 SMART GRID CLASSES ............................................................................................... 8 Stakeholder Kentucky Smart Grid Assessment Model Definition .................................... 11 INTRODUCTION ............................................................................................................. 11 CHARACTERISTICS ....................................................................................................... 11 BENEFITS ...................................................................................................................... 12 Using the KSGAM ........................................................................................................... 14 INTRODUCTION ............................................................................................................. 14 USING THE KSGAM TO DEVELOP UTILITY PROFILES ........................................ 14 USING THE KSGAM TO DEVELOP SG MATURITY PROFILES .............................. 14 USING THE KSGAM FOR GOAL PLANNING .......................................................... 15 THE KSGAM ASSESSMENT PROCESS ..................................................................... 15 ABSTRACT The Kentucky Smart Grid Assessment Model (KSGAM) is a tool to: (1) measure the extent of smart grid deployment and capability within the jurisdictional Kentucky electric utilities, (2) identify objectives and priorities for smart grid deployment and implementation statewide, and (3) provide a metric for evaluation of progress towards established objectives. The KSGAM consists of two model definition documents, the Electric Utility KSGAM (EU-KSGAM) and the Stakeholder KSGAMs (S-KSGAM). Each of the model definition documents has an associated assessment survey used for data collection from the appropriate party. The EU-KSGAM model describes the smart grid according to 10 Smart Grid Classes and 6 Development Levels. Smart Grid Classes are groupings of related capabilities and attributes relevant to smart grid deployment and operations. Development Levels measure maturity progression within each class, and are described by a list of characteristics and capabilities for each development level and each class. The EU-KSGAM is based on a simplification of the Carnegie Melon Software Engineering Institute Smart grid Maturity Model, the Department of Energy Office of Electricity Delivery and Energy Reliability Modern Grid Strategy documents, and input from representatives of the KY electric utilities. The EU-KSGAM Assessment Survey is utilized to collect information from the KY electric utilities on operations, assets, and customer profiles. The S-KSGAM model describes smart grid deployment according to technology independent characteristics. The S-KSGAM is based on the DOE OE Modern Grid Strategy documents, and input from representative of the KY electric utilities. The S-KSGAM Assessment Survey is utilized to collect information from non-utility stakeholders, such as customers, government, and regulators. INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the document The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan. The purpose of this document is to define the Kentucky Smart Grid Assessment Model (KSGAM), in fulfillment of Work Plan Goal 3 (WPG3) of Smart Grid Road Map Work Plan. The KSGAM will be used to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on the technical, regulatory, and consumer environment. Additionally, the KSGAM will be used to identify aspects of the smart grid that are most important to the future development of electrical power generation, transmissions, distribution, and consumption in Kentucky. DOCUMENT OVERVIEW The following two sections define the KSGAM models: Section 3 is the EU-KSGAM Definition, a model intended for use by electric utilities. Within this section the Development Levels (DLs) are explained and the Smart Grid Classes (SGCs) are defined. Section 5 is the S-KSGAM Definition, a model intended for use by non-utility stakeholders. Within this section the smart grid Characteristics are defined. Section 6 describes how the KSGAM can be utilized to provide a framework for the understanding of the current state of smart grid deployment within Kentucky and to establish future deployment goals. This includes an explanation of the development of individual utility customer and asset profiles, the development of individual utility smart grid maturity profiles, the use of the KSGAM for goal planning, and the KSGAM assessment process. The two concluding sections contain the assessment surveys. Section 7 is the EU-KSGAM Assessment Survey, in which the expected characteristics of each DL for the SGCs are listed. Section 8 is the S-KSGAM Assessment Survey. INTRODUCTION This section defines the Development Levels (DLs) and Smart Grid Classes (SGCs) used in the Electric Utility Kentucky Smart grid Assessment Model (EU-KSGAM). A utilities maturity in each SGC is measured by completion of the EU-KSGAM Survey. DEVELOPMENT LEVELS The KSGAM Developments Levels (DLs) quantify each of the 10 SGCs into 6 ranked levels, DL0 through DL5. Successive DLs are achieved by meeting characteristics and capabilities defined for each SGC, as measured by the EU-KSGAM survey. In this manner, a DL score is assigned for each of the SGCs, showing the state and/or priorities of the organization for each class. Development Level 0 DL0 is the default level of each class, indicating no development towards any of the expected characteristics for the SGC. Development Level 1 DL1 is the initiating level of each class, indicating that decisions have been made to begin implementation of the SGC. Development Level 2 DL2 is the enabling level of each class, indicating that features have been implemented to enable development of the SGC. Development Level 3 DL3 is the integrating level of each class, indicating that the SGC is integrated into the operations of the organization. Development Level 4 DL4 is the optimization level of each class, indicating the smart grid implementations within a given SGC are being fine-tuned to further increase performance. Development Level 5 DL5 is the pioneering level of each class, indicating the state of breaking new ground and advancing the state of practice for the SGC. SMART GRID CLASSES SGCs are groupings of related capabilities and/or characteristics relevant to Smart grid for which a maturity progression can be defined using the SGC DLs. The EU-KSGAM defines 10 SGCs: 1. Strategy and Management (SM) 2. Organization and Structure (OS) 3. Technology (TECH) 4. System Architecture and Operation (SAO) 5. Demand and Supply Management (DSM) 6. Work and Asset Management (WAM) 7. Physical and Cyber Security (SEC) 8. Government and Regulation (GR) 9. Customer (CUST) 10. Environment and Society (ENV) Strategy and Management (SM) The Strategy and Management (SM) SGC represents the competencies and attributes related to a smart grid vision and strategic planning, internal governance and management processes, and collaboration with internal and external stakeholders. Organization and Structure (OS) The Organization and Structure (OS) SGC represents the competencies and attributes related to workplace structure, training, communications, and knowledge management within the utility. Technology (TECH) The Technology (TECH) SGC measures the extent to which the utility has evaluated deployment of and enabled effective strategic planning of technologies such as: integrated communications, sensing and measurement, advanced components, advanced control methods, and improved visual interfaces and decision support software. This SGC also measure the utility’s establishment of engineering and business process for the evaluation, acquisition, integration, and testing of technologies. System Architecture and Operation (SAO) The System Architecture and Operation (SAO) SGC represents the operation of the power grid as an automated system with a high degree of local, regional, and national situational awareness to improve efficiency, security and safety. These architectures are often divided between four operational gateways: advanced metering infrastructure (AMI), advanced distribution operations (ADO), advanced transmission operations (ATO), and advanced asset management (AAM). Demand and Supply Management (DSM) The Demand and Supply Management (DSM) SGC represents the ability to dynamically manage both the supply and demand in the production and delivery of electricity, based on near real-time information in the areas of load management, distributed energy resources, and new market opportunities. Work and Asset Management (WAM) The Work and Asset Management (WAM) SGC represents the capabilities that support optimal management of grid assets and workforce resources, toward a utility that bases operation and maintenance decisions on real-time performance data instead of best practices or historical precedent, resulting in a change from preventative and reactive resource usage to predictive and planned resource management. Physical and Cyber Security (SEC) The Physical and Cyber Security (SEC) SGC represents the protection of new and legacy equipment and system data from cyber and physical security attacks. This SGC measures the extent to which a security architecture and overlay is in place, the performance of risk assessment activities, and conformance to emerging NIST cyber security standards. Government and Regulation (GR) The Government and Regulation (GR) SGC represents the role of the state governments and the Kentucky Public Service Commission in the development of smart grid operations. This SGC measures the extent to which regulators authorize smart grid investments on both visible deployments and supporting infrastructure projects, authorize smart grid demonstration projects, approve innovative regulatory strategies, and facilitate intra-utility optimization. This SGC also measure the state investment, in terms of cost recovery authorizations or grants, in smart grid deployments. Customer (CUST) The Customer (CUTS) SGC represents the role of customer participation and experience, pricing, education, and advanced services. Customer participation may range from fully passive to fully active, with a goal of fully empowering customers to make decisions regarding the usage, source, and cost of energy. Environment and Society (ENV) The Environment and Society (ENV) SGC represents the contributions of the utility to achieving societal goals regarding reliability, safety, security, energy sources, energy source impacts, and quality of life. This includes the promotion of conservation and green energy initiatives, the integration of alternative and distributed energy resources, and GHG emission reduction programs. INTRODUCTION This section defines the characteristics and benefits used in the Stakeholder Kentucky Smart Grid Assessment Model (S-GSGAM). Stakeholder inputs are measured by completion of the S-KSGAM Survey. CHARACTERISTICS Characteristics are technology independent abilities that may be achieved by smart grid deployment for which stakeholder priorities can be defined. The S-KSGAM defines 7 Characteristics: 1. Active Participation by Consumers 2. Accepts All Power Generation and Storage 3. Enables New Products and Services 4. Improved Power Quality 5. Efficient Operation and Use of Assets 6. Self-Healing 7. Defends Against Attack and Natural Disaster Active Participation by Consumers Active Participation by Consumers is the characteristic that describes the increased interaction of consumers with the grid. Such interaction is characterized by the use of price based signals and demand response programs to give customers choice regarding if and when to purchase power, the decisions on the source of purchased power, the use of distributed energy resources, and the use of home automation networks and intelligent load end-use devices such as smart appliances. Accepts All Power Generation and Storage Accepts All Power Generation and Storage is the characteristic that describes the integration of diverse resources with “plug-and-play” connections to multiply the options for electrical generation and storage. This includes the accommodation of large centralized power plants, and distributed energy resources such as renewables, distributed generation, and energy storage devices. This characteristic represents the transition to a more decentralized supply model. Enables New Products and Services Enables New Products and Services is the characteristic that describes three changes in the electricity market. First is the direct linking of the buyers and sellers of electricity (e.g., RTO to consumer), allowing real-time interaction with the market. Second, the advent of new commercial goods and services will result in the creation of new electricity markets and choice such as green power products and electric vehicles. Third, a restructuring of markets will achieve consistency of operation across the U.S. Improved Power Quality Improved Power Quality is the characteristic that describes the delivery of “clean” power. Such digital-grade power is characterized by a reduction in system interruptions due to under voltage sags, voltage spikes, frequency harmonics, and phase imbalances. The delivered power may be available in “grades”, varying from standard to premium, and will depend on customer requirements. Efficient Operation and Use of Assets Efficient Operation and Use of Assets is the characteristic that describes the use of real time information from advanced sensors to allow operators to better understand the state of the system. Such information can be used to perform risk assessment, optimize system planning, reduce transmission congestion, extend asset life, and to perform proactive maintenance. Self-Healing Self-Healing is the characteristic that describes the grids ability to identify, isolate, and restore problematic sections of the grid with little or no manual intervention. Today, such capabilities are largely isolated to substation automation. Future systems may use sensors, weather data and analytic programs to detect precursors to faults including voltage, power-quality, dynamic instabilities, congestion issues, equipment failures, and downed power lines. Automatic network reconfiguration could be employed to link energy sources and loads to both restore power and to implement real-time contingency strategies. Defend Against Attack and Natural Disaster Defend Against Attack and Natural Disaster is the characteristic that describes the grids ability to protect against physical attacks (explosive, projectiles, and natural disaster) and cyber (computer-based) attacks. These attack strategies may have two forms: attacks in which the grid itself is the primary target, or attacks in which the power system network is used to take down other important infrastructure systems (banks, government, etc.). Benefits Benefits are areas in which smart grid deployment can offer advantages to society as compared to the current grid. The S-KSGAM defines 5 benefits: 1. Reliable 2. Secure and Safe 3. Economic 4. Efficient 5. Environmentally Friendly Reliable Reliable describes a grid with a reduction in power outage duration and frequency, a reduction in momentary power quality disturbances, and a reduction in blackouts and brownouts. Secure and Safe Secure and Safe describes a grid that is less vulnerable to attack and natural disaster, and is safer to be near for both the public and utility workers. Economic Economic describes a grid with decreased/mitigated electricity prices, and with new options for market participants such as new load management, distributed generation, grid storage, and demand-response options. Efficient Efficient describes a grid that uses technology to allow for greater utilization of existing assets, enables optimal loading of assets, and provides detailed awareness of component and equipment condition, with the goal of cost effective asset utilization and increased system capacity. Environmentally Friendly Environmentally friendly describes a grid that allows for a much wider deployment of environmentally friendly resources, that allows for the deferral of new construction projects, and has reduced electrical losses. INTRODUCTION This section describes how the KSGAM will be utilized to provide a framework for the understanding of the current state of smart grid deployment within Kentucky and to establish future deployment goals. USING THE KSGAM TO DEVELOP UTILITY PROFILES Completion of the EU-KSGAM Survey section “Utility Profile” provides a record of the electric utility’s customer base, T&D assets, and performance data. This information enables assessment of individualities amongst the jurisdictional utilities. USING THE KSGAM TO DEVELOP SG MATURITY PROFILES Utilities achieve maturity ratings for each of the Smart Grid Classes by completion of the “Smart Grid Class Assessment” portion of the EU-KSGAM Survey. The maturity rating for each of the SGCs is based on the SGC-specific survey questions for each SGC. Each survey presents a list of “expected characteristics” of the SGC for each DL. Higher DL ratings within the SGCs reflect increasing smart grid maturity levels. Ratings in one SGC do not affect ratings in other SGCs. Once the KSGAM is assessed by the KSGRI team, a “Smart Grid Maturity Level Profile” is formed, containing DL ratings for each of the SGCs. A sample Maturity Level Profile is shown in Fig. 1. Stakeholder priorities are measured by completion of the “As-is State of Smart grid Survey”, within the S-KSGAM Survey. The rating for each of the Characteristics is based on survey questions for each Characteristic. Each survey question measures stakeholder perceived penetration of that Characteristic in the current electric power industry on a scale from 0 (no penetration) to 5 (full penetration). The rating for each of the Benefits is based on survey questions for each benefit. Each survey question measures stakeholder perceived valuation of that Benefit in the current electric power industry on a scale from 0 (provides no benefit) to 5 (provide maximum benefits). Using the KSGAM for Goal Planning Utilities can provide feedback into the future state of smart grid deployments in Kentucky by using the EU-KSGAM Survey to identify the “desired future state” DL for each SGC. The assessments enable the creation of a “Smart Grid Maturity Goal Profile”, containing desired maturity ratings for each of the SGCs. The Maturity Goal Profile will be similar to Fig. 1 Stakeholders can provide feedback into the desired future state of Smart grid Deployment in Kentucky by using the S-KSGAM Survey. Stakeholders will rank priorities in each of the Characteristics and Benefits on a scale from 0 (not important) to 5 (very important). The KSGAM Assessment Process Assessment via the KSGAM is performed by distribution of the EU-KSGAM to electric utilities and of the S-KSGAM to interested stakeholders. Surveys completed by utilities/stakeholders will then be evaluated by the KSGRI team. Data from the surveys will be used to create a “As-Is KY Smart Grid Profile” report, detailing the status of smart grid deployment within the state and perception of smart grid deployments by stakeholders, both in terms of maturity and benefit. Additionally, information from the surveys will be used to create a “Desired Future KY Smart Grid Profile” report for the state, detailing the desired state of smart grid deployments, from both a utility perspective and a stakeholder perspective. CHAPTER 2: OVERVIEW OF SMART GRID IN THE COMMONWEALTH OF KENTUCKY ABSTRACT The “Overview of Smart Grid in the Commonwealth of Kentucky” report presents a high level summary of the current state of smart grid deployments and capabilities within the electric utilities of Kentucky, as well as identifies areas of future development that are of significant interest, from the perspectives of both utility companies and grid stakeholders. It is meant to serve as an introductory assessment, and will be supported with additional documentation and reports on the Key Infrastructure Areas identified by the Kentucky Smart Grid Roadmap Initiative (KSRGI) team. The data presented in this report was gathered using the “Electric Utility-Kentucky Smart Grid Assessment Model” (EU-KSGAM) and the “Stakeholder-Kentucky Smart Grid Assessment Model (S-KSGAM). The EU-KSGAM gathered utility profile/performance data and measured smart grid deployments according to 10 logical functional areas, or Smart Grid Classes, each with six possible maturity rankings, or Development Levels. The S-KSGAM measured stakeholder input in the areas of seven Smart Grid Characteristics and five Benefits. Smart Grid Characteristics were ranked on a scale that included five possible maturity rankings. Smart Grid Benefits were evaluated using a simple financial assessment. # TABLE OF CONTENTS Introduction .......................................................................................................................... 19 Executive Summary ........................................................................................................... 20 List of Participating Utilities .............................................................................................. 26 EU-KSGAM Utility Profile Summary .................................................................................. 27 EU-KSGAM “As-is” State of Smart Grid Summary ............................................................ 33 EU-KSGAM Desired Future State of Smart Grid Summary ............................................... 35 EU-KSGAM Gap Analysis .................................................................................................. 37 S-KSGAM Summary ........................................................................................................... 39 S-KSGAM Gap Analysis .................................................................................................... 43 “As-Is” and “Future” State Details for Smart Grid Classes ............................................. 45 “As-Is” and “Future” State Details for Smart Grid Characteristics .................................. 55 Valuation Details for Smart Grid Benefits ......................................................................... 63 INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the documents The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan, and The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model. The purpose of this document is to summarize the results of the Kentucky Smart Grid Assessment Model (KSGAM), in fulfillment of Work Plan Goals 4, 5 and 6 (WPG4-WPG6) of Smart Grid Road Map Work Plan. The EU-KSGAM was distributed to 23 jurisdictional electric utilities to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on the technical, regulatory, and consumer environment. Additionally, the EU-KSGAM was used to identify aspects of the smart grid that are most important to the future development of electrical power generation, transmissions, distribution, and consumption in Kentucky. The S-KSGAM was distributed to grid stakeholders to gauge their opinion as to the aspects of the smart grid that are of the highest importance. The collected data was utilized to perform a gap analysis in which technology, functionality, and regulatory gaps were identified. Data collected from jurisdictional utilities was via self-reporting by a Smart Grid Contact person from each utility. DOCUMENT OVERVIEW The following section is an executive summary of the entire report, highlighting important details of the KY Smart Grid Assessment. Detailed summaries are then provided in subsequent sections for each of the following areas: EU-KSGAM Utility Profiles, EU-KSGAM As-Is State of Smart Grid, and the EU-KSGAM Desired Future State of Smart Grid. A gap analysis of the utility supplied data is then presented that identifies Smart Grid Classes of particular importance to KY utilities. This is followed by a detailed summary of the S-KSGAM and a gap analysis of the stakeholder supplied data to identify Smart Grid Characteristics of particular importance to KY grid stakeholders. The report concludes by presenting the complete details of the “As-Is” and Future states of the Smart Grid Classes and Smart Grid Characteristics, as well as complete details of the stakeholder Smart Grid Benefits valuations. EXECUTIVE SUMMARY KENTUCKY UTILITY PROFILES Kentucky’s jurisdictional utilities include three investor owned utilities (IOUs)$^1$, two generation and transmissions cooperatives (G&Ts) and 19 distribution cooperatives. Of the 23 utilities that participated in the KSGAM, five utilities operate in the generation and transmission markets, 21 operate in the distribution market, and two operate in the whole-sale power market. In all, the responding jurisdictional utilities employ approximately 6310 workers in Kentucky and provided service to 1,572,922 residential customers, 219,603 commercial/industrial customers, and 15,974 other customers (largely street lighting). The average size of the service territory in KY is 1,971 square miles, with a statewide average of 11.1 customers per line mile of distribution. The utilities collectively operate 33,844 miles of transmission and 98,399 miles of distribution within KY. There are approximately 2008700 electric meters, with a total penetration rate of AMI-capable “smart” meters of 22%. The statewide average System Average Interruption Frequency Index (SAIFI) is 1.4 interruptions per customers (U.S. median is 1.10). The statewide average System Average Interruption Duration Index (SAIDI) is 137 (U.S. median is 90 minutes). The average duration of planned outages is 70.8 minutes, effecting .2% of customers. Statewide, the average duration of unplanned outages is 138,469 minutes, effecting 4.44% of customers. The statewide average distribution system line loss is 4.675%. The reported cost to operate the electric transmission system is $74,067,312 annually (excluding Duke Energy). The reported cost to operate the electric distribution system is $375,480,680 annually (excluding Duke Energy, and Grayson RECC). This equates to an average cost per customer of $552.85. Demand Response (DR) offerings consist primarily of the use of a remotely-addressable switch to interrupt customer loads such as air conditioning units, pool pumps, heat pumps and electric water heaters. Statewide, over 167,000 (~9%) customers participate in direct load control programs, with average peak reductions ranging from 6.7 MW to 116 MW (summer). All responding utilities reported that they are not currently prepared to implement dynamic pricing. Other modernization practices have been limited in deployment. Those reported include smart meter pilots, conservation voltage reduction, and automatic circuit reconfiguration for outage management/self-healing. Of the responding utilities, six indicated having multi-year plans specifically targeting smart grid deployments. Of these six, three are specifically focuses on AMI deployments. Regarding the development of the modern grid, utilities have identified transmission limitations and constraint as top priorities, followed by generation constraints. Specific concerns regarding the implementation of smart grid programs include the need for cost recovery / economic justification of programs, technical obsolescence, and regulatory mandates. $^1$ Louisville Gas & Electric and Kentucky Utilities considered as a single entity. EU-KSGAM As-Is and Desired Future State of Smart Grid in Kentucky The current (As-Is) state of smart grid was measured for the entire state via aggregation and statistical analysis of the individual responses by 23 jurisdictional Kentucky utilities to the EU-KSGAM survey. Each Smart Grid Class (SGC) was graded by the utilities with a maturity ranking (Development Level, DL) ranging from 0 (DL0) to 5 (DL5). Additionally, the momentum of the SGC (modifier) was measured as either Emergent (just reaching the DL), Stable (at the DL for some time), or Growing (approaching the next DL). Finally, the relative agreement amongst the reporting utilities was ranked as either: low, medium, or high as measured by calculation of a standard deviation. The following table summarizes the As-Is results of the EU-KSGAM for each SGC. Analysis indicates that Kentucky utilities are, overall, mature in the Strategy and Management and Customer classes, and immature in the Environment and Society class. \| SMART GRID CLASS \| MODIFIER \| DEVELOPMENT LEVEL \| AGREEMENT \| \|-----------------------------------\|----------\|-------------------\|-----------\| \| Strategy & Management \| Growing \| Enabling (DL2) \| Low \| \| Organization & Structure \| Emergent \| Initiating (DL1) \| Low \| \| TECHnology \| Emergent \| Enabling (DL2) \| Medium \| \| System Architecture & Operation \| Emergent \| Initiating (DL1) \| Medium \| \| Demand & Supply Management \| Stable \| Initiating (DL1) \| High \| \| Work & Asset Management \| Stable \| Initiating (DL1) \| Medium \| \| Cyber and Physical SECurity \| Stable \| Initiating (DL1) \| Medium \| \| Government& Regulation \| Stable \| Initiating (DL1) \| High \| \| CUSTomer \| Growing \| Enabling (DL2) \| Low \| \| ENVironment & society \| Growing \| Default (DL0) \| High \| The desired future (Future) for smart grid development was measured in a manner similar to the As-Is state for both utility agreement and the Development Levels. The strength of the preference for each SGC (modifier) was measured as either Weak (low no. of characteristics desired), Stable (medium no. of characteristics desired), or Strong (most characteristics desired). The following table summarizes the Desired Future results of the EU-KSGAM for each SGC. Analysis indicates that Kentucky utilities would like to be mature in the areas of Strategy and Management and Customer classes, with roughly equal, but lower, emphasis on the maturity importance of the remaining SGCs. The following chart compares the calculated statewide Desired Future results of the EU-KSGAM to the As-Is results for each SGC. Smart Grid Class Assessment Results \| SMART GRID CLASS \| MODIFIER \| DEVELOPMENT LEVEL \| AGREEMENT \| \|---------------------------\|----------\|-------------------\|-----------\| \| Strategy & Management \| Weak \| Optimizing (DL4) \| Low \| \| Organization & Structure \| Strong \| Integrating (DL3) \| Low \| \| Technology \| Strong \| Enabling (DL2) \| High \| \| System Architecture & Operation \| Stable \| Enabling (DL2) \| Medium \| \| Demand & Supply Management\| Weak \| Enabling (DL2) \| High \| \| Work & Asset Management \| Stable \| Integrating (DL3) \| Medium \| \| Cyber and Physical SECurity \| Stable \| Enabling (DL2) \| Medium \| \| Government& Regulation \| Stable \| Enabling (DL2) \| High \| \| CUSTomer \| Weak \| Optimizing (DL4) \| Low \| \| ENVironment & society \| Strong \| Integrating (DL3) \| Medium \| AS-IS AND DESIRED FUTURE STATE OF SMART GRID CHARACTERISTICS The current (As-Is) state of Smart Grid Characteristics were measured via aggregation and statistical analysis of the individual responses by 11 stakeholders to the S-KSGAM survey. Each Characteristic was given a maturity ranking ranging from one to five. A modifier and agreement assessment was performed as described previously. The following table summarizes the As-Is results of the S-KSGAM for each Characteristic. Analysis indicates that stakeholders view Kentucky utilities to be mature in Efficient Operation and Use of Assets. \| SMART GRID CHARACTERISTIC \| MODIFIER \| LEVEL \| AGREEMENT \| \|--------------------------------------------\|----------\|-------\|-----------\| \| Active Participation by Consumers \| Stable \| 2 \| High \| \| Accepts All Power Generation and Storage \| Stable \| 2 \| Medium \| \| Enables New Products and Services \| Stable \| 2 \| High \| \| Improved Power Quality \| Growing \| 2 \| Low \| \| Efficient Operation and Use of Assets \| Stable \| 3 \| Low \| \| Self Healing \| Stable \| 2 \| High \| \| Defend Against Attack and Natural Disaster \| Stable \| 2 \| Medium \| The desired future (Future) for smart grid development was measured in a manner similar to the As-Is state for both utility agreement and the level. The following table summarizes the Desired Future results of the S-KSGAM for each Characteristic. Analysis indicates that stakeholders want Kentucky utilities to be mature in the areas of Active Participation by Consumers, Accepts All Power Generation and Storage, and Efficient Operation and Use of Assets. The Characteristic Defend Against Attack and Natural Disaster had the lowest measured importance. \| SMART GRID CHARACTERISTIC \| MODIFIER \| LEVEL \| AGREEMENT \| \|--------------------------------------------\|----------\|-------\|-----------\| \| Active Participation by Consumers \| Weak \| 5 \| High \| \| Accepts All Power Generation and Storage \| Weak \| 5 \| Low \| \| Enables New Products and Services \| Weak \| 3 \| Low \| \| Improved Power Quality \| Stable \| 4 \| Medium \| \| Efficient Operation and Use of Assets \| Stable \| 5 \| High \| \| Self Healing \| Stable \| 4 \| Medium \| \| Defend Against Attack and Natural Disaster \| Strong \| 2 \| Medium \| The following chart compares the calculated statewide Desired Future results of the S-KSGAM to the As-Is results for each Smart Grid Characteristic. VALUATION OF SMART GRID BENEFITS The valuation of Smart Grid Benefits was measured via aggregation and statistical analysis of the individual responses by 11 stakeholders to the S-KSGAM survey. Also the relative agreement amongst the reporting stakeholders was measured by calculation of a standard deviation figure. Agreement was ranked as either: Low, Medium, or High. The following table summarizes results of the S-KSGAM for each Benefit, and indicates that Kentucky stakeholders place a large value on an Environmentally Friendly Smart Grid. \| SMART GRID BENEFIT \| VALUATION \| STAKEHOLDER AGREEMENT \| \|-----------------------------\|-------------\|-----------------------\| \| Reliable \| $18.55M \| Medium \| \| Secure and Safe \| $17.13M \| High \| \| Economic \| $19.95M \| High \| \| Efficient \| $19.63M \| Medium \| \| Environmentally Friendly \| $24.75M \| Low \| EU-KSGAM GAP ANALYSIS A Gap Score for each SGC was calculated using the DLs, the modifiers, and the agreement indicators for both the “Desired Future” state and the “As-Is” state of the EU-KSGAM. The Gap Score for each SGC indicates the relative need for improved development of that SGC as compared to the group. The GS can therefore be used to identify areas of priority in crafting the KY Smart Grid Roadmap Document. Results of the Gap Score indicate a high priority for assistance with development within the Organization and Structure and Work and Asset. In contrast, the results indicate that the Strategy and Management, and Customer SGCs have a low emphasis, indicating that the responding utilities are satisfied with their progress toward established objectives within these SGCs. The remaining SGCs all are calculated as Medium priorities. \| SMART GRID CLASS \| GAP SCORE \| PRIORITY LEVEL \| \|-----------------------------------\|-----------\|----------------\| \| Strategy & Management \| 1 \| Low \| \| Organization & Structure \| 5 \| High \| \| TECHNOlogy \| 2.5 \| Medium \| \| System Architecture & Operation \| 3 \| Medium \| \| Demand & Supply Management \| 2 \| Medium \| \| Work & Asset Management \| 5 \| High \| \| Cyber and Physical SECurity \| 2 \| Medium \| \| Government& Regulation \| 3 \| Medium \| \| CUSTomer \| 1 \| Low \| \| ENVironment & society \| 2 \| Medium \| S-KSGAM GAP ANALYSIS A Gap Score for each Smart Grid Characteristic was calculated using the Level, the modifiers, and the agreement indicators for both the “Desired Future” state and the “As-Is” state of the S-KSGAM. The Gap Score for each Characteristic indicates the stakeholder opinions regarding the need for improved development of that Characteristic as compared to the other Characteristics. The GS can therefore be used to identify areas of priority in crafting the KY Smart Grid Roadmap Document. Results of the Gap Score indicate a high priority for development in the areas of Active Participation by Consumers, Accepts All Power Generation and Storage, and Self Healing. In contrast, the results indicate that the Enables New Products and Services, and Defined Against Attack and Natural Disaster are sufficiently developed. The remaining Characteristics all are calculated as Medium priorities. \| SMART GRID CHARACTERISTIC \| GAP SCORE \| PRIORITY LEVEL \| \|-------------------------------------------------\|-----------\|----------------\| \| Active Participation by Consumers \| 6 \| High \| \| Accepts All Power Generation and Storage \| 4.5 \| High \| \| Enables New Products and Services \| 1 \| Low \| \| Improved Power Quality \| 2.5 \| Medium \| \| Efficient Operation and Use of Assets \| 4 \| Medium \| \| Self Healing \| 4.5 \| High \| \| Defend Against Attack and Natural Disaster \| 1 \| Low \| LIST OF PARTICIPATING UTILITIES Big Rivers Electric Corporation Jackson Purchase Energy Kenergy Corp. Meade County RECC Duke Energy East Kentucky Power Cooperative Inc. Big Sandy RECC Bluegrass Energy Cooperative Clarke Energy Cooperative Inc. Cumberland Valley Electric Farmers RECC Fleming Mason Energy Grayson RECC Inter-County Energy Jackson Energy Cooperative Nolin RECC Owen Electric Cooperative Corporation Salt River Electric Cooperative Corporation Shelby Energy South Kentucky RECC Taylor County RECC Kentucky Power Company Louisville Gas & Electric and Kentucky Utilities EU-KSGAM UTILITY PROFILE SUMMARY INTRODUCTION The EU-KSGAM Utility Profile Survey was completed by 23 of the jurisdictional utilities. It collected information regarding demographics, performance data, demand response programs, and smart grid programs. The following section summarizes the collected responses to the survey. DEMOGRAPHIC SUMMARY Markets Kentucky’s jurisdictional utilities include three investor owned utilities (IOUs), two generation and transmissions cooperatives (G&Ts) and 19 distribution cooperatives. Of the 23 utilities that participated in the KSGAM, five utilities operate in the generation and transmission markets, 21 operate in the distribution market, and two operate in the whole-sale power market. Employees The reporting utilities range in size from 38 to 2791 employees (in state), including temporary, part-time, and full-time, with a statewide average of 275. The employee average for IOUs (only) is 1179, for G&Ts (only) is 653 and cooperatives (only) is 82. In all, the jurisdictional utilities employ approximately 6310 workers in Kentucky. Customers The responding utilities provide service to 1,572,922 residential customers, 219,603 commercial/industrial customers, and 15,974 other customers (largely street lighting). Residential customer counts range from 12,106 to 771,000. Commercial/industrial customer counts range from 333 to 125,000. IOUs average 344,745 residential customers and 57,122 commercial/industrial customers. Cooperatives average 29,927 residential customers and 2,680 commercial/industrial customers. Size and Density The average size of the service territory in KY is 1,971 square miles (excluding G&Ts), and range in size from 40 to 7,300 square miles. The average size of IOUs is 3,854 square miles, and 1,617 square miles for cooperatives. This translates to a statewide average of 11.1 customers/line mile of distribution, with a range between 6 and 42.3. The customer/line mile average for IOUs is 42.3, and is 9.3 for cooperatives. EQUIPMENT SUMMARY Electric Meters The responding utilities collectively operate approximately 2,008,700 electric meters, with 314,223 identified as AMR capable and 442,332 identified as AMI capable, statewide. This corresponds to a total penetration rate of 37.7% for remotely readable readers (inclusive of AMI), and a 22% penetration rate of AMI-capable “smart” meters. IOUs report, on average, a 45% penetration ratio of remotely readable meters, and of 8.7% for “smart” meters. Cooperatives report, on average, 74% remotely readable meters, with 61.5% also AMI capable. Individual utility averages for both have a range from 0 to 100%. Interconnect Responding jurisdictional utilities collectively operate 33,844 miles of transmission and 98,399 miles of distribution within KY. Performance Information Reliability Indicators The statewide average System Average Interruption Frequency Index (SAIFI) is 1.4 interruptions per customers, and ranges from a minimum of 0.1772 to a maximum of 3.91. According to IEEE Standard 1366-1998, the median U.S. value is 1.10. The IOU average SAIFI is 1.61, 0.355 for G&Ts, and 1.48 for coops. The statewide average System Average Interruption Duration Index (SAIDI) is 137, and ranges from a minimum of 0.295 to a maximum of 418. According to IEEE Standard 1366-1998, the median U.S. value is 90 minutes. The IOU average SAIDI is 209.7, 19.95 for G&Ts, and 137.8 for coops. Insufficient information was provided by the responding utilities to provide representative data on predicted SAIFI and SAIDI. Outages Statewide, the average duration of planned outages is 70.8 minutes, effecting .2% of customers. The individual utility average durations range from 1min to 300 min, and affect an average percentage of customers ranging from .0004% to 1.55%. The average planned outage duration for IOUs is 140.5 minutes, effecting 0.06% of customers. The average for Cooperatives is 54.8 minutes, effecting 0.13% of customers. Data was not calculated for G&T providers only. Statewide, the average duration of unplanned outages is 138,469 minutes, effecting 4.44% of customers. The individual utility average durations range from 32.1 minutes to 2,766,729 minutes, and affect an average percentage of customers ranging from .0002% to 41.16%. The average unplanned outage duration for IOUs is 207.9 minutes, effecting 13.7% of customers. The average for Cooperatives is 162,868 minutes, effecting 2.56 % of customers. Data was not calculated for G&T providers only. Line Losses and Utilization The statewide average distribution system line loss is 4.675%, and ranges from 1.9% to 6.7%. Statistics on transmission system line losses and capacity where not calculated due to insufficient data. Operating Costs The reported cost to operate the electric transmission system is $74,067,312 annually (excluding Duke Energy). The state average is $18,516,828 per transmission operator, and ranges from $5,783,922 to $30,550,820. The reported cost to operate the electric distribution system is $375,480,680 annually (excluding Duke Energy, and Grayson RECC). The state average is $19,762,141 per distribution operator, and ranges from $2,141,244 to 110,705,978. This equates to an average cost per customer of $552.85, with a range from $40.60 to $2571.68. The IOU only average is $65.72 per customer and averages $610.28 for cooperatives. Insufficient data was reported for calculation of statistics regarding work orders and estimated restoration time. Demand Response Deployment Impact Experiences Program Overview Demand Response (DR) offerings in the form of direct load control are fairly uniform across the state, and consist primarily of the use of a remotely-addressable switch to interrupt customer loads such as air conditioning units, pool pumps, heat pumps and electric water heaters. Such programs are offered by EKPC to all customers of their member distribution cooperatives, by Kentucky Power, and by Louisville Gas & Electric and Kentucky Utilities. Statewide, over 167,000 customers participate in direct load control programs, equating to roughly 9% participation statewide. However this figure is heavily dominated by LG&E’s DLC program which with over 160,000 participants has a penetration rate of 17% of the entire customer base. The typical incentive for customer participation is a monetary credit for each controlled unit, either on a monthly basis when activated, or as a yearly bill credit. Customers are invited to participate in such programs via direct mailing, and radio, television and online advertising. Peak load reduction by DR programs will vary with the number of units called upon to participate by the utilities, and is therefore difficult to quantify. Utilities have reported average reduction in peak ranging from 6.7 MW to 116 MW, with the majority of reduction taking place during the summer season. However, these load reductions do not reduce overall energy consumption, and instead shift power delivery to off-peak hours. Both EKPC and Big Rivers Electric Corporation have established special contracts with commercial and industrial customers to implement curtailment. EKPC has chosen to implement an interruptible rate program, in which credits to the demand rate are offered in response to load curtailment requests. Big Rivers Electric Corporation issues load curtailment requests based on market energy prices. Both programs are voluntary, and buy-through options are available. Both programs report low participation rates, ranging from 0 to 7%, with rates reported to vary directly in relation to changing market energy prices. Four EKPC member cooperatives (Blue Grass Energy Cooperative Corporation, Licking Valley RECC, Nolin RECC and Owen Electric Cooperative) and Louisville Gas & Electric and Kentucky Utilities offer dynamic pricing programs. EKPC reports no customer participation in their program. Benefits of DR programs are reported to include alleviating the need to purchase power, a reduction in peak demand, the deferment of construction of generation assets, increased load factor, customer satisfaction due to participation in environmental programs, and customer satisfaction due to decreased cost of service. Customer DR Experiences Utilities have reported a wide variety of responses when asked to comment on customer acceptance, participation, and education. Most utilities express difficulties encouraging program participation. Hesitance to participate is largely reported as due to concerns over “giving up control”, however this is reported to be less of a concern as market electricity prices rise. It has also been reported that there is increasing customer demand for additional information regarding energy efficiency resulting from a desire of customers to make smart decision regarding their own energy consumption. Customer education on energy efficiency and participation in DR programs was reported to be an area of need by more than 75% of responding utilities. Readiness for Dynamic Pricing All responding utilities reported that they are not currently prepared to implement dynamic pricing. This is largely due to the need to install metering and communications infrastructure, meter data management capabilities, and the need for integration with IT systems. Other Grid Modernization Practices Other modernization practices have been limited in deployment. Those reported include smart meter pilots, conservation voltage reduction, and automatic circuit reconfiguration for outage management/self-healing. Multi Year Smart Grid Planning Of the responding utilities, six indicated having multi-year plans specifically targeting smart grid deployments. Of these, three are specifically focuses on AMI deployments. Weakness of Kentucky Electric Grid Utilities have reported the following when asked to comment on their opinion regarding the overall weakness of the KY electric grid: transmission limitation/constraint (11), threat to right of way and line clearance by vegetation (2), generation constraints (4), low generation source diversity (1), reliability to natural forces including storms (1), and technical obsolescence (1). Additional Concerns Related to Smart Grid Utilities have reported the following when asked to comment on their concerns related to smart grid deployments: ability to provide sufficient security (1), decreased grid reliability (1), cost recovery / economic justification (10), technical obsolescence (4), regulatory mandates not in line with business model (4), electric vehicle integration (1), need for pilot studies (1), customer education and acceptance (3), changing business models (1), and change management (1). SMART GRID FUNCTIONALITIES AND ENABLING TECHNOLOGY The responding electric utilities were given a listing and description of smart grid functionalities, each followed by a listing of technologies that enable such functions. The following section summarizes their responses to the use of installed technology to achieve smart grid function. Increased National and Information Security Increased power efficiency – Reduce transmission and distribution loss, reduce customer load loss, and increase efficiency on electrical generation. Enabling technologies: - Transmission SCADA/EMS: 6 deployed - Distribution SCADA/DMS: 13 deployed, 1 in development - Optimized voltage and reactive power control: 5 deployed, 2 in development - Smarting metering: 13 deployed, 1 in development - Solid-state transformer: 0 deployed - Superconducting transmission: 0 deployed - High voltage DC transmission: 0 deployed Increase thermal efficiency of generation: 2 deployed Any additional technology you may have deployed: NONE Increased power transfer capability – Increase the power transfer capability of transmission systems in Kentucky. Facilitate regional system interconnection. This is important if Kentucky is going to purchase large amount of renewable energy from other states. - Phasor measurement unit technology: 0 deployed - Dynamic thermal rating of transmission line: 2 deployed - Transmission SCADA/EMS: 4 deployed: 0 deployed - High voltage DC transmission: 0 deployed - Any additional technology you may have deployed: NONE Increased system reliability – Anticipate and respond to system disturbances, operate resiliently against attack and natural disaster, curtail the duration of power outage, isolate power outage area to only fault vicinity by automated system reconfiguration. Enabling technologies: - Fault detection and location system: 10 deployed, 1 in development - Automated system reconfiguration and restoration: 6 deployed - Outage management system: 11 deployed - Transmission SCADA/EMS: 3 deployed - Distribution SCADA/DMS: 13 deployed, 1 deploying - Phasor measurement unit technology: 2 deployed - Superconducting magnetic energy storage system: 0 deployed - Short-circuit current limiting: 3 deployed - Any additional technology you may have deployed: 0 deployed Improved power quality – Provide power quality for the digital economy, reduce economic loss caused by power quality issues, offer flexible level of power quality based on customer demand. Enabling technologies: - Power quality monitoring system: 8 deployed - Energy storage technology: 0 deployed - Capacitive compensation: 7 deployed - Any additional technology you may have deployed: zero crossing switches Optimized asset utilization and efficient operation – Optimally manage generation plant, substation and power line, increase the utilization of line capacity by adjusting thermal ratings in real-time. Enabling technologies: - Dynamic thermal rating of transformer and transmission line: 1 deployed - Condition based operation & maintenance: 7 deployed - Any additional technology you may have deployed: on-line DGA for some transformers, Breaker wear algorithms Facilitates integration of distributed generations including renewable energy – Offer the possibility to accommodate various types of power generation, i.e. coal, hydro, wind, solar, biomass, etc.; offer the opportunity for net-metering, stimulate the development of energy storage system, reduce reliance on imported fuel. Enabling technologies: - Net-metering: 16 deployed - Energy storage system, large capacity battery: 0 deployed - Microgrid: 0 deployed Integration with electric vehicles (PEV): 1 deployed Any additional technology you may have deployed: NONE More effective consumer load control – Implement effective demand side management, offer the opportunity of incentive pricing strategy, e.g. real-time pricing, peak/off-peak pricing, enable active participation by consumers, offer the opportunity for customers to control their energy consumption, increase customer choice on selection of generation as power supply. Enabling technologies: Demand side management: 16 deployed Smart metering: 14 deployed, 1 pilot Home energy management system, e.g. In-home display, web portal: 5 deployed Any pricing strategy, e.g. real-time pricing, dynamic pricing, critical pricing: 4 deployed, 1 pilot Consumer load control technology such as programmable thermostat: 12 deployed Any additional technology you may have deployed: Electric thermal storage Enhanced grid awareness – Enable more effective grid monitoring and acquire better knowledge of grid conditions by utilizing advanced sensing and measurement technology. Enabling technologies: SCADA: 10 deployed, 1 deploying Breaker monitoring system: 6 deployed Wide-area monitoring system: 4 deployed Phasor measurement unit: 3 deployed Geographic information system: 12 deployed Digital event recording device: 7 deployed Transmission line sag monitoring: 0 deployed Any additional technology you may have deployed: IV Dip calculation Increased national and information security – Through deterrence of organized attacks on the grid, protect data and information privacy, and enhance cyber security. Enabling technologies: Techniques related to cyber security: 10 deployed Techniques related to data privacy: 10 deployed Any additional technology you may have deployed: 0 deployed EU-KSGAM “As-Is” STATE OF SMART GRID SUMMARY INTRODUCTION The EU-KSGAM “As-Is” State of Smart Grid Survey was completed by 23 of the jurisdictional utilities. The survey identified 10 areas of smart grid functionality, or Smart Grid Classes (SGCs). Each SGC was described by Development Levels (DL) ranging from zero to five. The DLs for each SGC were described by specific functionalities. Utility representatives were asked to read the DLs for each SGC, and to evaluate their own utility’s current state for each SGC by choosing the DL that most accurately identified the utility. Complete descriptions of the SGCs and associated DLs can be found in the document The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model. METHOD For each SGC, descriptive statistics were calculated for mean, median, mode, max, min, range, and standard deviation. To determine a statewide Development Level for each SGC, the mean (rounded to nearest integer), median, and mode were compared. In all cases, two of the descriptive statistics were found to be in agreement, and this value was assigned as the state DL. The outlying value, if present, was then used to inform the direction of movement within the DL. Outliers lower than the calculated state DL indicate that the DL has recently been reached in the state, or is emergent. Outliers above the calculated state DL indicate that the DL is trending towards the next higher DL, or is growing. No outlier indicates that the calculated state DL is stable. The standard deviation was utilized to indicate the agreement on each SGC DL by the responding utilities. Standard deviations within the top 1/3, ascending, are said to be in low agreement, middle 1/3 are said to be in medium agreement, and within the bottom 1/3, are said to be in high agreement. STRATEGY AND MANAGEMENT (SM) The SM SGC has mean, median, and mode ranking of 1.7, 2, and 3 respectively (9\textsuperscript{th}, 9\textsuperscript{th}, and 9\textsuperscript{th} overall, ascending) indicating an Enabling “As-is” maturity level (DL2) statewide that is Growing. The standard deviation of the responses was 1.3 (1\textsuperscript{st} overall, descending) indicating a Low amount of agreement between utilities. ORGANIZATION AND STRUCTURE (OS) The OS SGC has mean, median, and mode ranking of 1.4, 1, and 0 respectively (7\textsuperscript{th}, 7\textsuperscript{th}, and 3\textsuperscript{rd} overall, ascending) indicating an Initiating “As-is” maturity level (DL1) statewide that is Emergent. The standard deviation of the responses was 1.3 (2\textsuperscript{nd} overall, descending) indicating a Low amount of agreement between utilities. TECHNOLOGY (TECH) The TECH SGC has mean, median, and mode ranking of 1.4, 1.5, and 2 respectively (8\textsuperscript{th}, 8\textsuperscript{th}, and 8\textsuperscript{th} overall, ascending) indicating an Enabling “As-is” maturity level (DL2) statewide that is Emergent. The standard deviation of the responses was 1.0 (4\textsuperscript{th} overall, descending) indicating a Medium amount of agreement between utilities. SYSTEMS ARCHITECTURE AND OPERATION (SAO) The SAO SGC has mean, median, and mode ranking of .95, 1, and 0 respectively (3rd, 3rd, and 2nd overall, ascending) indicating an Initiating “As-is” maturity level (DL1) statewide that is Emergent. The standard deviation of the responses was .93 (6th overall, descending) indicating a Medium amount of agreement between utilities. DEMAND AND SUPPLY MANAGEMENT (DSM) The DSM SGC has mean, median, and mode ranking of 1, 1, and 1 respectively (4th, 4th and 5th, overall, ascending) indicating an Initiating “As-is” maturity level (DL1) statewide that is Stable. The standard deviation of the responses was .79 (8th overall, descending) indicating a High amount of agreement between utilities. WORK AND ASSET MANAGEMENT (WAM) The WAM SGC has mean, median, and mode ranking of 1.2, 1, and 1 respectively (6th, 6th and 7th, overall, ascending) indicating an Initiating “As-is” maturity level (DL1) statewide that is Stable. The standard deviation of the responses was .9 (7th overall, descending) indicating a Medium amount of agreement between utilities. PHYSICAL AND CYBER SECURITY (SEC) The SEC SGC has mean, median, and mode ranking of 1.1, 1, and 1 respectively (5th, 5th and 6th, overall, ascending) indicating an Initiating “As-is” maturity level (DL1) statewide that is Stable. The standard deviation of the responses was .97 (5th overall, descending) indicating a Medium amount of agreement between utilities. GOVERNMENT AND REGULATION (GR) The GR SGC has mean, median, and mode ranking of 1, 1, and 1 respectively (2nd, 2nd and 4th, overall, ascending) indicating an Initiating “As-is” maturity level (DL1) statewide that is Stable. The standard deviation of the responses was .7 (8th overall, descending) indicating a High amount of agreement between utilities. CUSTOMER (CUST) The CUST SGC has mean, median, and mode ranking of 1.7, 2, and 3 respectively (10th, 10th and 10th, overall, ascending) indicating an Enabling “As-is” maturity level (DL2) statewide that is Growing. The standard deviation of the responses was 1.2 (3rd overall, descending) indicating a Low amount of agreement between utilities. ENVIRONMENT AND SOCIETY (ENV) The ENV SGC has mean, median, and mode ranking of .52, 0, and 0 respectively (1st, 1st, and 1st, overall, ascending) indicating a Default “As-is” maturity level (DL0) statewide that is Growing. The standard deviation of the responses was .73 (9th overall, descending) indicating a High amount of agreement between utilities. EU-KSGAM DESIRED FUTURE STATE OF SMART GRID SUMMARY INTRODUCTION The EU-KSGAM Desired Future State of Smart Grid Survey was completed by 23 of the jurisdictional utilities. The survey identified 10 areas of smart grid functionality, or Smart Grid Classes (SGCs). Each SGC was described by Development Levels (DL) ranging from zero to five. The DLs for each SGC was described by specific functionalities. Utility representatives were asked to read the DLs for each SGC, and to evaluate their own utility desired future state for each SGC by choosing the DL that most accurately identified the utility’s future goals. Complete descriptions of the SGCs and DLs can be found in the document The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model. METHOD For each SGC, descriptive statistics were calculated for mean, median, mode, max, min, range, and standard deviation. To determine a statewide Development Level for each SGC, the mean (rounded to nearest integer), median, and mode were compared. In all cases, two of the descriptive statistics were found to be in agreement, and this value was assigned as the state DL. The outlying value, if present, was then used to further refine the DL. Outliers lower than the calculated state DL indicates that the DL has reported lower emphasis by the state utilities, or is weak. Outliers above the calculated state DL indicate that the DL has higher emphasis by the state utilities, or is strong. No outlier value indicates that the calculated state DL is stable. The standard deviation was utilized to indicate the agreement on each SGC DL by the responding utilities. Standard deviations within the top 1/3, ascending, are said to be in low agreement, middle 1/3 are said to be in medium agreement, and within the bottom 1/3, are said to be in high agreement. STRATEGY AND MANAGEMENT (SM) The SM SGC has mean, median, and mode ranking of 2.85, 3.5, and 4 respectively (9\textsuperscript{th}, 9\textsuperscript{th}, and 10\textsuperscript{th} overall, ascending) indicating an Optimizing “Future” maturity level (DL4) statewide that is Weak. The standard deviation of the responses was 1.8 (1\textsuperscript{st} overall, descending) indicating a Low amount of agreement between utilities. ORGANIZATION AND STRUCTURE (OS) The SM SGC has mean, median, and mode ranking of 2.7, 3, and 4 respectively (8\textsuperscript{th}, 8\textsuperscript{th}, and 9\textsuperscript{th} overall, ascending) indicating an Integrating “Future” maturity level (DL3) statewide that is Strong. The standard deviation of the responses was 1.7 (3\textsuperscript{rd} overall, descending) indicating a Low amount of agreement between utilities. TECHNOLOGY (TECH) The TECH SGC has mean, median, and mode ranking of 2.2, 2, and 4 respectively (6\textsuperscript{th}, 6\textsuperscript{th}, and 8\textsuperscript{th} overall, ascending) indicating an Enabling “Future” maturity level (DL2) statewide that is Strong. The standard deviation of the responses was 1.5 (8\textsuperscript{th} overall, descending) indicating a High amount of agreement between utilities. SYSTEMS ARCHITECTURE AND OPERATION (SAO) The SAO SGC has mean, median, and mode ranking of 2.1, 1, and 1 respectively (3rd, 5th, and 5th overall, ascending) indicating an Enabling “Future” maturity level (DL2) statewide that is Stable. The standard deviation of the responses was 1.6 (4th overall, descending) indicating a Medium amount of agreement between utilities. DEMAND AND SUPPLY MANAGEMENT (DSM) The DSM SGC has mean, median, and mode ranking of 2.2, 2, and 1 respectively (4th, 4th, and 2nd overall, ascending) indicating an Enabling “Future” maturity level (DL2) statewide that is Weak. The standard deviation of the responses was 1.5 (9th overall, descending) indicating a High amount of agreement between utilities. WORK AND ASSET MANAGEMENT (WAM) The WAM SGC has mean, median, and mode ranking of 2.5, 3, and 3 respectively (7th, 7th, and 6th overall, ascending) indicating an Integrating “Future” maturity level (DL3) statewide that is Stable. The standard deviation of the responses was 1.5 (5th overall, descending) indicating a Medium amount of agreement between utilities. PHYSICAL AND CYBER SECURITY (SEC) The SEC SGC has mean, median, and mode ranking of 2.1, 2, and 2 respectively (2nd, 3rd and 4th overall, ascending) indicating an Enabling “Future” maturity level (DL2) statewide that is Stable. The standard deviation of the responses was 1.6 (8th overall, descending) indicating a Medium amount of agreement between utilities. GOVERNMENT AND REGULATION (GR) The GR SGC has mean, median, and mode ranking of 2.3, 2, and 2 respectively (5th, 2nd, and 3rd overall, ascending) indicating an Enabling “Future” maturity level (DL2) statewide that is Stable. The standard deviation of the responses was 1.5 (10th overall, descending) indicating a High amount of agreement between utilities. CUSTOMER (CUST) The CUST SGC has mean, median, and mode ranking of 3.1, 4, and 4 respectively (10th, 10th, and 7th overall, ascending) indicating an Optimizing “Future” maturity level (DL4) statewide that is Weak. The standard deviation of the responses was 1.7 (2nd overall, descending) indicating a Low amount of agreement between utilities. ENVIRONMENT AND SOCIETY (ENV) The ENV SGC has mean, median, and mode ranking of 1.8, 1, and 1 respectively (1st, 1st and 1st overall, ascending) indicating an Initiating “Future” maturity level (DL1) statewide that is Strong. The standard deviation of the responses was 1.6 (7th overall, descending) indicating a Medium amount of agreement between utilities. EU-KSGAM GAP ANALYSIS INTRODUCTION A gap analysis was performed comparing the calculated statewide values of the EU-KSGAM “As-Is” and Desired Future State of Smart Grid Surveys. The gap analysis identifies, for the state on average, the relative importance of each SGC, as reported by jurisdictional utilities. METHOD To calculate a Gap Score for each SGC, numerical weights were given to the “As-is” SGC descriptors as follows: +2 points for each Development Level (i.e. a DL of 3 receives 6 points), -1 for Emergent, +0 for Stable, and +1 for the Growing modifiers, respectively. Numerical weights were given to the “Future” SGC descriptors as follows: +2 points for each Development Level, -1 for Weak, +0 for Stable, and +1 for the Strong modifiers, respectively. The delta between these values was then calculated (Future – As-Is). This weighting was again modified using the SGC Agreement indicator for both “As-Is” and “Future” states as follows: −.5 for Low, +0 for Medium, and +.5 for High \[ \text{Gap Score} = (2 \times \text{DL}_{\text{Future}} + \text{Modifier}_{\text{Future}}) - (2 \times \text{DL}_{\text{As-Is}} + \text{Modifier}_{\text{As-Is}}) + \text{Agreement}_{\text{Future}} + \text{Agreement}_{\text{As-Is}} \] STRATEGY AND MANAGEMENT (SM) The “Future” maturity level is Weak and Optimizing (DL4) with Low agreement. The SM SGC has a Growing and Enabling (DL2) “As-is” maturity level with Low agreement. \[ \text{GS} = (2 \times 4 + -1) - (2 \times 2 + 1) + -0.5 + -0.5 = 1 \] ORGANIZATION AND STRUCTURE (OS) The “Future” maturity level is Strong and Integrating (DL3) with Low agreement. The OS SGC has an Emergent and Initiating (DL1) “As-is” maturity level with Low agreement. \[ \text{GS} = (2 \times 3 + 1) - (2 \times 1 + -1) + -0.5 + -0.5 = 5 \] TECHNOLOGY (TECH) The “Future” maturity level is Strong and Enabling (DL2) with High agreement. The TECH SGC has an Emergent and Enabling (DL2) “As-is” maturity level with Medium agreement. \[ \text{GS} = (2 \times 2 + 1) - (2 \times 2 + -1) + 0.5 + 0.0 = 2.5 \] SYSTEMS ARCHITECTURE AND OPERATION (SAO) The “Future” maturity level is Stable and Enabling (DL2) with Medium agreement. The SAO SGC has an Emergent and Initiating (DL1) “As-is” maturity level with Medium agreement. \[ \text{GS} = (2 \times 2 + 0) - (2 \times 1 + -1) + 0 + 0 = 3 \] DEMAND AND SUPPLY MANAGEMENT (DSM) The “Future” maturity level is Weak and Enabling (DL2) with High agreement. The DSM SGC has a Stable and Initiating (DL1) “As-is” maturity level with High agreement. GS = (22 + -1) – (21+ 0) + 0.5 +0.5 = 2 Work and Asset Management (WAM) The “Future” maturity level is Stable and Integrating (DL3) with Medium agreement. The WAM SGC has a Stable and Initiating (DL1) “As-is” maturity level with Medium agreement. GS = (23 + 0) – (21+ -1) + 0 + 0 = 5 Physical and Cyber Security (SEC) The “Future” maturity level is Stable and Enabling (DL2) with Medium agreement. The SEC SGC has a Stable and Initiating (DL1) “As-is” maturity level with Medium agreement. GS = (22 + 0) – (21+ 0) + 0 + 0 = 2 Government and Regulation (GR) The “Future” maturity level is Stable and Enabling (DL2) with High agreement. The SM SGC has a Stable and Initiating (DL1) “As-is” maturity level with High agreement. GS = (22 + 0) – (21+ 0) + 0.5 +0.5 = 3 Customer (CUST) The “Future” maturity level is Weak and Optimizing (DL4) with Low agreement. The CUST SGC has a Growing and Enabling (DL2) “As-is” maturity level with Low agreement. GS = (24 + -1) – (22+ 1) + -0.5 +-0.5 = 1 Environment and Society (ENV) The “Future” maturity level is Strong and Initiating (DL1) with Medium agreement. The SM SGC has a Growing and Default (DL0) “As-is” maturity level with High agreement. GS = (21 + 1) – (20+ 1) + 0 + 0 = 2 INTRODUCTION The S-KSGAM Survey was completed by 11 stakeholders. The survey identified seven Smart Grid Characteristics. Each Characteristic was described by a short paragraph with details specific to the Characteristic. Stakeholders were asked to read the description and rank the current electric power system of Kentucky on a scale from one to five for each of the Characteristics. The task was then repeated for the desired future state of the Characteristic. Additionally, the survey identified five Smart Grid Benefits. Each Benefit was described by a short paragraph with details specific to the Benefit. Stakeholders were asked to read all of the descriptions, and then to allot $1M (USD) of investment amongst the five Benefits. Complete descriptions of the Characteristics, Benefits and rankings can be found in the document The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model. DEMOGRAPHIC INFORMATION Of the 11 respondents, 11 identified themselves as residential electric customers in the state of Kentucky, 3 identified themselves as commercial customers, 2 identified themselves as members of state the KY state government, 1 identified as a member of the KY Energy and Environment Cabinet, and 6 identified as a member of a stakeholder group. Of the 11 respondents, five identified themselves as “I understand most of the electric power system. I understand concepts relating to grid operations and components such as substations, transformers, and frequency.” Three identified themselves as “I have a thorough understanding of the electric power system. In understand concepts such as SCADA, demand response, distributed energy resources, AMR and energy markets”. One identified as “I have an advanced understanding of the electric power system that includes AMI, substation energy storage, automated VAR correction, and dynamic pricing.” One identified as “I am on the cutting edge of electric power research and understand systems such as microgrids, solid state transformers, CVR, and real time pricing.” One participant did not indicate their level of knowledge regarding the electric utility industry. SMART GRID CHARACTERISTICS SURVEY Method For each Smart Grid Characteristic, descriptive statistics were calculated for mean, median, mode, max, min, and standard deviation for both the “As-Is” and “Future” states. To determine a statewide consensus for each Characteristic, the mean (rounded to nearest integer), median, and mode were compared. In all cases, two of the descriptive statistics were found to be in agreement, and this value was assigned as the state value. The outlying value, if present, was then used to inform the direction of movement within the Characteristic. For the “As-Is” state, outliers lower than the calculated state value indicate that the Characteristic has recently been reached statewide, or is emergent. Outliers above the calculated statewide Characteristic indicate that the Characteristic is trending towards the next higher level, or is growing. No outlier indicates that the calculated statewide Characteristic is stable. For the “Future” state, outliers lower than the calculated statewide Characteristic indicate that the Characteristic has reported lower emphasis by the stakeholders, or is weak. Outliers above the calculated statewide Characteristic indicate that the Characteristic has higher emphasis by stakeholders, or is strong. No outlier value indicates that the calculated statewide Characteristic is stable. The standard deviation was utilized to indicate the agreement on each Smart Grid Characteristic by the responding stakeholders. Standard deviations within the top 1/3, ascending, are said to be in low agreement, middle 1/3 are said to be in medium agreement, and within the bottom 1/3, are said to be in high agreement. Active Participation by Consumers The Active Participation by Consumers Characteristic has an “As-Is” mean, median, and mode ranking of 2, 2, and 2 respectively indicating an “As-Is” maturity level of 2 statewide that is Stable. The standard deviation of the responses was .47 indicating a High amount of agreement between stakeholders. The Characteristic has a “Future” mean median, and mode ranking of 4.3, 4.5 and 5 indicating a “Future” desired maturity level of 5 statewide that is Weak. The standard deviation of the responses was .95 indicating a High amount of agreement between stakeholders. Accepts All Power Generation and Storage The Accepts All Power Generation and Storage Characteristic has an “As-Is” mean, median, and mode ranking of 2.3, 2, and 2 respectively indicating an “As-Is” maturity level of 2 statewide that is Stable. The standard deviation of the responses was .82 indicating a Medium amount of agreement between stakeholders. The Characteristic has a “Future” mean median, and mode ranking of 3.9, 4.5 and 5 indicating a “Future” desired maturity level of 5 statewide that is Weak. The standard deviation of the responses was 1.29 indicating a Low amount of agreement between stakeholders. Enables New Products and Services The Enables New Products and Services Characteristic has an “As-Is” mean, median, and mode ranking of 1.7, 2, and 2 respectively indicating an “As-Is” maturity level of 2 statewide that is Stable. The standard deviation of the responses was .49 indicating a High amount of agreement between stakeholders. The Characteristic has a “Future” mean median, and mode ranking of 3.3, 3.5, and 2 indicating a “Future” desired maturity level of 3 statewide that is Weak. The standard deviation of the responses was 1.45 indicating a Low amount of agreement between stakeholders. Improved Power Quality The Improved Power Quality Characteristic has an “As-Is” mean, median, and mode ranking of 2.5, 2, and 2 respectively indicating an “As-Is” maturity level of 2 statewide that is Growing. The standard deviation of the responses was 1.35 indicating a Low amount of agreement between stakeholders. The Characteristic has a “Future” mean median, and mode ranking of 3.7, 4, and 4 indicating a “Future” desired maturity level of 4 statewide that is Stable. The standard deviation of the responses was 1.6 indicating a Medium amount of agreement between stakeholders. Efficient Operation and Use of Assets The Efficient Operation and Use of Assets Characteristic has an “As-Is” mean, median, and mode ranking of 2.8, 3, and 3 respectively indicating an “As-Is” maturity level of 3 statewide that is Stable. The standard deviation of the responses was 1.14 indicating a Low amount of agreement between stakeholders. The Characteristic has a “Future” mean median, and mode ranking of 4.5, 5, and 5 indicating a “Future” desired maturity level of 5 statewide that is Stable. The standard deviation of the responses was .71 indicating a High amount of agreement between stakeholders. Self Healing The Self Healing Characteristic has an “As-Is” mean, median, and mode ranking of 2.1, 2, and 2 respectively indicating an “As-Is” maturity level of 2 statewide that is Stable. The standard deviation of the responses was .33 indicating a High amount of agreement between stakeholders. The Characteristic has a “Future” mean median, and mode ranking 4.1, 4, and 4 indicating a “Future” desired maturity level of 4 statewide that is Stable. The standard deviation of the responses was .99 indicating a Medium amount of agreement between stakeholders. Defends Against Attack and Natural Disaster The Defends Against Attack and Natural Disaster Characteristic has an “As-Is” mean, median, and mode ranking of 2.3, 2, and 2 respectively indicating an “As-Is” maturity level of 2 statewide that is Stable. The standard deviation of the responses was 1.12 indicating a Medium amount of agreement between stakeholders. The Characteristic has a “Future” mean median, and mode ranking of 1.6, 2, and 3 indicating a “Future” desired maturity level of 2 statewide that is Strong. The standard deviation of the responses was 1.05 indicating a Medium amount of agreement between stakeholders. SMART GRID BENEFITS SURVEY Method For each Smart Grid Benefit, descriptive statistics were calculated for mean, median, mode, max, min, and standard deviation. The mean value was used as the statewide consensus for each Benefit. The standard deviation was utilized to indicate the agreement on each Smart Grid Benefit by the responding stakeholders. Standard deviations within the top 1/3, ascending, are said to be in low agreement, middle 1/3 are said to be in medium agreement, and within the bottom 1/3, are said to be in high agreement. Reliable The Reliable Benefit has an average valuation of $18.55M, with a Standard Deviation of $11.4M, indicating a Medium amount of agreement between stakeholders. Secure and Safe The Secure and Safe Benefit has an average valuation of $17.1M, with a Standard Deviation of $9.9M, indicating a High amount of agreement between stakeholders. Economic The Economic Benefit has an average valuation of $19.95M, with a Standard Deviation of $9.61M, indicating a High amount of agreement between stakeholders. Efficient The Efficient Benefit has an average valuation of $19.63M, with a Standard Deviation of $14.6M, indicating a Medium amount of agreement between stakeholders. Environmentally Friendly The Environmentally Friendly Benefit has an average valuation of $18.55M, with a Standard Deviation of $25.4M, indicating Low amount of agreement between stakeholders. INTRODUCTION A gap analysis was performed comparing the calculated statewide values of the S-KSGAM “As-Is” and Desired Future State of Smart Grid Surveys. The gap analysis identifies, for the state on average, the relative importance of each Smart Grid Characteristic, as reported stakeholders. METHOD To calculate a Gap Score for each Smart Grid Characteristic, numerical weights were given to the “As-is” Characteristic descriptors as follows: +2 points for each Level (i.e. a Level of 3 receives 6 points), -1 for Emergent, +0 for Stable, and +1 for the Growing modifiers, respectively. Numerical weights were given to the “Future” Characteristics descriptors as follows: +2 points for each Level, -1 for Weak, +0 for Stable, and +1 for the Strong modifiers, respectively. The delta between these values was then calculated (Future – As-Is). This weighting was again modified using the Characteristic Agreement indicator for both “As-Is” and “Future” states as follows: -.5 for Low, +0 for Medium, and +.5 for High \[ \text{Gap Score} = (2 \times DL_{\text{Future}} + \text{Modifier}_{\text{Future}}) - (2 \times DL_{\text{As-Is}} + \text{Modifier}_{\text{As-Is}}) + \text{Agreement}_{\text{Future}} + \text{Agreement}_{\text{As-Is}} \] ACTIVE PARTICIPATION BY CONSUMERS The “Future” level is a Weak Level 5 with High agreement. The “As-Is” level is a Stable Level 2 with High agreement. \[ \text{GS} = 6 \] ACCEPTS ALL POWER GENERATION AND STORAGE The “Future” level is a Weak Level 5 with Low agreement. The “As-Is” level is a Stable Level 2 with Medium agreement. \[ \text{GS} = 4.5 \] ENABLES NEW PRODUCTS AND SERVICES The “Future” level is a Weak Level 3 with Low agreement. The “As-Is” level is a Stable Level 2 with High agreement. \[ \text{GS} = 1 \] IMPROVED POWER QUALITY The “Future” level is a Stable Level 4 with Medium agreement. The “As-Is” level is a Growing Level 2 with Low agreement. \[ \text{GS} = 2.5 \] EFFICIENT OPERATION AND USE OF ASSET The “Future” level is a Stable Level 5 with High agreement. The “As-Is” level is a Stable Level 3 with Low agreement. SELF HEALING The “Future” level is a Stable Level 4 with Medium agreement. The “As-Is” level is a Stable Level 2 with High agreement. \[ \text{GS} = 4 \] DEFEND AGAINST ATTACK AND NATURAL DISASTER The “Future” level is a Strong Level 2 with Medium agreement. The “As-Is” level is a Stable Level 3 with Medium agreement. \[ \text{GS} = 1 \] This section summarizes the responses of the 23 jurisdictional utilities for each of the 10 Smart Grid Classes (SGCs) of the Electric Utility - Kentucky Smart Grid Assessment Model (EU-KSGAM). For each SGC, the model definition is presented along with a histogram and descriptive statistical data. STRATEGY AND MANAGEMENT (SM) The Strategy and Management (SM) SGC represents the competencies and attributes related to a smart grid vision and strategic planning, internal governance and management processes, and collaboration with internal and external stakeholders. For a complete description of each Development Level for the SM SGC, refer to Pg. 14 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. ![Histogram of Response Values for SGC-SM](image) \| Descriptive Statistics \| As-Is \| Future \| Δ \| \|------------------------\|---------\|--------\|-------\| \| Mean \| 1.681818\| 2.85 \| 1.168182 \| \| Median \| 2 \| 3.5 \| 1.5 \| \| Mode \| 3 \| 4 \| 1 \| \| Maximum \| 4 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 4 \| 5 \| \| \| Standard Dev. \| 1.323285\| 1.755443\| \| ORGANIZATION AND STRUCTURE (OS) The Organization and Structure (OS) SGC represents the competencies and attributes related to workplace structure, training, communications, and knowledge management within the utility. For a complete description of each Development Level for the OS SGC, refer to Pg. 15 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|----------------\|---------\|--------\|-------\| \| Mean \| 1.391304\| 2.666667\| 1.275362 \| \| Median \| 1 \| 3 \| 2 \| \| Mode \| 0 \| 4 \| 4 \| \| Maximum \| 4 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 4 \| 5 \| \| \| Standard Dev. \| 1.269901\| 1.683251\| \| TECHNOLOGY (TECH) The Technology (TECH) SGC measures the extent to which the utility has evaluated deployment of and enabled effective strategic planning of technologies such as: integrated communications, sensing and measurement, advanced components, advanced control methods, and improved visual interfaces and decision support software. This SGC also measure the utility’s establishment of engineering and business process for the evaluation, acquisition, integration, and testing of technologies. For a complete description of each Development Level for the TECH SGC, refer to Pg. 16 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. Histogram of Response Values for SGC-TECH Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|----------------\|---------\|--------\|-------\| \| Mean \| 1.409091\| 2.368421\| 0.95933 \| \| Median \| 1.5 \| 2 \| 0.5 \| \| Mode \| 2 \| 4 \| 2 \| \| Maximum \| 3 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 3 \| 5 \| \| \| Standard Dev. \| 1.007547\| 1.535163\| \| SYSTEMS ARCHITECTURE AND OPERATION (SAO) The System Architecture and Operation (SAO) SGC represents the operation of the power grid as an automated system with a high degree of local, regional, and national situational awareness to improve efficiency, security and safety. These architectures are often divided between four operational gateways: advanced metering infrastructure (AMI), advanced distribution operations (ADO), advanced transmission operations (ATO), and advanced asset management (AAM). For a complete description of each Development Level for the SAO SGC, refer to Pg. 17 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. Histogram of Response Values for SGC-SA0 \| Development Level \| As-Is \| Future \| Δ \| \|-------------------\|-------\|--------\|-----\| \| Mean \| 0.956522 \| 2.142857 \| 1.186335 \| \| Median \| 1 \| 2 \| 1 \| \| Mode \| 0 \| 2 \| 2 \| \| Maximum \| 3 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 3 \| 5 \| \| \| Standard Dev. \| 0.928256 \| 1.621287 \| \| DEMAND AND SUPPLY MANAGEMENT (DSM) The Demand and Supply Management (DSM) SGC represents the ability to dynamically manage both the supply and demand in the production and delivery of electricity, based on near real-time information in the areas of load management, distributed energy resources, and new market opportunities. For a complete description of each Development Level for the DSM SGC, refer to Pg. 18 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. ![Histogram of Response Values for SGC-DSM](image) \| Descriptive Statistics \| As-Is \| Future \| Δ \| \|------------------------\|---------\|--------\|-------\| \| Mean \| 1.045455\| 2.2 \| 1.154545 \| \| Median \| 1 \| 2 \| 1 \| \| Mode \| 1 \| 1 \| 0 \| \| Maximum \| 2 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 2 \| 5 \| \| \| Standard Dev. \| 0.785419\| 1.472556\| \| WORK AND ASSET MANAGEMENT (WAM) The Work and Asset Management (WAM) SGC represents the capabilities that support optimal management of grid assets and workforce resources, toward a utility that bases operation and maintenance decisions on real-time performance data instead of best practices or historical precedent, resulting in a change from preventative and reactive resource usage to predictive and planned resource management. For a complete description of each Development Level for the WAM SGC, refer to Pg. 19 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. --- Histogram of Response Values for SGC-WAM ![Histogram](image) Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|----------------\|---------\|--------\|-------\| \| Mean \| 1.217391\| 2.47619\| 1.258799 \| \| Median \| 1 \| 3 \| 2 \| \| Mode \| 1 \| 3 \| 2 \| \| Maximum \| 3 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 3 \| 5 \| \| \| Standard Dev. \| 0.902347 \| 1.600595 \| \| PHYSICAL AND CYBER SECURITY (SEC) The Physical and Cyber Security (SEC) SGC represents the protection of new and legacy equipment and system data from cyber and physical security attacks. This SGC measures the extent to which a security architecture and overlay is in place, the performance of risk assessment activities, and conformance to emerging NIST cyber security standards. For a complete description of each Development Level for the SEC SGC, refer to Pg. 20 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. Histogram of Response Values for SGC-SEC \| Development Level \| As-Is \| Future \| \|-------------------\|-------\|--------\| \| NR \| \| \| \| 0 \| \| \| \| 1 \| \| \| \| 2 \| \| \| \| 3 \| \| \| \| 4 \| \| \| \| 5 \| \| \| Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|------------------\|---------\|--------\|-------\| \| Mean \| 1.090909\| 2.1 \| 1.009091 \| \| Median \| 1 \| 2 \| 1 \| \| Mode \| 1 \| 2 \| 1 \| \| Maximum \| 3 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 3 \| 5 \| \| \| Standard Dev. \| 0.971454\| 1.586124\| \| GOVERNMENT AND REGULATION (GR) The Government and Regulation (GR) SGC represents the role of the state governments and the Kentucky Public Service Commission in the development of smart grid operations. This SGC measures the extent to which regulators authorize smart grid investments on both visible deployments and supporting infrastructure projects, authorize smart grid demonstration projects, approve innovative regulatory strategies, and facilitate intra-utility optimization. This SGC also measures the state investment, in terms of cost recovery authorizations or grants, in smart grid deployments. For a complete description of each Development Level for the GR SGC, refer to Pg. 21 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. --- Histogram of Response Values for SGC-GR ![Histogram](image) Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|------------------\|---------\|--------\|-------\| \| Mean \| 0.904762\| 2.315789\| 1.411028 \| \| Median \| 1 \| 2 \| 1 \| \| Mode \| 1 \| 2 \| 1 \| \| Maximum \| 2 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 2 \| 5 \| \| \| Standard Dev.\| 0.70034 \| 1.454977\| \| CUSTOMER (CUST) The Customer (CUTS) SGC represents the role of customer participation and experience, pricing, education, and advanced services. Customer participation may range from fully passive to fully active, with a goal of fully empowering customers to make decisions regarding the usage, source, and cost of energy. For a complete description of each Development Level for the CUST SGC, refer to Pg. 22 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. --- Histogram of Response Values for SGC-CUST ![Histogram](image) Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|----------------\|---------\|--------\|-------\| \| Mean \| 1.727273\| 3.1 \| 1.372727 \| \| Median \| 2 \| 4 \| 2 \| \| Mode \| 3 \| 4 \| 1 \| \| Maximum \| 4 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 4 \| 5 \| \| \| Standard Dev. \| 1.241421 \| 1.744163 \| \| ENVIRONMENT AND SOCIETY (ENV) The Environment and Society (ENV) SGC represents the contributions of the utility to achieving societal goals regarding reliability, safety, security, energy sources, energy source impacts, and quality of life. This includes the promotion of conservation and green energy initiatives, the integration of alternative and distributed energy resources, and GHG emission reduction programs. For a complete description of each Development Level for the ENV SGC, refer to Pg. 22 of the document “Kentucky Smart Grid Assessment Model Electric Utility – Survey”. --- Histogram of Response Values for SGC-ENV ![Histogram](image) Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|------------------\|---------\|--------\|-------\| \| Mean \| 0.521739\| 1.809524\| 1.287785 \| \| Median \| 0 \| 1 \| 1 \| \| Mode \| 0 \| 1 \| 1 \| \| Maximum \| 2 \| 5 \| \| \| Minimum \| 0 \| 0 \| \| \| Range \| 2 \| 5 \| \| \| Standard Dev.\| 0.730477\| 1.569046\| \| “AS-IS” AND “FUTURE” STATE DETAILS FOR SMART GRID CHARACTERISTICS This section summarizes the responses of the 11 grid stakeholders for each of the seven Smart Grid Characteristics of the Stakeholder - Kentucky Smart Grid Assessment Model (S-KSGAM). For each Characteristic the model definition is presented along with a histogram and descriptive statistical data. LEVEL DESCRIPTIONS Level 1: The current electric power system does not implement any aspects of this characteristic. Level 2: The current electric power system implements some aspects of this characteristic. Level 3: The current electric power system implements many aspects of this characteristic. Level 4: The current electric power system implements most aspects of this characteristic. Level 5: The current electric power system implements all aspects of this characteristic. ACTIVE PARTICIPATION BY CONSUMERS Active Participation by Consumers is the characteristic that describes the increased interaction of consumers with the grid. Such interaction is characterized by the use of price based signals and demand response programs to give customers choice regarding if and when to purchase power, the decisions on the source of purchased power, the use of distributed energy resources, and the use of home automation networks and intelligent load end-use devices such as smart appliances. ACCEPTS ALL POWER GENERATION AND STORAGE Accepts All Power Generation and Storage is the characteristic that describes the integration of diverse resources with “plug-and-play” connections to multiply the options for electrical generation and storage. This includes the accommodation of large centralized power plants, and distributed energy resources such as renewables, distributed generation, and energy storage devices. This characteristic represents the transition to a more decentralized supply model. \| Descriptive Statistics \| As-Is \| Future \| Δ \| \|------------------------\|-------\|--------\|-----\| \| Mean \| 2 \| 4.3 \| 2.3 \| \| Median \| 2 \| 4.5 \| 2.5 \| \| Mode \| 2 \| 5 \| 3 \| \| Maximum \| 3 \| 5 \| \| \| Minimum \| 1 \| 2 \| \| \| Standard Dev. \| 0.471405 \| 0.9486833 \| \| Accepts All Power Generation and Storage \| \| As-Is \| Future \| Δ \| \|----------------\|-------\|--------\|-----\| \| Mean \| 0 \| 5 \| \| \| Median \| 2.3 \| 3.9 \| 1.6 \| \| Mode \| 2 \| 4.5 \| 2.5 \| \| Maximum \| 2 \| 5 \| 3 \| \| Minimum \| 4 \| 5 \| \| \| Standard Dev. \| 1 \| 2 \| \| Enables New Products and Services Enables New Products and Services is the characteristic that describes three changes in the electricity market. First is the direct linking of the buyers and sellers of electricity (e.g. RTO to consumer), allowing real time interaction with the market. Second, the advent of new commercial goods and services will result in the creation of new electricity markets and choice such as green power products and electric vehicles. Third, a restructuring of markets will achieve consistency of operation across the U.S. Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|----------------\|--------\|--------\|-----\| \| Mean \| 1.7 \| 3.3 \| 1.6 \| \| Median \| 2 \| 3.5 \| 1.5 \| \| Mode \| 2 \| 2 \| 0 \| \| Maximum \| 2 \| 5 \| \| \| Minimum \| 1 \| 2 \| \| \| Standard Dev. \| 0.483045892 \| 1.251666 \| \| IMPROVED POWER QUALITY Improved Power Quality is the characteristic that describes the delivery of “clean” power. Such digital-grade power is characterized by a reduction in system interruptions due to under voltage sags, voltage spikes, frequency harmonics, and phase imbalances. The delivered power may be available in “grades”, varying from standard to premium, and will depend on customer requirements. ![Improved Power Quality Graph] \| \| As-Is \| Future \| Δ \| \|----------------\|-------\|--------\|-----\| \| Mean \| 2.5 \| 3.7 \| 1.2 \| \| Median \| 2 \| 4 \| 2 \| \| Mode \| 2 \| 4 \| 2 \| \| Maximum \| 5 \| 5 \| \| \| Minimum \| 1 \| 2 \| \| \| Standard Dev. \| 2.5 \| 3.7 \| 1.2 \| Efficient Operation and Use of Assets Efficient Operation and Use of Assets is the characteristic that describes the use of real time information from advanced sensors to allow operators to better understand the state of the system. Such information can be used to perform risk assessment, optimize system planning, reduce transmission congestion, extend asset life, and to perform proactive maintenance. \| Descriptive Statistics \| As-Is \| Future \| Δ \| \|------------------------\|-------\|--------\|-----\| \| Mean \| 2.8 \| 4.5 \| 1.7 \| \| Median \| 3 \| 5 \| 2 \| \| Mode \| 3 \| 5 \| 2 \| \| Maximum \| 5 \| 5 \| \| \| Minimum \| 1 \| 3 \| \| \| Standard Dev. \| 1.135292 \| 0.707106781 \| \| SELF-HEALING Self-Healing is the characteristic that describes the grid’s ability to identify, isolate, and restore problematic sections of the grid with little or no manual intervention. Today, such capabilities are largely isolated to substation automation. Future systems may use sensors, weather data, and analytic programs to detect precursors to faults including voltage, power-quality, dynamic instabilities, congestion issues, equipment failures, and downed power lines. Automatic network reconfiguration could be employed to link energy sources and loads to both restore power and implement real-time contingency strategies. \| Rating \| As-Is \| Future \| \|--------\|-------\|--------\| \| NR \| 2 \| 1 \| \| 0 \| 1 \| 1 \| \| 1 \| 0 \| 1 \| \| 2 \| 8 \| 1 \| \| 3 \| 1 \| 1 \| \| 4 \| 1 \| 3 \| \| 5 \| 1 \| 3 \| Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|----------------\|---------\|--------\|---------\| \| Mean \| 2.111111\| 4.1 \| 1.988888889 \| \| Median \| 2 \| 4 \| 2 \| \| Mode \| 2 \| 4 \| 2 \| \| Maximum \| 3 \| 5 \| \| \| Minimum \| 2 \| 2 \| \| \| Standard Dev. \| 0.333333 \| 0.994429 \| \| DEFEND AGAINST ATTACK AND NATURAL DISASTER Defend Against Attack and Natural Disaster is the characteristic that describes the grid’s ability to protect against physical attacks (explosive, projectiles, and natural disaster) and cyber (computer-based) attacks. These attack strategies may have two forms: attacks in which the grid itself is the primary target, or attacks in which the power system network is used to take down other important infrastructure systems (banks, government, etc.). ### Descriptive Statistics \| \| As-Is \| Future \| Δ \| \|----------------\|---------\|--------\|---------\| \| Mean \| 2.333333\| 4 \| 1.666666667 \| \| Median \| 2 \| 4 \| 2 \| \| Mode \| 2 \| 5 \| 3 \| \| Maximum \| 4 \| 5 \| \| \| Minimum \| 1 \| 2 \| \| \| Standard Dev. \| 1.118034 \| 1.054092553 \| \| This section summarizes the responses of the 11 grid stakeholders for each of the five Smart Grid Benefits of the Stakeholder - Kentucky Smart Grid Assessment Model (S-KSGAM). For each Benefit the model definition is presented along with a histogram and descriptive statistical data. RELIABLE Reliable describes a grid with a reduction in power outage duration and frequency, a reduction in momentary power quality disturbances, and a reduction in blackouts and brownouts. \| Descriptive Statistics \| Valuation \| \|------------------------\|-----------\| \| Mean \| $18,550,000 \| \| Median \| $19,375,000 \| \| Mode \| $25,000,000 \| \| Maximum \| $43,750,000 \| \| Minimum \| $6,250,000 \| \| Range \| $37,500,000 \| \| Standard Dev. \| $18,550,000 \| Secure and Safe Secure and Safe describes a grid that is less vulnerable to attack and natural disaster, and is safer to be near for both the public and utility workers. \| Descriptive Statistics \| Valuation \| \|------------------------\|-----------------\| \| Mean \| $17,125,000 \| \| Median \| $13,750,000 \| \| Mode \| $12,500,000 \| \| Maximum \| $37,500,000 \| \| Minimum \| $5,000,000 \| \| Range \| $32,500,000 \| \| Standard Dev. \| $17,125,000 \| ECONOMIC Economic describes a grid with decreased/mitigated electricity prices, and with new options for market participants such as new load management, distributed generation, grid storage, and demand-response options. \| Descriptive Statistics \| Valuation \| \|------------------------\|-----------\| \| Mean \| $19,950,000 \| \| Median \| $19,375,000 \| \| Mode \| $25,000,000 \| \| Maximum \| $40,000,000 \| \| Minimum \| $6,250,000 \| \| Range \| $33,750,000 \| \| Standard Dev. \| $19,950,000 \| Efficient Efficient describes a grid that uses technology to allow for greater utilization of existing assets, enables optimal loading of assets, and provides detailed awareness of component and equipment condition, with the goal of cost effective asset utilization and increased system capacity. \| Descriptive Statistics \| Valuation \| \|------------------------\|-----------\| \| Mean \| $19,625,000 \| \| Median \| $20,000,000 \| \| Mode \| $25,000,000 \| \| Maximum \| $50,000,000 \| \| Minimum \| $0 \| \| Range \| $50,000,000 \| \| Standard Dev. \| $19,625,000 \| ENVIRONMENTALLY FRIENDLY Environmentally friendly describes a grid that allows for a much wider deployment of environmentally friendly resources, that allows for the deferral of new construction projects, and has reduced electrical losses. ### Descriptive Statistics \| \| Valuation \| \|----------------\|-----------------\| \| Mean \| $24,750,000 \| \| Median \| $16,250,000 \| \| Mode \| $0 \| \| Maximum \| $75,000,000 \| \| Minimum \| $0 \| \| Range \| $75,000,000 \| \| Standard Dev. \| $24,750,000 \| Chapter 3: Advanced Metering Infrastructure Overview # TABLE OF CONTENTS Introduction .................................................................................................................. 70 Overview of AMI ........................................................................................................... 71 AMI and the Smart Grid ............................................................................................... 72 AMI Technology Options ............................................................................................. 74 AMI Standards .............................................................................................................. 77 AMI and Cyber Security ............................................................................................... 82 AMI Deployment Benefits ............................................................................................ 84 AMI Deployment Risks ................................................................................................ 85 Barriers to AMI Deployments ...................................................................................... 87 AMI Deployment Experiences ...................................................................................... 88 AMI and Consumer Behavior ....................................................................................... 90 Impacts of Emergent Technology on AMI Systems .................................................. 91 Smart Meter Vendors .................................................................................................... 92 INTRODUCTION The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered to develop a technical roadmap for the development and deployment of Smart Grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual Smart Grid deployment approaches. The purpose of this document is 1) an analysis of: AMI systems, the benefits associated with AMI deployments, key enabling technologies, consumer behavior issues, and other issues associated with the deployment, and 2) the evaluation of Advanced Metering Infrastructure (AMI) deployments in the jurisdictional utilities of Kentucky. These purposes are in fulfillment of KSGRI Work plan Goals #2 and #7. Additionally, data resulting from this report will serve to inform on the evaluation of PSC administrative Case 2008-00408. OVERVIEW OF AMI AMI (Advanced Metering Infrastructure) refers to the integration of a variety of systems in order to establish two way communications between the customer and the utility and to provide each with time stamped system information. Therefore we refer to AMI as an infrastructure area, as opposed to a technology. From a systems perspective AMI typically refers to smart metering (measurement and data collection system including meters at end-users), home area networks (in home displays, distributed energy resources, and load control devices), integrated communications (the communication infrastructure which connects consumers and their service providers), meter data management systems (to process obtained meter data), and standardized software interfaces. Figure 1 shows a typical residential AMI configuration. The smart meter is installed at the residential house, and has the capability to record, transmit, receive, and display usage information on an in home display. The in-home display serves at the foundation of the home area network. Additionally, the smart meter communicates with an integrated communications device installed at a nearby utility pole. Two-way communications take place between residence and utility office via the integrated communications systems. The utility office implements the Meter Data Management system to collect and analyze data, as well as to enable interaction with other information systems. Industrial and commercial AMI have similar configurations. ![Figure 1. Advanced Metering Infrastructure Deployment](image) AMI enables consumers to have a better understanding of their energy usage in real-time and provides them an opportunity to control energy consumption, thus potentially changing consumer behavior. The energy usage data obtained from AMI system allows the utility to better understand the demand and consumer energy usage patterns, which is essential for demand side management. In addition, AMI serves as a platform on which a variety of functions and strategies can be enabled such as: differentiated pricing strategies, peak shifting, load leveling, and demand response. AMI AND THE SMART GRID As defined by the Department of Energy (DOE): “The smart grid is the electric delivery network from electrical generation to end-use customer, integrated with the latest advances in digital communications and information technology for enhanced grid operations, customer services, and environmental benefits”. Therefore, the Smart Grid refers to an intelligent power delivery system that utilizes new power technologies and digital communications technology to improve reliability, security, and efficiency of the electric system. The information communication networks are employed to link almost all the components in the electric system, e.g. meters, substations, transformers, etc. The scope of Smart Grid is so broad that it covers from the generation and delivery infrastructure to the end-user systems, along with the information networks and integrated management system. From an infrastructure point of view, the Smart Grid is divided into four broad infrastructure areas, Advanced Metering Infrastructure (AMI), Advanced Distribution Operations (ADO), Advanced Transmission Operations (ATO), and Advanced Asset Management (AAM), as shown in Figure 2. Figure 2 Smart Grid Infrastructure. AMI serves a foundational role in the development of the above system, as it establishes communications with the consumer and provides time stamped system information. The communication system of AMI can then be used to collect distribution information and the information generated by AMI can be used to improve operations, in support of Advanced Distribution Operation. Additionally, AMI supports the principal characteristics of DOE’s Modern Grid Strategy: - Motivation and inclusion of the consumer is enabled by AMI technologies that provide the fundamental link between the consumer and the grid. - Generation and storage options distributed at consumer locations can be monitored and controlled through AMI technologies. - Markets are enabled by connecting the consumer to the grid through AMI and permitting them to actively participate, either as load that is directly responsive to price signals, or as part of load resources that can be bid into various types of markets, - AMI smart meters equipped with Power Quality (PQ) monitoring capabilities enable more rapid detection, diagnosis and resolution of PQ problems. - AMI enables a more distributed operating model that reduces the vulnerability of the grid to terrorist attacks. - AMI provides for self healing by helping outage management systems detect and locate failures more quickly and accurately. It can also provide a ubiquitous distributed communications infrastructure having excess capacity that can be used to accelerate the deployment of advanced distribution operations equipment and applications. - AMI data provides the granularity and timeliness of information needed to greatly improve asset management and operations. AMI TECHNOLOGY OPTIONS An AMI system is composed of four technology areas that operate as a single system: 1. Smart Meters 2. Wide-area Communications Infrastructure 3. Home (local) Area Networks (HANs) 4. Meter Data Management Systems (MDMS) In addition, AMI systems must interface with many system-side applications, and therefore can be considered as an 5. Operational Gateway SMART METERS A smart meter is a solid state (non-electromechanical) meter that provides increased functionality as compared to the conventional electromechanical meter. These functions include: - Time based pricing. - Consumption data for consumer/utility. - Net metering. - Loss of power notification. - Remote turn on/turn off operations. - Load limiting/demand response. - Energy prepayment - Power quality/voltage level monitoring. - Tamper and theft detection. - Communication with in home devices/appliances. - System interoperability. WIDE-AREA COMMUNICATIONS The communications infrastructure is necessary to support the continuous transmission of two-way data between then utility and customer. Typically, a local concentrator is used to collect data from groups of smart meters and to transmit that data to a central server via a backhaul channel. The technologies most commonly used for this purpose are: - Power line carrier. • Broadband over power line. • Fiber networks. • Radio frequency, centralized or mesh. • Internet: • Combinational infrastructure architectures. HOME AREA NETWORKS The HAN is an interface that links smart meters to the customer residence, including an in home display and controllable electrical devices. It can also serve as an energy management systems with typical functions including: • In home display of energy usage and cost. • Management of energy use through DR and smart appliances in response to price signals based on customer preferences. • Set point to limit utility control actions. • Automated load control. • Consumer over-ride capability METER DATA MANAGEMENT SYSTEMS A MDMS is an analytical tool that utilizes a database to enable interaction with and validation of meter data. The primary function of the MDMS is to perform validation, editing, and estimation of AMI data to ensure accuracy and completeness of incoming meter data. The analytics of the MDMS support the use of AMI data in other information systems such as: • Transformer Load Management: use obtained meter data to determine the rating for transformer based on real load conditions. • Outage management systems: fault location based on the power loss signal generated from smart meter. • Load forecasting systems: improve accuracy of load forecast using more detailed and frequent AMI load data. • Power quality management: obtain power quality data by implementing power quality monitoring function into smart meter. • Consumer information systems: energy usage information display by in-home devices • Billing systems: offer both consumers and utilities the convenience of billing and price information. • Utility website: build utility service website to let consumer have access to their private account information integrated with AMI database. • Geographic Information Systems: upgrade geographic information system (GIS) system with the integration of real-time AMI data. OPERATIONAL GATEWAY Evaluate the ability for AMI systems to interface system level applications for: • Advanced Distribution Operations: enable improved voltage regulation and reactive power optimization, more accurate fault location, isolation and system recovery. • Advanced Asset Management: AMI may provide utilities real-time loading conditions of assets such as distribution transformers, based on which overloading or other abnormal conditions may be detected. Transformers may be upgraded or maintained based on this. • Advanced Transmission Operations: although AMI system is directly involved with distribution systems, accurate real-time load data will ultimately improve the efficiency and reliability of transmission systems. Especially with deeper penetration of intermittent renewable energy sources into the power grid, AMI will play a bigger role in both distribution and transmission system operation. AMI STANDARDS National Institute of Standards and Technology (NIST), North American Electric Reliability Corporation (NERC), and Institute of Electrical and Electronics Engineers (IEEE) are the primary governing bodies for the development of smart grid standards. Many existing and developing standards are related to AMI hardware equipment (i.e. smart meters), to information communication protocols, and interoperability and cyber security. Referred description and application area of corresponding standards are discussed below. 1. NIST is a non-regulatory federal technology agency of the US Department of Commerce that works with industry to develop and apply technology, measurements, and standards. The current important standards related to AMI on Smart Grid includes: a. Summary of Use, Application, Cyber security, and Functionality of Smart Grid Interoperability Standards Identified. There is a series of standards released in October 2010, which include but not limit to: i. IEC 61968 Application Integration at Electric Utilities. This standard describes a series of application messaging interfaces based on and extending the IEC 61970 Common Information Model standard. These interfaces describe the interactions between software applications that are used for managing the utility electrical distribution networks. They provide for interoperability among different computer systems, platforms, and languages. This standard applies to the following key priorities: - Wide area situational awareness - Electric storage - Demand response - Electric vehicles - Distribution grid management ii. IEC 61850 Communication Networks and Systems for Power Utility Automation. This standard specifies abstract information models and communication services between power utility field devices. This standard applies to devices used for substation automation for protection, monitoring and metering. Originally designed for substation only, but the scope of this standard has been expanded to include substation-to-substation and substation-to-control center communication. Similar standardization priorities are identified as IEC 61968. iii. IEC 61870 Telecontrol Application Service Element. This standard is for communication between electric power control centers, and used for communication of electric power system measurements status and control messages. iv. IEC 62351 part 1-7. The scope of IEC 62351 series is information security for power system control operations. The primary objective is to undertake the development of standards for security of the communication protocols standardized by IEC 60870, IEC 61850, IEC 61970, and IEC 61968 series. This standard applies to the key priority of communication and coordination across inter-system interfaces. b. Guideline for Smart Grid Cyber Security. The initial version of Guidelines for Smart Grid Cyber Security was developed as a consensus document by the Cyber Security Working Group of the Smart Grid Interoperability Panel, a public-private partnership launched by NIST in January 2010. The Guidelines report is a companion document to the NIST Framework and Roadmap for Smart Grid Interoperability Standards, Release 1.0, which NIST issued on January 19, 2010. The three volumes Guidelines make up the initial set of guidelines that are intended primarily for individuals and organizations responsible for addressing cyber security for Smart Grid systems and the constituent subsystems of hardware and software components. The report presents an actionable initial and analytical framework that organizations can use to develop effective cyber security strategies and solutions tailored to their particular combinations of Smart Grid related characteristics, risks, and vulnerabilities. c. NIST Framework and Roadmap for Smart Grid Interoperability Standards, Release 1.0. This document is the output through an open public process that engaged the broad spectrum of Smart Grid stakeholder communities and the general public by three workshops in 2009 and extensive public review and discussion. It describes a high-level conceptual reference model for the Smart Grid, identifies 75 existing standards that are applicable to the ongoing development of the Smart Grid, specifies 15 high-priority gaps and harmonization issues for which new or revised standards and requirements are needed, documents action plans with aggressive timelines by which designated standards-setting organizations will address these gaps, and describes the strategy to establish requirements and standards to help ensure Smart Grid cyber security. Eight priorities for standardization include: - Demand response and consumer energy efficiency - Wide-area situational awareness - Energy storage - Electric transportation - Advanced metering infrastructure - Distribution grid management - Cyber security - Network communications 2. NERC is the electric reliability organization certified by the Federal Energy Regulatory Commission (FERC) to establish and enforce reliability standards for the bulk-power system. NERC has updated its complete set of the Reliability Standards for the Bulk Electric Systems for North America in 2010. In this set of standards, the following two standards are especially related to AMI development and deployment: a. Critical Infrastructure Protection Standards (CIP). NERC Standards CIP-002-2 through CIP-009-2 provide a cyber security framework for the identification and protection of Critical Cyber Assets to support reliable operation of the bulk electric system. These standards recognize the different roles of each entity in the operation of the bulk electric system, the criticality and vulnerability of the assets needed to manage bulk electric system reliability, and the risks to which they are exposed. Business and operational demands for managing and maintaining a reliable bulk electric system increasingly rely on cyber assets supporting critical reliability functions and processes to communicate with each other, across functions and organizations, for services and data. This results in increased risks to these cyber assets. In this set of standards, selective sub-standards on the cyber security category showing below are associated closely with the AMI deployment. i. CIP-002-3 Cyber Security — Critical Cyber Asset Identification ii. CIP-003-3 Cyber Security — Security Management Controls iii. CIP-004-3 Cyber Security — Personnel & Training iv. CIP-005-2 Cyber Security — Electronic Security Perimeter(s) v. CIP-005-3 Cyber Security — Electronic Security Perimeter(s) vi. CIP-006-3 Cyber Security — Physical Security of Critical Cyber Assets vii. CIP-007-2a Cyber Security — Systems Security Management viii. CIP-007-3 Cyber Security — Systems Security Management ix. CIP-008-3 Cyber Security — Incident Reporting and Response Planning x. CIP-009-3 Cyber Security — Recovery Plans for Critical Cyber Assets b. Communications standards (COM) - COM-001-1.1 Telecommunications. Each Reliability Coordinator, Transmission Operator and Balancing Authority needs adequate and reliable telecommunications facilities internally and with others for the exchange of Interconnection and operating information necessary to maintain reliability. - COM-002-2 Communication and Coordination. To ensure Balancing Authorities, Transmission Operators, and Generator Operators have adequate communications and that these communications capabilities are staffed and available for addressing a real-time emergency condition. To ensure communications by operating personnel are effective. 3. IEEE is the world largest non-profit professional association dedicated to advancing technological innovation related to electricity. Its sub-division IEEE Standards Association also develops guidelines and standards for Smart Grid related deployment. IEEE has more than 100 standards and standards in development relevant to the Smart Grid. The current important standards related to AMI on Smart Grid includes: - Wireless Medium Access Control and Physical Layer Specifications for Low Rate Wireless Personal Area Networks - Local Area Network/Wide Area Network (LAN/WAN) Node Communication Protocol to complement the Utility Industry End Device Data Tables - Low Frequency (less than 500 kHz) Narrow Band Power Line Communications for Smart Grid Applications - Guide for Smart Grid Interoperability of Energy Technology and Information Technology Operation with the Electric Power System, and End-Use Applications and Loads - IEEE 1901: Broadband over power line standards, considered a key enabling technology for smart grid applications, local area networks and transportation. The standard is expected to benefit utilities and consumer electronics companies involved in smart grid technologies and applications. The IEEE 1901TM Broadband over Power Line (BPL) standard was finalized in December 2010 and is now published. - IEEE 1815 Distributed Network Protocol (DNP3) standard. The standard for electric power system communications, which is considered to be an adaptable basis for better device interoperability and security in information gathering, exchange and use. - IEEE C37.239 COMFEDE standard. This standard defines a Common Format for Event Data Exchange (COMFEDE) among power systems. By helping utilities efficiently integrate and analyze event data from across multi-vendor equipment, the interoperability standard is designed to contribute to improving the reliability of the Smart Grid. 4. Additional AMI related standards on board from other organizations. a. A standard for Open Automated Demand Response (OpenADR) will cut the cost, improve reliability and speed up automated demand response and smart grid deployments throughout the country, according to a new coalition, the OpenADR Alliance. The alliance is formed by Honeywell, Lawrence Berkeley National Laboratory, Pacific Gas & Electric and SoCal Edison to lobby for the adoption of an automated demand response (Auto-DR) standard and compliance. Auto-DR encourages businesses and homeowners to cut power use during peak demand or in response to market price changes by automating message delivery from the utility to the customer. Adoption of OpenADR standard would lead to an Auto-DR message format so that dynAMic price and reliability signals can be sent in a uniform and interoperable data model by utilities, independent system operators and customer energy management systems. The OpenADR Alliance plans to work with other smart grid groups and stakeholders such as the Smart Grid Interoperability Panel, North American Energy Standards Board, the Wi-Fi Alliance and the Zigbee Alliance to promote the standard. b. IEC 61850 data communication standards by International Electrotechnical Commission, also identified by NIST. Standardized communication provides a cost-effective, open solution for the utility industry, with IEC 61850-specific benefits including optimizing systems for efficient and reliable data transfer, establishing designs for use over a high-speed network, and providing for operational advantages. IEC 61850 is a standard language that enables grid component vendors to produce interoperable plug-and-play equipment. AMI AND CYBER SECURITY Cyber Security utilizes a series of computer technology known as information security as applied to computers and networks, protecting computer and internet based information by preventing, detecting, and responding to attacks. The objective of cyber security includes protection of information and property from theft, corruption, or natural disaster, while allowing the information and property to remain accessible and productive to its intended users. Since the power electric grid, especially the AMI system with smart meter incorporated enables not only a great amount of information communication between utilities and their customers but also the data process and storage at the central information management facilities, it is of great importance that the cyber security issue has to be taken into account. Strategically, cyber security can be taken into consideration in the following four categories: Prevention: take actions and measures for the continuous assessment and readiness of necessary actions to reduce the risk of threats and vulnerabilities, to intervene and stop an incident, or to mitigate negative effects. The first step is to identify examples of potential risks associated with the implementation of AMI. Potential risks may caused by the great complexity of the network with exposure to attackers, thieves and unintentional errors. The more frequent information transfer within the network may cause potential cascading failures. More interconnections present increased opportunities for attacks or compromised hardware. Extensive data recording and two-way information flow may increase the possibility for compromise of data confidentiality and breach of customer privacy and personal data. Advanced computer technology should be employed to build effective firewall to block any suspicious entrance while maintaining the normal access. The authorization of data encryption and decoding standard should be treated rigorously as well. Another aspect of prevention is associated with the cyber security concerns when establishing various standards. As the cyber security issue draws more and more concerns, it becomes more and more necessary to examine whether or not and how well the cyber security is addressed in developing standards. If adequate cyber security requirements have been addressed in the standards through gap identification and those standards have been met during implementations, the system should be more reliable and less vulnerable. Detection: find approaches to identify abnormal behaviors and discover intrusions; detect malicious code and other activities that can disrupt electric power grid operations. It requires the techniques for digital evidence gathering ability and the decision making process for judging whether there are attacks or data has been compromised. Firewalls should also have the capability of detecting and alerting suspicious access. This detection process requires not only reliability and accuracy, but also quickness as any wrong or slow activity detection will potentially results in tremendous loss for the entire electric power grid. Response: take countermeasures in order to alert and stop counter-security activities immediately after the detection. Responses including generating alarm signal from automatic incident detection, alerting associated grid operators at different parties with pre-defined code, pinpointing the location and type of attacks, stopping the data and information attacks as soon as they occur. Sometimes it is necessary to discontinue the data transmit to avoid more exposure. This response action also requires accuracy and quickness. In addition, find out and summarize the cause and document all the incidents after the cyber-attack, and upgrade system weak point to avoid similar future attacks. Recovery: develop plans to figure out what data and information has been suffered from attacks, compromised or completely lost. Set up mechanism to backup system data on a regular basis. Remedy or recover lost data from backup database. The objective of this strategy is to recover as much data as possible and minimize the impact and loss resulted from the cyber-attacks. AMI DEPLOYMENT BENEFITS The benefits resulting from deployment of AMI include improved system operation and reliability, increased ability for customer to manage energy use, and reduced peak demand. Deployment of AMI may significantly improve operational efficiency of distribution systems. A power distribution system serves to deliver power to end power consumers, or loads through main feeders, laterals and transformers. There are also controlling devices such as capacitor banks and voltage regulators installed in the system to control the power flow and voltage profile in the system. These controlling devices can improve power factors, reduce losses due to the resistance of conductors, and maintain node voltages within specified limits. To make the most of the controlling devices, a process called Reactive Power and Voltage Regulation optimization (RPVRO) is usually adopted in utilities. RPVRO is a procedure to optimize the operation of capacitor banks and voltage regulators so that the energy loss is minimized or the total demand is minimized depending on the chosen objective, while at the same time all operating constraints such as the required voltage levels and current ratings are satisfied. To implement RPVRO, the loads across the system are required to transmit to the central control center near real time say every hour. Without AMI, the load data have to be estimated based on historical data which may be from a long time ago. Deployment of AMI will provide near real time load data, and this will greatly enhance the accuracy of RPVRO analysis and enhance the efficiency of the system. AMI deployment can also enhance the system reliability. Real time power flow and state estimation analysis enabled by AMI will accurately identify abnormal operating conditions such as transformer and cable overloading, and allow operators to take prompt actions to remedy the situation. AMI may also facilitate identifying consumer outages and thus enable faster fault identification and location, and system restoration, and hence reduce outage time. With AMI providing pricing signals to consumer appliances, price-based demand response programs can be implemented, where at times of peak demand; the appliances may be cycled off. As a result, the system peak load may be substantially reduced and hence the need for utilities to construct peak leveling generation plants may be eliminated or deferred. The consumers will be able to know their energy usage and energy cost near real time. Various home energy management systems and tools may become available for consumers to manage and control their electricity usage. AMI DEPLOYMENT RISKS As the energy demand has skyrocketed, today’s grid is struggling to keep up, further impacting grid efficiency and reliability. There are many risks that are associated with the entire Smart Grid development, causing reliability, efficiency, environmental, financial, security and customer choice risks. Specifically with AMI deployment, risks mainly exist in the following categories: - Reliability: there have been five massive blackouts over the past 40 years caused by various reasons such as lack of automation or situational awareness, slow investment and development of modern technology in replacement of mechanical switches. With the comprehensive deployment of AMI, it is uncertain to claim that the reliability of the grid will improve, or in the even worse situation that the implementation of AMI system will become a potential risk causing future blackout. - Efficiency: the energy efficiency has always been an important issue considered in the grid improvement. Obviously there are terrific opportunities for improvement to lower demand and save energy. With the installation of smart meter and smart in-home appliances under AMI deployment, there is no solid and direct evidence showing the improvement of energy efficiency. - Future technology compatibility: the AMI deployment involves massive implementation of software, hardware and electronic equipment based on current technology. The market becomes vendor-driven and nobody can guarantee that their technology will be compatible and interoperable in the future with newer technology. Finding a way of using future compatible technology is a big concern for decision making, otherwise, it will be a huge waste of investment. - Uncertainty on return on investment (ROI) for utility: For any business case we make for AMI deployment, ROI is always considered seriously. It remains the fact that nobody can guarantee that it will achieve considerable ROI from AMI implementation. The risk associated with whether utility will gain more benefits and revenue by implementing AMI system remains a question. In fact, it is still uncertain where the investment grant comes from. - Cyber security: in short, the more extensive the AMI deployment is, the more risks associated with cyber security are. How to keep grid safe and secure, how actually well the security standards are established and executed are still under discussion. - Customer benefits: the customer benefits risk is associated with the consideration that whether customers really benefited from the smart meter and information system to have digital channel for two-way communication, allow dynamic pricing, gain more choice to control their energy source and usage, save energy bill and enhance satisfaction. In certain point of view, it may be beneficial for certain group of customers who have relatively high income and are willing to participate, but at this stage of development, it is more beneficial for the utilities rather than the customers, especially the lower income group. - Customer acceptance: the risk associated with customer acceptance of the AMI deployment is vital to the success of overall Smart Grid. Customers should be fully entitled to have the choice of participation, thus utility here cannot control whether a good result of customer acceptance will be achieved or not. There are still a lot work to do on customer education and engagement. - Environmental impacts: the corresponding risk with AMI deployment on environmental impacts is mainly the radio frequency and electromagnetic wave by the wired or wireless data transmission. We have heard the news that customers have complaint to have bad health symptoms, such as headache and insomnia about the radiation and noise by the smart meter, resulted that smart meter is banned by some counties in California. BARIERS TO AMI DEPLOYMENTS - Customer acceptance: so far as we see, customer acceptance and willingness to participate in the pilot deployment of AMI system is one of the strongest barriers. Again as implied previously, without the active participation from customers, the chance of successful AMI deployment is close to zero, no matter how willingly the government and utilities want to deploy AMI. Customers are still not very clear about what exact benefits they will get and how much savings they could achieve by participating in AMI implementation in a long term. This barrier is often associated with the risks mentioned in the previous section and is expected to see when the deployment is carried out. - Technology barriers (equipment, communication, cyber security…): obviously, there are always technological and technical barriers in any science and engineering projects. Those barriers associated with AMI deployment will mostly be attached to hardware equipment, communication network, standards, interoperability and cyber security. What’s coming in front is the slowness of applicable and interoperable standards, followed by the insufficient technology development of equipment functionalities and future compatibilities. The cyber security will always be a major concern by the government and grid regulators. - Regulatory barrier: possible barriers may include those policies that cause - Inability to use appropriate rate structures - Unwillingness or little incentive for utilities to invest in and deploy Smart Grid technologies - Difficulty for individuals to sell electricity back to utilities - Different executive procedures, state laws/regulations and insufficient cooperation among different states - Difficulty for regional and interstate coordination AMI DEPLOYMENT EXPERIENCES There are so many activities and tremendous efforts associated with AMI deployment going on or coming in the near future all over the country that it is unrealistic for us to cover all of them and present experiences in this report. However, we can select some of those representative cases to analyze real-world projects and identify experiences. As published by the DOE in the Smart Grid introduction brochure, some states are already deploying pilot projects toward the realization of Smart Grid. Those representative pilot projects explore examples to deploy new ways utilizing new technology to achieve the smartness of the power electric grid. Such technologies are commonly related to demand side management, electric vehicles, energy efficiency, communications, advanced electronics, and advanced sensing and material technology applied on power transmission systems. Since AMI is closely associated with the advanced electronics and communications applied on the distribution side of the grid, this section will identify and evaluate these existing AMI-related deployment experiences recommended by DOE. In addition, other sources such as individual utility company website, public service/utility commission website, professional or consulting company in power industry website, national laboratory resources, and Smart Grid news website will also be studied. 1. Distribution Management System Platform by the University of Hawaii. The integrated energy management platform developed in Maui, Hawaii, employs advanced functions for home energy management for consumers and improved distribution operations for utilities. This platform has integrated AMI as the home interface for demand response, home energy efficiency, and conservation, distributed generation, storage, and load control. The home energy management will allow consumers to control their energy consumption based on their personal preferences. The home automation is enabled based on the smart meter and eco-dashboard equipment from General Electric (GE), where the smart meter communicates with household appliances based on Zigbee network. 2. West Virginia Super Circuit by Allegheny Energy The super circuit project is built to demonstrate the ability to automatically reconfigure the circuit, isolating faulty segments during a fault to keep the network remain uninterrupted. This advanced distribution circuit will integrate advanced monitoring and control, and protection technologies, as well as the integration of distributed generation and energy storage with AMI and mesh Wi-Fi communication networks for fault location and restoration. Again, this is an example for the AMI to be employed in the fault location and protection application. 3. Beach Cities Microgrid by San Diego Gas & Electric A small-scale microgrid project is designed to demonstrate the ability of a microgrid to isolate from the main grid during a large grid disturbance. In this configuration, both utility generation and customer generation along with energy storage will be integrated with the AMI system to realize advanced control and communication. This pilot project also serves as a guide for improved asset management and improved distribution operation. 4. American Electric Power (AEP) Ohio gridSMART The initiative of gridSMART by AEP started in 2007, mainly located in northeast central Ohio, which includes AMI, distribution grid management and home area network (HAN), along with the supportive information technology systems. Before the project, AEP did a lot of market research to identify key benefits and preferred communication methods, and AEP is proactive to communicate with consumers, educate consumers, create awareness and drive program participation expected from target market. In this pilot, AMI uses communications network to deliver real-time energy usage and load information to both AEP and customers. Besides, AMI is also capable to monitor operating status of equipment power quality, and enable customers to control their energy consumption. This project also builds a customer web portal to let them be aware and actively participated. The valuable experience we learned here is that customer knowledge, acceptance and engagement have been paid great attention by AEP in order for this project to be successful. 5. Smart metering pilot in Washington, D.C Results from a smart metering pilot project in Washington, D.C. showed that residential customers there responded to dynamic pricing and saved money by cutting their consumption. The pilot worked so well that Pepco, the electric utility that serves D.C. and surrounding areas, plans to install smart meters and other smart grid technologies throughout its D.C. service territory before the end of 2011. The PowerCents DC pilot was sponsored by the non-profit Smart Meter Pilot Program (SMPP), which includes Pepco, the D.C. Office of the People's Counsel, the D.C. Consumer Utility Board, the International Brotherhood of Electrical Workers and the D.C. Public Service Commission. Customers’ reaction was strongest to "critical peak pricing," which hiked electricity rates to five times over normal for about 60 hours during the year. Rates reflected slight discounts during the rest of the year. In addition, a key component to successful analysis of AMI deployment is to communicate with utilities in Kentucky. Some utilities have begun AMI deployment in other regions of the country. Reports and responses regarding these projects, and proposed rollouts within Kentucky should be reviewed and assessed for their applicability to the Smart Grid Roadmap development. AMI enables the consumers to know the prevailing electricity price, up-to-date energy consumption, and enables utilities to control the consumer appliances. AMI also allows utilities to collect real time electricity consumption data from consumers for control purposes. Responding to the pricing signals, the consumers may be willing to change their energy usage behaviors. Normally, consumers may be willing to use less energy when the price is high during peak demand period and use more energy when the price is low during off-peak demand period. Through AMI, utilities can design various price-based demand response programs for customers to participate in, where the consumers allow utilities to automatically control the energy usage of consumer appliances. For example, a customer allows the utility to turn on his/her heater at night when system demand is low. As a result, this can substantially reduce the peak load of the system, and hence eliminate or defer the need to construct peak leveling generation plants. But if the consumers are unwilling to participate in the demand response programs, then the realization of this specific goal, i.e., peak load reduction, will be adversely affected. Possible reasons for consumers unwilling to participate in the program are discussed as follows. The first reason is consumer data privacy concern. Consumers are reluctant to disclose their energy usage data to other entities like utilities. This is a consumer acceptance barrier, in which consumers do not trust and refuse to accept the technology. Appropriate legislation for protecting consumer data privacy and security may help to remove this barrier. Second, consumers may worry about cyber-security of the AMI system through which a hacker may tamper consumer appliance operations by intruding into the system. Again, a hacker may steal consumer data from the computer and communication network. This may also be classified as consumer acceptance barrier. Pilot projects and proven technologies may increase customer acceptance. Third, consumers simply do not want to change their electricity usage style. For example, some consumers may be disinclined to allow utilities to cycle off their air conditioner periodically, or raise the temperature setting of the air conditioner during a hot summer day. This is a consumer behavior barrier, in which the consumer doesn’t have an incentive or doesn’t want to make a change in his/her life style. Consumer education on the benefits brought about by demand response programs may help to remove this barrier. Real time consumer data may also help a utility to enhance its real time operation and control. Data privacy and security concern of consumers may be a barrier for utilities to collect load data from consumers. Again, proper legislation may help remove this problem. So consumer data privacy protection, data security hardening, and consumer education are essential for successful AMI deployment and achievement of its goals. Emergent technologies such as electric vehicles (EVs) and distributed energy resources (DERs) will have great impacts on the operation on power distribution systems. EVs could behave as a source to the system in the discharging mode, or behave a load in the charging mode. When supplying power to the power system, EVs can be considered as a kind of DERs. EVs can be connected to the power system at a random time. DERs like wind and solar energy are of intermittent nature. Therefore, EVs and DERs could significantly change the power flow patterns of the distribution system. Consequently, operations in areas of voltage and reactive power control, peak load reduction, protective relay settings and relay coordination, and fault detection, isolation and system restoration, etc. will be greatly affected. With an AMI system, the real time load data can be transferred to the utility control center so that appropriate real time operation and control decisions can be made considering effects of EVs and DERs. Therefore, AMI system will become more important when more EVs and DERs come into being and interact with the power system. SMART METER VENDORS A recent report from International Data Corporation (IDC) Energy Insights offers a detailed assessment and ranking for seven major vendors in the smart metering communication network market. The report, “IDC MarketScape: North American AMI Communication Network 2011 Vendor Assessment”, lists scalability, integration, interoperability and customer service as the most important evaluation criteria utilities should use when weighing their choice for an AMI communication network solutions vendor. The report's focus is the smart meter communication networks that use wireless communication network technology in the North American marketplace, where the vast majority of the infrastructure will operate on wireless technology. The study evaluates seven companies, breakdown by category: - Leaders: Landis+Gyr - Major Players: Elster, Itron, Silver Spring Networks, Trilliant and Sensus - Contenders: Aclara Brief online research regarding the above major vendors in terms of their main products and basic functions is conducted and described as below: 1. Landis+Gyr ([http://www.landisgyr.com/na//en/pub/index.cfm](http://www.landisgyr.com/na//en/pub/index.cfm)) ranks as the worldwide leader in electricity metering with a preeminent position in advanced or “smart metering systems”. They offer a broad portfolio of products and services in the electricity metering industry including integrated Automated Meter Reading (AMR)/AMI solutions, distribution automation, personal energy management, communication systems and software, meters, meter data management, services and financing. - Residential meters include: E330 FOCUS® AX and E350 FOCUS® AX-SD (Advanced function with service disconnect option) and E130 FOCUS® AL (Solid-state single-phase meter) - Advanced meters include: Airpoint (high-power mobile AMR, compatible with Mobile Collection System1.0 and 2.0), TS1 (Fixed network AMR, PLC monitoring technology), ecoMeter (In-home display using wireless Zigbee), Gridstream PLC (AMI solution utilizing TS2 power line carrier technology), Gridstream RF (multi-functional solution supporting advanced multi-energy metering, personal energy management and distribution automation applications) 2. Elster Group is a world leader in AMI and integrated metering and utilization solutions to the gas, electricity and water industries. Elster carries a large variety of single phase meters, polyphase meters and metering systems (AMR/AMI) within the electricity metering products & solutions. Specific meter product can be referred on the company’s website at [http://www.elstermetering.com/en/index.html](http://www.elstermetering.com/en/index.html) 3. Itron is dedicated to delivering end-to-end Smart Grid and smart distribution solutions to electric, gas and water utilities around the globe, the world’s leading provider of smart metering, data collection and utility software systems. Offerings include electricity, gas, water and heat meters; network communication technology; collection systems and related software applications; and professional services. Currently available metering product can be inquired at the company’s website: https://www.itron.com/na/Pages/default.aspx under the Electricity Meters + Modules catalog: - Advanced residential metering: CENTRON R300 (solid-state, single-phase) - Advanced Commercial + Industrial Metering: CENTRON Polyphase R300 and SENTINEL R300 - Smart Residential Metering: OpenWay® CENTRON® (smart device used to collect, process and transmit vital energy information to utility systems, Zigbee radio communication) - Smart Commercial + Industrial Metering: OpenWay® CENTRON® Polyphase Meter (compliant with the ANSI C12.19 and C12.22 standards for storage and transport) 4. Silver Spring Networks is Smart Grid solution company, enabling utilities to achieve operational efficiencies, reduce carbon emissions and empower their customers to monitor and manage their energy consumption, with a large set of utility companies as their customers. More product details can be consulted on website: http://www.silverspringnet.com/products/. 5. Trilliant (http://www.trilliantinc.com/) provides utilities with wireless equipment and management software for Smart Grid communication networks that improve energy efficiency, lower operating costs, and integrate renewable energy resources. CellReader® Digital Cellular Meters are their main products for AMI and Smart Grid remote data applications. These cellular communications products are a system-wide complement to Trilliant’s earlier history of telephone-based AMR products and Trilliant’s current industry-leading wireless SecureMesh products for Smart Grid applications. 6. Sensus provides real world, proven solutions of high-value metering, AMR and AMI system solutions for water, gas, electric and heat utilities. Sensus continues to be the measure of the future, having one of the largest installed AMI bases in the world. A global leader that aggressively pushes the boundaries of utility management with innovative communication systems that enable customers to intelligently utilize their resources with unprecedented efficiency. Details on products can be found at http://www.sensus.com/Module/Catalog/ElectricCatalog. - FlexNet® AMI system, offered exclusively from Sensus, empowers proven means to increase meter reading efficiency, reduce overhead costs and enhance customer service simply, reliably, and with unlimited flexibility. - Residential and Commercial / Industrial Smart Meters: iCon A Residential Meter and iCon APX C&I meter 7. The Aclara® brand represents the industry’s leading Intelligent Infrastructure™ technologies for providing device networking, data-value management, and customer communications to water, gas, and electric utilities globally. Aclara integrates the strengths of the industry’s most proven technologies – the Aclara STAR® Network RF-based AMI, Aclara TWACS® power-line AMI technology, Aclara Software® operational-efficiency and customer-care applications, and Aclara Smart Communications standards-based, wide-area. The Aclara STAR® Network Electric Meter Transmission Unit is the main product for Star Network AMI system. Additional product and solution details are listed at http://www.aclara.com/AclaraRF/Pages/starsystem.aspx. [1] U.S. Department of Energy Office of Electricity Delivery and Energy Reliability (2000). NETL Modern Grid Strategy: A Vision for the Smart Grid [White paper]. Retrieved from http://www.netl.doe.gov/smartgrid/referenceshelf/whitepapers/Whitepaper_The%20Modern%20Grid%20Vision_APPROVED_2009_06_18.pdf CHAPTER 4: OVERVIEW OF ADVANCED METERING INFRASTRUCTURE IN THE COMMONWEALTH OF KENTUCKY ABSTRACT The “Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky” report presents a summary of the current state of AMI deployments and capabilities within the electric utilities of Kentucky. It is a thorough technology assessment, and provides details to support the document “Overview of Smart Grid Deployments in the Commonwealth of Kentucky”. The data presented in this report was gathered using the “AMI Deployment Survey for Jurisdictional Utilities” (AMI Survey). The AMI Survey gathered utility deployment data in 4 areas: Smart Meters, Wide Area Communications, Home Area Networks, and Meter Data Management Systems. Additionally, system cost, savings, and benefits were reported. # TABLE OF CONTENTS Abstract ......................................................................................................................... 97 Introduction .................................................................................................................. 99 ABOUT THIS DOCUMENT ....................................................................................... 99 DOCUMENT OVERVIEW .......................................................................................... 99 Executive Summary ..................................................................................................... 100 List of Participating Utilities ...................................................................................... 102 Summary of the AMI System Assessment Survey .................................................... 103 INTRODUCTION ........................................................................................................ 103 SMART METERS ....................................................................................................... 103 WIDE AREA COMMUNICATION SYSTEM ............................................................. 105 HOME AREA NETWORKS ........................................................................................... 106 METER DATA MANAGEMENT SYSTEMS ............................................................... 106 Summary of the AMI Cost and Benefit Survey .......................................................... 107 INTRODUCTION ........................................................................................................ 107 COSTS ....................................................................................................................... 107 SAVINGS ..................................................................................................................... 108 BENEFIT EVALUATION ............................................................................................. 111 Feedback Summary ..................................................................................................... 113 INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the documents The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan, The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model, and The Kentucky Smart Grid Roadmap Initiative: Overview of Smart Deployments in the Commonwealth of Kentucky. The purpose of this document is to summarize the results of the AMI Deployment Survey for Jurisdictional Utilities, in fulfillment of Work Plan Goals 4 of Smart Grid Road Map Work Plan. The AMI Survey was distributed to 23 jurisdictional electric utilities to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on Advanced Metering Infrastructure. Data collected from jurisdictional utilities was via self-reporting by a Smart Grid Contact person from each utility. DOCUMENT OVERVIEW The following section is an executive summary of the entire report, highlighting important details of the AMI Survey. Detailed summaries are then provided in subsequent sections for each of the following areas: Smart Meters, Wide Area Communication System, Home Area Networks, Meter Data Management Systems, Costs, Savings, and Benefits. The report concludes by presenting feedback from the participating utilities. SMART METERS Of the responding utilities, seven operate systems that contain meters capable of Automated Meter Reading (AMR) function only. Many of these systems utilize mixed communication technology for data reading, with Power Line Carrier (PLC) and Hand Held or Drive-by Remote Reading Units being the most common. Fifteen utilities report some level of Advanced Metering Infrastructure (AMI) capabilities within their system. All 15 operate systems containing solid state Smart Meters with AMI capabilities and six also contain electromechanical meters retrofitted with AMI modules. Penetration rates amongst the utilities are evenly distributed, with eight utilities reporting residential AMI penetrations rates of less than 30% and ten utilities reporting residential AMI penetration rates of more than 90%. The most common OEM suppliers of the meters are Landis & Gyr, Itron, Aclara, and General Electric. All of the AMI meters in KY are capable of reporting kWh. The majority (>50%) also report demand (kW) and voltage (V). To communicate between the utility data center and the Smart Meters, 11 utilities utilize local concentrators, with the vast majority of these systems utilizing PLC communication architectures. WIDE AREA COMMUNICATION SYSTEMS 14 utilities reported operating Wide Area Communication System (WAC) systems. In all cases, the WACS is divided into two sides, the meter to substation infrastructure and the substation to utility data office infrastructure. In all cases, the communication architecture utilized between the AMI Smart Meters and the local substation is Power Line Carrier (PLC). The communication architectures implemented between the substation and utility data office are highly variable, with the most popular choice being some variety of internet. Four utilities report utilizing Wide Area Communication System infrastructure for grid support purposes that include direct load control (1), supervisory control and data acquisition (SCADA) systems (2), distribution automation (2), and reactive power (VAR) compensation (1). No utilities report utilizing the WAC systems to offer new products or services such as broadband internet to their customers. One utility reports limitations to their WAC system. This utility has indicated that geographic restrictions limit their ability to serve the entire customer base. HOME AREA NETWORKS Two of the responding utilities report using Home Area Networks (HAN) as part of their AMI systems. In both cases, the network device is a radio located within the Smart Meters that communicates to in home devices. Both utilities utilize programmable communicating thermostats (PCTs) and load control switches. One also communicates with programmable electric water heaters, and the other communicates to an in-home-display. In both cases, the customer can interface the HAN through a web interface or the PCT/home-display. METER DATA MANAGEMENT SYSTEMS Four of the responding utilities report utilizing a Meter Data Management System (MDMS) as part of their AMI system, and one responding utility reports plans to implement a MDMS system by 2012. The functions served by the MDMS include: upload of billing data (3), voltage check function (1), transformer loading check (1), and billing read estimation (1). The utility systems with which MDMS most often interact are Consumer Information Systems, Billing Systems, Outage Management Systems, and Geographic Information Systems. Costs Total capital costs were reported for 12 reported AMI deployments were $78,636,140. Capital costs ranged from $2,536,000 to $20,000,000, with an average of $7,148,740. On a per Smart Meter basis this equates to an average cost of $216.70 statewide. Individual utility per Smart Meter costs range from $91.25 to $490.80. Total annual Operations and Maintenance (O&M) costs were reported by 11 utilities. Total annual O&M costs are $2,762,745. The minimum yearly figure was $45,500, the max $1,110,000, and the average $251,158.64. Savings Total reported per year savings due to installation of AMI meters is $6,230,670. Most of these savings came from reduction in meter reading costs ($3,464,707) and savings due to improved accuracy of solid state meters ($1,174,983). The most commonly cited savings areas were reduced meter reading costs (contract cancellation, personnel reduction, claim reduction), field service savings (fewer missed meter readings, service disconnect, personnel reduction), under registration, and outage response (reduced service interruption rate, improved situational awareness). Benefits Of the non-monetary benefits of AMI installations, the most commonly cited are improved customer satisfaction related to field service, the ability to introduce new billing services, and customer enablement through access to energy consumption data. The benefit least commonly cited were environmental benefits due to construction deferment and pollution reduction. LIST OF PARTICIPATING UTILITIES Big Rivers Electric Corporation Jackson Purchase Energy Kenergy Corp. Meade County RECC East Kentucky Power Cooperative Inc. Big Sandy RECC Bluegrass Energy Cooperative Clarke Energy Cooperative Inc. Cumberland Valley Electric Farmers RECC Fleming Mason Energy Inter-County-Energy Jackson Energy Cooperative Nolin RECC Owen Electric Cooperative Corporation Salt River Electric Cooperative Corporation South Kentucky RECC Taylor RECC Kentucky Power Company Louisville Gas & Electric and Kentucky Utilities INTRODUCTION The AMI Deployment Survey for Jurisdictional Utilities (AMI Survey) was completed by 20 jurisdictional utilities. The System Assessment portion of the AMI Survey collected information regarding Smart Meters, Wide Area Communication System, Home Area Networks, and Meter Data Management Systems. The following section summarizes the collected responses to the AMI System Assessment Survey. SMART METERS Automated Meter Reading Of the responding utilities, seven operate systems that contain meters capable of Automated Meter Reading (AMR) function only. The following table provides a summary of AMR data collection methods. \| COMMUNICATION TECHNOLOGY \| UTILITY COUNT \| \|-----------------------------------\|---------------\| \| Power Line Carrier \| 5 \| \| Broadband Internet \| 1 \| \| Dialup Internet \| 1 \| \| Remote Cell Modem \| 1 \| \| Remote Reading Unit \| 2 \| Solid State and Under-glass Smart Meters with AMI Capability In total, 15 of the responding utilities report some level of Advanced Metering Infrastructure (AMI) capabilities within their system. Of these, all 15 operate systems that contain some solid state Smart Meters with AMI capabilities. Six also operate systems in which electromechanical meters have been retrofitted with AMI modules. The following table provides a summary of total Smart Meter deployment penetration rates separated by customer class. \| PENETRATION RATE \| Residential \| Industrial \| Commercial \| \|------------------\|-------------\|------------\|------------\| \| 0% \| 3 \| 8 \| 5 \| \| 1 to 9% \| 3 \| 1 \| 3 \| \| 10 to 19% \| 1 \| \| \| \| 20 to 29% \| 1 \| 1 \| 1 \| \| 30 to 39% \| \| \| \| \| 40 to 49% \| \| 1 \| \| \| 50 to 59% \| \| 1 \| 1 \| \| 60 to 69% \| \| \| \| \| 70 to 79% \| \| \| 1 \| \| 80 to 89% \| \| \| \| \| 90 to 99% \| 2 \| \| \| Smart Meters Vendors Six of the responding utilities have AMI systems composed of Smart Meters sourced from a single OEM, with the remaining nine of the responding utility using Smart Meters provided by multiple OEMs. The following table summarizes the original equipment manufacturers that provide the Smart Meters. \| OEM NAME \| UTILITY COUNT \| \|-------------------\|---------------\| \| Aclara \| 6 \| \| Cannon \| 1 \| \| Centron \| 1 \| \| Cooper \| 1 \| \| General Electric \| 5 \| \| Hunt Technologies \| 1 \| \| Itron \| 7 \| \| Landis & Gyr \| 10 \| \| Sensus \| 2 \| \| Sentinel \| 1 \| \| Vectorn \| 1 \| Meter Data Utilities were asked to provide the data types collected by the Smart Meters devices. The following table summarized these responses. \| DATA TYPE \| UTILITY COUNT \| \|----------------------------\|---------------\| \| Energy (kWh) \| 15 \| \| Demand (kW) \| 12 \| \| Max Demand Only (kW) \| 2 \| \| Reactive Power (KVAR) \| 1 \| \| Voltage (V) \| 9 \| \| Voltage Min/Max (V) \| 2 \| \| Current (Amps) \| 2 \| \| Power Factor \| 3 \| \| Outages \| 5 \| \| Blink Count \| 2 \| Use of Local Concentrators to Interface AMI Meters Utilities were asked if a local concentrator was used to collect data from groups of meters. Review of utility responses indicates when local concentrators are utilized they are located at the substation, without exception. This is in contrast to the intent of the question, which sought to evaluate the use of concentrators for small groups of meters, or neighborhood concentrators. Of the responding utilities, 11 report using local concentrators for AMI data collection, while the remaining four have AMI meters that communicate directly with the utility data center. Of those that utilize local concentrators, 10 utilize Power Line Carrier (PLC) and 1 utilized a wireless RF mesh network to communicate between the AMI meters and the substation concentrator. WIDE AREA COMMUNICATION SYSTEM Architectures Of the responding utilities, 14 operate Wide Area Communication System (WACS) systems. In all cases, the WACS is divided into two sides, the meter to substation infrastructure and the substation to utility data office infrastructure. In all cases, the communication architecture utilized between the AMI Smart Meters and the local substation is Power Line Carrier (PLC). The communication architectures implemented between the substation and utility data office are summarized in the following table. Three of the responding utilities have AMI WACS systems composed of multiple architectures, with the remaining 11 of the responding utility using a single architecture for this purpose. \| DATA TYPE \| UTILITY COUNT \| \|--------------------\|---------------\| \| Power Line Carrier \| 2 \| \| Internet \| 4 \| \| Radio \| 4 \| \| Broadband \| 1 \| \| Dial-up \| 2 \| \| Satellite \| 1 \| \| Fiber Optic \| 1 \| Grid Support Four utilities report utilizing Wide Area Communication System infrastructure for grid support purposes other than supporting AMI systems. These purposes include direct load control (1), supervisory control and data acquisition (SCADA) systems (2), distribution automation (2), and reactive power (VAR) compensation (1). Ancillary Services No utilities report utilizing the WAC systems to offer new products or services such as broadband internet to their customers. Architecture Limitations One utility reports limitations to their WAC system. This utility has indicated that geographic restrictions limit their ability to serve the entire customer base. HOME AREA NETWORKS Architectures Two of the responding utilities report using Home Area Networks (HAN) as part of their AMI systems. In both cases, the network device is a radio located within the Smart Meters that communicates to in home devices. Both utilities utilize programmable communicating thermostats (PCTs) and load control switches. One also communicates with programmable electric water heaters, and the other communicates to an in-home-display. In both cases, the customer can interface the HAN through a web interface or the PCT/home-display. METER DATA MANAGEMENT SYSTEMS Architectures Four of the responding utilities report utilizing a Meter Data Management System (MDMS) as part of their AMI system, and one responding utility reports plans to implement a MDMS system by 2012. The functions served by the MDMS include: upload of billing data (3), voltage check function (1), transformer loading check (1), and billing read estimation (1). Interaction with Other Systems Utilities were asked to provide the systems with which the MDMS interfaces. The following table summarized these responses. \| Utility MDMS System Interaction \| Utility Count \| \|---------------------------------\|---------------\| \| Consumer Information System \| 4 \| \| Billing System \| 4 \| \| Utility Web Site \| 1 \| \| Outage Management System \| 2 \| \| ERP* for Load Forecasting \| 1 \| \| ERP for Power Quality Monitor \| 0 \| \| Geographic Information System \| 2 \| \| Transformer Load Management \| 0 \| \| Power Factor \| 0 \| \| Other \| 0 \| ERP: Enterprise Resource Planning INTRODUCTION The Cost and Benefit portion of the AMI Survey (AMI Survey) was completed by 12 of the jurisdictional utilities (2 utilities responded with data for AMR systems and were not included in this summary). It collected information regarding installation and operation & maintenance costs, savings enabled by AMI, and ancillary benefits of AMI installations. The following section summarizes the collected responses to the AMI Cost and Benefit Survey. COSTS Capital Costs of AMI Deployments Total capital costs related to the 12 reported AMI deployments were $78,636,140. Capital costs ranged from $2,536,000 to $20,000,000, with an average of $7,148,740. On a per Smart Meter basis this equates to an average cost of $216.70 statewide. Individual utility per Smart Meter costs range from $91.25 to $490.80. These values do not consider dual usage of AMI infrastructure to support AMR-only meters. The following table provided a breakdown of AMI infrastructure capital costs by type. \| CATEGORY \| MIN % \| MAX % \| AVERAGE % \| \|-------------------\|-------\|-------\|-----------\| \| Endpoint Hardware \| 35 \| 87.9 \| 67.6 \| \| Network Hardware \| 10 \| 16 \| 13.26 \| \| Installation \| 0 \| 40 \| 14.97 \| \| Project Management\| 0 \| 10 \| 2.5 \| \| IT \| 10 \| 15 \| 2.9 \| Operation and Maintenance Costs of AMI Deployments Total annual Operations and Maintenance (O&M) costs were reported by 11 utilities. Total annual O&M costs are $2,762,745. The minimum yearly figure was $45,500, the max $1,110,000, and the average $251,158.64. The following table provides a breakdown of O&M costs by category. \| CATEGORY \| MIN % \| MAX % \| AVERAGE % \| \|-------------------\|-------\|-------\|-----------\| \| Comm. Network \| 3 \| 50 \| 19.7 \| \| AMI Meters \| 13.4 \| 94 \| 62.14 \| \| MDMS \| 0 \| 77.4 \| 18.1 \| Other AMI Costs One of the responding utilities reported additional costs of AMI deployments to be $60,000 per year for the salary of a full time technical coordinator. SAVINGS Meter Reading Savings The following table reports the number of utilities response types to each of the AMI Meter Reading Savings categories. \| CATEGORY \| # UNKNOWN \| # UNQUANTIFIABLE \| # NO REDUCTION \| # REDUCTION \| \|------------------------\|-----------\|------------------\|----------------\|-------------\| \| LDV Fleet Reduction \| 1 \| 1 \| 11 \| 2 \| \| Personnel Reduction \| 0 \| 0 \| 12 \| 3 \| \| Contract Cancellation \| 0 \| 0 \| 8 \| 7 \| \| Claim Reduction \| 2 \| 1 \| 10 \| 1 \| The following table summarizes the reported savings for each of the AMI Meter Reading Savings categories. Calculations were made inclusive of all utilities, and exclusive of those utilities reporting unknown, unquantifiable, or no reduction to the survey question. \| CATEGORY \| AVERAGE OF ALL RESPONDING UTILITIES \| AVERAGE OF UTILITIES REPORTING REDUCTION (ONLY) \| TOTAL SAVINGS \| MIN REPORTED REDUCTION \| MAX REPORTED REDUCTION \| \|------------------------\|-------------------------------------\|-------------------------------------------------\|---------------\|-------------------------\|------------------------\| \| LDV Fleet Reduction \| $8,461 \| $55,000 \| $110,000 \| $33,000 \| $77,000 \| \| Personnel Reduction \| $31,265 \| $156,326 \| $468,980 \| $87,400 \| $288,000 \| \| Contract Cancellation \| $192,275 \| $412,018 \| $2,884,126 \| $200,000 \| $732,000 \| \| Claim Reduction \| $133 \| $1,600 \| $1,600 \| $1,600 \| $1,600 \| Field Services Savings The following table reports the number of utilities response types to each of the AMI Reductions of Field Service Visits Savings categories. \| CATEGORY \| # UNKNOWN \| # UNQUANTIFIABLE \| # NO REDUCTION \| # REDUCTION \| \|------------------------\|-----------\|------------------\|----------------\|-------------\| \| Missed Meter Readings \| 1 \| 1 \| 7 \| 6 \| \| Service Disconnect \| 1 \| 1 \| 8 \| 5 \| \| Personnel Reduction \| 0 \| 0 \| 15 \| 0 \| The following table summarizes the reported savings for each of the AMI Reductions of Field Service Visits Savings categories. Calculations were made inclusive of all utilities, and exclusive of those utilities reporting unknown, unquantifiable, or no reduction to the survey question. \| CATEGORY \| AVERAGE OF ALL RESPONDING UTILITIES \| AVERAGE OF UTILITIES REPORTING REDUCTION (ONLY) \| TOTAL SAVINGS \| MIN REPORTED REDUCTION \| MAX REPORTED REDUCTION \| \|---------------------------\|-------------------------------------\|-------------------------------------------------\|---------------\|-------------------------\|------------------------\| \| Missed Meter Readings \| $6,023 \| $13,049 \| $78,296 \| $50,000 \| $380,000 \| \| Service Disconnect \| $58,207 \| $176,672 \| $756,689 \| $87,400 \| $288,000 \| \| Personnel Reduction \| $0 \| $0 \| $0 \| $0 \| $0 \| Billing Savings* Billing savings through enhanced process efficiency and reduced time to address service requests due to AMI installation was reported to be not quantifiable by 6 utilities, and was reported to provide $0 in savings by 7 utilities. The remaining two utilities indicated estimated savings in this area of $25,000 and $45,000. Outage Response Savings The following table reports the number of utilities response types to each of the AMI Outage Response Savings categories. \| CATEGORY \| # UNKNOWN \| # UNQUANTIFIABLE \| # NO REDUCTION \| # REDUCTION \| \|-----------------------------------\|-----------\|------------------\|----------------\|-------------\| \| Reduced Service Interruption Time \| 3 \| 1 \| 8 \| 3 \| \| Improved Situational Awareness \| 4 \| 2 \| 7 \| 2 \| The following table summarizes the reported savings for each of the AMI Reductions of Field Service Visits Savings categories. Calculations were made inclusive of all utilities, and exclusive of those utilities reporting unknown, unquantifiable, or no reduction to the survey question. AMI Outage Response Savings by Category \| CATEGORY \| AVERAGE OF ALL RESPONDING UTILITIES \| AVERAGE OF UTILITIES REPORTING REDUCTION (ONLY) \| TOTAL SAVINGS \| MIN REPORTED REDUCTION \| MAX REPORTED REDUCTION \| \|---------------------------------\|-------------------------------------\|-------------------------------------------------\|---------------\|-------------------------\|------------------------\| \| Reduced Service Interruption Time \| $6,682 \| $24,500 \| $73,500 \| $6,000 \| $40,000 \| \| Improved Situational Awareness \| $3,722 \| $27,500 \| $33,500 \| $6,000 \| $27,500 \| Call Center Savings The following table reports the number of utilities response types to each of the AMI Call Center Savings categories. \| CATEGORY \| # UNKNOWN \| # UNQUANTIFIABLE \| # NO REDUCTION \| # REDUCTION \| \|---------------------------------\|-----------\|------------------\|----------------\|-------------\| \| Reduction in Billing Inquiries \| 3 \| 2 \| 7 \| 3 \| \| Personnel Reduction \| 0 \| 1 \| 13 \| 1 \| \| Auto ID of Billing Malfunctions \| 4 \| 2 \| 9 \| 0 \| The following table summarizes the reported savings for each of the AMI Call Center Savings categories. Calculations were made inclusive of all utilities, and exclusive of those utilities reporting unknown, unquantifiable, or no reduction to the survey question. \| CATEGORY \| AVERAGE OF ALL RESPONDING UTILITIES \| AVERAGE OF UTILITIES REPORTING REDUCTION (ONLY) \| TOTAL SAVINGS \| MIN REPORTED REDUCTION \| MAX REPORTED REDUCTION \| \|---------------------------------\|-------------------------------------\|-------------------------------------------------\|---------------\|-------------------------\|------------------------\| \| Reduction in Billing Inquiries \| $4,212 \| $14,040 \| $42,120 \| $3,120 \| $29,000 \| \| Personnel Reduction \| $3,357 \| $47,000 \| $47,000 \| $47,000 \| $47,000 \| \| Auto ID of Billing Malfunctions \| $0 \| $0 \| $0 \| $0 \| $0 \| Collection Write Off Savings Collection savings through a reduction in bad debt write offs associated with missed reads and/or estimated bill due to AMI installation was reported as: not quantifiable by 1 utility, unknown by 1, and $0 in savings by 7 utilities. Collection write off savings averaged across all utilities is $22,373, with a total savings of $268,475. For the three utilities who indicated savings due to collection write off, the minimum reported was $318, the maximum was $198,157, and the average was $84,492. Under Registration Savings Under registration savings through improved accuracy of solid state AMI meters was reported as: not quantifiable by 1 utility, unknown by 3, and $0 in savings by 4 utilities. Under registration savings averaged across all utilities is $106,816, with a total savings of $1,174,983. For the seven utilities who indicated savings due to collection write off, the minimum reported was $45,000, the maximum was $360,000, and the average was $167,854. Energy Diversion Savings Collection savings through the ability to more accurately detect energy theft due to AMI installation was reported as: not quantifiable by 2 utilities, unknown by 4, and $0 in savings by 5 utilities. Theft detection savings averaged across all utilities is $27,675, with a total savings of $221,400. For the three utilities who indicated savings due to collection write off, the minimum reported was $5000, the maximum was $210,000, and the average was $73,800. One utility reported energy diversion savings as 25,398 kWh. BENEFIT EVALUATION The following table summarizes the responses of the jurisdictional utilities when asked to “Indicate if the impacts of the following possible benefits have been evaluated due to” \| TYPE \| CATEGORY \| YES \| No \| No Response \| NOT APPLICABLE \| \|---------------\|---------------------------\|-----\|------\|-------------\|----------------\| \| Meter Reading \| Improved Customer Privacy \| 6 \| 8 \| 3 \| 3 \| \| \| Emission Reduction \| 7 \| 7 \| 3 \| 3 \| \| \| Risk Reduction \| 7 \| 7 \| 3 \| 3 \| \| Field Service \| Enhanced Customer Satisfaction \| 10 \| 4 \| 3 \| 3 \| \|-----------------------\|---------------------------------\|----\|---\|---\|---\| \| Billing \| Enhanced Customer Satisfaction \| 8 \| 6 \| 3 \| 3 \| \| \| Potential for New Billing Services \| 8 \| 5 \| 3 \| 4 \| \| Outage Response \| Enhanced Customer Satisfaction \| 6 \| 8 \| 3 \| 3 \| \| Load Research \| New Rate Design \| 5 \| 9 \| 3 \| 3 \| \| \| DR Programs \| 5 \| 9 \| 3 \| 3 \| \| \| More Accurate Load Forecasts \| 6 \| 8 \| 3 \| 3 \| \| Customer Enablement Programs \| Energy Usage Awareness \| 8 \| 6 \| 3 \| 3 \| \| \| Participation in Load Management\| 7 \| 7 \| 3 \| 3 \| \| \| Full Scale DR \| 5 \| 8 \| 3 \| 4 \| \| Environment \| Pollution Reduction \| 4 \| 10\| 3 \| 3 \| \| \| Construction Deferment \| 4 \| 10\| 3 \| 3 \| FEEDBACK SUMMARY INTRODUCTION Responding utilities were encouraged to provide feedback to be included in the AMI report. This section summarizes those responses. CUMBERLAND VALLEY ELECTRIC CVE meters were previously self-reported by customers JACKSON ENERGY COOPERATIVE The benefits section asked for estimates or actual savings in many categories. These savings exist but cannot be quantifiable. Most, if not all, of the savings and/or benefits in these categories have not been tracked since our system was installed in 2003. We are not comfortable providing an estimate as it would only be an educated guess. We feel "estimates" should not be used in any formal report for policy decisions or regulations. LOUISVILLE GAS AND ELECTRIC LG&E/KU continues to monitor and research emerging SG technologies such that investments occur at the speed of value. SG technologies are analyzed utilizing historical investment methods to determine when value will be achieved and thus directing the future state of SG. MEADE COUNTY RECC MRECC installed the Landis+Gyr Gridstream solution as a meter readings system to replace contract meter readings. As this system is a two way communication system, it does have several AMI capabilities; however for MCRECC to implement HAN devices, a special meter is needed with a Zigbee chip to communicate with these devices. The system that MCRECC currently has installed is only able to read meters on a daily interval. The best that the Landis & Gyr system is capable of is hourly reading utilizing the PLC. This solution requires new substation collectors and new meters and/or modules. Not all meter can be read on an hourly basis as the substation collectors cannot handle this. Therefore, only a portion of the system could be read on an hourly basis if this was implemented. This would be at a great cost to MCRECC and its members for only the few that would benefit from this at the present time. Chapter 5: Advanced Distribution Operations Overview # TABLE OF CONTENTS Introduction .................................................................................................................. 116 Overview of ADO ........................................................................................................... 117 ADO and the Smart Grid ............................................................................................... 119 ADO Technology Options ............................................................................................ 121 ADO and Parallel Infrastructure Areas ......................................................................... 128 ADO Standards ............................................................................................................. 129 ADO and Cyber Security ............................................................................................... 130 ADO Deployment Benefits ........................................................................................... 131 ADO Deployment Risks ................................................................................................ 133 Barriers to AMI Deployments ...................................................................................... 134 ADO Deployment Experiences ..................................................................................... 135 ADO Vendors ................................................................................................................ 138 References .................................................................................................................... 140 INTRODUCTION The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered to develop a technical roadmap for the development and deployment of Smart Grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual Smart Grid deployment approaches. The purpose of this document is 1) an analysis of: Advanced Distribution Operation systems, the benefits associated with ADO deployments, key enabling technologies, consumer behavior issues, and other issues associated with the deployment, and 2) the evaluation of ADO deployments in the jurisdictional utilities of Kentucky. These purposes are in fulfillment of KSGRI Work plan Goal #7. ADO (Advanced Distribution Operations) provide increased information, enable granular control needed for “self-healing” operations, and improves automation as well as reliability to the power distribution systems. Like AMI, we refer to ADO as a Smart Grid infrastructure area, as opposed to a specific technology. ADO is the synthesis of an integration of applied functions, applications, and technologies and the correlation between other SG infrastructure areas and emerging technologies. The main objective of ADO is to improve the reliability and efficiency of distribution systems and provide functional support for other applications that are aggregated into ADO, making the distribution systems much smarter. SG infrastructure areas and major ADO functions discussed in this report are summarized in Figure 1 below. From a systems perspective, ADO includes distribution management systems (DMS) with advanced monitoring and ubiquitous sensors and intelligence, computer-based advanced outage management systems (OMS), advanced distribution automation (ADA) with intelligent control over electrical power grid functions (fault detection and location, system restoration and reconfiguration, real power and reactive power control), and Volt/VAR Control. ADO also aids deployment of distributed energy resources (DER), such as renewable energy resources and electric vehicles (EV), and enables operation of microgrids. It is also integrated with a distribution geographical information system (GIS) and distribution supervisory control and data acquisition (SCADA) system for improved grid awareness. ADO closely interacts with the AMI SG infrastructure area for the purposes of microgrid operations, high-speed information processing, and advanced protection and control. Since ADO and AMI are both distribution focused, they together provide systems that enable for demand side management (DSM) and demand response (DR) programs in order to reduce or shape peak loads. ADO also provides support for Advanced Transmission Operation (ATO), which integrates the distribution system with regional transmission organization (RTO) operational and market applications to enable improved overall grid operations and reduced transmission congestions. ADO has close relationship with Advanced Asset Management (AAM) by making use of a great amount of power electronic devices and equipment, not only installed at distribution substations, but also at utility control centers, as well as widely dispersed distribution lines. With more extensive penetration of SG technologies, ADO will become a core component of SG. In this report, we will analyze enabling technologies classified by different functionalities, and identify the impacts of DER on ADO, and then discuss various aspects associated with ADO development, such as applicable standards, benefits, risks and barriers, cyber security issues, development experiences. In addition, we will look for some major vendors with their distribution products in the market. ADO AND THE SMART GRID As defined by the Department of Energy (DOE): “The smart grid is the electric delivery network from electrical generation to end-use customer, integrated with the latest advances in digital communications and information technology for enhanced grid operations, customer services, and environmental benefits”. Therefore, the Smart Grid refers to an intelligent power delivery system that utilizes new power technologies and digital communications technology to improve reliability, security, and efficiency of the electric system. The information communication networks are employed to link almost all the components in the electric system, e.g. meters, substations, transformers, etc. The scope of Smart Grid is so broad that it covers from the generation and delivery infrastructure to the end-user systems, along with the information networks and integrated management system. From an infrastructure point of view, the Smart Grid is divided into four broad infrastructure areas, Advanced Metering Infrastructure (AMI), Advanced Distribution Operations (ADO), Advanced Transmission Operations (ATO), and Advanced Asset Management (AAM), as shown in Figure 2. Figure 3 Smart Grid Infrastructure. ADO serves a foundational role in the development of the above system, as it enables self healing and optimization of distribution system operation. Additionally, ADO supports all of the principal characteristics of DOE’s Modern Grid Strategy0. ADO TECHNOLOGY OPTIONS Power distribution systems are among the key components of the SG deployment and development, where distribution operations are becoming increasingly automated for demands such as higher reliability, improved power quality, lower costs, demand response capabilities, the interconnection with DER, and newly enabled technologies. This section analyzes representative power system functions and technologies that enable the operations of advanced distribution. Some of these functions have already been widely employed throughout power distribution systems, while others with more advanced technologies and upgrades are being adopted by utilities in the near future; nevertheless, they all provide significant technological solutions and functionalities in realizing ADO. ADA is a term coined by the Electric Power Research Institute (EPRI) in the IntelliGrid project [2] to describe the extension of intelligent control over electrical power grid functions to the distribution level and beyond. The objective of ADA functions [3] is to enhance the power quality, reliability, and efficiency, by automating the following three processes of distribution operations: data preparation in near real-time; optimal decision-making; and the control of distribution operations in coordination with transmission and generation operations. The scope of ADA [3] includes, but not limited to, data gathering, distribution system modeling and analysis, system event prediction, decision making, recording and reporting, contingency analysis, volt/VAR optimization, fault location, isolation, and service restoration. And these processes are executed through direct interfaces with various systems and databases, such as energy management system (EMS), OMS, SCADA, and GIS. FAULT LOCATION, ISOLATION AND SERVICE RESTORATION (FLIR) According to a new report from IDC Energy Insights [4], utility executives are showing a high level of interest in implementing new distribution optimization applications, one of which, rated highest for technical feasibility, is the fault location, isolation, and service restoration (FLIR). This application detects the fault, determines the faulted section and location, and suggests an optimal solution of isolating the faulted section of the affected distribution feeder and the procedures for the restoration of services to its normal condition. The key sub-functions performed by this application are [5]: 1. Fault Location: This sub-function is initiated by data inputs from SCADA and OMS, and in the future, by inputs from fault prediction devices. It determines the specific protective device, which clears the fault, identifies the faulted sections, and estimates the probable location of the actual or expected fault. It has the capability to distinguish faults cleared by controllable protective devices from those cleared by fuses, momentary outages, or inrush/cold load currents. 2. Fault Isolation and Service Restoration: This sub-function supports three modes of operations [5]: a. Closed-loop mode, which is initiated by the fault location sub-function. It generates a switching order for the remotely-controlled switching devices to isolate the faulted sections, and restore service to the non-faulted sections. The switching order is automatically executed via SCADA. b. Advisory mode, which is also initiated by the fault location sub-function. It generates a switching order for both remotely- and manually-controlled switching devices to isolate the faulted sections, and restore service to the non-faulted sections. The switching order is presented to operator for approval and execution. c. Study mode, which is initiated by the users. It analyzes a saved case modified by the users, and generates a switching order under the operating conditions specified by the users. In current ADA applications, the centralized fault location architecture is heavily based on SCADA-supported fault indications, trouble-call systems, and sometimes, on fault location devices. In the SG environment, the smart meters, customer EMS, and fault predictors, all of which are widely dispersed over the distribution lines, will become vital sources of data for fault location. The processing of these massive data will need to be accomplished in a very short time interval. The switching orders generated by the FLIR application, will include switching devices and feeder paralleling, as well as separations of microgrid, synchronization of disconnected DER, and the enabling of DR. The solutions should be dynamically optimized based on the expected operating conditions during the time of service restoration. Voltage and VAR Control (VVC) Referring to the same report mentioned above [4], one of the best near-term chances for adoption is the integrated voltage and VAR control (VVC), which would be utilized for energy efficiency, is rated highest for economic feasibility. This application calculates the optimal settings of voltage controllers of load tap changers (LTC), voltage regulators, DERs, power electronics, and compensative capacitor statuses, optimizing the operations by either satisfying different objectives during different periods, or considering a combination of weighted objectives. Such objectives supporting this application include, but by no means, limited to [6]: 1. Minimize kWh consumption at given power quality limits. 2. Minimize feeder segment(s) overload. 3. Reduce load given voltage tolerance. 4. Conserve energy via voltage reduction. 5. Reduce or eliminate overload on transmission lines. 6. Provide reactive power support for distribution buses. 7. Provide spinning reserve support. 8. Minimize cost of energy 9. Provide compatible combinations of above objectives Like FLIR, this VVC application also supports three modes of operations [6]: 1. Closed-loop mode, in which the application runs either periodically (e.g., every 15 min) or is triggered by an event based on real-time information. The application’s recommendations are executed automatically via SCADA system. 2. Study mode, in which the application performs “what-if” studies, and provide recommendations to the operators. 3. Look-ahead mode, in which conditions expected in the near future, can be studied by the operators. VVC is a major multi-objective ADA application performing dynamic optimization of distribution operations. It should actively exchange information with other applications and IT systems in different power system domains. In the SG environment, in addition to the current control of voltage controller settings, the application should be able to control the reactive power of DER and other dynamic sources of reactive power. Under some objectives, the application should be able to control the DR means and the real power of DER. Therefore, the Volt/VAR optimization becomes a Volt/VAR/Watt optimization. DISTRIBUTION OPERATION MODELING AND ANALYSIS (DOMA) The distribution operation modeling and analysis (DOMA) is based on the modeling and analysis of distribution power flow under dynamically changing distribution operating conditions. It provides operators with the summary of results of real-time power flow simulations with contingency analyses. The model is updated in real-time with changes of network topology, model parameters, load profiles, and relevant information of the transmission system. This application can estimate measurements of the distribution system, and be used as a basis for other ADA applications and to provide the operators with the distribution system behavior. DOMA supports three modes of operations [7]: 1. Real-time mode, which reflects current conditions in the power system. 2. Look-ahead mode, which reflects conditions expected in the near future. 3. Study mode, which provides the capability of performing the “what if” studies. The key sub-functions performed by the application are as follows [7]: 1. Modeling Transmission/Sub-Transmission System: This sub-function provides related impact of the distribution systems on the transmission systems. 2. Modeling Distribution Circuit Connectivity: This sub-function is supported by up-to-date inputs from SCADA/EMS, Distribution SCADA, operators/engineers, GIS, and OMS databases. 3. Data Management Issues between GIS, CIS and ADA Distribution Connectivity Database: This sub-function is under development with standard interfaces between different GIS databases, customer critical information databases, data converters, and ADA database for practical use. 4. Modeling Distribution Nodal Loads: This sub-function provides characteristics of real and reactive loads connected to distribution substations. These characteristics are sufficient to estimate kW and kVAR at a distribution node at any given time, including load shapes. In real-time mode, the nodal loads are balanced with real-time measurements. The load model inputs come from distribution SCADA, CIS supported by AMR and linked with GIS, and weather forecast systems. 5. Modeling Distribution Circuit Facilities: This sub-function models the following distribution circuit facilities: a. Overhead and underground lines. b. Switching devices. c. Substation and distribution transformers. d. Station and feeder capacitors and controllers. e. Feeder series reactors. f. Voltage regulators and controllers. g. LTCs and their controllers. h. Distribution generators and synchronous motors. i. Load equivalents for higher frequency models. 6. Distribution Power Flow: This sub-function provides the power flow analysis and solves radial and meshed networks with multiple generation busses in different modes of operations in the SG environment. 7. Evaluation of Transfer Capacity: This sub-function estimates the available bi-directional transfer capacity for each designated tie switch. 8. Power Quality Analysis: This sub-function performs the power quality analysis by: a. Comparing measured and calculated voltages under limits b. Determining the portion of time due to the out-of-limit voltage or imbalance c. Determining the amount of energy consumed during various voltage deviations and imbalance d. Recording the time when voltage violations occur e. Performing modeling of higher harmonics propagation and resonant conditions f. Performing modeling of rapid voltage changes 9. Loss Analysis: This sub-function concerns the economic analysis on power losses by different elements of the distribution system. 10. Fault Analysis: This sub-function calculates fault currents for each protection zone associated with feeder circuit breakers and reclosers. 11. Evaluation of Operating Conditions: This sub-function determines the difference between the existing substation bus voltages and their limits and also estimates the available real and reactive load obtainable via VVC, which can be used for load reduction. In addition, this sub-function provides operational parameters of transmission buses. The DOMA application provides the situational awareness of distribution systems. Currently, it is based on input data collected from various databases, such as SCADA, GIS and distribution models. In the SG environment, the multifunctional AMI system, customer EMS, weather forecast system will become significant sources of information support for this application. DATA ACQUISITION AND CONTROL (DAC) The data acquisition and control (DAC) function, used both in transmission and distribution systems, consists of multiple types of mechanisms for data retrieval and control commands issuing to power system equipment and devices in the field. These mechanisms are often used in conjunction with each other to provide the full range of DAC interactions, and are often used by other functions, such as SCADA, EMS, protection and relaying, and ADA. The objective of DAC function is to provide real-time data, statistical data, and other information from the power system to other applications. And it is designed to support the issuing of control commands to power system equipment and parameter settings in intelligent electronic devices (IED) and other field systems. DAC function comprises the following five major areas [8]: 1. Direct Power Equipment Monitoring and Control: Direct power equipment monitoring and control is performed by an IED, a remote terminal unit (RTU), and/or other microprocessor-based controllers, based on control commands generated either internally or externally. 2. Local IED Interactions: Local interactions among IEDs are undertaken to only respond to local situations. The typical communications media are LANs, cables, and radio frequency channels. 3. Computerized Field Systems Monitoring and Control: Perform monitoring and control of field equipment via IEDs, such as a data concentrator or substation master, or Automated Control and Data Acquisition (ACADA). These are generalized systems, as opposed to IEDs or controllers, and usually monitor and/or control more than one power system device. The typical communications media are LANs, cables, microwave, radio, leased telephone lines, and cell phones. 4. DER Management Systems Monitoring and Control: Perform monitoring and control of a DER device, either at a local customer site or within a substation or from a utility’s distribution control center. DER management systems could be a DER owner’s SCADA system, a customer’s building automation system, an energy aggregator’s system, or a distribution SCADA system. Communications media can include virtually any type. 5. SCADA Systems Monitoring and Control: SCADA systems, which are typically located in a utility control center, perform remote monitoring and control of field equipment and IEDs. SCADA system monitoring can use communication channels directly to IEDs, via RTUs, through a data concentrator, a substation master, or a DER management system. The communications media can include virtually any type. DISTRIBUTED ENERGY RESOURCES AND MICROGRIDS Distributed generation or DER is increasingly important in power grids around the world. This type of generation can help support local power grids in case of outages or blackouts, and ease the loads on long-distance transmission lines, but it can also destabilize the grid if not managed appropriately. Emergent technologies such as EVs, renewable energy resources and microgrids could have great impacts on the operation of power distribution systems, by significantly changing the power flow patterns of the distribution system. Consequently, operations in areas of FLIR, VVC, DOMA, peak load reduction, protective relay operations, etc. will be greatly affected. Usually, utility control centers are unable to manage distributed generations directly, and this may be of interest as a valuable territory for R&D in the future. EV Plug-in EVs (PEV) get their power from the electric grid. There are two kinds of PEVs: (1) Plug-in hybrid electric vehicles (PHEV) use both gasoline and electricity stored in large batteries; (2) Battery EVs use only electricity. EVs could behave as a source to the system in the discharging mode, or behave as a load in the charging mode. When supplying power to the power system, EVs can be considered as a kind of DERs and can be connected to the power system at random time. Therefore, the use of EVs dynamically changes the power distribution modeling and the power flow patterns. Additionally, it will also change the load shape and bring about uncertainties to service providers. Renewable Energy Resources Renewable energy resources are naturally replenishing but flow-limited, which means that they have the intermittent nature and are not available 24/7 to generate electricity. Renewable energy resources include: biomass, hydro, geothermal, solar, wind, ocean thermal, wave and tidal action, which are widely distributed all over the world. Usually renewable power is generated locally where the renewable energy resources are and transmitted through connections of transmission/sub-transmission lines after voltage step-up. Because of its intermittent characteristic, sometimes it is unpredictable for the personnel to schedule and dispatch generation resources, and resulted in large variations of power flow situations. Microgrid Microgrid is a localized grouping of electricity sources and loads that normally operate connected to and synchronous with the centralized grid, but can disconnect and function autonomously as physical and/or economic conditions dictate. Microgrid generation resources could include fuel cells, wind, solar, or other energy sources. The multiple dispersed generation sources and ability to isolate the microgrid from the macrogrid would provide reliability to the power system. Microgrid is an ideal way to integrate renewable resources on the community level and allow for customer participation. However, the operations of microgrid bring about several issues that need to be taken into account. Firstly, voltage, frequency and power quality are three main parameters need to be considered and controlled. Then the synchronization and interconnection issues from microgrid to the utility grid should be ensured for consistency. Also the protection issue of microgrid is facing challenges when implementing microgrid. Last but not the least, there is usually a lack of control availabilities for the high-leveled utilities over the microgrid. All of these issues play an important role in impacting ADO. None of the SG fundamental characteristics [1, 9] can be achieved by just accomplishing short- and long-term goals only in one infrastructure area. The fulfillment of each infrastructure area as SG milestones requires the deployment and integration of all processes, functions, technologies and applications. And all infrastructure areas should function in a way that they coordinate and support each other. Thus it is very important to fully understand how the four infrastructure areas and their associated processes, functions, technologies and applications depend on each other and how they contribute towards the SG characteristics. RELATIONSHIP WITH AMI Among the rest SG infrastructure areas, ADO has a close relationship with AMI since they both belong to the distribution side of the overall power delivery chain. As mentioned previously, ADO is responsible for delivering reliable and high quality power efficiently from transmission terminals to electricity end-users, while AMI, denoting a communication system with electricity meters that measure and record usage data at a predetermined intervals, and provide usage data to both consumers and utilities, is mainly responsible for collecting and providing electricity usage data. The collection process is made possible through those AMI enabled smart meters that are widely installed at residential, industrial and commercial level of the distribution systems and are able to collect information and data more extensively and comprehensively than traditional distribution systems can do. Those measurements obtained from AMI system contain a great amount of valuable information regarding the status of grid operations and are made available for supporting ADO functions through various interfaces and databases. With the enhanced grid awareness and data support from AMI, the performance of many ADO functions can be improved, which will result in better distribution operations. RELATIONSHIP WITH ATO As we know, power distribution system serves as the downstream portion after bulk power has been delivered by transmission systems from power plants. In SG environment, ADO is integrated with ATO, together constituting the power delivery network chain for improved overall grid operations. Both of them have direct/indirect impacts on each other in many ways. Additionally, similar types of technological functions and applications can be found in both infrastructure areas, such as substation automation (SA), GIS, SCADA/EMS, wide area monitoring system (WAMS), FLIR, OMS, VVC, DER, modeling and analysis, etc. RELATIONSHIP WITH AAM AAM integrates the grid intelligence acquired in achieving the other infrastructure areas with new and existing asset management applications. This integration enables utilities to reduce operations, maintenance and capital costs and better utilize assets during daily operations. Such assets include physical assets (meters, IEDs, sensors, etc.), personnel assets (maintenance crews, management, customer service, etc.), energy assets (renewables, storage, etc.), and “soft” assets (planning, engineering design, construction, etc.). ADO functions cannot be accomplished without the “healthy” and optimized management of these assets. More in a broad sense of SG viewpoint, integration of AMI, ADO, and ATO with AAM will dramatically improve overall grid operations and efficiency. ADO STANDARDS Various guidelines and industry standards applicable to different areas of ADO deployment and development have been established by several organizations, including National Institute of Standards and Technology (NIST), North American Electric Reliability Corporation (NERC), Institute of Electrical and Electronics Engineers (IEEE), and others. Here we briefly identify some of those guidelines and industry standards that are involved in ADO. More details associated with each standard can be referred through relevant organizations. Summary of Use, Application, Cyber Security, and Functionality of Smart Grid Interoperability Standards Identified, a series of standards released by NIST in 2010, including IEC 61968, IEC 61970, IEC 61850, IEC 61870, IEC 62351, and IEC 60870. NIST Framework and Roadmap for Smart Grid Interoperability Standards, considering DR and consumer energy efficiency, wide-area situational awareness, energy storage, electric transportation, AMI, distribution grid management, cyber security, and network communications. Guideline for Smart Grid Cyber Security, a companion document to the NIST Framework and Roadmap for SG Interoperability Standards, is intended primarily for individuals and organizations responsible for addressing cyber security for SG systems and subsystems of hardware and software components. IEEE has more than hundreds of standards and standards in development relevant to SG. The current important standards related to ADO include: C37, C57, IEEE 80, IEEE 802, IEEE 1031, IEEE 1059, IEEE 1250, IEEE 1325, IEEE 1379, IEEE 1547, IEEE 1588, IEEE 1615, IEEE 1675, IEEE 1686, IEEE 1701-1702, IEEE 1775, IEEE1901, etc. Cyber Security utilizes a series of computer technology as applied to computers and networks, protecting computer- and internet-based information by preventing, detecting, and responding to attacks. The objective of cyber security includes protection of information and property from theft, corruption, or natural disaster, while allowing the information and property to remain accessible and productive to its intended users. Today’s power distribution systems in SG environment are undergoing immense changes. Generally, cyber security issues in ADO include all information and communications that affect the operation of distribution systems. As the electric grid is modernizing, it is becoming highly automated and full of information and data that are exposed for intrusions, treats and attacks. In a sense, cyber network of the grid can be considered as another vital infrastructure ensuring the safe and reliable delivery of electricity. It is indispensable for the grid operators, managers, and regulators to attach great importance to cyber security area. Cyber security could have been ensured by taking the following actions effectively: Prevention: take actions and measures for the continuous assessment and readiness of necessary actions to reduce the risk of threats and vulnerabilities, to intervene and stop an incident, or to mitigate negative effects. It is highly effective to establish and implement preventive requirements and standards before malicious activities could take place. Detection: find approaches to identify abnormal behaviors and discover intrusions; detect malicious code and other activities that can disrupt electric power grid operations. It requires the techniques for digital evidence gathering ability and the decision making process for judging whether there are attacks or data has been compromised. Response: take accurate countermeasures in order to alert and stop counter-security activities immediately after the detection. In addition, find out and summarize the cause and document all the incidents after the cyber-attack, and upgrade system weak point to avoid similar future attacks. Recovery: develop plans to figure out what data and information has been suffered from attacks, compromised or completely lost. The objective of this action is to recover as much data as possible and minimize the impact and loss resulted from cyber-attacks. ADO DEPLOYMENT BENEFITS ADO concepts that increase the strategic value of new distribution systems with the integration of abundant functional applications and technological solutions will be developed to provide a number of benefits. Such benefits are summarized in Figure 2 below, with each of them described subsequently. Improved reliability and performance of distribution systems: one of the main benefits of ADO is to improve the system reliability by anticipating and responding promptly to system disturbances and faults with advanced monitoring, preventing, mitigating or eliminating power outage by implementing FLIR and automated OMS, operating resiliently against attacks and natural disasters. Improved power quality: the implementation of ADO will provide better power quality for the digital economy, reduce losses caused by power quality issues, and offer flexible levels of power quality based on different customer demands. Increased utilization and efficiency of existing infrastructure: the new system concepts will enable more efficient operation of distribution systems, allowing better control of voltage profiles (e.g. VVC), reducing distribution losses and maximizing energy throughput. Support all generation and storage options: ADO offers possibilities to accommodate various types of power generation, supports DER integration and the opportunity for net-metering, and stimulates the development of energy storage systems. More effective distribution monitoring: ADO enables more effective distribution monitoring by utilizing advanced sensing and measurement technologies in power distribution systems with DAC function. Reduced operating costs: with increased reliability, efficiency and power quality, the improved operations will reduce operating costs virtually anywhere within or beyond the distribution systems; better AAM can generate tremendous savings by managing existing infrastructure in a more efficient manner and cutting down new investment. Enhanced contingency responses: DOMA category within ADA functions offers more accurate and detailed modeling and analysis of the distribution systems, provides not only computer simulations but also real-time grid information of power flow analysis under contingencies. Increased customer service options and benefits: the deployment of ADO will enable better customer service provided by utilities, offer more customer choices and better fulfill customer demands, enhance customer experience and satisfaction. Reduced environmental impact: ADO will result in reduction of greenhouse gas emission, facilitation of more effective land use and vegetation management, assurance of better natural environment and sustainable development. ADO DEPLOYMENT RISKS As today’s energy demand skyrockets, the conventional grid is struggling to keep up, further affecting the progress of grid modernizations. The development of SG yields many risks that are associated with reliability, efficiency, environmental, financial, security, consumer and other issues. Specifically with ADO deployment, risks mainly exist in the following categories: Reliability: Although one of the objectives of ADO deployment is to improve system reliability, with the comprehensive implementation of various ADO technologies, applications and solutions, it is uncertain to claim that the reliability of the grid will improve, or in the even worse situation that the massive implementation and the overemphasis on new technologies will become a potential risk causing future instability and uncontrollability. Efficiency: the energy efficiency has always been an important issue considered during the grid advancement. Obviously there are terrific opportunities for improvement to lower demand and save energy. The risks associated with distribution system improvement by employing ADO functions may be in coexistence with other risks. Future technology compatibility: ADO deployment involves massive implementation of software, hardware and electronic equipment based on current technology. The market becomes vendor-driven and nobody can guarantee that their technology will be compatible and interoperable in the future with newer technology. Finding a way of using future compatible technology is a big concern for decision making, otherwise, it will be a huge waste of investment. Uncertainty on return on investment (ROI) for utilities: distribution automation (DA) technologies are commercially available for wide scale utility deployment. The key is identifying and unlocking the values which provide the best ROI in ways that can be measured by utilities. It remains the fact that nobody can guarantee that it will achieve considerable ROI from ADO implementations. Cyber security: briefly speaking, the more extensive the ADO deployment is, the more risks associated with cyber security are. How safe and secure the cyber data and information is kept, and how well the standards are established and executed remains questions. The progress for each infrastructure area is impacted by a number of barriers. These barriers need to be identified up-front if progresses need to be made. Some of the barriers are common to the whole industry. Others may be unique to a specific utility or region which may depend on the current state of grid modernization. They may come from various perspectives, including management reformation, regulatory policy changes, consumer attitudes and acceptance, financial issues, technical barriers and others. Most of the barriers will have impacts on more than one infrastructure area. Metrics should be developed to monitor progress for each infrastructure area to ensure the impacts of barriers are minimized. Obviously, there have always been technological and technical barriers in any science and engineering projects. Those barriers associated with ADO deployment will mostly be attached to hardware equipment, smart sensors, IEDs, databases, monitoring systems, communication networks, standards, interoperability and cyber security issues. Regulatory barriers may include those policies that will cause unwillingness or little incentive for utilities to invest in and deploy ADO functions. The future compatibility of technologies and cyber security issues will always be major concerns by the government and grid regulators. In addition, the current recession of economics should also be a factor when considering major capital investment. Current experience of ADO development, mainly associated with distribution utilities, such as DMS, ADA, distribution SCADA, DER, etc. can be found all over the world. Here we briefly identify some of those real-world pilot projects (In no particular order) as representatives for demonstration [10]. The City Public Service (CPS) of San Antonio, Texas CPS is undertaking a system-wide DA project using telecommunications networking and integrated technology. This project includes the DA pilot project, consisting of the design, specification, and implementation of automated switches, voltage regulators, capacitor bank switches, reclosers, LTC controllers, and substation RTUs. The communication protocol for interacting with all of these IEDs is the Utility Communications Architecture (UCA) for substations and feeders. The Jacksonville Electric Authority (JEA), Florida and the Oklahoma Gas and Electric Company (OGE), Oklahoma Both projects consist of a DA and telecommunications project. The primary objective is to develop a comprehensive DA system and a two-way telecommunications system. Analytic models of both distribution systems for the situations before-DA and after-DA are created, demonstrating the improvement of operations due to DA and thorough costs and benefits analyses are performed. Omaha Public Power District (OPPD), Nebraska An Automation Plan for OPPD is developed, covering several issues such as DA, SA, AMR, SCADA/EMS requirements, integration standards, and communication protocols. Specific recommendations for ADO on issues such as DAC, DA cost-benefit analysis and DER are provided. BC Hydro, British Columbia, Canada The Window 2000 DA Project is aimed at automating the entire B.C. Hydro distribution system in its several networked operating regions, performing the following tasks: system-wide cost-benefit study, distribution operation and control review, pilot project data architecture, telecommunications and SCADA systems, and integrated load control. Progress Energy Florida (PE-F), Florida and Progress Energy Carolina (PE-C), North and South Carolina A DA Pilot Project is conducted by modeling the distribution systems of PE-F and PE-C both before and after the implementation of DA. The comparisons of these two models demonstrate the improvement in operations and allow detailed analyses of cost-benefit. Tenaga National Berhad (TNB), Malaysia A system-wide DA project is planned and specified by performing a feasibility study on ADA functions, including distribution SCADA, voltage regulators and substations, OMS, substation and maintenance management, and VVC. China Light & Power Company (CLP), China CLP has initiated a ten-year DA project, with the primary goals of lowering costs and achieving higher availability and reliability of electrical power provided to customers. A master plan for DA and telecommunication systems is prepared, providing details of the management planning process and a schedule of costs, staffing requirements, and budget. CLP's DA project design focuses on the following major functional objectives: DMS/SCADA, FLIR, SA, DOMA, VVC, distributed computing, and digital wide-area telecommunications. The Manila Electric Company (Meralco), Philippines Meralco project consists of a strategic plan on DMS, telecommunication systems, and SCADA/EMS study. Meralco initiated the DA project with the goal of improving the reliability of service. Georgia Power Company (GPC), Atlanta, Georgia The GPC pilot Project is carried out as a study for DMS and telecommunication systems. Detailed models of the pilot distribution systems are developed, and VVC functions are simulated by using these models to study the costs and benefits given various objectives. A feasibility study on power equipment is also conducted. Hawaiian Electric Company (HECO), Hawaii A DMS feasibility study for HECO is performed with main objectives of identifying and analyzing DA functions associated with a cost-benefit analysis, recommending specific DA functions and a telecommunication infrastructure to support the recommended DA functions, and suggesting an implementation plan. Northern States Power (NSP), Minnesota The NSP project is composed of DA and a volt/VAR optimization pilot, with a high-level cost-benefit study of DA. Duke Energy (DUKE), Ohio, Indiana, and Kentucky The Comprehensive grid modernization project for DUKE’s Midwest electric systems, encompassing the state of Ohio, Indiana, and Kentucky. It includes installing open, interoperable, two-way communications networks, deploying smart meters, automating advanced distribution applications, developing dynamic pricing programs, and supporting the deployment of plug-in EVs [11]. American Electric Power (AEP), Ohio, Texas THE AEP's overall gridSMART™ demonstration project initiative enables multiple SG applications over a unified network, including DA, home area networking (HAN) and AMI. Through gridSMART™, AEP will upgrade its existing energy infrastructure using SG technologies and consumer programs. This transition is intended to empower consumers, reduce operational costs and enable new technologies, such as smart appliances, home automation, PHEV and the integration of renewable energy like wind and solar power onto the grid. The DA and SG initiatives at AEP currently have over 30 projects managed by its own operating companies at different service territories [12]. In addition, a key component to successful analysis of ADO deployment experience is to communicate with electric utilities in Kentucky regarding their ADO deployment in state or other regions of the country. An associated assessment survey on ADO will be provided in conjunction with this report. Materials and responses regarding these projects, and proposed rollouts within Kentucky will be reviewed and assessed by the SG roadmap research team. ADO VENDORS In today’s power market, power products designed and manufactured by different vendors are the key components of distribution systems. They are the main enablers for ADO functions, applications, and technologies. There is a wide selection of products in the power industry, especially used in distribution systems, including meters, transformers, switches, circuit breakers, capacitors, power electronics, voltage regulators, cables, relays, and more. In this section, we briefly look for some major vendors (in no particular order) associated with their products and services in the SG infrastructure area of ADO in the market, only for illustrative purposes, and not intend to make suggestions or recommendations. ABB [13] is one of the largest engineering companies, specialized in power and automation technologies, providing utilities, industries and other groups with access to a rich portfolio of power products. Such products are divided by: - High voltage products & systems, offering capacitors and filters, switchgears and modules, circuit breakers, instrument transformers, and surge arresters. - Medium voltage products & systems, offering circuit breakers, contactors, E-Houses, fuses and cutouts, OEM switchgear, surge arresters, switchgear and motor control, compact secondary substations, distributed energy storage modules, fault current limitation & arc protection, instrument transformers & sensors, reclosers & sectionalizers, smart voltage components, switches & disconnectors, vacuum interrupters & poles. - Low voltage products & systems, offering automation controls, circuit breakers, contactors, control relays, current monitors, disconnect switches, electronic relays, industrial controls, liquid level monitors, motor starters, phase voltage monitors, pilot devices, safety devices, softstarters, terminal blocks, and timers. - Transformer products, offering both dry-type and liquid-filled transformers. Siemens [14] is a global powerhouse in electronics and electrical engineering, and operates in the industry, energy and healthcare sectors. Power distribution products and solutions offered by Siemens include: access/power monitoring, medium voltage switchgear, busway, motor control centers, circuit breakers, panelboards, controls, switchboards, critical power switches, lighting control, surge protection, low voltage switchgear, and transformers. Schneider Electric [15] is a global specialist in energy management, with solutions for power and control, critical power, energy efficiency, automation and renewable energy. Schneider Electric offers various products and services in the electric distribution sector, such as busway & cable management, capacitors, inductances & harmonic filters, circuit breakers & switches, contactors & protection relays, energy management services, fuse switches, industrial plugs and sockets, insulation monitors, panelboards & switchboards, power & energy monitoring system, signaling units, software, and surge arresters. GE [16] is a global conglomerate corporation, dedicated to innovation in energy, health, transportation and infrastructure. The electrical distribution products and services offered by GE Energy Industrial Solutions include: arc flash solutions, arresters, automatic transfer switches, busway, capacitors, circuit breakers, communications & networking, contactors, conversion kits and trip units, drives, lighting control, load centers, metering, modular metering, motor control centers, motors, panelboards, power equipment buildings, push buttons & pilot devices, reactors, relays & timers – control, relays – protective, resistors, solenoids & limit switches, starters, surge suppression, switchboards, switches & disconnects, switchgear, terminal blocks, transformers, uninterruptible power supplies, ventilation fans, and voltage regulators. REFERENCES [1] M. Turner, Y. Du, et al, “KY Smart Grid Roadmap Initiative Work Plan”, 2011. Internal document retrievable online. [2] Electric Power Research Institute, “The IntelliGrid Project”. [Online]. Available at http://intelligrid.epri.com/architecture/Overview_Guidelines/Frm_Project_Overview.htm [3] Electric Power Research Institute, “Distribution Operations - Overview of Advanced Distribution Automation”. [Online]. Available at http://intelligrid.epri.com/architecture/Use_Cases/DO_ADA_Overview.htm [4] IDC Energy Insights, “Business Strategy: Distribution Optimization Coming in Waves”. [Online]. Available at http://www.idcei.com/getdoc.jsp?containerId=EI229057 [5] Electric Power Research Institute, “Fault Location, Isolation and Service Restoration (FLIR)”. [Online]. Available at http://intelligrid.epri.com/architecture/Use_Cases/DO_FLIR_Use_Case.htm [6] Electric Power Research Institute, “Distribution Operations - Voltage and VAR Control (VVC) Function”. [Online]. Available at http://intelligrid.epri.com/architecture/Use_Cases/DO_VVO_Use_Case.htm [7] Electric Power Research Institute, “Distribution Operation Modeling and Analysis (DOMA)”. [Online]. Available at http://intelligrid.epri.com/architecture/use_cases/DO_DOMA_Use_Case.htm [8] Electric Power Research Institute, “Data Acquisition and Control (DAC) Function”. [Online]. Available at http://intelligrid.epri.com/architecture/use_cases/DO_DAC_Use_Case.htm [9] U.S. Department of Energy-Office of Electricity Delivery and Energy Reliability (2000), “NETL Modern Grid Strategy: A Vision for the Smart Grid” [Online]. Retrieved from http://www.netl.doe.gov/smartgrid/referenceshelf/whitepapers/Whitepaper_The_Modern_Grid_Vision_APPROVED_2009_06_18.pdf [10] Utility Consulting International, “DMS and ADA Experience”. [Online]. Available at http://www.uci-usa.com/Projects/pr_DMSADA.html [11] Zpryme Research & Consulting, “Smart Grid: 2010 US Smart Grid Project Spending”. [Online]. Available at http://www.zpryme.com/SmartGridInsights/2010_US_Smart_Grid_Project_Spending_Zpryme_Smart_Grid_Insights.pdf [12] Fred Friend (2009), “Distribution Automation & Smart Grid Initiatives at American Electric Power”. [Online]. Available at http://grouper.ieee.org/groups/td/dist/da/doc/2009-01_DA_AEP_Friend.pdf [13] ABB. http://www.abb.us [14] Siemens Industry, Inc. http://www.sea.siemens.com/us/products/powerdistribution/Pages/power_distribution.aspx [15] Schneider Electric. http://www2.schneider-electric.com/sites/corporate/en/products-services/electrical-distribution/electrical_distribution.page?f=F13: Electrical Distribution [16] GE Energy Industrial Solutions. http://www.geindustrial.com/cwc/electrical_homepage.htm CHAPTER 5: OVERVIEW OF ADVANCED DISTRIBUTION OPERATIONS IN THE COMMONWEALTH OF KENTUCKY ABSTRACT The “Overview of Advanced Distribution Operations in the Commonwealth of Kentucky” report presents a summary of the current state of ADO deployments and capabilities within the electric utilities of Kentucky. It is a thorough technology assessment, and provides details to support the documents “Overview of Smart Grid Deployments in the Commonwealth of Kentucky” and “Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky”. The data presented in this report was gathered using the “ADO Deployment Survey for Jurisdictional Utilities” (ADO Survey). The ADO Survey gathered utility deployment data in 4 areas: Distribution Operation Modeling and Analysis, Fault Location, Isolation and Service Restoration, Data Acquisition and Control, and Volt/VAR Control. Additionally, system cost, savings, and benefits were reported. # TABLE OF CONTENTS Abstract .................................................................................................................. 143 Introduction ........................................................................................................... 145 ABOUT THIS DOCUMENT ................................................................................. 145 DOCUMENT OVERVIEW ..................................................................................... 145 Executive Summary ............................................................................................... 146 COSTS .................................................................................................................. 146 List of Participating Utilities .................................................................................. 147 Summary of the ADO System Assessment Survey .............................................. 148 INTRODUCTION .................................................................................................... 148 DISTRIBUTION OPERATION MODELING AND ANALYSIS ......................... 148 FAULT LOCATION, ISOLATION, AND SERVICE RESTORATION .................. 149 DATA ACQUISITION AND CONTROL ................................................................. 150 VOLT/VAR CONTROL .......................................................................................... 151 ADO INTEGRATION WITH DISTRIBUTED ENERGY RESOURCES .................. 151 ADO INTEGRATION WITH ADVANCED METERING INFRASTRUCTURE .......... 151 Summary of the ADO Cost and Benefit Survey .................................................. 152 INTRODUCTION .................................................................................................... 152 COSTS .................................................................................................................. 152 SAVINGS ............................................................................................................... 152 BENEFIT EVALUATION ......................................................................................... 153 Feedback Summary ............................................................................................... 154 INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the documents The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan, The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model, The Kentucky Smart Grid Roadmap Initiative: Overview of Smart Grid Deployments in the Commonwealth of Kentucky, and The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky. The purpose of this document is to summarize the results of the ADO Deployment Survey for Jurisdictional Utilities, in fulfillment of Work Plan Goals 4 of Smart Grid Road Map Work Plan. The ADO Survey was distributed to 23 jurisdictional electric utilities to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on the status of modernization of the electric distribution system. Data collected from jurisdictional utilities was via self-reporting by a Smart Grid Contact person from each utility. DOCUMENT OVERVIEW The following section is an executive summary of the entire report, highlighting important details of the ADO Survey. Detailed summaries are then provided in subsequent sections for each of the following areas: Distribution Operation Modeling and Analysis, Fault Location, Isolation and Service Restoration, Data Acquisition and Control, and Volt/VAR Control, Costs, Savings, and Benefits. The report concludes by presenting feedback from the participating utilities. EXECUTIVE SUMMARY DISTRIBUTION OPERATION MODELING AND ANALYSIS The utilization of real time data from the distribution system to perform distribution system analysis and modeling in Kentucky is currently only being evaluated in one pilot project. Two utilities have reported plans for near term deployments (<5 years). Most utilities do utilize DOMA for offline modeling to calculate “what-if” power flow values, and these practices are well established within the industry. However, few utilities extend the DOMA analysis to the transmission and/or sub-transmission systems. Additionally, few utilities utilize a wide range of data sources within their DOMA models, with most utilizing only three of the eight indicated sources. FAULT LOCATION, ISOLATION, AND SERVICE RESTORATION Three utilities operate Fault Location, Isolation, and Service Restoration pilot projects, with one utility indicated planning to implement FLIR as part of future Distribution Management System upgrade. Currently, overall penetration rates are low (<4%). All three pilot systems are capable of performing automatic location, isolation, and restoration of faulted circuits, and are operated in the closed loop mode. The FLIR data sources utilized in these programs come only from SCADA systems and do not interact with other advanced data sources. DATA ACQUISITION AND CONTROL Ten of the responding utilities report utilization of distribution level DAC for data retrieval and control commands issued to power system equipment and devices in the field, largely identified as a component of distribution level SCADA systems. Penetration rates of DAC vary widely across the state, raging to 0% of distribution level substations to 100%. One utility has extended the use of DAC to facilitate monitoring control of distributed generation and microgrids. VOLT/VAR No utilities reported utilization of Volt/VAR. Two utilities have indicated planned Volt/VAR pilots. COSTS Total capital costs related to the 5 reported DO deployments were $115,550,000. Capital costs ranged from $150,000 to $108,400,000, with an average of $23,110,000. The majority (59.75%) of capital costs were related to the procurement of endpoint hardware. Total annual O&M costs are $19,699,392 and the average per utility was calculated at $3,939,878. SAVINGS No significant analysis of potential savings due to ADO deployments was reported by utilities. BENEFITS No utilities reported an evaluation of non-monetary benefits due to ADO deployments. LIST OF PARTICIPATING UTILITIES Jackson Purchase Energy Big Sandy RECC Bluegrass Energy Cooperative Cumberland Valley Electric Farmers RECC Fleming Mason Energy Grayson RECC Jackson Energy Cooperative Nolin RECC Owen Electric Cooperative Corporation Salt River Electric Cooperative Corporation Shelby Energy Taylor RECC Duke Energy East Kentucky Power Cooperative (G&T Only) Kentucky Power Company Louisville Gas & Electric and Kentucky Utilities SUMMARY OF THE ADO SYSTEM ASSESSMENT SURVEY INTRODUCTION The ADO Deployment Survey for Jurisdictional Utilities (AMI Survey) was completed by 17 jurisdictional utilities. The System Assessment portion of the ADO Survey collected information regarding Distribution Operation Modeling and Analysis, Fault Location, Isolation and Service Restoration, Data Acquisition and Control, and Volt/VAR Control. The following section summarizes the collected responses to the ADO System Assessment Survey. DISTRIBUTION OPERATION MODELING AND ANALYSIS DOMA Utilization Currently, only Owen Electric Cooperative Corporation performs distribution system analysis and modeling based on dynamically changing distribution operating conditions. This implementation is part of a pilot project that covers a portion of a circuit (<1% of the distribution circuits). This R&D project utilizes data from CG Automation SCADA system, a Cooper Industries AMI system, and Outage Management Software from Milsoft Utility Solutions. Currently, the pilot performs real-time power flow calculations, with plans to implement look-ahead power calculations if more advanced AMI and Wide Area Communications systems are also implemented. Owen Electric did not report on the DOMA sub-functions supported by their pilot project. Two additional utilities (Duke Energy and Kentucky Power Company) have indicated plans to make investments in this area in the near term. DOMA Sub-Functions 11 utilities (including Owen Electric) reported utilizing Distribution Modeling and Analysis software in an “offline” mode that does not utilize dynamically changing distribution operating conditions to perform “what if” power flow calculations. The following table summarizes the supported sub-functions. \| SUB FUNCTION \| # UTILITIES SUPPORTING \| \|------------------------------------------------------------------------------\|------------------------\| \| Modeling of impacts of the low-voltage distribution system on transmission/sub-transmission \| 2 \| \| Modeling of distribution circuit connectivity \| 6 \| \| Data Management between legacy databases \| 6 \| \| Modeling of distribution nodal loads for kW \| 5 \| \| Modeling of distribution nodal loads for kVA \| 5 \| \| Modeling of distribution circuit facilities \| 5 \| \| Distribution power flow \| 5 \| \| Evaluation of transfer capacity of tie switches \| 5 \| \| Power quality analysis \| 3 \| \| Loss analysis \| 5 \| \| Fault analysis \| 6 \| \| Evaluation of operating conditions \| 3 \| Note: Not all utilities reporting the utilization of “what-if” static distribution modeling and analysis reported supported sub functions. DOMA Vendors Nine or the responding utilities utilize Milsoft Windmil for Distribution System Modeling and Analysis. One uses Alstom and one uses Stoner Software. DOMA Data Sources The following table summarizes the data sources and/or database types that input for the DOMA models are sourced from. \| DATA SOURCE \| UTILITY COUNT \| \|------------------------------------\|---------------\| \| SCADA \| 6 \| \| GIS \| 9 \| \| Distribution System Models \| 3 \| \| AMI Data \| 6 \| \| Customer EMS \| 1 \| \| Weather \| 2 \| \| Outage Management System \| 1 \| \| Consumer Information System \| 1 \| FAULT LOCATION, ISOLATION, AND SERVICE RESTORATION FLIR Utilization Of the responding utilities, 3 operate Fault Location, Isolation, and Service Restoration. Additionally, one utility indicated plans to implement FLIR as part of future Distribution Management System upgrade. All three of the systems are capable of performing automatic location, isolation, and restoration of faulted circuits. In all cases the FLIR systems operate in a closed loop mode in which the FLIR generates a switching order for remotely-controlled switching devices and auto-executes switches via a SCADA system. FLIR Data Sources The following table summarizes the data sources and/or database types that are utilized as input to the FLIR system. \| DATA SOURCE \| UTILITY COUNT \| \|------------------------------------\|---------------\| \| SCADA \| 3 \| \| Trouble Call System \| 0 \| \| On Fault Location Devices \| 0 \| \| Smart Meters \| 0 \| \| Customer EMS \| 0 \| \| Fault Predictors \| 0 \| FLIR Penetration Rates Reported FLIR penetration rates (% of circuits served by FLIR) are <1%, 1%, and 4%. Salt River RECC indicates a current rollout of FLIR that when complete will effect up to 40% of their distribution system. FLIR Vendors Two of the utilities utilize FLIR systems provided by S&C Electric (Kentucky Power Company and Salt River RECC). Owen Electric Cooperative Corporation utilizes a system provided by Cooper Power Systems. Duke Energy reports plans to install FLIR provided by Cooper Power Systems as part of their 2012 DMS upgrade. DATA ACQUISITION AND CONTROL DAC Utilization Ten of the responding utilities report utilization of distribution level DAC for data retrieval and control commands issued to power system equipment and devices in the field. The following table is a summary of the utilization of DAC to directly control field power equipment by type. \| DEVICE TYPE \| UTILITY COUNT \| \|--------------------------------------------------\|---------------\| \| Intelligent Energy Device \| 6 \| \| Remote Terminal Unit \| 9 \| \| Other Microprocessor Based Controller \| 6 \| Of those utilities that utilize DAC to directly monitor and control local IEDs, 3 extend this capability to facilitate local interaction amongst IEDS to only respond to local situations. The communication channels utilized to achieve local IED interaction are: cellular, 900 MHz Radio, fiber, and telephone. Additional DAC Functions Two utilities report utilizing DAC through Computerized Field Systems Monitoring and Control in which the monitoring and control of field equipment is performed via a data concentrator, substation master, or Automated Control and Data Acquisition (ACADA). These systems are more generalized than IEDs or controllers, and usually monitor and/or control more than one power system device. One utility reports the utilization of DAC to support DER management to perform monitoring and control of a DER device. 10 utilities report utilizing DAC as part of their SCADA Systems. DAC Penetration Rates Seven utilities reported DAC penetration rates. All of these reported percentage of substations equipped with distribution level SCADA. Four reported 100% penetration at the substation level, and one each reported 85%, 45%, and 30%. DAC Vendors The following table summarizes the vendors of the installed DAQ systems. \| DAC Vendor \| Utility Count \| \|-----------------------------------\|---------------\| \| CG Automation (Formerly QEI) \| 4 \| \| Alstom \| 1 \| \| ABB \| 2 \| \| Harris \| 1 \| \| Advanced Computer Systems \| 1 \| VOLT/VAR CONTROL Volt/VAR Utilization No utilities reported utilization of Volt/VAR. Owen Electric and Duke Energy both reported a planned Volt/VAR pilot, but did not provide further information. ADO INTEGRATION WITH DISTRIBUTED ENERGY RESOURCES Microgrid Integration Duke Energy reported utilizing DAC to facilitate the control of two distributed energy storage systems (DESS) that meet the definition of a microgrid. The DAC is used to observe DESS alarms and to control remote devices. Renewable Energy Resource Integration Duke Energy reported utilizing DAC to facilitate the integration of a large PV installation connected to a distribution circuit. The information collected via DAC from the PV installation is used to coordinate the use of an energy storage system. Electric Vehicle Integration No utilities reported the utilization of DAC to facilitate electric vehicle charging. ADO INTEGRATION WITH ADVANCED METERING INFRASTRUCTURE No utilities reported any interaction between their AMI level systems and their distribution level systems. INTRODUCTION The Cost and Benefit portion of the ADO Survey (ADO Survey) was completed by 5 of the jurisdictional utilities. It collected information regarding installation and operation & maintenance costs, savings enabled by ADO, and ancillary benefits of ADO installations. The following section summarizes the collected responses to the ADO Cost and Benefit Survey. COSTS Capital Costs of ADO Deployments Total capital costs related to the 5 reported ADO deployments were $115,550,000. Capital costs ranged from $150,000 to $108,400,000, with an average of $23,110,000. The following table provided a breakdown of ADO infrastructure capital costs by type. \| CATEGORY \| MIN % \| MAX % \| AVERAGE % \| \|-------------------\|-------\|-------\|-----------\| \| Endpoint Hardware \| 45 \| 92 \| 59.75 \| \| Network Hardware \| 2 \| 25 \| 17.5 \| \| Installation \| 4 \| 20 \| 11.25 \| \| Project Management\| 1 \| 10 \| 4.75 \| \| IT \| 1 \| 10 \| 6.5 \| Operation and Maintenance Costs of ADO Deployments Total annual Operations and Maintenance (O&M) costs were reported by 5 utilities. Total annual O&M costs are $19,699,392. The minimum yearly figure was $1,000, the max $10,700,000, and the average $3,939,878. The following table provides a breakdown of O&M costs by category. \| CATEGORY \| MIN % \| MAX % \| AVERAGE % \| \|------------\|-------\|-------\|-----------\| \| DOMA \| .11 \| 20 \| 7.78 \| \| FLIR \| .09 \| 85 \| 41 \| \| DAC \| 5 \| 20 \| 11.3 \| \| Volt/VAR \| 0 \| 58 \| 19.7 \| \| Other \| 0 \| 12 \| 4 \| SAVINGS Efficiency Savings No utilities reported any significant savings in energy efficiency due to ADO deployments. Bluegrass Energy Cooperative reported and estimated savings of $132,000 for Volt/VAR implementation. Outage Response Savings No utilities reported any significant savings in outage response due to ADO deployments. Bluegrass Energy Cooperative reported and estimated savings of $132,000 for Volt/VAR implementation. Benefit Evaluation One utility, Big Sandy RECC, performed the benefit evaluation for ADO deployment. Big Sandy RECC indicate that ADO distribution benefits had been evaluated for the categories of: Outage Management: Customer satisfaction due to improved system management, and Outage Management: Customer Satisfaction due to informed customer service representatives. INTRODUCTION Responding utilities were encouraged to provide feedback to be included in the ADOI report. This section summarizes those responses. GRAYSON RECC Grayson Rural Electric has not advanced to the technologies that allow for system automation. We are resource limited causing advancement in these areas to be slow. LOUISVILLE GAS AND ELECTRIC LG&E/KU continues to monitor and research emerging Smart Grid technologies such that investments occur at the speed of value. Smart Grid technologies are analyzed utilizing historical investment methods to determine when value will be achieved and thus directing the future state of Smart Grid. SHELBY ENERGY Shelby Energy has recently deployed an AMI system and GIS system. Shelby Energy’s SCADA system has been deployed for approximately 12 years. Chapter 7: Advanced Transmission Operations Overview # TABLE OF CONTENTS Introduction .................................................................................................................. 157 Overview of ATO ........................................................................................................... 158 ATO Technology Options ............................................................................................. 159 ATO Standards And Regulations .................................................................................. 163 ATO and Cyber Security ............................................................................................... 164 ATO Deployment Benefits ............................................................................................ 165 ATO Deployment Experiences ...................................................................................... 167 References ..................................................................................................................... 169 INTRODUCTION The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered to develop a technical roadmap for the development and deployment of Smart Grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual Smart Grid deployment approaches. The purpose of this document is 1) the analysis of: Advanced Transmission Operation systems, key enabling technologies and functionalities, applicable standards, the deployment benefits and other issues associated with the deployment, and 2) served as a companion document of the KSGRI ATO Deployment Survey for the evaluation of ATO deployment by jurisdictional utilities in Kentucky. These purposes are in fulfillment of KSGRI Work plan Goal #7. OVERVIEW OF ATO ATO (Advanced Transmission Operations) improves transmission reliability, utilization, and efficiency. ATO also manages congestion, scheduling, and planning for the power transmission system. In addition, ATO integrates certain aspects of distribution system operations with transmission operations. ATO includes substation automation, advanced and automated protection and control, modeling, contingency analysis, wide area monitoring and control, simulation and visualization tools, advanced grid control devices and materials, and the integration of all these tools with markets and Regional Transmission Organization (RTO) as well as Independent System Operators (ISO) operations and planning functions. Like AMI (Advanced Metering Infrastructure), we refer to ATO as a Smart Grid key infrastructure area, as opposed to a specific technology. The purpose of transmission systems is to provide secure and efficient operating conditions when the power system is in normal operations, and to minimize the loss to the customers and the system components when the system is under emergency. The transmission area of concentration focuses primarily on real-time network analysis under normal or emergency operations of the transmission grid. With Smart Grid concepts, technologies and applications widely penetrate into the power systems, ATO will become an important backbone for the realization of the future grid. In this brief overview report, we will analyze enabling technologies classified by different functionalities, and then discuss various aspects associated with ATO development, such as applicable standards, cyber security issues, development benefits and experiences. Automated Control Baseline Transmission Automated Control (Baseline) describes a set of functions that are typically automated within a substation, but are not directly associated with protection, fault handling, or equipment maintenance. In general, they serve to optimize the operation of the power system and ensure its safe operation by preventing manually generated faults. These functions include: - System voltage regulation by changing transformer taps In voltage regulation, the automation system ensures a constant voltage on the substation bus by adjusting the tap of one or more transformers. This can be done by monitoring IED and computerized logic control. - Voltage and reactive load control by adjusting capacitor banks In capacitor bank control, the automation system optimizes the voltage and reactive load on a line or bus by switching on or off one or more capacitor banks. It prevents the imaginary part of the load from becoming too large, which will reduce voltage and the efficiency of the system. The banks may be widely located across the power system, or within a substation. The function uses wide area monitoring and logic control. - Interlocking of controls Interlocking prevents unsafe operation of the various switches and breakers within a substation. Suppose an Operator or software application attempts to operate a control, the automation system evaluates the state of the entire system and may reject the control request based on pre-programmed logic. This function emphasizes the importance of system reliability and redundancy. - Sequencing controls to ensure safe operation Sequenced controls automate some portion of the operator’s tasks to eliminate the possibility of an invalid control being issued. - Load balancing Load balancing is typically an operation performed between two transformers within a substation, but may also be performed in transmission systems between substations. The proportion of load on each line or feeder may be balanced in order to reduce system wear and resistive losses. - Automated system restoration Substation computers control the switches and breakers based on information from monitoring IEDs when a fault occurs, while utilities may still require an operator approve the decision. Automated service restoration is typically a distribution operation, but may be performed between substations. Emergency Control Baseline Emergency operations are organizational sequences of activities that involve multiple integrated actors exchanging information when a fault is detected on a power system. These activities are integrated through the use of Wide Area Control and Monitoring Systems (WAMACS) that provide operational control over the distributed network of actors that comprise the SCADA system. Each utility maintains own WAMACS but in the future these systems must be linked to provide overall control and monitoring across multiple organizations to meet the future demands of the suppliers and users of electrical power. The purpose of the WAMACS - Emergency Operations function is to provide communications services permitting an operator to take the following actions in response to a fault in the power system: - Locate the fault - Verify that protection has operated correctly to clear the fault - Shed load to ensure that the fault does not cause an overload of unaffected lines - Manually re-route power to restore service - Dispatch crews and emergency teams to fix the fault - Capture fault recordings to analyze the cause of the fault later Transmission System Contingency Analysis Contingency Analysis (CA) is a "what if" scenario simulator that evaluates, provides and prioritizes the impacts on an electric power system when problems occur. Contingency Analysis is essentially a "preview" analysis tool. It simulates and quantifies the results of problems that could occur in the power system in the immediate future. CA is used as a study tool for the off-line analysis of contingency events, and as an on-line tool to show operators what would be the effects of future outages. This allows operators to be better prepared to react to outages by using pre-planned recovery scenarios. Contingency Analysis (CA) is one of the "security analysis" applications in a power utility control center that differentiates an Energy Management System (EMS) from a less complex SCADA system. Its purpose is to analyze the power system in order to identify the overloads and problems that can occur due to a "contingency". A contingency is the failure or loss of an element (e.g. generator, transformer, transmission line, etc.), or a change of state of a device (e.g. the unplanned opening of a circuit breaker in a transformer substation) in the power system. Therefore contingency analysis is an application that uses a computer simulation to evaluate the effects of removing individual elements from a power system. Current electric utility operating policies (such as NERC's) require that each utility's power system must be able to withstand and recover from any "first contingency" or any single failure. Future policies may extend this to withstanding a "second contingency" or any subsequent single failure. Therefore contingency analysis is one of the tools used primarily by power system planners and engineers to "test" the power system (using a software model) for its strengths and weaknesses, and for compliance with the operating policies. CA has always been an important part of electric utility system planning and operations, even before there were computers to assist the analysis, when manual calculations were used. CA is a primary tool used for preparation of the annual maintenance plan and the corresponding outage schedule for the power system. This outage schedule requires modification to reflect changes in the operating conditions over time, and so CA is used repeatedly to refine the schedule of planned outages, for long term and short term planning. Wide Area Monitoring and Control Advanced Auto Restoration The purpose of advanced auto-restoration is to automatically restore power to un-faulted sections of a line or feeder, after a fault is isolated, in networks having complex topologies and multiple organizational boundaries. Currently, automatic restoration of service is performed only within a restricted set of conditions and network topologies. In the near future, it is expected that these restrictions will be removed and the automation system will be able to restore power in systems. Performing advanced auto restoration will require the following measures beyond those required for existing auto-restoration mechanisms: - Real-time sharing of data between Substation Computers - Calculation of loads on each feeder or line section, and storing these recent historical values in the Substation Computer. - More advanced logic in each Substation Computer to evaluate each possible switching action - Reliable communications between neighboring operators System-wide Automated Voltage Control Perform wide-area voltage control through closed loop control by measuring the wide area voltages, computing a control solution, and effecting wide area control. System wide voltage and subsequent power flow can be optimized by looking at the voltage profile for a large segment of the power grid. Synchro-Phasor This system provides synchronized and time-stamped voltage and current phasor measurements to any protection, control, or monitoring function that requires measurements from different locations. This is an extension of single phasor measurements, commonly made with respect to a local reference. The concept behind this system is the system wide synchronization of measurement sampling clocks to a common time reference. In addition to providing synchronized measurements, the synchro-phasor system distributes the measurements where voltage and currents are measured at many buses throughout the power grid. Self-Healing Grid The objective of the Self-Healing Grid (SHG) applications is to evaluate power system behavior in real-time, prepare the power system for withstanding credible combinations of contingencies, prevent wide-area blackouts, and accommodate fast recovery from emergency state to normal state. The SHG function comprises a set of computing applications for information gathering, modeling, decision-making, and controlling actions. These applications reside in central and/or in widely distributed systems, such as relay protection, remedial automation schemes (RAS), local controllers, and other distributed intelligence systems. All these applications and system components operate in a coordinated manner and are adaptive to the actual situations. The conventional methodology for emergency control is based on off-line studies for selection of the local emergency automation schemes, their locations, and their settings. The SHG will be supported by fast data acquisition systems (Wide Area Measurement Systems and SCADA) and will include fast simulation and decision-making applications observing wide power system areas. These wide-area applications will coordinate the behavior of distributed control systems (regional EMS, DMS, Plant EMS, RAS, and relay protection). The future control system for the self-healing grid will differ from the current approaches by implementing significantly more automated controls instead of supervisory controls by the operators and by aiming at preservation of adequate integrity of the generation-transmission-distribution-customer system instead of self-protection of equipment only. ATO STANDARDS AND REGULATIONS Various guidelines, compliances and industry standards applicable to different areas of ATO deployment and development have been established by several organizations, including National Institute of Standards and Technology (NIST), Federal Energy Regulatory Commission (FERC), North American Electric Reliability Corporation (NERC), U.S. Department of Energy (DOE), U.S. Department of Homeland Security (DHS), Institute of Electrical and Electronics Engineers (IEEE), and North American Energy Standards Board (NAESB). Here we briefly identify some of those guidelines and industry standards that are involved in ATO. Summary of Use, Application, Cyber Security, and Functionality of Smart Grid Interoperability Standards Identified, a series of standards released by NIST in 2010, including IEC 61970, IEC 61850, IEC 61870, IEC 62351, and IEC 60870. NIST Framework and Roadmap for Smart Grid Interoperability Standards, considering DR and consumer energy efficiency, wide-area situational awareness, energy storage, electric transportation, cyber security, and network communications. Guideline for Smart Grid Cyber Security, a companion document to the NIST Framework and Roadmap for SG Interoperability Standards, is intended primarily for individuals and organizations responsible for addressing cyber security for SG systems and subsystems of hardware and software components. NERC-Critical Infrastructure Protection (CIP) Standards, an assembly of several necessary documentations approved by Federal Energy Regulatory Commission (FERC) with the intent of the proposed cyber security standards is to ensure that all entities responsible for the reliability of the bulk electric systems in North America identify and protect critical cyber assets that control or could impact the reliability of the bulk electric systems. Open Access Transmission Tariff (OATT) Reform, issued by FERC which required public utilities to provide open access transmission service on a comparable basis to the transmission service they provide themselves. IEEE has hundreds of standards and standards in development relevant to SG in the transmission system area. Critical Infrastructure and Key Resources Energy Sector-Specific Plan to the National Infrastructure Protection Plan, issued by U.S. Department of Homeland Security and U.S. Department of Energy. Cyber Security utilizes a series of computer technology as applied to computers and networks, protecting computer- and internet-based information by preventing, detecting, and responding to attacks. The objective of cyber security includes protection of information and property from theft, corruption, or natural disaster, while allowing the information and property to remain accessible and productive to its intended users. Today’s power transmission systems in Smart Grid environment are undergoing immense changes. Generally, cyber security issues in ATO include all information and communications that affect the operation of transmission systems. As the electric grid is modernizing, it is becoming highly automated and full of information and data that are exposed for intrusions, treats and attacks. In a sense, cyber network of the grid can be considered as another vital infrastructure ensuring the safe and reliable delivery of electricity. It is indispensable for the grid operators, managers, and regulators to attach great importance to cyber security area. Cyber security could have been ensured by taking the following actions effectively: Prevention: take actions and measures for the continuous assessment and readiness of necessary actions to reduce the risk of threats and vulnerabilities, to intervene and stop an incident, or to mitigate negative effects. It is highly effective to establish and implement preventive requirements and standards before malicious activities could take place. Detection: find approaches to identify abnormal behaviors and discover intrusions; detect malicious code and other activities that can disrupt electric power grid operations. It requires the techniques for digital evidence gathering ability and the decision making process for judging whether there are attacks or data has been compromised. Response: take accurate countermeasures in order to alert and stop counter-security activities immediately after the detection. In addition, find out and summarize the cause and document all the incidents after the cyber-attack, and upgrade system weak point to avoid similar future attacks. Recovery: develop plans to figure out what data and information has been suffered from attacks, compromised or completely lost. The objective of this action is to recover as much data as possible and minimize the impact and loss resulted from cyber-attacks. ATO DEPLOYMENT BENEFITS ATO concepts that increase the strategic value of the future power transmission systems with the integration of abundant functional applications and technological solutions, which will be developed to provide a number of benefits. Such benefits are summarized in Figure 1 below. Figure 1. Benefits of ATO Improved reliability and performance of transmission systems: one of the main benefits of ATO is to improve the system reliability by anticipating and responding promptly to system disturbances and faults with advanced wide area monitoring, preventing, mitigating or eliminating power blackouts and outages, operating resiliently against attacks and natural disasters. Improved power quality: the implementation of ATO will provide better power quality; reduce losses caused by power quality issues. Increased utilization and efficiency of existing infrastructure: the new system concepts will enable more efficient operation of transmission systems, reducing energy losses and maximizing energy throughput. Support all generation and storage options: ATO offers possibilities to accommodate various types of power generation, supports DER integration, and stimulates the development of energy storage systems. More effective system monitoring: ATO enables more effective wide area monitoring and situational awareness by utilizing advanced sensing and measurement technologies in power transmission systems. Reduced operating costs: with increased reliability, efficiency and power quality, the improved operations will reduce operating costs. Enhanced contingency responses: contingency analysis provides not only computer simulations but also real-time grid information of power flow analysis under contingencies. Increased customer service options and benefits: the deployment of ATO will enable better customer service and better fulfill customer demands. Reduced environmental impact: ATO will result in reduction of greenhouse gas emission, facilitation of more effective land use and vegetation management, assurance of better natural environment and sustainable development. ATO DEPLOYMENT EXPERIENCES Transmission system technology development and deployment experiences with pilot programs and projects are ongoing rapidly all over the world. There are more than 50 types of transmission lines in use, with even more under R&D. The goals are to reduce line losses and faults, and improve overall grid awareness, reliability and efficiency. We briefly identify a series of notable Smart Grid technologies development and deployment experiences in the power transmission field in this section. A new report from Pike Research suggests high-voltage direct current (HVDC) transmission will be a big growth in the expansion of the transmission system over the next five years. The transmission system is not ready yet but should be prepared for the Smart grid technologies and renewables. Transmission owners have already begun implementing advanced power electronic technologies for a variety of applications. These applications include dynamic reactive power and series compensation. One step further, they are implementing coordinated schemes using static and dynamic sources of reactive power to strengthen their systems and account for variable power flows that result from wind and solar penetration. KEMA is working with a major Texas transmission operator to implement a Dynamic Reactive Control System (DRCS) that will also realize benefits that include deferred capital, improved control, enhanced performance, efficiency and security, and better system reliability. Developed by Hydro-Quebec, LineScout is a high-performance robot that uses inspection equipment and advanced technology to complete detailed inspection of energized transmission lines. University of Houston mechanical engineering department is developing high-temperature superconducting wires that could drastically improve the electric grid's efficiency and reliability. Midwest ISO will be the first regional transmission operator (RTO) to conduct a grid-scale synchrophasor deployment with assistance from a DOE Smart Grid stimulus grant. More than 150 synchrophasors, or PMUs, will be installed by transmission owners to more accurately measure voltage and current in the eastern interconnection. There's a 33-mile underwater transmission line that spans San Francisco Bay. There's another one in New Jersey and more ambitious underwater projects in process. While laying cable under water presents a unique set of challenges, public opposition to overhead lines and other issues have been blocks for integrating renewable energy with Smart Grid. Electric Power Research Institute (EPRI) researchers have an ongoing effort to develop sensor technologies and the associated infrastructure to aid utilities in addressing the aging transmission fleet, as well as to increase the capacity of existing assets, and help develop the next generation of equipment and technologies. Electric utilities have been pursuing fault current limiters (FCLs) have the potential to significantly alleviate power system stress in locations where fault current magnitudes are expected to increase beyond the ability of ordinary circuit breakers. American Transmission Company (ATC) has won two DOE Recovery Act Smart Grid investment grants which will allow the utility to extend its use of PMUs for grid monitoring technology and the fiber optics communications technology. PJM Interconnection, a RTO in the Eastern Interconnection, and 12 member transmission owners are deploying more than 80 additional synchrophasors to optimize the transmission system and its reliability. Supported by a $14 million DOE matching stimulus grant, the Smart Grid technology deployment will give grid operators much more information about the condition of the transmission grid and at a much faster rate. EPRI is working with a number of leading utility organizations to explore needs and research gaps in the area of reducing transmission losses and improving transmission system’s efficiency and ultimately helping reduce the carbon footprint. Researchers at the FREEDM Systems Center on the North Carolina State University Centennial Campus have come up with what they call a "smart transformer", capable of managing electricity flow in both directions and interconnections with rooftop solar installations and plug-in EVs. REFERENCES [1] M. Turner, Y. Du, et al, “KY Smart Grid Roadmap Initiative Work Plan”, 2011. Internal document retrievable online. [2] Electric Power Research Institute, “IntelliGrid Architecture Power System Functions”. [Online]. Available at http://intelligrid.epri.com/architecture/Use_Cases/IECSA_use_cases_overview.htm [3] Electric Power Research Institute, “Transmission Operations - Functions for Power System Operations”. [Online]. Available at http://intelligrid.epri.com/architecture/use_cases/TO_Transmission_Use_Cases.htm [4] Federal Energy Regulatory Commission, “Open Access Transmission Tariff (OATT) Reform”. [Online]. Available at http://www.ferc.gov/industries/electric/indus-act/oatt-reform/history.asp [5] U.S. Department of Homeland Security, “Energy Sector-Specific Plan to the National Infrastructure Protection Plan”. [Online] Available: http://www.dhs.gov/xlibrary/assets/nipp-ssp-energy-2010.pdf Chapter 8: Overview of Advanced Transmission Operations in the Commonwealth of Kentucky ABSTRACT The “Overview of Advanced Transmission Operations in the Commonwealth of Kentucky” report presents a summary of the current state of ATO deployments and capabilities within the electric utilities of Kentucky. It is a thorough technology assessment, and provides details to support the documents “Overview of Smart Grid Deployments in the Commonwealth of Kentucky”, “Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky”, and “Overview of Advanced Distribution Operations in the Commonwealth of Kentucky”. The data presented in this report was gathered using the “ATO Deployment Survey for Jurisdictional Utilities” (ATO Survey). The ATO Survey gathered utility deployment data in seven areas: Automated Control Baseline, Emergency Control Baseline, Transmission System Contingency Analysis, Wide Area Monitoring and Control Advanced Auto Restoration, Transmission System Automate Voltage Control, Synchrophasors, and Self-Healing Functionality. Additionally, system cost, savings, and benefits were reported. # TABLE OF CONTENTS Abstract ........................................................................................................... Error! Bookmark not defined. Introduction .................................................................................................. Error! Bookmark not defined. ABOUT THIS DOCUMENT ........................................................................... Error! Bookmark not defined. DOCUMENT OVERVIEW ............................................................................. Error! Bookmark not defined. 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Bookmark not defined. Feedback Summary ......................................................................................... Error! Bookmark not defined. INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the documents The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan, The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model, The Kentucky Smart Grid Roadmap Initiative: Overview of Smart Grid Deployments in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky, and The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Distribution Operations in the Commonwealth of Kentucky. The purpose of this document is to summarize the results of the ATO Deployment Survey for Jurisdictional Utilities, in fulfillment of Work Plan Goals 4 of Smart Grid Road Map Work Plan. The ATO Survey was distributed to 23 jurisdictional electric utilities to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on the status of modernization of the electric transmission system. Data collected from jurisdictional utilities was via self-reporting by a Smart Grid Contact person from each utility. DOCUMENT OVERVIEW The following sections are detailed summaries of each of the following areas: Automated Control Baseline, Emergency Control Baseline, Transmission System Contingency Analysis, Wide Area Monitoring and Control Advanced Auto Restoration, Transmission System Automate Voltage Control, Synchro-Phasors, Self-Healing Functionality, Costs, Savings, and Benefits. The report concludes by presenting feedback from the participating utilities. LIST OF PARTICIPATING UTILITIES Big Rivers Electric Corporation East Kentucky Power Cooperative Kentucky Power Company Louisville Gas & Electric and Kentucky Utilities SUMMARY OF THE ATO SYSTEM ASSESSMENT SURVEY INTRODUCTION The ATO Deployment Survey for Jurisdictional Utilities (AMI Survey) was completed by four jurisdictional utilities. The System Assessment portion of the ATO Survey collected information regarding Automated Control Baseline, Emergency Control Baseline, Transmission System Contingency Analysis, Wide Area Monitoring and Control Advanced Auto Restoration, Transmission System Automate Voltage Control, Synchrophasors, and Self-Healing Functionality. The following section summarizes the collected responses to the ATO System Assessment Survey. AUTOMATED CONTROL BASELINE Automated Control of the baseline functions of the transmission are a set of functions that are automated within transmission substation to optimize the operation of the power system and ensure its safe operation by preventing manually generated faults. System Voltage Regulation In voltage regulation, the automation system ensures a constant voltage on the substation bus by adjusting the tap of one or more transformers. This function is automated on 100% of Big Rivers Electric Corporation substations. EKPC has manual autotransformers on all switching stations and 99.5% of substations have voltage regulators. No other utilities report automation of system voltage regulation functions. Voltage and Reactive Load Control In voltage and reactive load control, the automation system optimizes the voltage and reactive load on a line or bus by switching on or off one or more capacitor banks. East Kentucky Power Cooperative reports 100% of their 69 kV transmission system to be covered by auto-switched capacitor banks for load control. Kentucky Power operates a voltage and reactive load control system through the use of voltage controlled relays (no percentage of substations/circuits reported). Neither LG&E nor Big Rivers reported automation switching of capacitor banks for voltage and reactive load control. LG&E/KU did report 21% of substations to have capacitor banks installed. Interlocking and Sequencing of Controls Interlocking prevents unsafe operation of the various switches and breakers within a substation via the computerized evaluation of the state of the entire system in response to the control. Only LG&E reported use of Interlocking controls, as a “small percentage”. Sequenced controls automate some portion of the operator’s tasks to eliminate the possibility of an invalid control being issued. No utilities report the utilization of sequenced controls. Load Balancing Auto load balancing via the automatic adjustment of the proportion of load on each line or feeder in order to reduce system wear and resistive losses is enabled on 100% of circuits on both the Big Rivers and EKPC transmissions systems. EKPC indicates that this functions is achieved via and automatic generation control routine that is part of an Energy Management System. Automated System Restoration The use of substation computers to control the switches and breakers based on information from monitoring IEDs during fault occurrences was reported at 100% by Big Rivers, 90% by Kentucky Power, and 0% by EKPC and LG&E/KU. Vendors Vendors of the systems utilized in Kentucky include General Electric, ABB, McGraw, Beckwith, and Schweitzer. EMERGENCY CONTROL BASELINE Emergency operations activities involve the exchange of information when a fault is detected on a power system. These activities are integrated through the use of Wide Area Control and Monitoring Systems (WAMACS) that provide operational control over the distributed network of actors that comprise the SCADA system. The following table summarizes the percentage of the transmission systems capable of implementing Emergency Control Baseline functionalities, by category. \| FUNCTION \| BIG RIVERS \| EKPC \| KENTUCKY POWER \| LG&E/KU \| \|---------------------------\|------------\|------\|----------------\|---------\| \| Fault Location \| 15 \| 60 \| NR \| NR \| \| Protection and Clearing Verification \| 0 \| 100 \| NR \| NR \| \| Load Shedding \| 30 \| 100 \| NR \| NR \| \| Re-routing of Power \| 0 \| 0 \| NR \| NR \| \| Repair Crew Dispatch \| 0 \| 100 \| NR \| NR \| \| Fault Recording \| 5 \| 60 \| NR \| NR \| Note: Fault recording figures reported for EKPC are for transmission line breakers. Vendors Vendors of the systems utilized in Kentucky include Schweitzer Engineering Laboratories, ERL Phase Power Technologies, General Electric, ABB, McGraw, and Beckwith. TRANSMISSION SYSTEM CONTINGENCY ANALYSIS Contingency Analysis simulation provides and prioritizes the impacts on an electric power system when problems occur. All four reporting utilities utilize simulation tools to perform N-1 contingency analysis on their transmission systems. EKPC reports also evaluating double contingencies and multiple/extreme contingencies. WIDE AREA MONITORING AND CONTROL ADVANCED AUTO RESTORATION Advanced auto-restoration of un-faulted sections of a lines or feeders after a fault has been isolated utilizing WAMCS is not performed by any transmission providers in Kentucky. SYSTEM-WIDE AUTOMATED VOLTAGE CONTROL System wide voltage and power flow optimization through closed loop control, measurement, and computing, was reported to cover 100% of the EKPC system. No other utilities reported utilization of system-wide automated voltage control. SYNCHRO-PHASOR No transmission operators in Kentucky reported the use of Synchro-phasor devices to provide synchronized and time-stamped voltage and current phasor measurements from different locations. LG&E/KU reports that some of their Schweitzer relays are synchro-phasor capable. SELF-HEALING GRID Self-Healing Grid (SHG) applications that evaluate power system behavior in real-time, prepare the power system for withstanding credible combinations of contingencies, prevent wide-area blackouts, and accommodate fast recovery from emergency state to normal state were reported by Big Rivers and EKPC. Big Rivers utilizes line automated reclosers that will close the circuit breaker, restoring the line following a line trip. EKPC has implemented two automated switching schemes that couples motor operated air break switches with conventional breaker reclosing schemes. Under certain conditions, the MOABS will automatically open in an attempt to allow one of the breakers to remain in service by removing faulted line sections from the system. The MOABs auto-detect voltage loss and operate automatically. These self-healing functions cover <1% of the transmission system. DYNAMIC LINE AND EQUIPMENT RATING The dynamic operation of transmission system equipment based on environmental measurements is performed by EKPC and LG&E/KU. EKPC operates ten transmission lines and three power transformers dynamically using EPRI’s Dynamic Thermal Circuit Rating technology. LG&E/KY utilized real time ambient temperature to calculated line rating for transmission lines as part of their EMS system. Both EKPC and Big Rivers report using environmental measurements for load forecasting. In the EKPC system this is performed utilizing two fully instrumented weather stations that communicated with the EPRI DTCR software. In the Big Rivers system load forecasts are made using temperature data. ADVANCED COMPONENTS The following table summarizes the advanced components utilized in each transmission system... \| COMPONENT \| BIG RIVERS \| EKPC \| KENTUCKY POWER \| LG&E/KU \| \|----------------------------\|------------\|--------\|----------------\|---------\| \| FACTS \| No \| No \| Yes \| No \| \| VFT \| No \| No \| No \| No \| \| Solid State Transformer \| No \| No \| No \| No \| \| Superconducting Condenser \| No \| No \| No \| No \| \| HVDC \| No \| No \| No \| No \| \| Fault Current Limiter \| No \| Series Reactor \| Series Reactor \| No \| \| High Temp/Capacity Cable \| ACSS Conductor \| ACSS Conductor \| No \| No \| \| Advanced Storage \| No \| No \| No \| No \| SUMMARY OF THE ATO COST AND BENEFIT SURVEY INTRODUCTION The Cost and Benefit portion of the ATO Survey was completed by four of the jurisdictional utilities. It collected information regarding installation and operation & maintenance costs, savings enabled by ATO, and ancillary benefits of ATO installations. The following section summarizes the collected responses to the ATO Cost and Benefit Survey. COSTS Capital Costs of ATO Deployments No utilities provided information regarding capital costs related to ATO deployments. Operation and Maintenance Costs of ATO Deployments No utilities provided information regarding O&M costs specific to ATO deployments. SAVINGS EKPC reported an actual benefit ratio of 3.1:1 for the DTCR project in 2006 and a projected benefit ratio of 7.7:1 for 2007. BENEFIT EVALUATION No utilities completed the benefit evaluation portion of the ATO Cost and Benefit Survey. FEEDBACK SUMMARY INTRODUCTION Responding utilities were encouraged to provide feedback to be included in the ATO report. This section summarizes those responses. LOUISVILLE GAS AND ELECTRIC LG&E/KU continues to monitor and research emerging Smart Grid technologies such that investments occur at the speed of value. Smart Grid technologies are analyzed utilizing historical investment methods to determine when value will be achieved and thus directing the future state of Smart Grid. Chapter 9: Advanced Asset Management Overview # TABLE OF CONTENTS Introduction .................................................................................................................. 183 Overview of AAM ........................................................................................................... 184 AAM Technologies and Functionalities ....................................................................... 185 References ..................................................................................................................... 188 INTRODUCTION The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered to develop a technical roadmap for the development and deployment of Smart Grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual Smart Grid deployment approaches. The purpose of this document is 1) the overview of: Advanced Asset Management, key enabling technologies and main functionalities, and 2) served as a companion document of the KSGRI AAM Deployment Survey for the evaluation of AAM deployment by jurisdictional utilities in Kentucky. These purposes are in fulfillment of KSGRI Work plan Goal #7. OVERVIEW OF AAM AAM (Advanced Asset Management) integrates the grid intelligence acquired in achieving the other milestones, such as AMI, ADO, and ATO with new and existing asset management applications. This integration enables utilities to reduce operations, maintenance, and capital costs, and better utilize assets efficiently during day-to-day operations. Additionally, it significantly improves the performance of capacity planning, forecast, maintenance, engineering and facility design, customer service processes, and work and resource management. Like AMI (Advanced Metering Infrastructure), we refer to ATO as a Smart Grid key infrastructure area, as opposed to a specific technology. AAM can spread over a broad range of electric power system infrastructures, from generation, transmission to distribution and consumption. It includes but not limit to asset “health” information, system and facility maintenance, transmission and distribution planning and expansion, system operating information. The realization of Smart Grid AAM requires the collaboration with other infrastructure areas. Also, the integration of both operational and asset condition information will improve the effectiveness of asset management systems. With Smart Grid concepts, technologies and applications widely penetrate into the power systems, AAM will become an important backbone for the realization of the future grid. In this brief overview report, we will summarize enabling technologies and main functionalities of AAM. While the concept of power delivery asset management has been around for many years, utilities have to settle to make decisions based on incomplete system information and limited communication and data collection systems. With the rapid development progress of Smart Grid with its advanced communication infrastructure and advanced sensing and measurement technologies, asset managers will be able to identify the “health” condition and system performance of those assets. This brings a new topic of Advanced Asset Management in Smart Grid environment. Performance-based asset management provides a useful tool for utilities to utilize in coordination with Smart Grid key technologies: Integrated Communications, Sensing and Measurement, Advanced Components, Advanced Control Methods, Improved Interfaces and Decision Support [1]. However, it is critical that the asset management applications should be considered along with other Smart Grid applications. Currently, there exists a great lack of information regarding the actual power flow through specific equipment, and the ability to monitor that equipment. In this case, asset managers relay on intuition, estimates, averages, or expensive field inspection, and have been forced to build redundant facilities in case estimates went wrong. The next-generation asset management should change this way. With the extensive penetration of Smart Grid technologies, especially the smart meters, various sensors, mobile devices, IEDs, etc., utilities are now getting more and more raw data about their assets. The next step is to turn those raw data into useful information, with necessary process of the analysis of asset profiles, failure events, and costs. Asset managers can use obtained information to feed asset planning and create reports or visual graphics for assistance. Also, system models and simulations can be created to make effective strategies before making costly investment. Brief review of some asset management technologies and functions are listed below. Schedule-based Preventive Maintenance Most preventive maintenance works on the idea of regularly inspecting or servicing equipment to address potential failures before they occur. This is typically set to six months. However, with the changing operating conditions and environment, the standard interval between inspections may be too long to catch critical emerging problems. Condition-based/monitoring Maintenance This type of maintenance utilizes a number of monitoring devices and maintenance tools, such as intelligent electronic devices (IEDs), to set up a maintenance basis for all assets. It monitors the system’s “health” information in real-time and it will generate alarm signals and send to central control room when some failures or malfunctions are triggered. However there is always a considerable delay because of this passive characteristics and the real failures have already happened. Reliability-based Maintenance This type of maintenance is carried out based on the reliability index of each device or equipment among all assets. The reliability may be constituted by the amount of power losses, the duration of losses, the severity of losses. In summary, the reliability index says that you want to operate as long as possible without losses and when you have losses you want to fix them as quickly as possible. Predictive Maintenance Predictive analytics identifies impending problems by detecting subtle changes in equipment operations. It finds problems earlier than condition monitoring based schemes. Predictive analytics compares real-time data to software models of equipment when operating in good condition, and compensates for normal variations due to load and ambient conditions. Further, the method uses software models customized for individual pieces of equipment to provide the earliest possible warning of emerging problems. Unit Commitment Unit commitment problems involve the scheduling of power generators with the most economic production and trade, subject to power consumption and the technological and economical parameters of the power sources. Economic Dispatch Economic dispatch is a process for optimally determining the output of generators that are turned on to meet the daily demand of the system. Computerized maintenance management system (CMMS) In power system asset management, CMMS maintains a computer database of information about an organization’s maintenance operations, i.e. computerized maintenance management information system (CMMIS). This information is to help manage maintenance more effectively and to help make informed decisions. CMMS data may also be used to verify regulatory compliance. CMMS can record data about equipment and property, including maintenance activities, work orders, specifications, purchase date, expected lifetime, warranty information, service contracts ad history, etc. Optimized asset utilization Optimized asset utilization facilitates the elimination of extra generation plant construction, the management of regular plant as well as peaker plant utilization by real-time demand prediction, increasing the utilization of line capacity by adjusting thermal dynamic ratings in real-time. Transmission planning Transmission expansion requires good planning under appropriate regulations. The purpose of transmission planning is to determine the type and timing of new transmission facilities required, with an acceptable level of reliability. The transmission planning process relies upon the definition of the locations of the new generations and the expected growth in demand for certain region. Distribution planning On the power distribution system side, planning is a complex task that it must ensure there is adequate transformer capacity and feeder capacity to meet the load demands. Decisions such as allocation of power flow, installation of feeders and substations, and scheduling maintenance must be evaluated carefully. [1] M. Turner, Y. Du, et al., “KY Smart Grid Roadmap Initiative Work Plan”, 2011. Internal document retrievable online. Chapter 10: Overview of Advanced Asset Management in the Commonwealth of Kentucky ABSTRACT The “Overview of Advanced Asset Management in the Commonwealth of Kentucky” report presents a summary of the current state of AAM deployments and capabilities within the electric utilities of Kentucky. It is a thorough technology assessment, and provides details to support the documents “Overview of Smart Grid Deployments in the Commonwealth of Kentucky”, “Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky”, Overview of Advanced Distribution Operations in the Commonwealth of Kentucky and “Overview of Advanced Transmission Operations in the Commonwealth of Kentucky”. The data presented in this report was gathered using the “AAM Deployment Survey for Jurisdictional Utilities” (AAM Survey). The AAM Survey gathered utility deployment data in the areas of the gathering and distribution of asset data, the use of asset data to support optimization of asset utilization and planning, advanced asset management methods, and performance standards as applied to asset management and utilization. # TABLE OF CONTENTS ABSTRACT .......................................................................................................................... 171 TABLE OF CONTENTS ........................................................................................................... 172 INTRODUCTION .................................................................................................................... 173 - ABOUT THIS DOCUMENT ..................................................................................................... 173 - DOCUMENT OVERVIEW ....................................................................................................... 173 LIST OF PARTICIPATING UTILITIES .................................................................................. 174 SUMMARY OF THE ATO SYSTEM ASSESSMENT SURVEY .............................................. 175 - INTRODUCTION ..................................................................................................................... 175 - AUTOMATED CONTROL BASELINE ....................................................................................... 175 - EMERGENCY CONTROL BASELINE ......................................................................................... 176 - TRANSMISSION SYSTEM CONTINGENCY ANALYSIS ......................................................... 176 - WIDE AREA MONITORING AND CONTROL ADVANCED AUTO RESTORATION ............. 177 - SYSTEM-WIDE AUTOMATED VOLTAGE CONTROL ................................................................ 177 - SYNCHRO-PHASOR ................................................................................................................ 177 - SELF-HEALING GRID ............................................................................................................. 177 - DYNAMIC LINE AND EQUIPMENT RATING .......................................................................... 177 - ADVANCED COMPONENTS .................................................................................................... 177 SUMMARY OF THE ATO COST AND BENEFIT SURVEY ..................................................... 179 - INTRODUCTION ..................................................................................................................... 179 - COSTS .................................................................................................................................. 179 - SAVINGS ................................................................................................................................. 179 - BENEFIT EVALUATION ........................................................................................................... 179 FEEDBACK SUMMARY ........................................................................................................... 180 INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the documents The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan, The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model, The Kentucky Smart Grid Roadmap Initiative: Overview of Smart Grid Deployments in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Distribution Operations in the Commonwealth of Kentucky and The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Transmission Operations in the Commonwealth of Kentucky. The purpose of this document is to summarize the results of the AAM Deployment Survey for Jurisdictional Utilities, in fulfillment of Work Plan Goals 4 of Smart Grid Road Map Work Plan. The AAM Survey was distributed to 23 jurisdictional electric utilities to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on the status of modernization of asset management systems. Data collected from jurisdictional utilities was via self-reporting by a Smart Grid Contact person from each utility. DOCUMENT OVERVIEW The following sections are detailed summaries are then provided in subsequent sections of the following areas: Gathering and Distributing Data, Distribution, Operations, and Planning Optimization, Applications and Device Technologies, and Performance Standards. The report concludes by presenting feedback from the participating utilities. LIST OF PARTICIPATING UTILITIES Big Rivers Electric Corporation Jackson Purchase Energy Kenergy Corp. East Kentucky Power Cooperative Inc. Big Sandy RECC Bluegrass Energy Cooperative Farmers RECC Fleming Mason Energy Jackson Energy Cooperative Licking Valley RECC Nolin RECC Owen Electric Cooperative Corporation Salt River Electric Cooperative Corporation South Kentucky RECC Kentucky Power Company Louisville Gas & Electric and Kentucky Utilities SUMMARY OF THE AAM SYSTEM ASSESSMENT SURVEY INTRODUCTION The AAM System Assessment Survey for Jurisdictional Utilities (AAM Survey) was completed by sixteen jurisdictional utilities. The System Assessment portion of the AAM Survey collected information regarding Gathering and Distributing Data, Distribution, Operations, and Planning Optimization, Applications and Device Technologies, and Performance Standards. The following section summarizes the collected responses to the AAM System Assessment Survey. GATHERING AND DISTRIBUTING DATA Traditionally the gathering of asset health related measurements has been a manual task performed as part of routine maintenance. In the context of the AAM survey techniques, we instead refer to the automated gathering of real-time raw data from Smart Grid technologies including smart meters, various sensors, mobile devices, and Intelligent Energy Devices. Sensors Two utilities report the utilization of automated sensors to monitor factors such as vibration, chemical analysis, acoustics, temperature, or other non-electrical parameters used in the delivery of electricity. East Kentucky Power Cooperative has 38 dissolved gas analyzers (DGA) installed on step-up power transformers. The units are provided by Severon, Hydran, and Kelman. Additionally, EKPC has installed 20 transformer temperature monitoring units (Advanced Power Technologies) and 16 intelligent transformer monitoring units (Qualitrol). Louisville Gas & Electric and Kentucky Utilities has installed online oil monitors on ~5% of transformers. However it is not clear that this data is used for asset management, but rather to sound alarms at predetermined oil gas and moisture contents. Owen Electric reports the planned installation of a transformer IED to monitor transformer temperature and gas analysis to determine deterioration and maintenance requirements. Kenergy Corp utilizes thermal imaging to evaluate substations on annual basis, and utilizes heat sensors to generate alarm data for large backup generators and in the in house UPS system. Common Information Model A Common Information Model provides a system-wide commonality of data to measure the condition of equipment. Kentucky Power Company reports the use of non-automated common information collection for all major assets including power transformers, circuit breakers, reclosers, tap changers, regulators, batteries, and stations service transformers. This data is uploaded to a server and is migrated to the Maintenance Management Software. Louisville Gas & Electric and Kentucky Utilities recently introduced the use of transmission and distribution substation construction and maintenance software to track asset maintenance history and condition, although this software does not appear to be directly connected to sensors connected to devices. Substation Automation Other than the substation automation reported in The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Distribution Operations in the Commonwealth of Kentucky, no utilities reports the use of sensors for substation automation in response to asset management requirements. OPERATION AND PLANNING OPTIMIZATION Real time sensor data can be utilized to optimize both the operation and the planning of the transmission and distribution system. Primarily this refers to real time circuit reconfiguration for electrical loss minimization, increasing the utilization of line and transformer capacity by adjusting thermal dynamic ratings in real-time, and in T&D system planning. Circuit Reconfiguration for Loss Minimization Kentucky Power utilizes S&C Intelliteam software to analyze distribution circuits for reconfiguration based on loss. This analysis is presently applied to 4.4% of KPCo’s distribution circuits with an end of 2012 goal of 6.8% of circuits. Owen Electric uses a similar program provided by Cooper to analyze 1% of their circuits. These numbers are for reconfiguration based on real time data and do not account for distribution planning based on “what-if” planning operation. Such operations are covered in The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Distribution Operations in the Commonwealth of Kentucky. Dynamic Asset Ratings Eleven transmission lines in the EKPC system are operated dynamically in response to changing weather variables including: ambient temperature, wind speed and direction, humidity, emissivity, and rain fall. The EKPC system also rates three power transformers dynamically. Louisville Gas & Electric and Kentucky Utilities utilize dynamic operation of transmission lines and transmission transformers based on temperature only. No utilities operate distribution level equipment dynamically, disregarding summer/winter base rating and overload ratings. System Planning No utilities reported the use of real time data on assets from sensors/IEDs utilized in system planning. ADVANCED ASSET MAINTENANCE Most preventive maintenance works on the idea of regularly inspecting or servicing equipment to address potential failures before they occur. Increased data from sensors and IEDs can be utilized to facilitate new maintenance methodologies that include Probabilistic Risk Assessment, Condition-Based Monitoring and Maintenance, Reliability-Based Maintenance, and Predictive Maintenance. Condition Based Maintenance This type of maintenance utilizes a number of monitoring devices and maintenance tools, such as intelligent electronic devices (IEDs), to set up a maintenance basis for all assets. It monitors the system’s “health” information in real-time and it will generate alarm signals and send to central control room when some failures or malfunctions are triggered. However there is always a considerable delay because of this passive characteristics and the real failures have already happened. Blue Grass Energy reports utilizing condition based monitoring and maintenance to produce SCADA alarm signals in real time in response to asset health information. Kentucky Power Corp also produces SCADA alarms for high temperatures on power transformers, voltage alarms for tap changers, and alarms for loss of DC battery voltage. LG&E utilizes condition based maintenance at its transmission Substations, including the status of microprocessor relays and transformer cooling mechanisms (such as pumps & fans), transformer oil level and SF6 circuit breaker gas pressure and estimation of breaker contact wear (based on actual fault current interrupted and manufacturer recommendation). Salt River generates alarms in real time through their SCADA system for voltage or current issues. Reliability Based Maintenance This type of maintenance is carried out based on the reliability index of each device or equipment among all assets. The reliability may be constituted by the amount of power losses, the duration of losses, the severity of losses. In summary, the reliability index says that you want to operate as long as possible without losses and when you have losses you want to fix them as quickly as possible. Kentucky Power Company, Louisville Gas & Electric and Kentucky Utilities, Nolin RECC, Owen Electric, and Salt River indicated utilization of RBM methods. Salt River specifically indicates that reliability based maintenance is being used on a limited basis for reclosers. Predictive Maintenance and Probabilistic Risk Assessment Predictive analytics identifies impending problems by detecting subtle changes in equipment operations. It finds problems earlier than condition monitoring based schemes. Predictive analytics compares real-time data to software models of equipment when operating in good condition, and compensates for normal variations due to load and ambient conditions. Further, the method uses software models customized for individual pieces of equipment to provide the earliest possible warning of emerging problems. No utilities reported utilizing predictive maintenance and/or probabilistic risk assessment in the context of the AAM survey. Performance Standards Although several utilities reported on general performance standards as related to the operation of their individual electric power system, none of the responses directly addressed the use of performance standards as it applies to asset management. FEEDBACK SUMMARY INTRODUCTION Responding utilities were encouraged to provide feedback to be included in the AAM report. This section summarizes those responses. LICKING VALLEY RECC At this time we have the Hunt Technologies TS1 system fully deployed. We are in the process of converting to the TS2 system which will give us more information to better implement the things discussed in this survey. LOUISVILLE GAS AND ELECTRIC LG&E/KU continues to monitor and research emerging Smart Grid technologies such that investments occur at the speed of value. Smart Grid technologies are analyzed utilizing historical investment methods to determine when value will be achieved and thus directing the future state of Smart Grid. NOLIN RECC How many staff engineers do you think work at electric cooperatives? In your best estimate, how much money would it take to create a system, highlighted in yellow, you opened with at the beginning of this survey? "AAM (Advanced Asset Management) integrates the grid intelligence acquired in achieving the other milestones, such as AMI, ADO, and ATO with new and existing asset management applications. This integration enables utilities to reduce operations, maintenance, and capital costs, and better utilize assets efficiently during day-to-day operations. Additionally, it significantly improves the performance of capacity planning, forecast, maintenance, engineering and facility design, customer service processes, and work and resource management. Like AMI (Advanced Metering Infrastructure), we refer to AAM as a Smart Grid key infrastructure area, as opposed to a specific technology." Do you really believe that something as described by your “team”, highlighted in yellow, can be accomplished without a large team of engineers and IT people? CHAPTER 11: CONSUMER EDUCATION OVERVIEW # TABLE OF CONTENTS INTRODUCTION .................................................................................................................. 200 OVERVIEW OF CONSUMER EDUCATION AND ACCEPTANCE ........................................... 201 REFERENCES ..................................................................................................................... 204 INTRODUCTION The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered to develop a technical roadmap for the development and deployment of Smart Grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual Smart Grid deployment approaches. The purpose of this document is 1) an overview of: Consumer Education and Acceptance of the Smart Grid, the concerns, issues, challenges, and benefits for consumers and utilities with the adoptions of Smart Grid technologies, 2) to serve as a companion document of the KSGRI Consumer Education and Acceptance Deployment Survey for the evaluation of Consumer Education and Acceptance by jurisdictional utilities in Kentucky. These purposes are in fulfillment of KSGRI Work plan Goal #7. Smart Grid depends on consumer When it comes to Smart Grid, the least talked about but the most important part is what’s always ignored – Consumer. The Smart Grid is coming, faster and sooner than maybe you and I could expect. Government, electric utilities, energy providers and stakeholders are in support of Smart Grid. New technologies are being announced and penetrated almost every day and everywhere. Whoever understands Smart Grid would agree that it is the key in helping solve the energy challenges. However, many would also agree that its ultimate success will largely depend on its acceptance and involvement of this new, intelligent technology by the consumer. As it was claimed that consumer education is an essential cornerstone of the energy industry’s Smart Grid transition, thus it’s critical to have a clear understanding of customers’ needs and behaviors. Consumers’ understanding from national surveys Survey after survey revealed with fairly consistent results that approximately 2/3 to ¾ of Americans have never even heard the term “Smart Grid”, neither understand what it could mean for them. However, researches also show that Americans are very supportive once the technologies have been explained to them. Many consumers want to reduce their negative impact on the environment and take a more active role in personal energy management. And when consumers get educated by the benefits of Smart Grid and more advanced technologies that may be possibly realized for residential use, the majority of consumers tend to like Smart Grid, think implementing Smart Grid is a priority, and want to participate in the transition given they are clear of the cost-benefit of new technologies. “Change” or “not change” As the time to rebuild the electricity infrastructure with 21st century technologies, we need to help consumers adapt to change. Speaking of “change”, typically, people are unwilling to change, unless the new technological products, experience and benefits are clearly much better than the current ones they have. The Smart Grid will allow consumers and utilities to manage energy through better usage information, two-communications, more choices on energy consumptions, more flexible electricity rate structures, and so on. Smart grid technology is likely to give consumers wide varieties of options as well as benefits for managing their home energy consumption, and providing these options in a way that fits consumers’ lifestyles and meets their needs. While educated consumers tend to be positive about the benefits of Smart Grid, many consumers have revealed concerns about health, privacy, availability of control, and bill accuracy. This isn’t to understate the legitimate concerns around the Smart Grid. However, for common concerns among consumers, such as new technologies raising the cost of energy bills or smart meter being a serious health threat, an education program is an absolutely necessary component of clarifying and addressing those issues to consumers. It’s one thing to install millions of smart meters in the next few years, and it’s another thing to make sure that your customers are part of the process, and are supportive with the technology advancements and rollouts. Empowering our energy future through conversation, collaboration and education Engagement and dialogue: Two-way communication with consumers will be critical to Smart Grid success. With a clear understanding of consumer motivations, we are likely to see clear market change. Industry-wide collaboration: The Smart Grid space is brimming with stakeholders who have the consumer’s best interests in mind. From regulators to consumer advocates, and even the mainstream media, there are many voices influencing the consumers’ perception of Smart Grid. Only through industry-wide collaboration among consumer “influencers” can we expect to reach this target audience. Education: Armed with a clear picture of our consumers, an understanding of what drives them, and a network of industry-wide supporters, the industry can begin effective outreach and education. Long-term consumer engagement will depend on innovative products and solutions that consumers will race to embrace. Consumer acceptance and demand for Smart Grid technologies will ultimately ease the minds of regulators and consumer advocates when it comes to future Smart Grid investments, while making the transition smoother for utilities. If we do this right, I predict we’ll see a technology revolution. Challenges The Smart Grid roadmap recognizes customers must actively participate in energy management to realize full benefits of Smart Grid deployment and development. The challenges to engage consumers could be: - Limited consumer understanding and acceptance of technologies and value - The uncertainties of new technologies and potential benefits, even utilities - The cost and investment in education, who pays for it? - Customers have traditionally been passive recipients of electricity services - Customer engagement has been predominantly event-driven - The current status of delivering safe, reliable electricity has resulted in customers not needing to change, little incentive - Elevated customer expectations due to hype - Utilities and regulators know only part of the customer experience and behaviors Successful consumer education requires effective and coordinated communications planning and execution. Stakeholders may have unique insights into the perspectives, concerns, and needs of the constituencies, as well as trusted relationships that could enhance the credibility and effectiveness of consumer education efforts. Therefore, utilities should work collaboratively with stakeholders in the design of consumer education programs and in the development, targeting, and message delivery. REFERENCES [1] M. Turner, Y. Du, et al, “KY Smart Grid Roadmap Initiative Work Plan”, 2011. Internal document retrievable online. [2] A. Budiardjo, “Smart Grid and Consumers: Collaboration needed for Education”, The energy collective. [Online] Retrieved from http://theenergycollective.com/antobud/42388/smart-grid-and-consumers-collaboration-needed-education [3] M. Vadari, “Consumer Engagement Seen as Key to the Smart Grid’s Success”, Greentech Grid. [Online] Retrieved from http://www.greentechmedia.com/articles/read/consumer-engagement-is-the-key-to-the-smart-grids-success Chapter 12: Overview of Consumer Education Programs in the Commonwealth of Kentucky ABSTRACT The “Overview of Consumer Education Programs in the Commonwealth of Kentucky” report presents a summary of the current state of consumer education programs within the electric utilities of Kentucky. It is a brief assessment, and provides details to support the documents “Overview of Smart Grid Deployments in the Commonwealth of Kentucky”, “Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky”, Overview of Advanced Distribution Operations in the Commonwealth of Kentucky, “Overview of Advanced Transmission Operations in the Commonwealth of Kentucky”, and “Overview of Advanced Asset Management in the Commonwealth of Kentucky”. The data presented in this report was gathered using the “CE Deployment Survey for Jurisdictional Utilities” (CE Survey). The CE Survey polled utilities on their consumer education programs in the areas of General Smart Grid, Advanced Metering, Demand Response Programs, Distribution Automation, Energy Efficiency, Distributed Energy Resources, and Integration of Electric Vehicles. # TABLE OF CONTENTS ABSTRACT .................................................................................................................. 206 TABLE OF CONTENTS ................................................................................................. 207 INTRODUCTION ........................................................................................................... 208 LIST OF PARTICIPATING UTILITIES ....................................................................... 209 SUMMARY OF THE CONSUMER EDUCATION SURVEY ..................................... 210 INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the documents The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan, The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model, The Kentucky Smart Grid Roadmap Initiative: Overview of Smart Grid Deployments in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Distribution Operations in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Transmission Operations in the Commonwealth of Kentucky, and The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Asset Management in the Commonwealth of Kentucky. The purpose of this document is to summarize the results of the CE Deployment Survey for Jurisdictional Utilities, in fulfillment of Work Plan Goals 4 of Smart Grid Road Map Work Plan. The AAM Survey was distributed to 23 jurisdictional electric utilities to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on the status of consumer education programs. Data collected from jurisdictional utilities was via self-reporting by a Smart Grid Contact person from each utility. LIST OF PARTICIPATING UTILITIES Kenergy Corp. Meade County RECC East Kentucky Power Cooperative Inc. Big Sandy RECC Bluegrass Energy Cooperative Farmers RECC Jackson Energy Cooperative Nolin RECC Owen Electric Cooperative Corporation Salt River Electric Cooperative Corporation South Kentucky RECC Kentucky Power Company Louisville Gas & Electric and Kentucky Utilities INTRODUCTION The CE Survey for Jurisdictional Utilities (CE Survey) was completed by fourteen jurisdictional utilities. The CE Survey polled utilities on their consumer education programs in the areas of General Smart Grid, Advanced Metering, Demand Response Programs, Distribution Automation, Energy Efficiency, Distributed Energy Resources, and Integration of Electric Vehicles. General Smart Grid Education Programs Two (14.3 percent) responding utilities responded Yes when asked if their organization “has a consumer education program specific to General Smart Grid”. The following table summarizes the intended goals of these education programs: \| Intended Outcomes Of General Smart Grid Education Programs \| \|-----------------------------------------------------------\| \| DESIRABLE OUTCOMES \| # UTILITIES SUPPORTING \| % UTILITIES SUPPORTING \| \| A basic understanding of the technologies being used or new options available to the consumer. \| 2 \| 100 \| \| Understanding of any associated rate structure changes or options. The role of the utility and third parties \| 2 \| 100 \| \| Understanding of the goals of the program, including potential individual and societal costs and benefits \| 2 \| 100 \| \| Understanding of the potential implications (benefits, costs, and risks) associated with their participation (or non-participation) in a smart grid program or rate option \| 2 \| 100 \| \| Information regarding resources and tools available to them than can be employed to estimate potential effects of participation in the program \| 2 \| 100 \| Advanced Metering Education Programs Four (28.6 percent) responding utilities responded Yes when asked if their organization “has a consumer education program specific to Advanced Metering (“smart meters”)”. The following table summarizes the intended goals of these education programs: \| Intended Outcomes Of Advanced Metering Education Programs \| \|-----------------------------------------------------------\| \| DESIRABLE OUTCOMES \| # UTILITIES SUPPORTING \| % UTILITIES SUPPORTING \| \| A basic understanding of the technologies being used or new options available to the consumer. \| 4 \| 100 \| Demand Response Education Programs Seven (50 percent) responding utilities responded Yes when asked if their organization “has a consumer education program specific to Demand Response Programs”. The following table summarizes the intended goals of these education programs: \| Desired Outcomes \| # Utilities Supporting \| % Utilities Supporting \| \|----------------------------------------------------------------------------------\|------------------------\|------------------------\| \| A basic understanding of the technologies being used or new options available to the consumer. \| 7 \| 100 \| \| Understanding of any associated rate structure changes or options. The role of the utility and third parties \| 5 \| 71.4 \| \| Understanding of the goals of the program, including potential individual and societal costs and benefits \| 7 \| 100 \| \| Understanding of the potential implications (benefits, costs, and risks) associated with their participation (or non-participation) in a smart grid program or rate option \| 5 \| 71.4 \| \| Information regarding resources and tools available to them than can be employed to estimate potential effects of participation in the program \| 7 \| 100 \| Distribution Automation Education Programs 1 (7.1 percent) responding utilities responded Yes when asked if their organization “has a consumer education program specific to Distribution Automation”. The following table summarizes the intended goals of these education programs: Energy Efficiency Programs Fourteen (100 percent) responding utilities responded Yes when asked if their organization “has a consumer education program specific to Energy Efficiency”. The following table summarizes the intended goals of these education programs: \| Desired Outcomes \| # Utilities Supporting \| % Utilities Supporting \| \|----------------------------------------------------------------------------------\|------------------------\|------------------------\| \| A basic understanding of the technologies being used or new options available to the consumer. \| 14 \| 100 \| \| Understanding of any associated rate structure changes or options. The role of the utility and third parties \| 9 \| 64.3 \| \| Understanding of the goals of the program, including potential individual and societal costs and benefits \| 13 \| 92.8 \| \| Understanding of the potential implications (benefits, costs, and risks) associated with their participation (or non-participation) in a smart grid program or rate option \| 10 \| 71.4 \| \| Information regarding resources and tools available to them than can be employed to estimate potential effects of participation in the program \| 13 \| 92.8 \| Distributed Energy Resource Education Programs Two (14.3 percent) responding utilities responded Yes when asked if their organization “has a consumer education program specific to Distributed Energy Resources”. The following table summarizes the intended goals of these education programs: \| Intended Outcomes Of Distributed Energy Education Programs \| \|-----------------------------------------------------------\| \| DESIRABLE OUTCOMES \| # UTILITIES SUPPORTING \| % UTILITIES SUPPORTING \| \| A basic understanding of the technologies being used or new options available to the consumer. \| 2 \| 100 \| \| Understanding of any associated rate structure changes or options. The role of the utility and third parties \| 2 \| 100 \| \| Understanding of the goals of the program, including potential individual and societal costs and benefits \| 1 \| 50 \| \| Understanding of the potential implications (benefits, costs, and risks) associated with their participation (or non-participation) in a smart grid program or rate option \| 2 \| 100 \| \| Information regarding resources and tools available to them than can be employed to estimate potential effects of participation in the program \| 2 \| 100 \| Integration of Electric Vehicles Education Programs One (7.1 percent) responding utilities responded Yes when asked if their organization “has a consumer education program specific to Integration of Electric Vehicles”. The following table summarizes the intended goals of these education programs: \| Intended Outcomes Of Electric Vehicle Integration Education Programs \| \|---------------------------------------------------------------------\| \| DESIRABLE OUTCOMES \| # UTILITIES SUPPORTING \| % UTILITIES SUPPORTING \| \| A basic understanding of the technologies being used or new options available to the consumer. \| 1 \| 100 \| \| Understanding of any associated rate structure changes or options. The role of the utility and third parties \| 0 \| 0 \| \| Understanding of the goals of the program, including potential individual and societal costs and benefits \| 0 \| 0 \| \| Understanding of the potential implications (benefits, costs, and risks) associated with their participation (or non-participation) in a smart grid program or rate option \| 0 \| 0 \| Information regarding resources and tools available to them than can be employed to estimate potential effects of participation in the program \| 0 \| 0 Methods of Customer Engagement The following table summarizes the methods utilities utilize to facilitate customer engagement: \| METHOD \| # UTILITIES SUPPORTING \| % UTILITIES SUPPORTING \| \|-------------------------------\|------------------------\|------------------------\| \| Direct Mailing \| 12 \| 85.7 \| \| Call Center \| 8 \| 57.1 \| \| Web Site \| 14 \| 100 \| \| Television \| 3 \| 21.4 \| \| Radio \| 9 \| 64.3 \| \| Social Media (Facebook, Twitter, etc.) \| 6 \| 42.9 \| \| Customer Advisory Board \| 3 \| 21.4 \| \| Other \| 8 \| 57.1 \| The responses to “Other” included (# of responses in parenthesis): newspapers (4), member newsletter (2), community events (1), handouts 91), billboards (1). Methods of Customer Engagement Five utilities (35.7 percent) responded affirmatively when asked “Does your organization utilize consumer education as part of cost-benefit analysis regarding smart grid deployments?” Chapter 13: Distributed Energy Resources Overview # TABLE OF CONTENTS INTRODUCTION ........................................................................................................... 217 OVERVIEW OF DER .................................................................................................... 218 DER TECHNOLOGY ..................................................................................................... 219 DER DEPLOYMENT BENEFITS .................................................................................. 222 REFERENCES .............................................................................................................. 224 INTRODUCTION The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered to develop a technical roadmap for the development and deployment of Smart Grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual Smart Grid deployment approaches. The purpose of this document is 1) an introduction and analysis of: Distributed Energy Resources (DER), enabling technologies, the benefits associated with DER deployments, and DER experience 2) to serve as a companion document of the KSGRI DER Deployment Survey for the evaluation of DER deployment by jurisdictional utilities in Kentucky. These purposes are in fulfillment of KSGRI Work plan Goal #7. OVERVIEW OF DER Distributed energy resources (DER), or distributed energy/generation are small, modular, decentralized energy generation and storage technologies that can produce electricity where energy is needed. They are "distributed" because they are located at or close to the point of energy consumption, unlike traditional "centralized" systems, where electricity is generated at a remote large-scale power plant and then delivered through power lines to the consumers. Typically, DER systems produce less than 10 MW of power. They are integrated systems that can include effective means of power generation, energy storage, and delivery. DER systems may be either connected to the local grid or off the grid in stand-alone applications. DER deployments will enable the generation portfolio and diversity towards a more decentralized model that will include a balance of large, centralized generating plants as well as small-scale distributed generations. DER includes renewable energy resources, distributed generations, energy storages and electric vehicles (EV). DER encompasses a wide range of technologies, such as: wind turbines/wind energy systems, diesel engines, photovoltaics (PV), concentrating solar systems, fuel cells, microturbines, reciprocating engines, combustion turbines, cogeneration, small modular biopower, and energy storage systems. The effective use of grid-connected distributed energy resources also require power electronic interfaces, communications, and control devices for efficient operations. Distributed energy technologies are playing an increasingly important role in the nation's energy portfolio. They can be used as base load power, peak load power, backup power, remote power, as well as cooling and heating needs. DER has the potential to mitigate congestion in transmission lines, reduce the impact of energy price fluctuations, enhance energy security, and improve power reliability and stability. DER increases the utilization and efficiency of existing infrastructure. DER also has significant impact on the environment and natural resources. The deployment of renewable energy technologies for DER applications depends on a series of things, including: local renewable resources availability, the cost of energy at the site, available financial incentives, and specific application factors. DER TECHNOLOGY Distributed Energy Resources DER is becoming increasingly important in power grids in recent years. This type of generation can help support local power grids in case of outages or blackouts, and ease the loads on long-distance transmission lines, but it can also destabilize the grid if not managed appropriately. Emergent technologies such as renewable energy resources, distributed generations, energy storages, EVs, could have great impacts on the operation of power transmission and distribution systems, by significantly changing the power flow patterns of the grid. Usually, utility control centers are unable to manage distributed generations directly, and this may be of interest as a valuable territory for R&D in the future. Renewable Energy Resources Renewable energy resources are naturally replenishing but flow-limited, which means that they have the intermittent nature and are not available 24/7 to generate electricity. Renewable energy resources include: biomass, hydro, geothermal, solar, wind, ocean thermal, wave and tidal action, which are widely distributed all over the world. Usually renewable power is generated locally where the renewable energy resources are and transmitted through connections of transmission/sub-transmission lines after voltage step-up. Because of its intermittent characteristic, sometimes it is unpredictable for the personnel to schedule and dispatch generation resources, and resulted in large variations of power flow situations. Energy Storage Energy storage is accomplished by physical media of certain devices that can store energy to perform useful operations at a later time. Grid energy storage (or large-scale energy storage) allows energy producers to send excessive electricity to temporary electricity storage sites that become energy producers when needed. Most renewable energy sources (i.e. solar and wind) produce intermittent power, which requires the energy storage option to be in place. Other options include recourse to peaking power plants, methane storage and smart demand side management, which involves making electrical equipment and appliances able to adjust to time-of-use rate. On a grid with a high penetration of renewables, low spot prices would correspond to times of high availability of wind and/or solar. Developing technology to store electrical energy so it can be available to meet demand whenever needed would represent a major breakthrough in the future. Helping to try and meet this goal, electricity storage devices can manage the amount of power required to supply customers at times when demand is greatest, which is during peak load. These devices can also help make renewable energy, whose power output cannot be controlled by grid operators, smooth and dispatchable. Thus, energy storage and power electronics hold substantial promise for transforming the electric power industry. EV Plug-in EVs (PEV) get their power from the electric grid. There are two kinds of PEVs: (1) Plug-in hybrid electric vehicles (PHEV) use both gasoline and electricity stored in large batteries; (2) Battery EVs use only electricity. EVs could behave as a source to the system in the discharging mode, or behave as a load in the charging mode. When supplying power to the power system, EVs can be considered as a kind of DERs and can be connected to the power system at random time. Therefore, the use of EVs dynamically changes the power distribution modeling and the power flow patterns. Additionally, it will also change the load shape and bring about uncertainties to service providers. DER Technology Many combinations of technologies and fuel options are possible to take advantage of the way individual technologies complement each other and to make them as robust and cost-effective as possible. Currently, notable DER technologies include: Diesel Engine is a proven, cost-effective, extremely reliable and widely used technology. They are manufactured in a wide range of sizes and can be cycled frequently to operate as peak-load power plants or as load-following plants; they can also run in base load mode in off-grid systems. Major drawbacks include very high levels of emissions and the loud engine noise. Dual-Fuel Engine consists of a diesel-cycle engine modified to use a mixture of natural gas and diesel fuel connected to an electric generator. The small amount of diesel fuel allows the use of compression ignition and the high percentage of natural gas in the mix results in much lower emissions than those of a diesel engine. Natural Gas Engine is made up of a reciprocating natural gas-fueled engine using a spark-ignition system coupled to an electric generator. In most other respects, natural gas engines perform similarly to diesels and dual-fuel engines, but have the potential for the lowest emissions of all types of reciprocating engines. Combustion Turbines burn gas or liquid fuel to produce electricity. While they may take a few more minutes to get up to speed compared with reciprocating engines, gas turbines are well suited for peaking and load-following applications and for base load operation in larger sizes. Installed costs are somewhat higher than those of reciprocating engines, and maintenance costs are slightly lower. Turbines are efficient and relatively clean. Microturbines are smaller, somewhat less efficient versions of combustion turbines. Microturbines targeted to the small industrial and commercial markets and are designed to be compact, affordable, reliable, modular and simple to install. Fuel Cells produce DC electricity by a thermo-chemical process, and the DC power is inverted to AC for grid operation. Byproducts are heat, water, and carbon dioxide, making fuel cells one of the cleanest sources of energy. Fuel cells are efficient, quiet, and modular. Photovoltaic Cells are thin layers of a semiconductor that convert sunlight directly to DC electricity; an inverter converts the DC to standard AC power for connection to utility systems. The panels are modular and can be configured into larger arrays to match almost any load requirement. Noise and emissions are negligible, and maintenance is minimal. Wind Turbines, another renewable energy technology, contain blades that turn the energy in the wind into rotational motion to drive a generator. Applications include remote power systems, small-scale or residential electricity production, and utility-scale power generation. Storage Devices take energy from the electric grid or another source such as renewable DER and store it, making it available at a later time when needed. Storage technologies currently available have a range of characteristics for various applications. Batteries are the most common type of electric energy storage. Superconducting magnetic energy storage (SMES) uses a magnetic coil cooled to very low temperatures to store electric energy with little loss; it uses an inverter to convert DC to AC that can be connected to the grid. Hybrid Systems are combinations of these technologies, designed for specific or unusual applications. Renewable energy technologies such as wind and solar systems, e.g., depend on energy sources that cannot be controlled. Therefore, it is necessary to combine them in a hybrid system, such as a PV system with battery backup, to collect energy for use when needed. Nonrenewable hybrid DER systems are also used; one example is a battery system packaged with a microturbine, to ride through short outages with the batteries and use backup power from the microturbine for sustained outages. DER DEPLOYMENT BENEFITS Distributed power generators are small compared with typical central-station power plants and provide unique benefits that are not available from centralized electricity generation. Many of these benefits come from the fact that the generating units are inherently modular, which makes distributed power highly flexible. It can provide power where it is needed, when it is needed. And because they typically rely on natural gas or renewable resources, the generators can be quieter and less polluting than large power plants, which make them suitable for on-site installation in some locations. The use of distributed energy technologies can lead to improved efficiency and lower energy costs, particularly in combined cooling, heating, and power (CHP) applications. CHP systems provide electricity along with hot water, heat for industrial processes, space heating and cooling, refrigeration, and humidity control to improve indoor air quality and comfort. Grid-connected distributed energy resources also support and strengthen the centralized model of electricity generation, transmission, and distribution. While the central generating plant continues to provide most of the power to the grid, DER can be used to meet the peak demands of local distribution feeders or major customers. Improved reliability and stability of power systems: one of the main benefits of DER is to improve the system reliability the system is experiencing disturbances and faults by providing supplement or backup power. Improved power quality: the implementation of DER will provide better power quality for the digital economy; reduce losses caused by power quality issues, and offer flexible levels of power quality based on different customer demands. Increased utilization and efficiency of existing infrastructure: the new system concepts will enable more efficient operation of transmission as well as distribution systems. Distributed energy technologies can relieve transmission bottlenecks by reducing the amount of electricity that must be sent long distances down high-voltage power lines. DER can also provide efficient, low-cost heat and power to a facility and provide energy to off-grid or remote facilities. Support all generation and storage options: DER offers potentials to accommodate various types of power generation, supports renewables and non-renewables, small-scale distributed generations, EVs and stimulates the development of energy storage systems. Increased customer service options and benefits: the deployment of DER will enable better and more customer choices to choose between traditional electricity generated by bulk power plant and more clean and sustainable electricity generated by renewable energy resources and better fulfill customer demands, enhance customer experience and satisfaction. Reduced environmental impact: DER will result in reduction of greenhouse gas emission by utilizing more efficient and clean generation options, facilitation of more effective land use, assurance of better natural environment and sustainable development. DER systems can also enhance energy security at a site by helping diversify the energy supply and by providing prime power to mission-critical loads. Provide standby power for critical loads. DER also provides peak power and low-cost energy where electricity rates are high. REFERENCES [1] M. Turner, Y. Du, et al, “KY Smart Grid Roadmap Initiative Work Plan”, 2011. Internal document retrievable online. [2] Y. Du, M. Turner, et al, “KSGRI-ADO-Overview”, 2012. Internal document retrievable online. [3] National Renewable Energy Laboratory (NREL), “Distributed Energy Basics”. [Online] Retrieved from http://www.nrel.gov/learning/eds_distributed_energy.html [4] Federal Energy Management Program, U.S. Dept. of Energy, “Distributed Energy Resource Basics”. [Online] Retrieved from http://www1.eere.energy.gov/femp/technologies/derchp_derbasics.html [5] Federal Energy Management Program, U.S. Dept. of Energy, “Using Distributed Energy Resources: A How-To Guide for Federal Facility Managers”. [Online] Available at http://www1.eere.energy.gov/femp/pdfs/31570.pdf [6] Office of Electricity Delivery & Energy Reliability, U.S. Dept. of Energy, “Energy Storage”, [Online] Retrieved from http://energy.gov/oe/technology-development/energy-storage Chapter 14: Overview of Distributed Energy Resources Deployed in the Commonwealth of Kentucky ABSTRACT The “Overview of Distributed Energy Resources Deployed in the Commonwealth of Kentucky” report presents a summary of the current state of distributed energy resource deployments within the electric utilities of Kentucky. It is a brief assessment, and provides details to support the documents “Overview of Smart Grid Deployments in the Commonwealth of Kentucky”, “Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky”, Overview of Advanced Distribution Operations in the Commonwealth of Kentucky, “Overview of Advanced Transmission Operations in the Commonwealth of Kentucky”, ”Overview of Advanced Asset Management in the Commonwealth of Kentucky”, and ”Overview of Consumer Education Programs in the Commonwealth of Kentucky”. The data presented in this report was gathered using the “DER Deployment Survey for Jurisdictional Utilities” (DER Survey). The DE Survey polled utilities on their deployment of fuel based distributed energy resources, renewable distributed energy resources, energy storage devices, electric vehicle integration strategies, and DER integration into the low voltage distribution system. # TABLE OF CONTENTS ABSTRACT .......................................................................................................................... 226 INTRODUCTION ............................................................................................................. 228 LIST OF PARTICIPATING UTILITIES ........................................................................... 229 SUMMARY OF THE DISTRIBUTED ENERGY RESOURCE SURVEY ............................ 230 INTRODUCTION ........................................................................................................... 230 FUEL SOURCED DISTRIBUTED ENERGY RESOURCES ........................................... 230 RENEWABLE DISTRIBUTED ENERGY RESOURCES .................................................. 231 ENERGY STORAGE DISTRIBUTED ENERGY RESOURCES ...................................... 232 ELECTRIC VEHICLE INTEGRATION STRATEGIES .................................................... 232 SYSTEMS INTEGRATION ............................................................................................. 232 FEEDBACK .................................................................................................................... 235 INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. More information regarding the work of the KSGRI is located in the documents The Kentucky Smart Grid Roadmap Initiative: Smart Grid Road Map Work Plan, The Kentucky Smart Grid Roadmap Initiative: Kentucky Smart Grid Assessment Model, The Kentucky Smart Grid Roadmap Initiative: Overview of Smart Grid Deployments in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Metering Infrastructure in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Distribution Operations in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Transmission Operations in the Commonwealth of Kentucky, The Kentucky Smart Grid Roadmap Initiative: Overview of Advanced Asset Management in the Commonwealth of Kentucky, and The Kentucky Smart Grid Roadmap Initiative: Overview of Consumer Education Programs in the Commonwealth of Kentucky. The purpose of this document is to summarize the results of the DER Deployment Survey for Jurisdictional Utilities, in fulfillment of Work Plan Goals 4 of Smart Grid Road Map Work Plan. The DER Survey was distributed to 23 jurisdictional electric utilities to develop an understanding of the “As-is” state of the electric power grid in Kentucky, focusing on the status of distributed energy resources (DERs). Data collected from jurisdictional utilities was via self-reporting by a Smart Grid Contact person from each utility. LIST OF PARTICIPATING UTILITIES Big Rivers Electric Cooperative Kenergy Corp. Meade County RECC East Kentucky Power Cooperative Inc. Big Sandy RECC Bluegrass Energy Cooperative Farmers RECC Jackson Energy Cooperative Nolin RECC Owen Electric Cooperative Corporation Salt River Electric Cooperative Corporation South Kentucky RECC Kentucky Power Company Louisville Gas & Electric and Kentucky Utilities INTRODUCTION The DER Survey for Jurisdictional Utilities (DE Survey) was completed by fifteen jurisdictional utilities. The DE Survey polled utilities on their deployment of fuel based distributed energy resources, renewable distributed energy resources, energy storage devices, electric vehicle integration strategies, and DER integration into the low voltage distribution system. FUEL SOURCED DISTRIBUTED ENERGY RESOURCES The following table summarizes the collected utility responses regarding the total nameplate capacity and the total number of end devices installed for fuel sourced DER technologies, and those planned for installation within the next year. \| DER TYPE \| INSTALLED kW \| # INSTALLED END DEVICES \| PLANNED kW INSTALLATIONS \| # PLANNED INSTALLATIONS \| \|---------------------------\|--------------\|-------------------------\|--------------------------\|-------------------------\| \| Fuel Cell \| 0 \| 0 \| 0 \| 0 \| \| Diesel Engine \| 4377 \| 3 \| 1000 \| Unknown \| \| Natural Gas Engine \| 14400 \| 6 \| 0 \| 0 \| \| Dual-Fuel Engine \| 0 \| 0 \| 0 \| 0 \| \| Natural Gas Microturbine \| 0 \| 0 \| 0 \| 0 \| RENEWABLE DISTRIBUTED ENERGY RESOURCES The following table summarizes the collected utility responses regarding the total nameplate capacity and the total number of end devices installed for renewable energy DER technologies, and those planned for installation within the next year. \| DER TYPE \| INSTALLED kW \| # INSTALLED END DEVICES \| PLANNED kW INSTALLATIONS \| # PLANNED INSTALLATIONS \| \|-------------------\|--------------\|-------------------------\|--------------------------\|-------------------------\| \| Microturbine Hydro\| 0 \| 0 \| 0 \| 0 \| \| Solar PV \| 20 \| 2 \| 0 \| 0 \| \| Wind Turbine \| 0 \| 0 \| 0 \| 0 \| ENERGY STORAGE DISTRIBUTED ENERGY RESOURCES The following table summarizes the collected utility responses regarding the total nameplate capacity and the total number of end devices installed for energy storage DER technologies, and those planned for installation within the next year. \| DER TYPE \| INSTALLED kW \| # INSTALLED END DEVICES \| PLANNED kW INSTALLATIONS \| # PLANNED INSTALLATIONS \| \|-------------------\|--------------\|-------------------------\|--------------------------\|-------------------------\| \| Thermal Storage \| 0 \| 0 \| 0 \| 0 \| \| Battery \| 0 \| 0 \| 0 \| 0 \| \| Pumped Hydro \| 0 \| 0 \| 0 \| 0 \| \| Compressed Air \| 0 \| 0 \| 0 \| 0 \| \| Flywheel \| 0 \| 0 \| 0 \| 0 \| \| Storage Capacitor \| 0 \| 0 \| 0 \| 0 \| ELECTRIC VEHICLE INTEGRATION STRATEGIES One utility, Louisville Gas & Electric and Kentucky Utilities, described a strategy for the integration of electric vehicles into the low voltage distribution system: “LG&E and KU’s position on EVs is to support individual customer decisions with no bias to a particular vehicle make, model, manufacturer or fuel source. LG&E and KU offer a Low Emission Vehicle rate which is limited to 200 customers (100 LG&E, 100 KU) as per a tariff which is a time-of-use rate that applies to the customer’s whole house. Additionally, as EV owners are identified, a review of the customer’s intention to add EV charging load on the distribution infrastructure (e.g., transformer, service conductor, etc.) is performed to assure ongoing reliability of service.” SYSTEMS INTEGRATION The following categories relate to the integration of DER devices into the low voltage distribution system. Protection Device Operational Issues Utilities were asked to indicate their level of concern for five operational issues related to the impacts of DER devices on protection devices in the low voltage system. The possible responses were: A-Not very concerned, B-Somewhat Unconcerned, C-Neither Concerned nor Unconcerned, D- Somewhat Concerned, E-Very Concerned. Not all utilities responded to all operation issues. \| OPERATIONAL ISSUE \| # OF RESPONSES \| \|--------------------------------------------------------\|----------------\| \| \| A \| B \| C \| D \| E \| \| Nuisance Fuse Blowing \| 1 \| 0 \| 1 \| 7 \| 2 \| \| Unwanted Operations (Reclosers, Sectionalizers, and Fuses) \| 1 \| 0 \| 1 \| 7 \| 2 \| \| Failure of Sectionalizers to Operate When They Should \| 1 \| 0 \| 2 \| 3 \| 5 \| \| Desensitization of Breakers and Reclosers \| 1 \| 0 \| 2 \| 6 \| 2 \| \| Increased Fault Current Levels \| 0 \| 0 \| 1 \| 7 \| 3 \| Communications and Standards When asked “What type of communication technologies are used to communicate to the DERs in your system” utilities responded with the following (# of responses in parenthesis): Telephone (1), Fiber (3), RF Radio (2), PLC (1). When asked “What type of communication technologies are you considering installing in order to communicate with the DERs in your system?”, utilities responded with the following (# of responses in parenthesis): RF Mesh (2), Cellular (2), 2-GHz Spread Spectrum (1), Fiber (2), microwave (1). When asked “What information standards do you utilize to communicate amongst the DERs?” utilities responded with the following (# of responses in parenthesis): DNP3 (2), proprietary (3), PLC (1). When asked “What information standards are you considering?” utilities responded with the following (# of responses in parenthesis): DNP3 (3), TCP/IP (1), proprietary (1), none (1). When asked “What is your impression of the relative maturity of the DER that are currently deployed at your organization?” utilities responded with the following (# of responses in parenthesis): “Technologies are very mature and widely implemented” (2), “Technologies are moderately mature” (2), “Technologies are fairly new” (1), and “Technologies are leading edge or experimental, with unproven interfaces” (1). When asked “Describe the level of effort that is anticipated to integrate DER into your system.” utilities responded with the following (# of responses in parenthesis): “Extensive changes will be needed” (3), “Moderate changes will be needed” (4), “Few changes will be needed” (2), and “No changes will be needed” (0). When asked “Describe the decision making process regarding utilization of your current DER architecture.” utilities responded with the following (# of responses in parenthesis): “Dispatched / Centrally managed” (3), “Autonomous / Self managed” (2), and “Mix of centralize and autonomous” (2). When asked “Describe the decision making process regarding utilization of your planned DER architecture.” utilities responded with the following (# of responses in parenthesis): “Dispatched / Centrally managed” (2), “Autonomous / Self managed” (2), and “Mix of centralize and autonomous” (1). The following table summarized utilities reported concerns/issues for DER deployment and configurations. \| General Concerns of DER Deployments \| \|-------------------------------------\| \| EACH CASE WOULD BE SPECIFIC AND MOST LIKELY ADDED TO DISTRIBUTION RATHER THAN TRANSMISSION \| \| FOR ALL ROTATING EQUIPMENT DER DEPLOYMENTS, EKPC MANDATES THAT THE DER \| \| ONE OF THE MAJOR CONCERNS IS ECONOMICS. THE ECONOMICS OF ANY DER PROJECT MUST BENEFIT THE CONSUMERS OF JACKSON ENERGY COOPERATIVE. \| \| NEED FOR INTERNAL TECHNICAL EXPERTISE IS THE PRIMARY CONCERN. SHOULD NUMBER AND SIZE OF DER’S INTERCONNECTED AT THE DISTRIBUTION LEVEL INCREASE, CONCERNS WOULD BE ON SYSTEM LOADING, POTENTIAL FOR UNINTENDED ISLANDING, SYSTEM RELIABILITY/STABILITY AND SAFETY OF UTILITY WORKERS. \| \| EACH TYPE DER DEPLOYMENT HAS THEIR OWN SET OF BENEFITS AND ISSUES AND WILL HAVE TO BE CONSIDERED ON CASE BY CASE BASES UNTIL THE TECHNOLOGY MATURES. \| \| CURRENTLY, WE HAVE NOT HAD ENOUGH EXPOSURE TO LARGE DER PROJECTS TO COMMENT. \| FEEDBACK EAST KENTUCKY POWER COOPERATIVE “The EKPC Landfill Gas Power Plants are connected either to an existing distribution power line owned and operated by an EKPC Member Systems or directly to a distribution substation. All other DER interconnections at the distribution level will be EKPC Member System specific. EKPC currently has 6 Landfill Gas Power Plants.” KENERGY CORP. “Kenergy has no plans for DER deployment at this time.” LG&E and KU “LG&E/KU continues to monitor and research emerging Smart Grid technologies such that investments occur at the speed of value. Smart Grid technologies are analyzed utilizing historical investment methods to determine when value will be achieved and thus directing the future state of Smart Grid.” MEADE COUNTY RECC “MCRECC does not have any DER other than a few small consumer solar” OWEN ELECTRIC “Owen has two landfill gas generating facilities located within their territory. Both are owned and operated by East Kentucky Power (EKPC). One has its own distribution line owned by EKPC and the other ties to one of Owen’s distribution lines. Each have four 800 kW generators. Even though Owen is a distribution cooperative only, we continually look for opportunities of DER. The issue we face is that none of the technologies have shown to be economically viable yet. We have applied for a solar grant but did not succeed and have another one pending at this time. Once a DER technology becomes viable at Owen Electric it will be developed” Chapter 15: Proceedings of the Kentucky Smart Grid Workshop Series ABSTRACT The “Proceedings of the Kentucky Smart Grid Workshop Series” report presents a summary of the three part “Kentucky Smart Grid Workshop Series”, held between April 9 and June 21, 2012. The workshops served as a platform to bring together representatives from universities, government, industry, and other interest groups to develop a common vision for the future KY electric power system, concentrating on modernization of generation, transmission, distribution, storage, end use, and regulatory framework. The workshops included technical presentations, facilitated discussions, and breakout groups to address the following three topics: 1. Technology, market, and policy factors that will have the greatest impact on the development and modernization of the Kentucky electric power system. 2. The current state, the optimal future state, and the gap between for Kentucky’s electric infrastructure in the areas of technology, applications and solutions, and research and development. 3. Business models and regulatory approaches available to electric utilities and government regulators to encourage grid modernization that ensure equitable and efficient regulatory and investment processes. # TABLE OF CONTENTS ABSTRACT .......................................................................................................................... 237 TABLE OF CONTENTS ........................................................................................................... 238 INTRODUCTION .................................................................................................................... 239 ABOUT THIS DOCUMENT ..................................................................................................... 239 WORKSHOP 1: “SMART GRID FACTORS” ........................................................................ 240 INTRODUCTION ..................................................................................................................... 240 DATE AND LOCATION .......................................................................................................... 240 OPENING SESSION ................................................................................................................ 240 PRESENTATIONS ..................................................................................................................... 241 BREAKOUT SESSIONS ............................................................................................................ 242 FEEDBACK ............................................................................................................................... 243 LIST OF ATTENDEES ............................................................................................................. 246 Workshop 2: “KY Grid 2040” .............................................................................................. 247 INTRODUCTION ..................................................................................................................... 247 DATE AND LOCATION .......................................................................................................... 247 OPENING SESSION ................................................................................................................ 247 PRESENTATIONS ..................................................................................................................... 247 BREAKOUT SESSIONS ............................................................................................................ 251 TEAM BRIEFING AND RESULTS ......................................................................................... 252 LIST OF ATTENDEES ............................................................................................................. 258 Workshop 3: “Smart Grid Markets and Policy” ................................................................. 260 INTRODUCTION ..................................................................................................................... 260 DATE AND LOCATION .......................................................................................................... 260 OPENING SESSION ................................................................................................................ 260 PRESENTATIONS ..................................................................................................................... 260 BREAKOUT SESSIONS ............................................................................................................ 262 LIST OF ATTENDEES ............................................................................................................. 263 INTRODUCTION ABOUT THIS DOCUMENT The Kentucky Public Service Commission, the University of Louisville, and the University of Kentucky have partnered under the “Kentucky Smart Grid Roadmap Initiative” (KSGRI) to develop a technical roadmap for the development and deployment of smart grid technologies throughout the Commonwealth. This “Kentucky Smart Grid Roadmap” will provide recommendations and best practices to utilities and utility stakeholders to guide individual smart grid deployment approaches. The purpose of this document is to summarize the results of the three part “Kentucky Smart Grid Workshop Series”, held between April 9 and June 21, 2012. The workshops served as a platform to bring together representatives from universities, government, industry, and other interest groups to develop a common vision for the future KY electric power system concentrating on modernization of generation, transmission, distribution, storage, end use, and regulatory framework. WORKSHOP 1: “SMART GRID FACTORS” INTRODUCTION The purpose of the workshop was to identify the elements that will have the greatest impact on the KY electric power system over the next 25 years. Presentations and facilitated discussions addressed technologies, market factors, and policy issues that either enable or inhibit modernization. DATE AND LOCATION Monday, April 9, 2012 Conn Center for Renewable Energy Research, University of Louisville, Louisville KY OPENING SESSION Welcome and Introduction Dr. Mickey Wilhelm, Dean Emeritus, Speed School of Engineering - The Conn Center for Renewable Energy Research can serve as a research leader and facilitator of partnership building between universities, the private sector, and the government. - Speed School of Engineering will train the engineers necessary to enable the Smart Grid transformation. Education of the future workforce will be a critical component of the grid modernization effort. - Research and scholarship performed at the Speed School of Engineering will continue to advance the knowledge of Smart Grid systems, and will foster economic development of the regional, state, and national economies through technology transfer. Opening Remarks Dr. Len Peters, Cabinet Secretary, Kentucky Energy and Environment Cabinet - Governor Steve Beshear has established an ambitious 18% cut in energy usage by 2020 which can be achieved through 1-2% improvements per year. Even if this is an unrealistic target, it is one worth trying to achieve. - Smart Grid can be seen as an enabling technology that can help the state meet these ambitious targets. Additionally, Smart Grid can help to increase Kentucky’s Use of Renewable Energy. - Coal will continue to provide significant energy to Kentuckians for the foreseeable future, including coal-to-liquids and coal-to-gas. It is important to balance support for environmental regulations with support for legitimate business activities that contribute to the economic health of Kentucky. - Kentucky can learn from national Smart Grid demonstration projects, like those performed as part of the Pacific Northwest Smart Grid Demonstration Project. CONSIDERATION OF SMART GRID TECHNOLOGY APRIL 9, 2012 Aaron D. Greenwell Deputy Executive Director Kentucky Public Service Commission A National Perspective on Smart Grid Programs Dr. Matthew Turner, Post-Doctoral Scholar, Conn Center for Renewable Energy Research National Smart Grid Programs Matthew Turner, Ph.D. email@example.com 502-593-4530 BREAKOUT SESSIONS Grid Modernization Technology Drivers Moderated by Adel Elmaghraby, Chair, Computer Engineering, University of Louisville Focus Question: Considering the many factors that will influence electric grid modernization in Kentucky, what technology factors will most support electric grid modernization over the next 30 years? \| Enabling Technology Factors \| \|-----------------------------------------------------------------\| \| Low cost energy storage \| \| Pervasive high speed communications \| \| Standardization \| \| Growth in distribution generation \| \| Growth in renewable generation \| \| Smart appliances \| \| Home energy management systems \| \| Distributed system detection tools \| \| Use of more advanced materials \| \| Miniaturization of technologies \| \| Focus on reliability as related to renewable/alternative energy sources \| \| Ubiquitous communication between customer and utility \| \| Smart meter deployments \| \| Smart phone apps \| \| Outage detection \| \| Availability of enriched energy consumption information \| Focus Question: Considering the many factors that will influence electric grid modernization in Kentucky, what technology factors will most inhibit electric grid modernization over the next 30 years? \| Inhibiting Technology Factors \| \|------------------------------\| \| High costs of technology \| Increased rate technological obsolescence \| \| Costs of smart appliances \| Low cost Centralized generation \| \| Lack of R&D \| Need for backup of distributed generation \| \| Replacing perfectly good hardware \| Aging workforce \| \| Unsophisticated adoption strategies \| Maintenance \| \| Lack of interoperability standards \| \| Grid Modernization Public Policy Drivers Moderated by Bob Amato, Director, Energy Generation, Transmission and Distribution, KY EEC Grid Modernization Market Drivers Moderated by David Huff, Director, Energy Efficiency and Smart Grid Strategy, LG&E/KU FEEDBACK Attendees were presented with feedback forms to comment upon their experiences during the Kentucky Smart Grid Workshop Series. Form Question: Please us this form to suggest topics for future workshops. \| Feedback Results \| \|------------------\| \| More details on pilots \| \| Overview of the grid & generation system in KY -> Supply Chain \| \| Presentation from utilities on what they are doing. \| \| Discussion of legislation and regulatory changes that enable smart grid, possible financial mechanisms, relationship of state scene to regional entities such as MISO, FERC, and federal legislation. \| \| Communications to devise and end user. Value to end user and utility. \| Voltage reduction conservation, communication standards. TVA and/or municipal utilities and smart grid issues. Consumer aspects of smart grid, “behind the meter”, products and services, market inputs, etc. Economic development generates from roadmap initiatives. Research and development opportunities. What can “you/we” do? <- utility, stakeholders, regulator, private sector. What are the smart grid components that have been implemented in other states that could provide quick success in Kentucky. Presentations from vendor’s suppliers of smart grid components with the inclusion of costs. Mechanics of incorporating large RE into grid Invite researchers to talk in general about their research. Invite stakeholders to talk about what universities can do to help them. Form Question: We would love to hear your comments about today’s workshop. Please use this form to provide us with your thoughts. \| Feedback Results \| \|------------------\| \| Good interaction, but can do with a larger room \| \| Very good group – experienced participants \| \| A good gathering of people with varied knowledge and backgrounds. Useful information was exchanged. \| \| Very helpful to hear the vision from Len Peters and the regulatory framework from Aaron Greenwell. Breakout groups were a bit disorganize, especially instructions for ranking options. \| \| The meeting was insightful given the various stakeholders with differing views. \| \| The ranking exercise was not well designed. \| \| Excellent format, but need a break before lunch. \| \| This session was very beneficial for an overview and brainstorming of smart grid issues. It may be an improvement to separate topics by functions (i.e. advanced metering, distribution \| automation, renewable/distributed energy integration ...) You probably should have held these sessions a couple of months ago. Informative workshop. As a solar installer, I would like to see more on how renewables tie in to the smart grid. Specifically, how energy storage and renewable play a role in a large scale. If we ramp up renewables at what point do we need energy storage? 20% renewable production? 30% etc.? I think the group discussions were very informative and provided a great forum to share viewpoints in a structured format. I would encourage this activity for future workshops. Very well put together and a great opportunity to provide input to a delicate topic. Effective, proactive learning and discussion. Good breakout sessions to drive discussion, but now sure how this helps define the smart grid. Good focus on the vision of the Commonwealth of Kentucky. The facilitated discussion sessions were somewhat awkward. Somewhat dominated by advocates for or against. Need to define some boundaries for such discussion Would like copy of presentations, some of the data would be helpful. The workshop is very nicely organize and is fruitful to me. The afternoon breakout sessions are good. Form Question: Please suggest future participants in the KSGRI Smart Grid Workshop Series \| Feedback Results \| \|-------------------------------------------------------\| \| Kentucky Association of Electric Cooperatives \| \| OEM Providers \| \| Meter Manufacturers \| \| Community Action Council \| \| FCC \| \| Big Industrial Manufacturers \| \| Commercial/Industrial Customers \| \| Name \| Affiliation \| \|---------------\|--------------------------------------------------\| \| Avery Adams \| Duke Energy \| \| Bob Amato \| Kentucky Energy and Environment Cabinet \| \| Venkat Atkrisnan \| GE Consumer & Industrial \| \| Jeff Auxier \| Kentucky Solar Energy Society \| \| Lihui Bai \| University of Kentucky \| \| Tendai Charasike \| Greater Louisville Inc. \| \| Rick Clewett \| Sierra Club \| \| Kimra Cole \| Kentucky Public Service Commission \| \| Ken Cooper \| Bluegrass Energy \| \| Bill Dawson \| Greater Louisville Inc. \| \| Yan Du \| University of Kentucky \| \| Adel Elmaghraby \| University of Louisville \| \| James Graham \| University of Louisville \| \| Aaron Greenwell \| Kentucky Public Service Commission \| \| Dan Hoffman \| RegenEn Solar \| \| Dennis Howard \| Kentucky Agriculture Cabinet \| \| David Huff \| Louisville Gas And Electric and Kentucky Utilities \| \| Yuan Liao \| University of Kentucky \| \| Rick Lovekamp \| Louisville Gas And Electric and Kentucky Utilities \| \| Wallace McMullen \| Sierra Club, Cumberland Chapter \| \| Jeff Myers \| Louisville Gas And Electric and Kentucky Utilities \| \| Len Peters \| Kentucky Energy and Environment Cabinet \| \| Isaac Scott \| Eastern Kentucky Power Cooperative \| \| Mahendra Sunkara \| University of Louisville \| \| Matt Turner \| University of Louisville \| \| Mickey Wilhelm \| University of Louisville \| \| Ron White \| Kentucky School Board Association \| WORKSHOP 2: “KY GRID 2040” INTRODUCTION The purpose of the workshop was to serve as a platform for participants to identify the current state, the desired future state, and the gap in between for KY’s electric infrastructure over the next 25 years, focusing specifically on Smart Grid deployments and technologies, applications and solutions, research and development, and other issues that enable the modernization of KY power grid. DATE AND LOCATION Friday, May 18, 2012 Room 206, UK Student Center 404 South Limestone St, University of Kentucky, Lexington, KY OPENING SESSION Welcome and Introduction Dr. Larry Holloway, Chair of Electrical and Computer Eng. and Director of PEIK PRESENTATIONS DEDI Smart Grid Grants Mr. Bob Amato, Director, Energy Generation, Transmission, and Distribution, KY Department for Energy Development and Independence (DEDI) Consideration of Smart Grid Technology Mr. Aaron Greenwell, Deputy Executive Director, KY Public Service Commission CONSIDERATION OF SMART GRID TECHNOLOGY May 18, 2012 Aaron D. Greenwell Deputy Executive Director Kentucky Public Service Commission Smart Grid Strategy Mr. David Huff, Director, Customer Energy Efficiency & Smart Grid Strategy, LG&E-KU Smart Grid Factors Ranking Exercises Dr. Matt Turner, Conn Renewable Center, University of Louisville, KSGRI Team Using Smart Circuits to Enhance Efficiency & Reliability of Distribution Circuit system Planning Mr. Tom Weaver, Manager, Distribution System Planning, AEP Kentucky Power Using Smart Circuits to Enhance Efficiency & Reliability of Distribution Circuits Kentucky Smart Grid Workshop May 18, 2012 Tom Weaver, PE BREAKOUT SESSIONS BREAKOUT SESSION #1 KY GRID 2040/Current state of electric infrastructure in KY Current state, existing technologies, pilot deployments, ongoing R&D (Based on your team’s knowledge and the supplementary sheet of Smart Grid key technology) - What technologies are there currently in the KY’s power grid? - What technologies are under development? - How well are they developed and how do they perform? - ... BREAKOUT SESSION #1 KY GRID 2040/Current state of electric infrastructure in KY Current state, existing technologies, pilot deployments, ongoing R&D \| Infrastructure \| Current State \| \|----------------\|---------------\| \| Generation \| - Highly rely on coal generation \| \| - -- \| \| Transmission \| - Transmission utilization is low \| \| - -- \| \| Distribution \| - Reliability is below US average (SAIFI:1.4 (KY), 1.1 (US); SAIDI:137 (KY), 90 (US)) \| \| - -- \| \| Consumption \| - Lack of incentives for demand response programs (9% customers in direct load control program) \| \| - -- \| BREAKOUT SESSION #2 KY GRID 2040/Desired future state of electric infrastructure in KY Future state, future enabling technologies, R&D directions (Based on your team’s knowledge, the supplementary sheet of Smart Grid key technology, and the previous discussion on current state of KY grid) - What advanced technologies you believe should be deployed in KY’s grid? - What are other technologies or functionalities that you could envision? - What technological milestones should be accomplished by 2020, 2030, 2040? - What are likely to happen to the grid? - ... BREAKOUT SESSION #2 KY GRID 2040/Desired future state of electric infrastructure in KY Future state, future enabling technologies, R&D directions \| Infrastructure \| Desired Future State \| \|----------------\|----------------------\| \| Generation \| - More balanced coal generation and renewable energy resources (RPS) \| \| - -- \| \| Transmission \| - All Transmission lines are operated under dynamic thermal rating \| \| - Flexible AC Transmission, High Voltage DC Transmission \| \| - -- \| \| Distribution \| - High power reliability and quality (FUR, IVC) \| \| - Real-time power flow information, distribution SCADA \| \| - -- \| \| Consumption \| - High percentage of AMI with Smart Meters \| \| - Billing based on dynamic pricing: real-time pricing, peak/off-peak pricing \| \| - Home area network, smart appliance \| \| - -- \| BREAKOUT SESSION #3 KY GRID 2040/Gap between the current state and desired future state of electric infrastructure in KY The gap in between, potential applications and solutions (Based on your team’s knowledge and previous discussion on current & future state of KY power grid) - What are the gaps? - What are the possible solutions? - What are the challenges? - ... BREAKOUT SESSION #3 KY GRID 2040/Gap between the current state and desired future state of electric infrastructure in KY \| Infrastructure \| Gap between Current State and Future State \| \|----------------\|------------------------------------------\| \| Generation \| Need more renewable energy resources, Distributed energy resources \| \| Transmission \| Install Phasor Measurement Units \| \| \| Wide area monitoring system, Dynamic thermal rating \| \| Distribution \| Improve power reliability and quality (FLIR, IVC) \| \| \| Improve distribution automation \| \| Consumption \| High percentage of AMI with Smart Meters \| \| \| Offer peak/off-peak pricing, then real-time pricing \| \| \| Offer more market products, smart appliance \| TEAM BRIEFING AND RESULTS Attendees were divided into three teams and presented with results summary sheets to comment upon their experiences during the Kentucky Smart Grid Workshop Series. All results from three breakout sessions are attached below. BREAKOUT SESSION #1 Team Blue KY GRID 2040/Current state of electric infrastructure in KY Current state, existing technologies, pilot deployments, ongoing R&D, etc. - Generation Baseload Coal – scrubbed, old Peaking Gas Limited renewable-hydro Other renewable, landfill gas solar - Transmission Large amount and reliance on 69kv transmission SCADA deployment high Reliability and capacity is monitored studied by reliability coordinators, improvements made as necessary Low penetrator of synchrophasor Aging infrastructure - Distribution Aging infrastructure SCADA is to distribution substations but not beyond Limited 2-way communication - Consumption Above average No real-time tariff BREAKOUT SESSION #1 Team Green KY GRID 2040/Current state of electric infrastructure in KY Current state, existing technologies, pilot deployments, ongoing R&D, etc. • Generation Low penetration of renewables No legislation to encourage renewables High reliant on coal Aging facilities Low cost generation • Transmission Better networking/control Robust (good capacity) Geographically close to other regional grids, but not necessarily well connected • Distribution Aging infrastructure Low-tech infrastructure Rural-vulnerable to weather Rural-> distance challenge, scarcity of population, rugged terrain, reliability issue/costly • Consumption High energy intensity users-industry expecting low cost Little incentive for efficiency due to low cost, high consumption per person Electric resistance heat Poor insulation Poor customer awareness and interest of usage/efficiency Difficulty finding energy efficiency information BREAKOUT SESSION #1 Team Red KY GRID 2040/Current state of electric infrastructure in KY Current state, existing technologies, pilot deployments, ongoing R&D, etc. • Generation Highly reliance coal, sensitivity of fuel diversity 2% renewable 17 mw landfill gas, 120-140 mw potential 50 mw biomass cited Access to fuels limits > political issues, infrastructure Hyped net zero Aging resources • Transmission SCADA deployed Ability to purchase power may be limited Current approach synchrophasors aging • Distribution SCADA not universally deployed Voltage regulator/capacitors AMR/AMI not widely deployed • Consumption Quantification of reduction Customer perceptions, disjointed DR participation is low BREAKOUT SESSION#2 Team Blue KY GRID 2040/Desired future state of electric infrastructure in KY Future state, future enabling technologies, R&D directions, etc. • Generation More diversified generation portfolio Reduced emissions More distributed generation High density/low cost energy storage • Transmission Dynamic thermal rating Advanced materials/conductors High penetration of synchrophasors Increased looping of circuits • Distribution Increased looping of circuits, automated switching Increased volt/VAR control Increased SCADA visibility Fault location Fault anticipation • Consumption Greater and easier ability to control energy use Remote control of home use Smart appliances Demand response increase Consumer education improvement BREAKOUT SESSION#2 Team Green KY GRID 2040/Desired future state of electric infrastructure in KY Future state, future enabling technologies, R&D directions, etc. • Generation Remain nationally competitive on cost Have a more balanced/diversified portfolio Reliable generation Low-greenhouse gases Distributed generation • Transmission Energy storage Better transmission interconnects (meet winter/summer peakers) Reliability • Distribution Energy storage Distributed generation into the grid Improved communication Better industry standardization of technology Reliability • Consumption Higher penetration of EV Automated appliances Incentives for efficiency Keep our jobs (keep industry) Increased energy efficiency (industry/consumers) Rate structure that have good behaviors Better consumer awareness/knowledge BREAKOUT SESSION#2 Team Red KY GRID 2040/Desired future state of electric infrastructure in KY Future state, future enabling technologies, R&D directions, etc. • Generation Exploration of increase in utilization of hydroelectric Highly accurate forecasting of weather for utilization of solar/wind balance Generation agnostic deployed as-is; cost effective to economic health/reliability/environmental Appropriate mixture of distributed/centralized Generation through energy efficiency • Transmission Increased infrastructure utilization to open markets • Distribution Addition of new tech to support DER/Grid storage full-scale SCADA DC distribution bus • Consumption Regional pricing signal End users active in electricity markets “road-sigh” for consumers Greatly expanded communications/improved interaction by consumers Consumers access to open markets Larger diversity of energy plans More control/elimination of phantom loads BREAKOUT SESSION #3 Team Blue KY GRID 2040/Gap in between The gap between the current state and desired future state, potential applications and solutions, etc. • Generation Resolve policy issues Technology advancement in energy storage Reduced cost in renewable, distributed energy • Transmission 2-way power flow, accommodation Interoperability/open standards/common information model Data analysis 2-way communication bandwidth Cyber security Solidification of standards • Distribution Data analysis 2-way power flow accommodation Interoperability/open standards/common information model Cyber security • Consumption Education Price point for participation 3rd party products for energy management Data privacy/data sharing BREAKOUT SESSION #3 Team Green KY GRID 2040/Gap in between The gap between the current state and desired future state, potential applications and solutions, etc. • Generation Unknown current/future regulation Policy changes and new technologies to make renewables attractive Unknown future costs of energy sources Do we really know our solar wind resource potential? need for new technologies • Transmission How to encourage and pay for improved interconnects Adequate market? Take advantage of geographic connections—N/S/E/W How to develop energy storage? Capital cost Cyber security • Distribution What is the cost of high reliability? What is consumers’ expectation? How to handle/integrate distributed generation? How to develop energy storage? How to handle microgrids/islanding/distributed generation? Capital cost Cyber security • Consumption Better educated/informed consumer More sustained efforts on efficiency Infrastructure for EV Programs to improve efficiency (industry, consumer) Changing net-metering limits BREAKOUT SESSION #3 Team Red KY GRID 2040/Gap in between The gap between the current state and desired future state, potential applications and solutions, etc. - Generation Provider of last resort/reliability < open question Uncertainty in supply (natural gas, solar resource/ wind resource) Gap - Transmission Infrastructure/capacity upgrades needed - Distribution Gap in intelligence > SCADA and AMI Reliability increases One way power flow Control of DERs How is it paid for? - Consumption End user education technologies Appropriate product/service design & pricing In-ability to interact with market; tech market opportunities Low participation in DR programs Determination of practical limits Appropriate determination of cost recovery/ROI LIST OF ATTENDEES \| Affiliation \| Name (First Last) \| Team \| \|------------------------------\|-------------------\|------\| \| University of Kentucky \| Yan Du \| BLUE \| \| University of Kentucky \| Yuan Liao \| RED \| \| University of Kentucky \| Larry Holloway \| GREEN\| \| University of Kentucky \| Aaron Cramer \| RED \| \| University of Louisville \| Matt Turner \| RED \| \| University of Louisville \| Mike McIntyre \| GREEN\| \| LGE-KU \| David Huff \| BLUE \| \| LGE-KU \| Rick Lovekamp \| GREEN\| \| LGE-KU \| Jeff Myers \| RED \| \| Owen Electric Cooperative \| Mark Stallons \| BLUE \| \| Owen Electric Cooperative \| James Bridges \| RED \| \| AEP-Kentucky Power \| E. J. Clayton \| GREEN\| \| AEP-Kentucky Power \| Tom Weaver \| BLUE \| \| Organization/Individual \| Name(s) \| Color \| \|-------------------------\|---------\|-------\| \| National Energy Education Development \| Karen Reagor \| GREEN \| \| Sierra Club, EarthWorks, and KY Sustainable Energy Alliance \| Susan Carson Lambert \| GREEN \| \| Sierra Club \| John Robbins \| RED \| \| Lexington-Fayette Urban County Government (LFUCG) \| James Bush \| BLUE \| \| KY Dept. for Energy Development and Independence (DEDI) \| Bob Amato \| BLUE \| \| KY Dept. for Energy Development and Independence (DEDI) \| Steve Dale \| GREEN \| \| KY Dept. for Energy Development and Independence (DEDI) \| Robert Duff \| RED \| \| Kentucky Public Service Commission (KPSC) \| Kimra Cole \| GREEN \| \| Kentucky Public Service Commission (KPSC) \| John Rogness \| RED \| \| Kentucky Public Service Commission (KPSC) \| Aaron Greenwell \| BLUE \| \| Schneider Electric \| Alan Manche \| BLUE \| WORKSHOP 3: “SMART GRID MARKETS AND POLICY” INTRODUCTION The purpose of the workshop was to serve as a platform for participants to discuss the different approaches available to electric utilities and public utility commissions to encourage grid modernization, and how efficient and equitable regulatory and investment processes can best be ensured for the KY electric power system over the next 25 years. Presentations and facilitated discussions addressed emergent business models, the Kentucky regulatory process, and the value equation for utilities and regulators. DATE AND LOCATION Thursday, June 21, 2012 Conn Center for Renewable Energy Research, University of Louisville, Louisville KY OPENING SESSION Welcome and Introduction Dr. Mahendra Sunkara, Acting Director, Conn Center for Renewable Energy Research - Conn Center leads Kentucky’s efforts in renewable energy and sustainability research, advances the goal of renewable energy, and promotes technologies that increase energy efficiency utilization. - By developing the manufacturing of renewables and energy efficient technologies, the Conn Center is helping to define the future of Kentucky’s economy. - This transition must occur in concert with policy development that supports renewable energy technology research and the training of technologists. The Conn Center is uniquely positioned to provide guidance in this area, and seeks to continue to develop programs in energy engineering and public policy. PRESENTATIONS Regulatory Policies Mr. Paul Centolella, Commissioner Emeritus, Public Utilities Commission of Ohio EFFICIENT & RESILIENT POWER: CHANGING APPROACHES TO REGULATION & ELECTRIC UTILITY BUSINESS MODELS Paul A. Centolella Energy Law & Economics firstname.lastname@example.org The KSGRI Kentucky Smart Grid Workshop Series “Smart Grid Policy” workshop: Identifying the business models and regulatory approaches to encourage grid modernization JUNE 21, 2012 Three Smart Grid Regulator Issues Mr. Roger Levy, Manager, Lawrence Berkley National Lab Smart Grid Technical Assistance Effort BREAKOUT SESSIONS Identifying the Smart Grid Value Equation for Both Utilities and Regulators Moderated by Matthew Turner, Coordinator, Kentucky Smart Grid Workshop Series Focus Question: The following question was posed to the attendees by the session moderator. “How can regulators and utility executives work together towards the changes that will enable an efficient and equitable regulatory and investment process to encourage grid modernization? How does this approach differ from business as usual (e.g. protection of consumer interest vs. acceptance of increased investment risk)? What are the consequences, if any, of not adopting this approach in KY?” The attendees then participated in small group discussions. The following bullets document the major points addressed during these discussions. - Utilities have limited capital resources, and many investment opportunities will compete for the same capital. This can be intra-state, such as deciding to invest in distribution maintenance over a smart grid pilot, or inter-state, such as deciding to invest capital in a more regulatory certain market. - The low electric rates in Kentucky require the creation of a different value equation than many of the “smart grid success” states. Therefore, the utilities of Kentucky need to be provided an opportunity to try new strategies, with the possibility of failure. There are questions to be resolved regarding who should bear the investment risks in these experiments, either electric consumers or the utilities themselves. In either case, there should be increased utility involvement in researching and recommending regulatory improvements and in developing sound business cases and improved feedback from the public service commission regarding strategy and implementation. - The laws in Kentucky should be evaluated for their ability to allow utilities to do more than “sell electrons”. Examples include the utility as an energy service provider, the ability to increase the variability amongst rate design, and unbundling of generation, transmission and distribution services. - The development of clear state policy framework appropriate for the modern grid is necessary. This should begin with the clarification of state goals regarding interactions between the following: carbon reduction, asset utilization renewable portfolio standards, reliability, affordability and safety. However, changes in legislation can greatly complicate the business case and all decisions must be made considering the system holistically. - The current regulatory model utilized in Kentucky is sufficient to support grid modernization. However, there is a need for improvement in the continuity between PSC commissioners, particularly in regards to transitional periods. Additionally, the Public Service Commission of Kentucky should be provided with additional resources to facilitate Smart Grid competency within the commission. - Grid modernization needs to be approached holistically and involve utility operators, state government and regulators, stakeholders, and customers. This would be best achieved by continuing to promote informal interactions between these groups at events such as the Kentucky Smart Grid Workshop Series. Additionally, the state should create a Kentucky Task Force on Smart Grid that will form recommendations regarding transition planning within the state and ensuring continuity in regulation and legislation. These meetings can also serve educational purposes, to encourage the sharing of information and procedures amongst those interested. LIST OF ATTENDEES \| Name \| Affiliation \| \|---------------\|--------------------------------------------------\| \| Avery Adams \| Duke Energy \| \| Bill Burke \| General Electric \| \| Paul Centolella \| Commissioner Emeritus, PUC Ohio \| \| Steve Dale \| Kentucky Energy and Environment Cabinet \| \| Tom Dorman \| Office of Rep. Adkins \| \| Yan Du \| University of Kentucky \| \| Robert Duff \| Kentucky Energy and Environment Cabinet \| \| Adel Elmaghraby \| University of Louisville \| \| David Huff \| Louisville Gas & Electric and Kentucky Utilities\| \| Rick Lovekamp \| Louisville Gas & Electric and Kentucky Utilities\| \| Name \| Position \| \|------------\|-----------------------------------------------\| \| Jeff Myers \| Louisville Gas & Electric and Kentucky Utilities \| \| John Naber \| University of Louisville \| \| John Rogness \| Kentucky Public Service Commission \| \| Isaac Scott \| East Kentucky Power Cooperative \| \| Jim See \| Owen Electric Cooperative \| \| Mahendra Sunkara \| Conn Center for Renewable Energy Research \| \| Matthew Turner \| Conn Center for Renewable Energy Research \| \| Tom Weaver \| Kentucky Power \| \| Ron Willhite \| Kentucky School Board Association \| APPENDIX A: EU-KSGAM ASSESSMENT SURVEY EU-KSGAM ASSESSMENT SURVEY INTRODUCTION The “Electric Utility Kentucky Smart Grid Assessment Survey” (assessment survey) is a survey based assessment of smart grid maturity intended for completion by the electric utilities of Kentucky. The questions within the assessment survey collect demographic data, performance data, and characterize the maturity level of responding utilities smart grid implementation in the context of the KSGAM Definition. The assessment survey consists of two sections. Section one is the “Utility Profile”; it collects company information, identifies an EU-KSGAM contact at the responding utility, and collects demographic and performance data on the utility under assessment. Section two is the “Smart Grid Class Assessment”, which utilizes questions based on the EU-KSGAM to perform an “As-Is” assessment of the grid and to identify the utility’s “Desired Future State” of the grid. Doe Demographic Information 1. Provide the number of employees in KY (including temporary, part-time, and full-time). 2. Provide the total customer count in KY. Divide the totals among the following customer categories: a. Residential b. Commercial and Industrial c. Other (Specify) 3. Provide the size of KY service territory in mi$^2$ 4. Provide the average number of customers per line mile of distribution. 5. Indicate in which markets the organization operates. Circle Y/N for each of the following: d. Generation Y/N e. Transmission Y/N f. Distribution Y/N g. Other (Specify) Y/N Equipment Information 1. Provide the utilities meter count. Divide the totals among the following meter categories: a. Electromechanical b. AMR Enabled c. AMI Enabled 2. Provide information regarding delivered power: a. Megawatt hours of generation served. b. Peak demand (15 minute averaged MW for the year). c. Level of distributed generation (MW-hrs). d. Level of renewable generation (kW-hrs) e. Level of net metered generation (kW-hrs) 3. Provide the number of line miles of transmission, if applicable. 4. Provide the number of line miles of distribution, if applicable. 5. Provide the number of substations in KY by voltage class. a. < 13kV b. 13kV – 35kV c. 35kV-69kV d. 69kV-115kV e. 115kV-230kV f. 230kV-345kV g. 345kV-765kV h. 765kV-1100kV i. > 1100 kV Performance Information Please provide the following performance data for the prior year: 1. Provide the following data for the prior year: a. Predicted SAIFI b. Actual SAIFI calculated according to IEEE Std. 1366-2003 c. Predicted SAIDI d. Actual SAIDI calculated according to IEEE Std. 1366-2003 2. Provide the following data regarding planned outages: a. Average duration of planned outages in minutes (min). b. Average percentage of customers impacted by typical planned outage. c. Total number of planned outages. d. Cumulative duration of planned outages in minutes (min). 3. Provide the following data regarding unplanned outages: a. Average duration of unplanned outage in minutes (min). b. Average percentage of customers impacted by typical unplanned outage. c. Total number of unplanned outages. d. Cumulative duration of unplanned outages in minutes (min). 4. Provide the total line loss % across the grid based on source energy. a. For the transmission system alone: b. For the distribution system alone: 5. Provide the estimated utilization data for transmission line capacity. 6. Provide the measurement of power quality level of your system. 7. Provide the following regarding operating costs: a. Total operating costs related to transmission (personnel, systems, overhead, outsourcing, other) b. Total operating costs related to distribution (personnel, systems, overhead, outsourcing, other) 8. Provide the total number of work orders initiated for field visit operations (truck rolls). 9. Provide the utilities estimate restoration time (ERT). Deployment Impact and Experiences 1. Regarding Demand Response (DR) programs: a. Does your utility offer DR programs? b. How many customers are invited and how many customers participated in the program? c. How is pricing information communicated to customers? d. Are other incentives provided to customers? e. How much peak load reduction is achieved? f. Is the total energy consumption reduced? g. What benefits have been yielded by this program to the utility? To the customers? h. If you plan on implementing Dynamic Pricing in the future, do you consider your company is ready based on the current infrastructure and resource you have? 2. Regarding the DR programs above, comment on your experiences regarding customer acceptance, participation and education 3. Has your organization implemented other grid modernization practices such as Conservation Voltage Reduction (CVR), grid scale energy storage, advanced asset management, or others? a. Describe interoperability issues you have encountered regarding system integration. b. Describe the use of open architectures in such systems. 4. Does your organization have a multi-year Smart Grid plan? What time period does this cover (i.e. no plan, <3 yr., 3-7 yr., >7yr.)? 5. Describe your opinion on the weakness of the overall power system in Kentucky. 6. Describe your major concerns on the Smart Grid deployment in Kentucky including your top priorities for areas of action. Additional Information The following is a list of smart grid functionalities. Some technologies that realize the corresponding functionality are listed. Indicate which technologies are deployed in your system. If certain technology is not deployed yet, please indicate future deployment plans. 1. Increased power efficiency – Reduce transmission and distribution loss, reduce customer load loss, and increase efficiency on electrical generation. Enabling technologies: a. Transmission SCADA/EMS b. Distribution SCADA/DMS c. Optimized voltage and reactive power control d. Smarting metering e. Solid-state transformer f. Superconducting transmission g. High voltage DC transmission h. Any technology that increases generation thermal efficiency i. Any additional technology you may have deployed 2. Increased power transfer capability – Increase the power transfer capability of transmission systems in Kentucky. Facilitate regional system interconnection. This is important if Kentucky is going to purchase large amount of renewable energy from other states. a. Phasor measurement unit technology b. Dynamic thermal rating of transmission line c. Transmission SCADA/EMS d. High voltage DC transmission e. Any additional technology you may have deployed 3. Increased system reliability – Anticipate and respond to system disturbances, operate resiliently against attack and natural disaster, curtail the duration of power outage, isolate power outage area to only fault vicinity by automated system reconfiguration. Enabling technologies: a. Fault detection and location system b. Automated system reconfiguration and restoration c. Outage management system d. Transmission SCADA/EMS e. Distribution SCADA/DMS f. Phasor measurement unit technology g. Superconducting magnetic energy storage system h. Short-circuit current limiting i. Any additional technology you may have deployed 4. Improved power quality – Provide power quality for the digital economy, reduce economic loss caused by power quality issues, offer flexible level of power quality based on customer demand. Enabling technologies: a. Power quality monitoring system b. Energy storage technology c. Capacitive compensation d. Any additional technology you may have deployed 5. Optimized asset utilization and efficient operation – Optimally manage generation plant, substation and power line, increase the utilization of line capacity by adjusting thermal ratings in real-time. Enabling technologies: a. Dynamic thermal rating of transformer and transmission line b. Condition based operation & maintenance c. Any additional technology you may have deployed 6. Facilitates integration of distributed generations including renewable energy – Offer the possibility to accommodate various types of power generation, i.e. coal, hydro, wind, solar, biomass, etc.; offer the opportunity for net-metering, stimulate the development of energy storage system, reduce reliance on imported fuel. Enabling technologies: a. Net-metering b. Energy storage system, large capacity battery c. Microgrid d. Integration with electric vehicles (PEV) e. Any additional technology you may have deployed 7. More effective consumer load control – Implement effective demand side management, offer the opportunity of incentive pricing strategy, e.g. real-time pricing, peak/off-peak pricing, enable active participation by consumers, offer the opportunity for customers to control their energy consumption, increase customer choice on selection of generation as power supply. Enabling technologies: a. Demand side management b. Smart metering c. Home energy management system, e.g. In-home display, web portal d. Any pricing strategy, e.g. real-time pricing, dynamic pricing, critical pricing e. Consumer load control technology such as programmable thermostat f. Any additional technology you may have deployed 8. Enhanced grid awareness – Enable more effective grid monitoring and acquire better knowledge of grid conditions by utilizing advanced sensing and measurement technology. Enabling technologies: a. SCADA b. Breaker monitoring system c. Wide-area monitoring system d. Phasor measurement unit e. Geographic information system f. Digital event recording device g. Transmission line sag monitoring h. Any additional technology you may have deployed 9. Increased national and information security – Through deterrence of organized attacks on the grid, protect data and information privacy, and enhance cyber security. Enabling technologies: a. Techniques related to cyber security b. Techniques related to data privacy c. Any additional technology you may have deployed 10. What other smart grid technologies have been deployed by the utility? 11. Describe your cyber security concerns. 12. Does your grid have power flow congestion issues? 13. Describe the preparedness for terrorist attacks and natural disasters. 14. Describe capability of accommodating any type of energy generation/storage. SMART GRID CLASS ASSESSMENT The following pages contain one assessment form for each of the Smart Grid Classes (10 forms in total). For each of the 10 SGCs, place a mark in the “As-is” column next to the one Development Level that best represents the current state of the utility. Also place a mark in the “Future” column next to the one DL that best represents the desired future state of the utility. Use the remaining white space to provide any comments. For the Government and Regulation (GR) SGC evaluations are to be made regarding the KY regulatory environment (KY PSC, governments, etc.) \| As-is \| Future \| \|-------\|--------\| \| € \| € \| \| SM DL0 \| Default / No characteristics have been implemented. \| \| € \| € \| \| SM DL1 \| The utility develops and begins to implement a SG vision. Discussions with regulators and other stakeholders about the vision and its implementation take place. - SG vision that addresses operational improvement. - Support for pilots of SG concepts. - Discussions with regulators about the SG vision. \| \| € \| € \| \| SM DL2 \| The utility moves to implement a SG vision with a distinct budget. Decisions increasingly implement this vision. Relationships with stakeholders are established to implement the SG vision. - Internal strategy plan approved by management and accepted across most lines of business. - Budgets for proof-of-concept projects and operational investments \| \| € \| € \| \| SM DL3 \| SG strategy is integrated into the overall vision and management processes across LOBs. There is organization-wide commitment to and increased cooperation with stakeholders on an integrated SG strategy and plan. - SG governance model established. SG leaders and tools ensure implementation. - Authorizations for SG investments secured. \| \| € \| € \| \| SM DL4 \| SG modernization drives business strategy and provides opportunities for enhanced business models and synergistic external relationships. There is increase information sharing and collaboration within the organization and with external stakeholders. - SG is a core competency across all functions of the utility. - SG strategy is shared and revised collaboratively with external stakeholders. \| \| € \| € \| \| SM DL5 \| All stakeholders, internal and external, are involved in all relevant aspects of the business and have a goal of innovation/. - Utilization of SG as a foundation to introduce new services and products. - Financially self-sustaining SG business activities, to the point of expansion. - SG capabilities result in new business models. \| ## Organization and Structure (OS) Structure, Training, Communications, Knowledge Management \| As-is \| Future \| \|-------\|--------\| \| € \| € \| \| OS \| DL0 \| \| \| Default / No characteristics have been implemented. \| \| € \| € \| \| OS \| DL1 \| \| \| The utility recognizes the need to achieve a SG transformation and takes initial steps to begin building the necessary competencies. \| \| \| - Articulation of need to build Smart grid competencies into workforce. \| \| \| - Allocation of resources/budget to SG education and hiring by leadership \| \| \| - Company-wide SG awareness efforts. \| \| € \| € \| \| OS \| DL2 \| \| \| The utility works across functional units to enable the realization of its SG vision. The utility is overcoming barriers related to the workforce through active engagement. Long-term organizational impacts with respect to SG are recognized and proactively addressed. \| \| \| - Formation of SG implementation/deployment teams \| \| \| - SG education/training methods identified and made available. \| \| \| - Performance reviews include the completion of Smart grid milestones. \| \| € \| € \| \| OS \| DL3 \| \| \| The SG vision is being integration into the organizational structure. The SG vision affects strategic priorities and fundamental aspects such as culture, role definition, performance evaluation, and compensation. \| \| \| - Leadership provides a consistent Smart grid vision and strategy. \| \| \| - Compensation linked to Smart grid performance/milestones. \| \| \| - Education and training aligned to exploit SG capabilities. \| \| € \| € \| \| OS \| DL4 \| \| \| The utility is structured to achieve its SG vision. Operation visibility extends across the organization, enabling the desired cultural and organizational transformation. \| \| \| - Decentralized real time decision making and real time corrections capabilities provided through SG. \| \| \| - End-to-end grid observability leveraged by internal and external stakeholders. \| \| \| - Organizational structures and the increased availability of information \| \| € \| € \| \| OS \| DL5 \| \| \| Stakeholders are involved in most aspects of the business, and the organization is concentration on innovation. \| \| \| - Collaboration with external stakeholders to optimize overall grid operations and health. \| \| \| - Support of new ventures, products, and services as they emerge as a result of SG. \| \| \| - IP harvested and developed. Rewards to those that advance processes, workforce competencies, and technology. \| \| € \| € \| TECH DL0 \| Default / No characteristics have been implemented. \| \|-----\|-----\|----------\|---------------------------------------------------\| \| € \| € \| TECH DL1 \| The utility explores standardized but flexible IT systems that can be used as a solid technical foundation on which to build a robust SG information infrastructure. - Development of IT architecture to support SG applications. - Processes in place to evaluate and select technologies in alignment with SG vision. - Opportunities to improve performance (e.g. cost reduction, workflow improvement) via technology are identified. \| \| € \| € \| TECH DL2 \| A tech strategy is defined that recognizes LOB interdependence for achieving SG goals. Early SG deployments of tech are underway. - IT investments aligned with strategic directions needed to implement SG benefits. - IT architecture standards support the SG strategy and a common technology evaluation process is applied to all SG activities. - A grid data communication strategy exists. - Distributed IED pilots (e.g. PQ monitoring and control for automation) \| \| € \| € \| TECH DL3 \| The utility implements its technology strategy for SG and integrates organizational systems - Systems adhere to an enterprise IT framework for SG (e.g. IEC 61850). - SG specific tech is implemented to improve cross-LOB performance (e.g. peak demand management, fault detection, VVO). - Advanced distribution intelligence and analytical capabilities. - An advance sensor plan exists. - Detailed data communication strategy/tactics in place, crossing LOBs. \| \| € \| € \| TECH DL4 \| Systems are interconnected through an enterprise-wide IT architecture that has been optimized to support SG services, with visibility across LOBs. Security, privacy, and performance issues have been addressed. - Data flows end-to-end, from customer to generation. - Real-time monitoring and control via wide area situational awareness. - Predictive modeling and near real-time simulation optimize support processes. \| \| € \| € \| TECH DL5 \| Systems have the ability to adapt to internal and external influences to (1) continue to meet SG goals despite a rapid onset of adverse circumstances, (2) take advantage of new opportunities that arise due to SG capabilities. - Autonomic computing using machine learning. - Leading-edge grid stability systems deployed. - Automatic optimization of business processes in response to conditions via advanced tech. - Partnerships to develop innovative solutions to meet future SG needs. \| \| As-is \| Future \| SAO DL0 \| Default / No characteristics have been implemented. \| \|-------\|--------\|---------\|---------------------------------------------------\| \| € \| € \| SAO DL1 \| The utility evaluates potential opportunities for automation in grid operations and explores process optimization capabilities that a SG will enable. - Evaluation of sensors, switches, and communications technologies for monitoring and control. - Grid monitoring/control proof-of-concept and component testing. - Evaluation of outage and distribution management system linked to substation automation beyond SCADA. \| \| € \| € \| SAO DL2 \| The utility starts to deploy initial grid monitoring and control tied to the SG vision with an emphasis on communications to support automation. - Initial distribution to substation automation. - Advanced outage restoration schemes implemented. - Remote asset monitoring of key grid assets supports manual decision making. - Expansion of data communications networks in support of grid operations. \| \| € \| € \| SAO DL3 \| Analytics, automation, and control operate across multiple systems and organizational functions. - Information to support analysis and decision making for grid operations available across multiple systems. - Implementation of control analytics to improve cross LOB decisions. - Fact-based grid operation planning using SG grid data. - Smart meters as grid management sensors - Automated decision making within protection schemes. \| \| € \| € \| SAO DL4 \| Grid operations are integrated into and drive enterprise processes, enabling a transition towards automated decision making. - Operational data from SG deployments used to optimize processes. - Dynamic grid management based on near real-time. - Operational forecasting based on SG gathered data. - End-to-end observability. - Automated decision making within protection schemes base on wide-area-monitoring. \| \| € \| € \| SAO DL5 \| Increased observability and control drives innovation with the utility. Ubiquitous system-wide dynamic control becomes the goal, and results in new opportunities as a result of the integrated view of customers, assets, and operations. Reliability is increased for the utility, and at the regional and national levels. - Self-healing capabilities present. - System-wide analytics-based and automated grid decision making. \| ## Demand and Supply Management (DSM) ### Energy Assets, Customer Control \| As-is \| Future \| \|-------\|--------\| \| € \| € \| \| Default / No characteristics have been implemented. \| \|-----------------------------------------------------\| \| € \| € \| \|-------\|--------\| \| DSM DL0 \| DEFAULT \| \| The utility is creating a strategic plan to address dynamic supply and demand management. \| \| - Identification of assets/programs to facilitate load management. \| \| - Identification of DG resources and energy storage options and support capabilities for both. \| \| - Initial strategy for developing, enabling, and managing a diverse resource portfolio. \| \| € \| € \| \|-------\|--------\| \| DSM DL1 \| INITIATING \| \| Implementation of systems for a network of alternate generation sources managed for downstream load management. \| \| - Support for energy management systems for residential customers. \| \| - Pilots on DG, DSM, DR, and/or energy storage. \| \| - Analysis of DG, micro-generation, energy storage to redefine value-chain. \| \| € \| € \| \|-------\|--------\| \| DSM DL2 \| ENABLING \| \| Systems are interconnected to promote dynamic management through network interaction with the value chain. \| \| - An integrated resource plan targets new resources and technologies, to establish a balance between types of generation and a balance of supply and demand. \| \| - Customer energy premise energy management systems with market and usage information. \| \| € \| € \| \|-------\|--------\| \| DSM DL3 \| INTEGRATING \| \| Business processes support the dynamic capture and utilization of information relevant to distributed generation and load management. \| \| - Energy resources such as Volt/VAR, DG, and DR, are dispatchable and tradable. \| \| - Implementation of portfolio optimization models that encompass available resources and real-time markets. \| \| - Secure two-way comm. With Home Area Networks. \| \| - Integrated visibility and control of large-demand residential appliances. \| \| € \| € \| \|-------\|--------\| \| DSM DL4 \| OPTIMIZING \| \| Dynamic management and automation of assets realizes greater value and benefits, providing leadership in regional and national grid management capabilities. \| \| - The optimization of energy assets is automated across the value-chain. \| \| - Resources are adequately dispatchable and controllable so that the utility can take advantage of granular market options. \| \| - Automated control and resource optimization schemes consider and support regional/national grid optimization. \| \| As-is \| Future \| WAM DL0 \| Default / No characteristics have been implemented. \| \|-------\|--------\|---------\|--------------------------------------------------\| \| \| \| WAM DL1 \| The utility is exploring the use of SG to enhance asset at workforce management. - Potential uses of remote asset monitoring are being evaluated. - Asset and workforce management equipment and systems are evaluated. \| \| \| \| WAM DL2 \| The utility is making investments into technologies that support asset monitoring and has started pilot activities. - Development of an approach for using SG capabilities to create inventories, maintain event histories, and track assets. - Pilot integration of GIS and asset monitoring to achieve increased operational visibility based on location, status, and interconnectivity. \| \| \| \| WAM DL3 \| The utility connects SG technologies and asset management systems to support and optimize asset maintenance and workforce deployment. - Performance, trend analysis, and event data available. - Condition-based maintenance programs. - Integration of remote asset monitoring and asset management. - Integration of GIS and asset monitoring for one asset class. - Asset inventory track using automation from sourcing to utilization. - Modeling of asset investments for key components. \| \| \| \| WAM DL4 \| Utility fully leverages connection between SG deployment and asset management. - Complete view of asset classes (status, connectivity, and proximity). - Asset models based on real performance and monitoring data. - Performance and usage of assets optimized in consideration of entire asset fleet and across classes. - Service life of key grid components managed through condition-based and predictive maintenance, using real data... \| \| \| \| WAM DL5 \| The utility tunes the use of assets across the entire supply chain. Strategic investment decisions are based on the best asset ownership and utilization model. - Optimization of asset utilization between and across supply chain participants. - Assets leveraged to maximize utilization, including just-in-time retirement based on SG data. \| \| As-is \| Future \| \|-------\|--------\| \| € \| € \| \| SEC DL0 \| Default / No characteristics have been implemented. \| \| € \| € \| \| SEC DL1 \| The utility is applying enterprise IT infrastructure to SG and has begun to build a SG security framework. - Safety/security requirements considered in all grid operations initiatives. - Awareness of NIST and IEC SG interoperability and cyber security requirements, specifically IEC 62351. - Traditional enterprise IT controls are in place. \| \| € \| € \| \| SEC DL2 \| The utility develops and applies physical and security principles to their industrial control systems. - Safety and security considerations built into all smart grid initiatives from the outset, based on IEC 6235. - The utility works to develop internal metrics for the assessment of security investments. - Application of risk management activities to identify critical sites and systems that are protected by surveillance and physical barriers. \| \| € \| € \| \| SEC DL3 \| Grid data is used to support situational awareness and diagnostic activities (e.g. smart meters that auto notify if tampered with). - Correlation of anomalous grid activities with anomalous network and device activities. Islanding of vulnerable areas. - The utility participates in Smart Grid Cyber Security Working Groups to refine IEC and FERC Smart Grid standards. \| \| € \| € \| \| SEC DL4 \| Grid data is used to implement protections schemes and the utility participates in cyber-risk assessment audits. - Some automated decision making within protections schemes based on WAMS exists. - Security strategy and tactics continually evolve based on changes in the operational environment and lessons learned. - Security management and monitoring processes are deployed to protect the interactions with an expanded portfolio of value chain partners. \| \| € \| € \| \| SEC DL5 \| System wide analytic based automated grid decision making is in place. - Enterprise IT architecture automatically identifies, mitigates, and recovers from cyber incidents. - The organization is monitoring and actively engaged in community efforts to develop and refine standards. \| ## Government and Regulation (GR) Investments, Demonstration Projects, Regulatory Strategies, Intra-utility Optimization \| As-is \| Future \| \|-------\|--------\| \| € \| € \| ### GR DL0 DEFAULT Default / No characteristics have been implemented. ### GR DL1 INITIATING The regulatory body and government have begun initial investigations into the regional implications of smart grid deployments with a focus on first costs and rate designs. - Demonstration projects and pilot programs are allowed, but not through rate case funding. ### GR DL2 ENABLING The regulatory body and government have implemented policies enabling utilities to pursue smart grid projects with a focus on system lifetime costs. - Cost recovery rate cases consider total lifetime cost savings. - Pilot programs funded through rate cases. ### GR DL3 INTEGRATING Regulatory and governmental policies encourage smart grid deployments within utilities with policies that are in favor of smart grid. - Cost recovery rate cases consider total lifetime cost savings. - Rate cases are structured such that financial risks are shared appropriately between utilities and consumers. - Commission analyzes projects with an understanding that operational costs savings will lag deployments. ### GR DL4 OPTIMIZING Regulatory and governmental policies encourage smart grid deployments between utilities and enable innovative business models to fund such projects. - All barriers to efficiency investments have been removed. - Decoupling to break link between kWh sales and profits. - Cost recovery for early asset retirement due to SG deployments. - A state-wide policy exists addressing the needs of all stakeholders. ### GR DL5 PIONEERING The regulatory body and government drive smart grid deployments through innovative policies and funding methods. - State Commission mandate included environmental goals. - State commission partners with utilities to pursue federal funding for SG deployments. - SG deployment is driven by innovative policies that serve as a national model. \| € \| € \| CUST DL0 \| Default / No characteristics have been implemented. \| \|-----\|-----\|----------\|---------------------------------------------------\| \| € \| € \| CUST DL1 \| Utility explores new ways to enable customer participation toward achieving SG goals and enhancing customer experience. - Research into the use of SG technology to enhance customer experience, benefits, and participation - Communication to customers of SG vision. - Consultation with PSC concerning SG strategy impact on customer. \| \| € \| € \| CUST DL2 \| Utility undertakes piloting and investment in SG technology to enable customer participation, improve the customer experience, and enhance business efficiency. - Pilot of AMI - Frequent (> monthly) knowledge or residential customer usage. - Modeling the reliability of grid equipment. - Remote connect/disconnect pilots. - Assessment of impacts of new services on the customer. \| \| € \| € \| CUST DL3 \| New systems and processes increase efficiency and interaction to improve customer satisfaction and to provide new services. - Tailoring of programs to specific customer segments. - Two-way meter comm. For most customers w/ daily usage data. - Remote connect/disconnect for most customers. - Demand response / load control available to most customers. - Automatic outage detection @ substation level. - Customer education program for peak curtailment. \| \| € \| € \| CUST DL4 \| Increased observability and control enable some tailoring of services for individual customers based on usage histories, profiles, and preferences. - Support to customers for analysis of usage against available pricing programs. - Automatic outage detection @ circuit level. - Customer access to near-real time usage data. - Automatic response to pricing signals for major appliances. - In-home net billing. \| \| € \| € \| CUST DL5 \| Products and services can be specifically and extensively tailored at a fine grained level to individual customer profiles and desires. - Customer management of end-to-end supply and usage levels. - Automatic outage detection at the premise level. - Plug-and-play consumer based generation. - Leadership role in industry-wide information sharing and standards development. \| \| Default / No characteristics have been implemented. \| ENV DL0 \| \|--------------------------------------------------\|---------\| \| Societal and environmental issues are addressed as an integral part of strategic planning for the smart grid. - SG strategy addresses role in societal and environmental issues. - Environmental benefits of the smart grid vision are publicly promoted. - Environmental compliance performance records available for public inspection. - SG vision specifies the organization’s role in protecting the nation’s critical infrastructure. \| ENV DL1 \| \| Decisions, investments, and networks are managed in a way that facilitates sustainable, efficient energy utilization. - SG work plan address societal and environmental issues. - Energy efficiency programs for customers established. - “Triple bottom line” view when making decisions. - Environmental pilot projects underway to demonstrate SG benefits. - Increasingly granular/frequent consumption information available to customers. \| ENV DL2 \| \| Organizational units share a common focus on societal and environmental issues. - Performance of societal/environmental programs quantified. - Info on environmental/societal benefits/costs available to customers. - Programs to encourage off-peak usage by customers are in place. - Regular reports on the sustainability and the societal and environmental impacts of SG programs and technologies. \| ENV DL3 \| \| Business processes deliver an environmentally friendly energy network while minimizing costs and sustaining profitability. - Cooperation w/ stakeholders to address environmental/societal issues. - A public environmental and societal scorecard is maintained. - Programs are in place to shave peak demand. - End-user energy usage actively managed through the utility’s network. - Fulfillment of critical infrastructure assurance goals for resiliency, and contributed to those of the region and nation. \| ENV DL4 \| \| Integration of technology, business processes, and assets to the regional and national grids to maximize societal value and environmental benefits. - Triple bottom line goals align national objectives. - Customers control energy-based environmental footprints via auto-optimization of their end-to-end energy supply and usage levels. - Utility is a leader in developing/promoting industry-wide resilience best practices and technologies for protection of the national critical infrastructure. \| ENV DL5 \| APPENDIX B: EU-KSGAM ASSESSMENT SURVEY INTRODUCTION The “Stakeholder Kentucky Smart Grid Assessment Survey” (assessment survey) is a survey based assessment of smart grid characteristics and benefits for completion by electric power stakeholders. The questions within the assessment survey collect demographic data and characterize the “understanding” of smart grid implementation in the context of the KSGAM Definition. The assessment survey consists of three sections. Section one is the “Stakeholder Profile Survey”; and collects respondent demographic information. Section two is the “Characteristics of Smart Grid Survey”, which is used to assess stakeholder understanding of smart grid deployments. Section three is the “Benefits of Smart Grid Survey”, an assessment of the perceived importance of the benefits that smart grid could provide. STAKEHOLDER PROFILE SURVEY Stakeholder Information 1. Please provide the following: Your name (optional): Name of your home electric power utility: Contact information (optional): Demographic Information 1. Please circle the statement(s) that best describes your relationship to the electric utility industry: a. Residential customer b. Industrial customer c. Commercial customer d. Utility industry employee e. Utility industry stakeholder, other (please identify): f. Stakeholder group representative/member (please identify): g. Member of KY PSC h. Member of KY Energy and Environment Cabinet i. Member of KY government, other (please identify): j. Other (please identify): 2. Please circle the statement that best describes your knowledge of the electric utility industry: a. I do not understand the operation of the electric power system, aside from paying my electric bill. b. I understand how electricity is generated, transmitted, and used on a basic level. c. I understand most of the electric power system. I understand concepts relating grid operations and components such as substation, transformers, and frequency. d. I have a thorough understanding of the electric power system. I understand concepts such as SCADA, demand response, distributed energy resources, AMR, and energy markets. e. I have an advanced understanding of the electric power system that includes AMI, substation energy storage, automated VAR correction, and dynamic pricing. f. I am on the cutting edge of electric power research and understand systems such as microgridding, solid state transformers, CVR, and real time pricing. g. Other (please explain): Characteristics of Smart Grid Survey The following pages contain an assessment for smart grid deployments in Kentucky. In this assessment, you will read a description of seven characteristics of the smart grid. After each description there is a form to evaluate the state of that characteristic as it applies to Kentucky’s electric power system. For each characteristic, you will be asked to rate the “As-is” state of the electric power grid on a scale from 1 to 5, according to the descriptions provided on each form. This rating describes your assessment of the current state of the electric grid. Place a mark in the one column that best describes your assessment. Also, for each characteristic, you will be asked to rate the “Future” state of the electric power grid on a scale from 1 to 5, according to the descriptions provided on each form. This rating describes your opinion on what is important to a future electric power system. Place a mark in the one column that best describes your assessment. 1. Active Participation by Consumers Active Participation by Consumers is the characteristic that describes the increased interaction of consumers with the grid. Such interaction is characterized by the use of price based signals and demand response programs to give customers choice regarding if and when to purchase power, the decisions on the source of purchased power, the use of distributed energy resources, and the use of home automation networks and intelligent load end-use devices such as smart appliances. As-Is (Mark One) € 1 The current electric power system does not implement any aspects of this characteristic. € 2 The current electric power system implements some aspects of this characteristic. € 3 The current electric power system implements many aspects of this characteristic. € 4 The current electric power system implements most aspects of this characteristic. € 5 The current electric power system implements all aspects of this characteristic. Future (Mark One) € 1 The future electric power system should not implement any aspects of this characteristic. € 2 The future electric power system should implement some aspects of this characteristic. € 3 The future electric power system should implement many aspects of this characteristic. € 4 The future electric power system should implement most aspects of this characteristic. € 5 The future electric power system should implement all aspects of this characteristic. 2. Accepts All Power Generation and Storage Accepts All Power Generation and Storage is the characteristic that describes the integration of diverse resources with “plug-and-play” connections to multiply the options for electrical generation and storage. This includes the accommodation of large centralized power plants, and distributed energy resources such as renewables, distributed generation, and energy storage devices. This characteristic represents the transition to a more decentralized supply model. As-Is (Mark One) € 1 The current electric power system does not implement any aspects of this characteristic. € 2 The current electric power system implements some aspects of this characteristic. € 3 The current electric power system implements many aspects of this characteristic. € 4 The current electric power system implements most aspects of this characteristic. € 5 The current electric power system implements all aspects of this characteristic. Future (Mark One) € 1 The future electric power system should not implement any aspects of this characteristic. € 2 The future electric power system should implement some aspects of this characteristic. € 3 The future electric power system should implement many aspects of this characteristic. € 4 The future electric power system should implement most aspects of this characteristic. € 5 The future electric power system should implement all aspects of this characteristic. 3. Enables New Products and Services Enables New Products and Services is the characteristic that describes three changes in the electricity market. First is the direct linking of the buyers and sellers of electricity (e.g., RTO to consumer), allowing real-time interaction with the market. Second, the advent of new commercial goods and services will result in the creation of new electricity markets and choice such as green power products and electric vehicles. Third, a restructuring of markets will achieve consistency of operation across the U.S. As-Is (Mark One) € 1 The current electric power system does not implement any aspects of this characteristic. € 2 The current electric power system implements some aspects of this characteristic. € 3 The current electric power system implements many aspects of this characteristic. € 4 The current electric power system implements most aspects of this characteristic. € 5 The current electric power system implements all aspects of this characteristic. Future (Mark One) € 1 The future electric power system should not implement any aspects of this characteristic. € 2 The future electric power system should implement some aspects of this characteristic. € 3 The future electric power system should implement many aspects of this characteristic. € 4 The future electric power system should implement most aspects of this characteristic. € 5 The future electric power system should implement all aspects of this characteristic. 4. Improved Power Quality Improved Power Quality is the characteristic that describes the delivery of “clean” power. Such digital-grade power is characterized by a reduction in system interruptions due to under voltage sags, voltage spikes, frequency harmonics, and phase imbalances. The delivered power may be available in “grades”, varying from stand to premium, and will depend on customer requirements. As-Is (Mark One) € 1 The current electric power system does not implement any aspects of this characteristic. € 2 The current electric power system implements some aspects of this characteristic. € 3 The current electric power system implements many aspects of this characteristic. € 4 The current electric power system implements most aspects of this characteristic. € 5 The current electric power system implements all aspects of this characteristic. Future (Mark One) € 1 The future electric power system should not implement any aspects of this characteristic. € 2 The future electric power system should implement some aspects of this characteristic. € 3 The future electric power system should implement many aspects of this characteristic. € 4 The future electric power system should implement most aspects of this characteristic. € 5 The future electric power system should implement all aspects of this characteristic. 5. Efficient Operation and Use of Assets Efficient Operation and Use of Assets is the characteristic that describes the use of real time information from advanced sensors to allow operators to better understand the state of the system. Such information can be used to perform risk assessment, optimize system planning, reduce transmission congestion, extend asset life, and to perform proactive maintenance. As-Is (Mark One) € 1 The current electric power system does not implement any aspects of this characteristic. € 2 The current electric power system implements some aspects of this characteristic. € 3 The current electric power system implements many aspects of this characteristic. € 4 The current electric power system implements most aspects of this characteristic. € 5 The current electric power system implements all aspects of this characteristic. Future (Mark One) € 1 The future electric power system should not implement any aspects of this characteristic. € 2 The future electric power system should implement some aspects of this characteristic. € 3 The future electric power system should implement many aspects of this characteristic. € 4 The future electric power system should implement most aspects of this characteristic. € 5 The future electric power system should implement all aspects of this characteristic. 6. Self-Healing Self-Healing is the characteristic that describes the grid’s ability to identify, isolate, and restore problematic sections of the grid with little or no manual intervention. Today, such capabilities are largely isolated to substation automation. Future systems may use sensors, weather data, and analytic programs to detect precursors to faults including voltage, power-quality, dynamic instabilities, congestion issues, equipment failures, and downed power lines. Automatic network reconfiguration could be employed to link energy sources and loads to both restore power and implement real-time contingency strategies. As-Is (Mark One) € 1 The current electric power system does not implement any aspects of this characteristic. € 2 The current electric power system implements some aspects of this characteristic. € 3 The current electric power system implements many aspects of this characteristic. € 4 The current electric power system implements most aspects of this characteristic. € 5 The current electric power system implements all aspects of this characteristic. Future (Mark One) € 1 The future electric power system should not implement any aspects of this characteristic. € 2 The future electric power system should implement some aspects of this characteristic. € 3 The future electric power system should implement many aspects of this characteristic. € 4 The future electric power system should implement most aspects of this characteristic. € 5 The future electric power system should implement all aspects of this characteristic. 7. Defend Against Attack and Natural Disaster Defend Against Attack and Natural Disaster is the characteristic that describes the grid’s ability to protect against physical attacks (explosive, projectiles, and natural disaster) and cyber (computer-based) attacks. These attack strategies may have two forms: attacks in which the grid itself is the primary target, or attacks in which the power system network is used to take down other important infrastructure systems (banks, government, etc.). As-Is (Mark One) € 1 The current electric power system does not implement any aspects of this characteristic. € 2 The current electric power system implements some aspects of this characteristic. € 3 The current electric power system implements many aspects of this characteristic. € 4 The current electric power system implements most aspects of this characteristic. € 5 The current electric power system implements all aspects of this characteristic. Future (Mark One) € 1 The future electric power system should not implement any aspects of this characteristic. € 2 The future electric power system should implement some aspects of this characteristic. € 3 The future electric power system should implement many aspects of this characteristic. € 4 The future electric power system should implement most aspects of this characteristic. € 5 The future electric power system should implement all aspects of this characteristic. Benefits of Smart Grid Survey The following pages contain an assessment of the benefits of smart grid deployments in Kentucky. In this assessment, you will read a description of five benefits of the smart grid. After each benefit description there is a form to evaluate the importance of that benefit to you. The evaluation of each benefit is to be performed by allocating funds to that benefit. You have $100M USD to divide amongst the five areas. You may assign as much or as little funds to each benefit as you choose. The total amount of funding assigned for all five categories should sum to $100M. To allocate funds, either circle a dollar amount along the number line, or write in a figure along the line in the appropriate location. Please be aware that this is an effort to measure stakeholder priorities and does not represent an allocation of real funds. Reliable Reliable describes a grid with a reduction in power outage duration and frequency, a reduction in momentary power quality disturbances, and a reduction in blackouts and brownouts. Secure and Safe Secure and Safe describes a grid that is less vulnerable to attack and natural disaster, and is safer to be near for both the public and utility workers. Economic Economic describes a grid with decreased/mitigated electricity prices, and with new options for market participants such as new load management, distributed generation, grid storage, and demand-response options. Efficient Efficient describes a grid that uses technology to allow for greater utilization of existing assets, enables optimal loading of assets, and provides detailed awareness of component and equipment condition, with the goal of cost effective asset utilization and increased system capacity. Environmentally Friendly Environmentally friendly describes a grid that allows for a much wider deployment of environmentally friendly resources, that allows for the deferral of new construction projects, and has reduced electrical losses. Appendix C: AMI Deployment Survey for Jurisdictional Utilities # TABLE OF CONTENTS INTRODUCTION .................................................................................................................. 301 OVERVIEW OF AMI ........................................................................................................... 302 UTILITY PROFILE ............................................................................................................. 303 AMI SYSTEM ASSESSMENT SURVEY .............................................................................. 304 AMI COST AND BENEFIT SURVEY .................................................................................... 309 DEMAND RESPONSE SURVEY ............................................................................................ 316 SURVEY FEEDBACK ........................................................................................................... 317 INTRODUCTION The “AMI Deployment Survey for Jurisdictional Utilities” (AMI Survey) is a self-reporting survey based assessment of AMI deployment and deployment plans intended for completion by the electric utilities of Kentucky. The AMI Survey consists of three sections. Section one is the “System Assessment Survey”; it collects information pertinent to the metering, communication infrastructure, home area networks, and meter data management systems currently installed, or planned for installation, in the distribution system. Section two is the “Cost and Benefit Survey”; it collects information on deployment approaches and the business case considerations that support/do-not-support AMI. Section three is the “Demand Response Survey”; it collects information regarding the existing DR programs at each utility. The AMI Survey concludes by providing the respondent an opportunity to document any additional support/concerns with AMI. These can include, but are not limited to: barriers to implementation, policy issues, or business valuation. OVERVIEW OF AMI AMI (Advanced Metering Infrastructure) refers to the integration of a variety of systems in order to establish two way communications between the customer and the utility and to provide each with time stamped system information. Therefore we refer to AMI as an infrastructure area, as opposed to a technology. From a systems perspective AMI typically refers to smart metering (measurement and data collection system including meters at end-users), home area networks (in home displays, distributed energy resources, and load control devices), integrated communications (the communication infrastructure which connects consumers and their service providers), meter data management systems (to process obtained meter data), and standardized software interfaces. Figure 1 shows a typical residential AMI configuration. The smart meter is installed at the residential house, and has the capability to record, transmit, receive, and display usage information on an in home display. The in-home display serves at the foundation of the home area network. Additionally, the smart meter communicates with an integrated communications device installed at a nearby utility pole. Two-way communications take place between residence and utility office via the integrated communications systems. The utility office implements the Meter Data Management system to collect and analyze data, as well as to enable interaction with other information systems. Industrial and commercial AMI have similar configurations. ![Figure 4. Advanced Metering Infrastructure Deployment](image) AMI enables consumers to have a better understanding of their energy usage in real-time and provides them an opportunity to control energy consumption, thus potentially changing consumer behavior. The energy usage data obtained from AMI system allows the utility to better understand the demand and consumer energy usage patterns, which is essential for demand side management. In addition, AMI serves as a platform on which a variety of functions and strategies can be enabled such as: differentiated pricing strategies, peak shifting, load leveling, and demand response. UTILITY PROFILE Company Information 1. Provide the following regarding the organization being assessed: - Company Name - Address - Web Site 2. Provide the end date of the year period for which you will be providing data for this assessment (mm/dd/yyyy). Contact Information 1. Provide the following regarding the person responsible for completion of the Assessment Survey: - Name - Title - Address - Phone - Email AMI SYSTEM ASSESSMENT SURVEY The AMI System Assessment Survey collects information pertinent to the metering, communication infrastructure, home area networks, and meter data management systems currently installed, or planned for installation, in the distribution system. For the following questions please indicate of the system/technology is installed in your system. If the system/technology is not installed, but installation plans are in development, please indicate this as appropriate. Smart Meters 1. Does your company have distribution level automated meter reading (AMR) enabled meters with-out AMI capability? 2. How is AMR kWh data collected? 3. Does your company have distribution solid-state AMI meters (smart meters)? 4. Does your company have “under-the-glass” electronic meter modules installed on legacy electromechanical meters? 5. If yes in (3/4), what percentage of distribution customers are served by smart meters? Please divide data between the residential, industrial, and commercial classes. - Residential - Industrial 6. If yes in (3/4), provide the vendor(s) of the smart meters and/or electronic modules installed in your system. 7. If yes in (3/4), provide the data types collected by your smart meters (e.g., volt, pf, max 15 kVA demand, etc.) and the frequency of data collection. 8. If yes in (3/4), is a local concentrator used to collect data from groups of meters, or do the meters communicate directly with the utility data center? 9. If in (8) local concentrators are utilized for data transmission, what communication technology is used to send data between the smart meters and the concentrator? Wide-Area Communications Infrastructure 1. Does your distribution system utilize a wide area communications infrastructure to support AMI? If so, indicate which architecture(s) is implemented. In the case of multiple architectures, briefly explain the purpose of the combined technology. a. Power line carrier. b. Broadband over power line. c. Fiber networks. d. Radio frequency, centralized or mesh. e. Internet. f. Public Network (paging, satellite, cell) g. Combinational infrastructure architectures. h. Other____________________ 2. Is your wide area communications infrastructure utilized for other grid support purposes, such as distribution automation? If so please explain. 3. Is your wide area communications infrastructure utilized to provide additional services to your customers, such as communications or internet access? If so please explain. 4. Is your wide area communications infrastructure able to reach your entire customer base? If not, please elaborate on the limitations of your system. Home (local) Area Networks 1. Does your AMI system utilize Home Area Networks at the customer level? 2. Is the HAN within the meter, within the neighborhood collector, a stand-alone utility supplied gateway, or a stand-alone supplied by the customer? 3. If yes in (1) describe the level of utilization. This could be as simple as displaying energy consumption and costs on an in-home-display, or could be more advanced such as the automatic control of HVAC or other controllable electrical devices such as smart appliances. 4. If yes in (1), describe the methods by which the customer may interface and interact with the HAN. This could be as simple as an in-home-display, or could be more advanced, such as the use of web-based customer energy management systems/profiles, or smartphone applications. Meter Data Management Systems 1. Does your utility utilize a MDMS to interface the AMI generated data? 2. If yes in (1), Describe the functions of your MDMS. This could be as simple as integrating with the billing system, or more advanced, such as the performing of validation, editing, and estimation (VEE) on AMI data. 3. Indicate which of the following other information systems your MDMS interfaces with: a. Consumer Information System b. Billing System c. Utility Web Site. d. Outage management systems. e. Enterprise Resource Planning Systems for load forecasting. f. Enterprise Resource Planning Systems for power quality management. g. Geographic Information Systems. h. Transformer Load Management Systems i. Other ________________________ The AMI Cost and Benefit Survey collects information on deployment approaches and the business case considerations that support/do-not-support AMI. For the following questions please indicate of the costs/benefits incurred by the system. If your company has not evaluated certain costs/benefits, please indicate this also. If AMI has not been deployed in your system, but you have performed a cost/benefit analysis, please provide those results where appropriate. Costs 1. Provide the total capital costs related to AMI deployment. 2. Provide a breakdown of AMI capital system costs, by percentage, over the following categories: a. Endpoint Hardware b. Network Hardware c. Installation d. Project Management e. IT 3. Provide an estimate of the O&M costs for annual operating and maintenance expenses. 4. Provide a breakdown of O&M costs, by percentage, over the following categories: a. Communication and Network (LAN and WAN) – Maintenance and repair of the AMI communications network, leased backhaul, tower leasing, network management upgrades: b. AMI Meters – Labor and expenses associated with meter repair: c. Meter Data Management – Maintaining and upgrading MDM, including hardware and software upgrades. 5. Indicate other costs that have been evaluated that were not addressed by 1-4. Benefits 1. Meter Reading Savings - Provide the actual or estimated savings due to elimination/reduction of manual meter reading for the following categories: a. Savings due to LDV fleet reduction. b. Savings due to personnel reduction. c. Savings due to cancellation of meter reading contracts. d. Savings due to reduction in claims associated with meter reading. 2. Field Services Savings - Provide the actual or estimated savings due to reduction of field service visits for the following categories: a. Savings due to reduction in field service visits to obtain missed meter readings. b. Savings due to reduction in field service visits to turn off/on service. c. Savings due to personnel reduction. 3. Billing Savings - Provide the actual or estimated savings of billing services for the following categories: a. Enhanced customer satisfaction due to increased process efficiency and reduced time to address service requests: (y/n) 4. Outage Response Savings - Provide the actual or estimated savings of improved outage response for the following categories: a. Savings due to reduction in time spent locating causes of service interruptions. b. Savings due to improved situational awareness of completed restoration activities (i.e. reduced # of customer call backs to verify restoration status). 5. Call Center Savings - Provide the actual or estimated savings of call center operations for the following categories: a. Savings due to reduction in billing inquiries/adjustments. b. c. Savings due to personnel reduction. d. Savings due to identification of billing malfunctions automatically, instead of from customer complaints. 6. Collection Write Off Savings - Provide the actual or estimated savings of collection write offs for the following categories: a. Savings due to reduction in bad debt write-offs associated with missed reads and/or estimated billing. 7. Under Registration Savings - Provide the actual or estimated savings due to under registration for the following categories: a. Savings due to improved accuracy of solid state meters as compared with electromechanical meters, particularly compared to aged meters. 8. Energy Diversion Savings - Provide the actual or estimated savings due to energy diversion for the following categories: a. Savings due to ability to more accurately detect energy theft by the inclusion of tamper alarms and data analytics warning of potential irregularities and theft of service. Benefits 1. Meter Reading Benefits – Indicate if the impacts of the following possible benefits have been evaluated due to reduced/eliminated meter readings: a. Improved protection of customer physical privacy: ( y / n ) b. Reduction in emissions due to reduction in meter reading vehicles: ( y / n ) c. Reduced risk to personnel from indoor meter reads, animals, and environmental factors: ( y / n ) 2. Field Services Benefits - Indicate if the impacts of the following possible benefits have been evaluated due to reduced/eliminated field services: b. Enhanced customer satisfaction due to increased process efficiency and reduced time to address service requests: ( y / n ) 9. Billing Benefits - Indicate if the impacts of the following possible benefits have been evaluated for billing services: a. Enhanced customer satisfaction due to increased bill accuracy: ( y / n ) b. Potential for new billing services such as flexible due dates and time-differentiated rates. 10. Outage Response Benefits - Indicate if the impacts of the following possible benefits have been evaluated for improved outage response capabilities: a. Enhanced customer satisfaction due to improved outage management: ( y / n ) 11. Outage Response Benefits - Indicate if the impacts of the following possible benefits have been evaluated for call center operations: a. Enhanced customer satisfaction due to improved situational awareness by customer service representatives via information provided from AMI: ( y / n ) 12. Customer Load Research - Indicate if the impacts of the following possible benefits have been evaluated for customer load research: a. Improvements in the utilities ability to perform load research needed for new rate design: ( y / n ) b. Improvements in the utilities ability to perform load research needed for new rate design to implement DR programs: ( y / n ) c. Improvements in the utilities ability to perform load research needed to develop more accurate load forecasts: ( y / n ) 13. Customer Enablement Programs - Indicate if the impacts of the following possible benefits have been evaluated for customer enablement programs, which can result in a deferral of new generation capacity requirements: a. Customer access to detailed data which increases personal awareness of energy usage and demand: ( y / n ) b. Ability to actively participate in load management programs: ( y / n ) c. Full scale deployment of demand response programs that are predicated on the implementation of various rate incentives, requiring AMI metering capabilities. 14. Environment - Indicate if the impacts of the following possible benefits have been evaluated for the environment: a. AMI system enablement of conservation programs helping to defer construction of new facilities and reduction of additional pollutants: ( y / n ) The Demand Response Survey collects information regarding the existing DR programs at the utility. 1. Describe the demand response programs implemented at the utility. For each program, address the following: a. Provide a brief description of the program. b. Describe the hardware/software installed to support the program. c. How many customers were invited, how many customers accepted the invitation and participated in the program? Have customers quit the program? d. What incentives are provided for customers? e. What are the breakdowns of the approximate costs of implementing the program? f. How much peak load reduction has been achieved? g. Is the total energy consumption for a period of time for the participants reduced? h. What other benefits have been yielded by this program to utilities and customers? Please use the remaining space to provide any additional feedback or comments for review by the Smart Grid Road Map Initiative Team. Appendix D: ADO Deployment Survey for Jurisdictional Utilities # TABLE OF CONTENTS INTRODUCTION .................................................................................................................. 320 OVERVIEW OF ADO ........................................................................................................... 321 UTILITY PROFILE ............................................................................................................. 323 ADO SYSTEM ASSESSMENT SURVEY ............................................................................ 324 ADO COST AND BENEFIT SURVEY .................................................................................. 328 SURVEY FEEDBACK .......................................................................................................... 332 INTRODUCTION The “ADO Deployment Survey for Jurisdictional Utilities” (ADO Survey) is a self-reporting survey based assessment of ADO deployment and deployment plans intended for completion by the electric utilities of Kentucky. The ADO Survey consists of two sections. Section one is the “System Assessment Survey”; it collects information pertinent to FLIR, VVC, DOMA, DAC, and DER systems currently installed, or planned for installation, in the distribution system. Section two is the “Cost and Benefit Survey”; it collects information on deployment approaches and the business case considerations that support/do-not-support ADO. The ADO Survey concludes by providing the respondent an opportunity to document any additional support/concerns with ADO. These can include, but are not limited to: barriers to implementation, policy issues, or business valuation. ADO (Advanced Distribution Operations) provide increased information, enable granular control needed for “self-healing” operations, and improves automation as well as reliability to the power distribution systems. Like AMI, we refer to ADO as a Smart Grid infrastructure area, as opposed to a specific technology. ADO is the synthesis of an integration of applied functions, applications, and technologies and the correlation between other SG infrastructure areas and emerging technologies. The main objective of ADO is to improve the reliability and efficiency of distribution systems and provide functional support for other applications that are aggregated into ADO, making the distribution systems much smarter. SG infrastructure areas and major ADO functions discussed in this report are summarized in Figure 1 below. From a systems perspective, ADO includes distribution management systems (DMS) with advanced monitoring and ubiquitous sensors and intelligence, computer-based advanced outage management systems (OMS), advanced distribution automation (ADA) with intelligent control over electrical power grid functions (fault detection and location, system restoration and reconfiguration, real power and reactive power control), and Volt/VAR Control. ADO also aids deployment of distributed energy resources (DER), such as renewable energy resources and electric vehicles (EV), and enables operation of microgrids. It is also integrated with a distribution geographical information system (GIS) and distribution supervisory control and data acquisition (SCADA) system for improved grid awareness. ADO closely interacts with the AMI SG infrastructure area for the purposes of microgrid operations, high-speed information processing, and advanced protection and control. Since ADO and AMI are both distribution focused, they together provide systems that enable for demand side management (DSM) and demand response (DR) programs in order to reduce or shape peak loads. ADO also provides support for Advanced Transmission Operation (ATO), which integrates the distribution system with regional transmission organization (RTO) operational and market applications to enable improved overall grid operations and reduced transmission congestions. ADO has close relationship with Advanced Asset Management (AAM) by making use of a great amount of power electronic devices and equipment, not only installed at distribution substations, but also at utility control centers, as well as widely dispersed distribution lines. UTILITY PROFILE Company Information 3. Provide the following regarding the organization being assessed: Company Name Address Web Site 4. Provide the end date of the year period for which you will be providing data for this assessment (mm/dd/yyyy). Contact Information 2. Provide the following regarding the person responsible for completion of the Assessment Survey: Name Title Address Phone Email ADO SYSTEM ASSESSMENT SURVEY The ADO Survey collects information pertinent to Distribution Managements Systems, Advanced Outage Management Systems, Distribution Automation, Volt/VAR Control, Distributed Energy Resources, and microgrids currently installed, or planned for installation, in the distribution system. For the following questions please indicate of the system/technology is installed in your system. If the system/technology is not installed, but installation plans are in development, please indicate this as appropriate. Distribution Operation Modeling and Analysis 1. Does your company utilize DOMA, as defined in the document “KSGRI- ADO Overview” for: a. Real-time power flow calculations? b. Look-ahead (near future) power flow calculations? c. “What if” power flow calculations? 2. Identify the sub-functions supported by your DOMA system: a. Modeling of impacts of the low-voltage distribution system on transmission/sub-transmission. b. Modeling of distribution circuit connectivity. c. Data management between legacy databases. d. Modeling of distribution nodal loads: i. For kW. ii. For kVA. e. Modeling distribution circuit facilities (5a-i, pg. 11, “KSGRI-ADO Overview). f. Distribution power flow. g. Evaluation of transfer capacity of tie switches. h. Power quality analysis (8a-f, pg. 12, “KSGRI-ADO Overview”). i. Loss analysis. j. Fault analysis k. Evaluation of operating conditions. 3. Provide the vendor(s) of the modeling and/or analysis software utilized. 4. Identify the data sources and/or database types that input for the DOMA models are sourced from (SCADA, GIS, distribution models, AMI data, customer EMS, weather forecasts, etc.) Fault Location, Isolation and Service Restoration 1. Does your company utilize FLIR, as defined in the document “KSGRI- ADO Overview” for: a. Automated locations of faulted circuits? b. Automated isolation of faulted circuits? c. Automated restoration of faulted circuits? 2. If yes in 1b/1c, indicate which modes of isolation/restoration (2a-c, pg. 9, “KSGRI-ADO Overview”): a. Closed loop. b. Advisory. c. Study. 3. If yes in 1, indicate those databases and/or systems that are utilized by FLIR (circle those that apply): SCADA, trouble-call systems, on fault location device, smart meters, customer EMS, fault predictors, other ____________. 4. If yes in 1, what percentage of your distribution system is served by the FLIR system? 5. Provide the vendor(s) of the FLIR system utilized. Data Acquisition and Control 6. Does your company utilize DAC (As defined in “KSGRI- ADO Overview”) for Direct Power Equipment Monitoring and Control via: a. Intelligent Energy Devices (IEDs)? b. Remote terminal units (RTUs)? c. Other microprocessor-based controllers? 7. Does your company utilize DAC to facilitate Local IED Interactions? 8. If yes in 2, indicate the communication channel utilized: LANs, cables, radio frequency channels, other ____________. 9. Does your company utilize DAC for a. Computerized Field Systems Monitoring and Control? b. DER Management Systems Monitoring and Control? c. SCADA Systems Monitoring and Control? 10. Estimate the percentage of your distribution system served by DAC systems. 11. Provide the vendor(s) of the DAC system utilized. Volt/VAR Control 1. Does your company utilize Volt/VAR control for: a. Closed loop control of Volt/VAR settings? b. What if mode? c. Look-ahead (near future) calculations? 2. Indicate the system components that are controlled by Volt/VAR automation: a. LTC. b. Voltage regulator. c. DER d. Compensation capacitor. e. Other ____________. f. Estimate the percentage of your distribution system served by Volt/VAR. Distributed Energy Resources 1. Does your company utilize ADO to enable microgrids? If so, provide a description of your system. 2. Does your company utilize ADO to enable the integration of renewable energy resource? If so, provide a description of how this is accomplished. 3. Does your company utilize ADO to support/manage charging of Electric Vehicles? If so, provide a description of your system. Interaction with AMI 1. Describe how your systems ADO utilize the following areas of the AMI system, if applicable: a. Smart Meters b. Home Area Network c. Integrated Communications d. Meter Data Management System The ADO Cost and Benefit Survey collects information on deployment approaches and the business case considerations that support/do-not-support ADO. For the following questions please indicate of the costs/benefits incurred by the system. If your company has not evaluated certain costs/benefits, please indicate this also. If ADO has not been deployed in your system, but you have performed a cost/benefit analysis, please provide those results where appropriate. Costs 6. Provide the total capital costs related to ADO deployment. 7. Provide a breakdown of ADO capital system costs, by percentage, over the following categories: a. Endpoint Hardware b. Network Hardware c. Installation d. Project Management e. IT 8. Provide an estimate of the O&M costs for annual operating and maintenance expenses. 9. Provide a breakdown of O&M costs, by percentage, over the following categories: a. DOMA: b. DAC: c. FLIR d. Volt/VAR 10. Indicate other costs that have been evaluated that were not addressed by 1-4. Savings 15. Efficiency Savings - Provide the actual or estimated savings due to improved distribution efficiency for the following categories: a. Savings due to construction deferral resultant from optimal utilization of distribution assets. b. Savings due to reduced system energy losses. c. Savings due to improved VAR compensation. d. Savings due to enhanced demand reduction abilities. e. Savings due to Conservation Voltage Reduction (CVR). 16. Outage Response Savings - Provide the actual or estimated savings of improved outage response for the following categories: a. Savings due to reduction in time spent locating causes of service interruptions. b. Savings due to improved situational awareness of completed restoration activities (i.e. reduced # of customer call backs to verify restoration status). c. Savings due to reduced Operation and Maintenance expenditures resulting from improved asset monitoring. Benefits 3. Outage Management/Response Benefits – Indicate if the impact of the following possible benefits have been evaluated due to improved outage management capabilities: a. Enhanced customer satisfaction due to improved outage management: (y / n) b. Enhanced customer satisfaction due to improved situational awareness by customer service representatives via ADO: (y / n) 17. DER Integration Benefits a. Deferral of construction programs due to larger integration of DER: (y / n) 18. Customer Enablement Programs - Indicate if the impacts of the following possible benefits have been evaluated for customer enablement programs, which can result in a deferral of new generation capacity requirements: a. Ability to actively participate in load management programs via CVR: (y / n) b. Improved ability to manage/support Electric Vehicle charging: (y / n) c. Improved ability to manage/operate microgrids: (y / n) 19. Environment - Indicate if the impacts of the following possible benefits have been evaluated for the environment: a. ADO system enablement of conservation programs helping to defer construction of new facilities and reduction of additional pollutants: ( y / n ) b. ADO system enablement of DER integration helping to defer construction of new facilities and reduction of additional pollutants: ( y / n ) SURVEY FEEDBACK Please use the remaining space to provide any additional feedback or comments for review by the Smart Grid Road Map Initiative Team. APPENDIX E: ATO DEPLOYMENT SURVEY FOR JURISDICTIONAL UTILITIES # TABLE OF CONTENTS INTRODUCTION ........................................................................................................... 335 OVERVIEW OF ATO .................................................................................................. 336 UTILITY PROFILE ..................................................................................................... 337 ATO SYSTEM ASSESSMENT SURVEY ................................................................. 338 ATO COST AND BENEFIT SURVEY ....................................................................... 341 SURVEY FEEDBACK ................................................................................................. 343 INTRODUCTION The “ATO Deployment Survey for Jurisdictional Utilities” (ATO Survey) is a self-reporting survey based assessment of Advanced Transmission Operations deployment and deployment plans intended for completion by the electric utilities of Kentucky. The ATO Survey consists of two sections. Section one is the “System Assessment Survey”; it collects information pertinent to substation automation, advanced and automated protection and control, modeling, contingency analysis, wide area monitoring and control, simulation and visualization tools, and advanced grid control devices and materials that are currently installed, or planned for installation, in the transmission system. Section two is the “Cost and Benefit Survey”; it collects information on deployment approaches and the business case considerations that support/do-not-support ATO The ATO Survey concludes by providing the respondent an opportunity to document any additional support/concerns with ATO. These can include, but are not limited to: barriers to implementation, policy issues, or business valuation. OVERVIEW OF ATO ATO (Advanced Transmission Operations) improves transmission reliability, utilization, and efficiency. ATO also manages congestion, scheduling, and planning for the power transmission system. In addition, ATO integrates certain aspects of distribution system operations with transmission operations. ATO includes substation automation, advanced and automated protection and control, modeling, contingency analysis, wide area monitoring and control, simulation and visualization tools, advanced grid control devices and materials, and the integration of all these tools with markets and Regional Transmission Organization (RTO) as well as Independent System Operators (ISO) operations and planning functions. Like AMI (Advanced Metering Infrastructure), we refer to ATO as a Smart Grid key infrastructure area, as opposed to a specific technology. The purpose of transmission systems is to provide secure and efficient operating conditions when the power system is in normal operations, and to minimize the loss to the customers and the system components when the system is under emergency. The transmission area of concentration focuses primarily on real-time network analysis under normal or emergency operations of the transmission grid. With Smart Grid concepts, technologies and applications widely penetrate into the power systems, ATO will become an important backbone for the realization of the future grid. In this brief overview report, we will analyze enabling technologies classified by different functionalities, and then discuss various aspects associated with ATO development, such as applicable standards, cyber security issues, development benefits and experiences. UTILITY PROFILE Company Information 1. Provide the following regarding the organization being assessed: Company Name Address Web Site 2. Provide the end date of the year period for which you will be providing data for this assessment (mm/dd/yyyy). Contact Information 1. Provide the following regarding the person responsible for completion of the Assessment Survey: Name Title Address Phone Email The ATO Survey collects information pertinent to Transmission Automation, Emergency Control Automation, Contingency Analysis, Wide Area Monitoring and Control for Advanced Auto Restoration, System-wide Automated Voltage Control, Syncho-Phasors, and Self-Healing Capabilities currently installed, or planned for installation, in the transmission system. For the following questions please indicate of the system/technology is installed in your system. If the system/technology is not installed, but installation plans are in development, please indicate this as appropriate. Automated Control Baseline 1. Please provide the percentage of your transmission system implementing the following Automated Control Baseline functionalities, as defined in the document “KSGRI –ATO Overview: a. System voltage regulation by changing transformer taps b. Voltage and reactive load control by adjusting capacitor banks c. Interlocking of controls d. Sequencing controls to ensure safe operation e. Load balancing f. Automated system restoration 2. Provide the vendor(s) of the system utilized. Emergency Control Baseline 1. Please provide the percentage of your transmission system capable of implementing the following Emergency Control Baseline functionalities, as defined in the document “KSGRI –ATO Overview: a. Fault location b. Protection and clearing verification c. Load shedding d. Re-routing of power e. Repair crew dispatch f. Fault recording 2. Provide the vendor(s) of the system utilized. Transmission System Contingency Analysis 1. Does your utility utilize simulation tools to perform contingency analysis? 2. If yes in 1, to what contingency level is the system evaluated (i.e. first contingency, second contingency, etc.) Wide Area Monitoring and Control Advanced Auto Restoration 1. Does your utility utilize WAMCS to perform auto restoration of the transmission system? 2. If yes in 1, what percentage of your transmission system does this function serve? System-wide Automated Voltage Control 1. Does your utility utilize system-wide automated voltage control? 2. If yes in 1, what percentage of your transmission system does this function serve? Synchro-Phasor 1. Does your utility utilize transmission level synhro-phasor devices? 2. If yes in 1, what percentage of your transmission system do these devices monitor? 3. If yes in 1, describe the utilization of the synchrophasor data (i.e. identification of thermal overloads, voltage constraints, or voltage instabilities). Self-Healing Grid 1. Please describe any self-healing capabilities your transmission system possesses including relay protection, remedial automation schemes, and local controllers. 2. Are these functions fully automated? Please elaborate. Dynamic Line and Equipment Rating 1. Does your transmission system operate equipment dynamically based on environmental measurements such as temperature, wind speed, or incident sunlight? 2. If yes in 1, please describe. 3. Are environmental measurements used to forecast load? If yes, please describe. Advanced Components 1. Does your transmission system utilize advanced flow control devices including: Flexible AC transmission (FACTS), variable frequency transformers (VFT), solid state transformers, superconducting condensers, high voltage DC (circle those that apply). 2. Does your transmission system utilize fault current limiting devices? If yes, please describe. 3. Does your transmission system utilize high temperature / high capacity transmission cable? 4. Does your transmission system utilize advanced storage such as advanced batteries, compressed air, pumped hydro, or others? If yes, please describe. The ATO Cost and Benefit Survey collects information on deployment approaches and the business case considerations that support/do-not-support ATO. For the following questions please indicate of the costs/benefits incurred by the system. If your company has not evaluated certain costs/benefits, please indicate this also. If ATO has not been deployed in your system, but you have performed a cost/benefit analysis, please provide those results where appropriate. Costs 1. Provide the total capital costs related to ATO deployment. 2. Provide a breakdown of ATO capital system costs, by percentage, over the following categories: a. Endpoint Hardware b. Network Hardware c. Installation d. Project Management e. IT 3. Provide an estimate of the O&M costs for annual operating and maintenance expenses. Savings 1. Efficiency Savings - Provide the actual or estimated savings due to improved transmission efficiency. 2. Outage Response Savings - Provide the actual or estimated savings of improved outage response. Benefits 1. Outage Management/Response Benefits – Indicate if the impact of the following possible benefits have been evaluated due to improved outage management capabilities: a. Enhanced customer satisfaction due to improved outage management: ( y / n ) 2. Environment - Indicate if the impacts of the following possible benefits have been evaluated for the environment: a. ATO system enablement of conservation programs helping to defer construction of new facilities and reduction of additional pollutants: ( y / n ) Please use the remaining space to provide any additional feedback or comments for review by the Smart Grid Road Map Initiative Team. APPENDIX F: AAM DEPLOYMENT SURVEY FOR JURISDICTIONAL UTILITIES # TABLE OF CONTENTS INTRODUCTION .................................................................................................................. 346 OVERVIEW OF AAM ........................................................................................................... 347 UTILITY PROFILE ............................................................................................................. 348 AAM SYSTEM ASSESSMENT SURVEY ............................................................................ 349 SURVEY FEEDBACK .......................................................................................................... 354 INTRODUCTION The “AAM Deployment Survey for Jurisdictional Utilities” (AAM Survey) is a self-reporting survey based assessment of Advanced Asset Management deployment and deployment plans intended for completion by the electric utilities of Kentucky. The AAM Survey consists of one section. Section one is the “System Assessment Survey”; it collects information pertinent to system maintenance, planning, and utilization. The AAM Survey concludes by providing the respondent an opportunity to document any additional support/concerns with AAM. These can include, but are not limited to: barriers to implementation, policy issues, or business valuation. OVERVIEW OF AAM AAM (Advanced Asset Management) integrates the grid intelligence acquired in achieving the other milestones, such as AMI, ADO, and ATO with new and existing asset management applications. This integration enables utilities to reduce operations, maintenance, and capital costs, and better utilize assets efficiently during day-to-day operations. Additionally, it significantly improves the performance of capacity planning, forecast, maintenance, engineering and facility design, customer service processes, and work and resource management. Like AMI (Advanced Metering Infrastructure), we refer to ATO as a Smart Grid key infrastructure area, as opposed to a specific technology. AAM can spread over a broad range of electric power system infrastructures, from generation, and transmission to distribution and consumption. It includes, but is not limited to, asset “health” information, system and facility maintenance, transmission and distribution planning and expansion, and system operating information. The realization of Smart Grid AAM requires the collaboration with other infrastructure areas. Also, the integration of both operational and asset condition information will improve the effectiveness of asset management systems. With Smart Grid concepts, technologies and applications widely penetrate into the power systems, AAM will become an important backbone for the realization of the future grid. In this brief overview report, we will summarize enabling technologies and main functionalities of AAM. UTILITY PROFILE Company Information 3. Provide the following regarding the organization being assessed: Company Name Address Web Site 4. Provide the end date of the year period for which you will be providing data for this assessment (mm/dd/yyyy). Contact Information 2. Provide the following regarding the person responsible for completion of the Assessment Survey: Name Title Address Phone Email The AAM Survey collects information pertinent to Advanced Asset Management. For the following questions please indicate of the system/technology is installed in your system or if identified procedures are utilized. If the system/technology is not installed, but installation plans are in development, please indicate this as appropriate. If new management procedures are being evaluated, please indicate this where appropriate as well. Gathering and Distributing Data 3. Please describe the use of the following technology tools in your asset management system: a. Sensors and/or Intelligent Electronic Devices (IEDs): Describe the use of sensor to monitor factors such as vibration, chemical analysis, acoustics, temperature, or other electrical parameters used in the delivery of electricity. To what assets are these sensors/devices applied? Describe the factors monitored by the sensors for each asset type. What percentage of system assets utilize such devices? b. Common Information Model: Does your utility utilize a Common Information Model (CIM) to provide a system-wide commonality of data to measure the condition of equipment? If so, which asset types are represented in the CIM? Do you have plans to extend the CIM to more asset types? If so, please indicate which asset types will be included. c. Widespread Communications: Describe the method by which sensor data is transmitted from the sensor/IED to the asset manager / AAM software systems. d. Substation Automation: Describe how sensor data is utilized to support substation automation. 4. Provide the vendor(s) of the AAM software systems utilized. Distribution, Operations, and Planning Optimization 3. Does your system utilize software to analyze distribution circuits for reconfiguration based on loss minimization? To what percentage of distribution system circuits are these analysis applied? 4. If yes in 1, provide the vendor(s) of the optimization software utilized. 5. Does your system utilize real-time dynamic ratings of lines based on real time data (i.e. temperature, wind speed, etc.)? a. What percentage of transmission lines are operated dynamically? b. What measurements are included in the dynamic operation of transmission lines? c. What percentage of distribution lines are operated dynamically? d. What measurements are included in the dynamic operation of distribution lines? 6. Does your system utilize real-time dynamic ratings of transformers based on real time data (i.e. temperature, wind speed, etc.)? a. What percentage of substation transformers are operated dynamically? b. What percentage of distribution (feeder) transformers are operated dynamically? c. What measurements are included in the dynamic operation of transformers? 7. Is real time data on assets from sensors/IEDs utilized in system planning? Please describe how the data is utilized. Applications and Device Technologies 3. Does your utility utilize Probabilistic Risk Assessment (PRA) to assist in operation and maintenance decisions? a. How is the probability of asset failure determined and for what assets are failure probabilities calculated? b. How is the consequence of an asset failure determined and for what assets are failure consequences determined? 4. Does your utility utilize Failure Rate Analysis (FRA) to assist in operation and maintenance decisions? a. For what asset types is FRA employed? b. What data is analyzed in failure rate analysis? Underline those that apply: asset nameplate information, cause of failure, utilization history, operating cycle, percent loading, environmental variables, GIS information, other (please specify). 5. Does your utility utilize Condition-based monitoring maintenance to monitor system’s “health” information in real-time to generate alarm signals? a. For what asset types is condition-based monitoring maintenance employed? b. What data is collected for condition-based monitoring maintenance? How is this data collected? 6. Does your utility utilize Reliability-based Maintenance using a reliability index of each device or equipment? a. For what asset types is reliability based maintenance employed? b. How are reliability indexes for these assets calculated? 7. Does your utility utilize Predictive Maintenance to identify impending problems by detecting subtle changes in equipment operations? a. For what asset types is predictive based maintenance employed? b. What data is analyzed in predictive based maintenance? Performance Standards 3. Describe the reliability standards utilized in your system and how they are utilized. Examples may include CAIDI, Forced Outage Rate, and Equipment Failure Rate. 4. Describe the economic standards utilized in your system and how they are utilized. Examples may include Cost per delivered MW, Cost per installed MW, Cost per MW transformed. SURVEY FEEDBACK Please use the remaining space to provide any additional feedback or comments for review by the Smart Grid Road Map Initiative Team. Appendix G: Consumer Education Survey for Jurisdictional Utilities # TABLE OF CONTENTS INTRODUCTION ........................................................................................................... 357 UTILITY PROFILE ....................................................................................................... 358 CONSUMER EDUCATION SURVEY ............................................................................. 359 INTRODUCTION The “Consumer Education Survey for Jurisdictional Utilities” (CE Survey) is a self-reporting survey based assessment of Consumer Education programs intended for completion by the electric utilities of Kentucky. UTILITY PROFILE Company Information 5. Provide the following regarding the organization being assessed: Company Name Address Web Site 6. Provide the end date of the year period for which you will be providing data for this assessment (mm/dd/yyyy). Contact Information 3. Provide the following regarding the person responsible for completion of the Assessment Survey: Name Title Address Phone Email The CE Survey collects information regarding consumer education programs related to smart grid deployment. 5. Indicate if your organization has a consumer education program specific to the following areas of smart grid: a. General Smart Grid b. Advanced Metering (“smart meters”) c. Demand Response Programs d. Distribution Automation e. Energy Efficiency f. Distributed Energy Resources g. Integration of Electric Vehicles 6. Regarding the CE programs identified in question 1, indicate the programs that are designed to achieve the following (circle all programs that apply for each outcome): a. A basic understanding of the technologies being used or new options available to the consumer: A B C D E F G b. Understanding of any associated rate structure changes or options. The role of the utility and third parties: A B C D E F G c. Understanding of the goals of the program, including potential individual and societal costs and benefits: A B C D E F G d. Understanding of the potential implications (benefits, costs, and risks) associated with their participation (or non-participation) in a smart grid program or rate option: A B C D E F G e. Information regarding resources and tools available to them than can be employed to estimate potential effects of participation in the program: A B C D E F G 7. Regarding your CE programs, indicate if your programs utilize the following methods of customer engagement: a. Direct Mailing b. Call Center c. Website d. T.V. e. Radio f. Social Media (Facebook, Twitter, etc.) g. Customer Advisory Board h. Other (please specify) 8. Does your organization utilize consumer education as part of cost-benefit analysis regarding smart grid deployments? Appendix H: DER Deployment Survey for Jurisdictional Utilities # TABLE OF CONTENTS \| Section \| Page \| \|----------------------------------------------\|------\| \| TABLE OF CONTENTS \| 362 \| \| INTRODUCTION \| 363 \| \| OVERVIEW OF DER \| 364 \| \| UTILITY PROFILE \| 365 \| \| DER SYSTEM ASSESSMENT SURVEY \| 366 \| \| SURVEY FEEDBACK \| 370 \| INTRODUCTION The “DER Deployment Survey for Jurisdictional Utilities” (DER Survey) is a self-reporting survey based assessment of Distributed Energy Resources deployment and deployment plans intended for completion by the electric utilities of Kentucky. The DER Survey consists of two sections: the first collects information regarding installed resources quantities and nameplate capacity, and the second collects information regarding system integration of DERs. The DER Survey concludes by providing the respondent an opportunity to document any additional support/concerns with ADO. These can include, but are not limited to: barriers to implementation, policy issues, or business valuation. OVERVIEW OF DER Distributed energy resources (DER), or distributed energy/generation are small, modular, decentralized energy generation and storage technologies that can produce electricity where energy is needed. They are "distributed" because they are located at or close to the point of energy consumption, unlike traditional "centralized" systems, where electricity is generated at a remote large-scale power plant and then delivered through power lines to the consumers. Typically, DER systems produce less than 10 MW of power. They are integrated systems that can include effective means of power generation, energy storage, and delivery. DER systems may be either connected to the local grid or off the grid in stand-alone applications. DER deployments will enable the generation portfolio and diversity towards a more decentralized model that will include a balance of large, centralized generating plants as well as small-scale distributed generations. DER includes renewable energy resources, distributed generations, energy storages and electric vehicles (EV). DER encompasses a wide range of technologies, such as: wind turbines/wind energy systems, diesel engines, photovoltaics (PV), concentrating solar systems, fuel cells, microturbines, reciprocating engines, combustion turbines, cogeneration, small modular biopower, and energy storage systems. The effective use of grid-connected distributed energy resources also require power electronic interfaces, communications, and control devices for efficient operations. Distributed energy technologies are playing an increasingly important role in the nation's energy portfolio. They can be used as base load power, peak load power, backup power, remote power, as well as cooling and heating needs. DER has the potential to mitigate congestion in transmission lines, reduce the impact of energy price fluctuations, enhance energy security, and improve power reliability and stability. DER increases the utilization and efficiency of existing infrastructure. DER also has significant impact on the environment and natural resources. The deployment of renewable energy technologies for DER applications depends on a series of things, including: local renewable resources availability, the cost of energy at the site, available financial incentives, and specific application factors. UTILITY PROFILE Company Information 7. Provide the following regarding the organization being assessed: Company Name Address Web Site 8. Provide the end date of the year period for which you will be providing data for this assessment (mm/dd/yyyy). Contact Information 4. Provide the following regarding the person responsible for completion of the Assessment Survey: Name Title Address Phone Email DER SYSTEM ASSESSMENT SURVEY The DER Survey collects information regarding deployment of and deployment plans for distributed generation, renewable generation, and energy storage. It also collects stakeholder feedback on system integration challenges for DERs. For the following questions please indicate of the system/technology is installed in your system. If the system/technology is not installed, but installation plans are in development, please indicate this as appropriate. Distributed Energy Resources 9. Indicate the size of your organizations DER capability (in nameplate kW) for the following categories of distributed generation installed at the distribution system level (only). Also indicate the total number of DER end devices for each category. a. Fuel Cell b. Diesel Engine c. Natural Gas Engine d. Dual-Fuel Engine e. Natural Gas Microturbine 10. Indicate the size of your organizations planned DER expansion (in nameplate kW) over the next year for the following categories of distributed generation installed at the distribution system level (only). Also indicate the total number of DER end devices that will be added for each category. a. Fuel Cell b. Diesel Engine c. Natural Gas Engine d. Dual-Fuel Engine e. Natural Gas Microturbine 11. Indicate the size of your organizations DER capability (in nameplate kW) for the following categories of renewable generation installed at the distribution system level (only). Also indicate the total number of DER end devices for each category. a. Microturbine Hydroelectric b. Solar Photovoltaic c. Wind Turbine 12. Indicate the size of your organizations planned DER expansion (in nameplate kW) over the next year for the following categories of renewable generation installed at the distribution system level (only). Also indicate the total number of DER end devices that will be added for each category. a. Microturbine Hydroelectric b. Solar Photovoltaic c. Wind Turbine 13. Indicate the size of your organizations DER capability (in nameplate kW) for the following categories of energy storage installed at the distribution system level (only). Also indicate the total number of DER end devices for each category. a. Thermal Energy Storage b. Battery Energy Storage c. Pumped Hydro Storage d. Compressed Air Storage e. Kinetic Energy Storage (Flywheel) f. Super/Ultra Capacitors g. Superconducting Magnetic Energy Storage 14. Indicate the size of your organizations planned DER expansion (in nameplate kW) over the next year for the following categories of energy storage installed at the distribution system level (only). Also indicate the total number of DER end devices that will be added for each category. Thermal Energy Storage a. Battery Energy Storage b. Pumped Hydro Storage c. Compressed Air Storage d. Kinetic Energy Storage (Flywheel) e. Super/Ultra Capacitors f. Superconducting Magnetic Energy Storage 15. Does your organization have an Electric Vehicle Integration Strategy? If so, please briefly describe this strategy. System Integration 1. For each of the following influences on protection devices, please indicate your level of concern with each operational issue: A-Not very concerned, B-Somewhat Unconcerned, C-Neither Concerned nor Unconcerned, D- Somewhat Concerned, E-Very Concerned a. Nuisance fuse blowing b. Unwanted operations (reclosers, sectionalizers, and fuses) c. Failure of sectionalizers to operate when they should d. Desensitization of breakers and reclosers e. Increased fault levels 2. What type of communication technologies are used to communicate to the DERs in your system (Examples include RF mesh, Broadband, PLC, telephone, cellular, paging network)? Do they communicate directly to the DERs or to a meter connected to the DER device? 3. What type of communication technologies are you considering installing in order to communicate with the DERs in your system? 4. What information standards do you utilize to communicate amongst the DERs (Examples include DNP3, IEC 61850, ModBus, Proprietary)? 5. What information standards are you considering? 6. What is your impression of the relative maturity of the DER that is currently deployed at your organization? a. Technologies are very mature and widely implemented b. Technologies are moderately mature c. Technologies are fairly new d. Technologies are leading edge or experimental, with unproven interfaces 7. Describe the level of effort that is anticipated to integrate DER into your system. a. Extensive changes will be needed b. Moderate changes will be needed c. Few changes will be needed d. No changes will be needed 8. Describe the decision making process regarding utilization of your current DER architecture: a. Dispatched / Centrally managed b. Autonomous / Self managed c. Mix of centralize and autonomous 9. Describe the decision making process regarding utilization of your planned DER architecture: a. Dispatched / Centrally managed b. Autonomous / Self managed c. Mix of centralize and autonomous 10. Describe any concerns/issues for your organization regarding DER deployment and configurations. SURVEY FEEDBACK Please use the remaining space to provide any additional feedback or comments for review by the Smart Grid Road Map Initiative Team.
Unit 1 - Biological Diversity 1.0 Biological diversity is reflected in the variety of life on the Earth. 1.1 Ecosystems, Species and Genetic Diversity A species is a particular group of organisms that have the same structure and can reproduce with each other. Of the 30 – 100 million possible different species of living things, there are over 1.5 million species of animals and 350,000 species of plants that have been identified by biologists. The most successful life form seems to be the insect. (Grade 7 Review) All living things are made up of cells, need energy, grow and develop, reproduce and have adaptations, which suit them to the specific habitat in which they live. The entire collection of living organisms, each with their own unique characteristics, makes up the Earth’s biodiversity. “Biological diversity refers to the variety of species and ecosystems on the Earth and the ecological processes of they are a part of.” The main components of biodiversity are: - Ecosystem diversity – the different types of living communities and the environments, such as marshes, lakes, streams and forests, in which they are found - Community (populations of different species living in the same area) diversity – occurs within populations (members of a species that live in a specific area and share the same resources) of organisms living within a particular ecosystem - Species diversity – occurs within individual organisms of the same species - Genetic diversity – occurs within organisms at a cellular level, as it describes the variety of genetic material in all living things. - Species Distribution – Plant and animal species are not distributed evenly throughout the various eco-regions of the world. Most of the different species of plants and animals can be found in tropical regions and, more specifically, in the rainforests. As you move closer to the poles of the Earth, there is less biological diversity. Biological Diversity Classification The two-name Latin naming system for all living things was developed by Carolus Linnaeus in the 18th century, enabling scientists, around the world, to refer to the same species, by the same name. This classification system was much more reliable than previous systems, because he used structure, rather than habitat. Two words identify each organism. The 1st represents the organisms genus and the 2nd represents the organisms particular species. Scientists earlier had developed a system, which classifies all organisms, based on their structural differences, into 5 kingdoms. - Animalia (animals) - Plantae (plants) - Fungi (yeasts, moulds and mushrooms) - Protista (mostly single-celled organisms) - Monera (bacteria) The 5 kingdom classification system can be further subdivided, with each subdivision having its own name. - Kingdom - phylum - class - order - family - genus - species Specialists refer to other sub-divisions as well, such as: subfamilies, super-orders, and sub-species or varieties. Biodiversity under the Sea Coral reefs reflect a great diversity of species. Like tropical forests, coral reefs support many different communities of organisms surviving on a small amount of nutrients, which are very efficiently recycled. ### 1.2 Interdependence Each and every species depends on many other species within an environment in order to survive and prosper. Food chains and Food webs represent different types of ongoing relationships between and among all the organisms, within a particular environment. Symbiosis A different type of interdependence is an association, within a certain population, between members of different species. There are different types of symbiotic relationships: - Commensalism – in which one of the participating members benefits, but the other does not, and there is no harm done to that organism. (a bird using a tree to build its nest in) (barnacles on a whale) - Mutualism – both organisms benefit from the relationship. (lichen (algae and fungi) growing in the Arctic Tundra benefit each other) (flower Clusia provides medicine to bees) - Parasitism – one organism benefits while the other organism (the victim) is harmed. (the parasite usually doesn’t kill the host, because the host represents the parasite’s food supply. (tapeworm in a human host) (Mexican bean beetle is a plant parasite) - Interspecies competition happens when two or more species need the same resource. This type of relationship helps to limit the size of populations, of the competing species. There are many examples of these types of symbiotic relationships, which show the importance of adaptations, helping particular species survive. Niches A niche is the role of an organism within a particular ecosystem. An organism’s niche includes: - What it eats - What eats it - Its habitat - Nesting site, range and habits - What effect it has on the other populations - What effect it has on the environment A niche, for a particular organism, can change, depending on the environment in which it is located and the organisms with which it inter-relates. Resource partitioning is the action, which enables competing species to share the resources by accessing these resources in different ways, involving less direct competition. 1.3 Variation within Species Variation within a population, of a single species, is called variability. Variability is important if the environment, in which the species lives, changes (suddenly or drastically). When a species has a great deal of variation, then, some of the individuals within that species will likely survive when there is change. Examples of variability include: - Red fox (color of coat) - Antibiotic resistance (bacteria) - Banded snail (color of shell) Natural selection happens when factors in the environment determines, or ‘selects’ which individuals, within a species, will be able to survive. If they are able to live long enough to reproduce, then those individuals with their ‘survival adaptations’ (characteristics) will have offspring with similar survival characteristics. 2.0 As species reproduce, characteristics are passed on from parents to offspring. 2.1 A Closer Look at Variation Variation is one of the most critical aspects of species survival. This variation may not always be as easy to find as color usually is, because it may be a behavioral tendency or a genetic (cellular code) modification that enables some individuals within a species to survive, while others, of the same species, will perish. Genetic Trait Variations (Observing Variation in Human Characteristics p. 27) http://edquest.ca/Projects/GHTS/ghts.html Inherited and Non-inherited Characteristics Inherited (heritable) characteristics are those traits which are passed on to offspring directly from their parents. These traits are passed on by way of the genetic material that is combined from the parents during the process of sexual reproduction. Heritable traits include, structural and distinguishing characteristics, such as eye color, hair type, skin color and earlobes. Non-inherited characteristics are acquired and not necessarily passed on from generation to generation. Athleticism, artistic ability, leadership qualities are all learned during the early years of life. Discrete and Continuous Variations Discrete variations are differences in characteristics that have a definite form. This includes those individuals, within a species, that have either one characteristic, or the single, other variation, of the characteristic. Continuous variations are differences in characteristics that have a multitude of variations, such as height, shoe size, etc. Variation and the Environment Some variations may be influenced by interactions with the environment. These variations are not inherited. Examples include: - Change in the pigmentation of skin color throughout the seasons due to the sun. - Height and weight can be influenced by diet. 2.2 Asexual and Sexual Reproduction Asexual Reproduction Asexual reproduction involves only one parent. All of the offspring are identical to the parent. There are different types of asexual reproduction: - Binary Fission - only single-celled organisms reproduce in this way. The cell splits into two cells and each one is identical. (bacteria, amoeba, algae) - Budding - the parent organism produces a bud (a smaller version of itself), which eventually detaches itself from the parent and becomes a self-sufficient individual - identical to the parent. Coral also reproduces in this way, but do not detach themselves (hydra, yeast, coral) - Spore Production - spores are similar to seeds, but are produced by the division of cells on the parent, not by the union of two cells. One parent may produce many spores, each of which will grow into a new individual, identical to its parent. (fungi, green algae, moulds, ferns) - Vegetative Reproduction - is the reproduction of a plant not involving a seed, including: cuttings, runners, suckers, tubers. (coleus plant, spider plants, strawberries, aspen, potatoes) Sexual Reproduction Sexual reproduction usually involves two individual organisms. The offspring that are produced from this union have a mix of characteristics, half from one parent and the other half from the other parent. Sexual reproduction does not always involve male and female parents, but can have specialized gametes (reproductive cells that have only one role - to join with another gamete during reproduction). Sexual Reproduction in Animals Sexual reproduction in animals involves gametes. The male gametes are called sperm cells, and the female gametes are called egg cells (ova). During mating, the sperm cell and the egg cell unite to form a fertilized combination of cells called a zygote. This zygote is the first of many cells of a new individual. This zygote will begin to divide into two cells and this continues to be repeated over and over resulting in the development of an embryo. This embryo develops into a multi-cellular organism inside the female (in most mammals) or, outside (in an egg shell) in other animals. Sexual Reproduction in Plants Sexual reproduction in plants involves gametes as well, male gametes and female gametes joining, during fertilization, to produce a zygote and then an embryo. Most plants produce both male and female gametes, while some produce one or the other only. Pollen contains the male gametes and is found on the stamen. Ovules contain the female gametes and are found in the pistil. Pollination occurs when pollen is transferred from the anther of the stamen to the stigma of the pistil. Cross-pollination occurs when pollen from one plant is carried to the stigma of another plant by wind, water or animals (bees or butterflies). Cross-fertilization occurs when a grain of the pollen forms a long tube, which grows down the style into the ovary. The gametes unite to produce a zygote, which then develops into an embryo. This usually happens inside a seed, which protects the embryo and provides food (cotyledon) for the embryo when growing conditions are right. Plants which are produced, as a result of cross-fertilization, are not identical to either plant. Advantages and disadvantages of Asexual and Sexual Reproduction Variation usually helps a species survive when the environment changes. Asexual reproduction does not require any specialized cells to produce a new plant. It can therefore produce many plants very quickly. This is an advantage in places where the environment doesn’t change very much (bacteria). By building a large population of organisms very quickly the species is able to thrive. The great disadvantage is that when the environment changes, all of the organisms will die, if they do not have the ability to adapt to the change. Sexual reproduction has the advantage of providing lots of variation within a species, helping it to survive when the environment changes. The main disadvantage is that this process takes a lot of energy. This means that they can only produce small populations. Organisms that Reproduce both Sexually and Asexually Sponges are organisms that can produce both sexually and asexually. Most plants that produce seeds can also reproduce asexually (cuttings, runners). Depending on the environmental conditions the amount of energy varies, enabling the plant organism to control its population. 3.0 DNA is the inherited material responsible for variation. Captive breeding programs enable scientists to control populations of species at risk of extinction. Using modern technology, geneticists and staff from zoos around the world can analyze the genetic code of the species they are trying to save and use it to introduce variation that will help the species survive when the environment changes. 3.1 DNA - Transmitter of Genetic Code Characteristics are passed on from one generation to another within a species through the genetic code of the parents. This genetic code is called DNA. DNA The blueprint that is passed on from the parents to the offspring is found in a molecule of the cell nuclei. This molecule, desoxyribonucleic acid, (DNA) is the inherited material responsible for variation. All living organisms contain DNA in their cells. DNA and the Genetic Code DNA was discovered prior to 1944. All DNA molecules contain exactly the same chemicals, but the way the chemicals combine determines the characteristics of the organism. James Watson and Francis Crick unraveled the structure of DNA, revealing the key to the multitude combinations of variation that are possible. The DNA molecule is like a ladder twisted into a spiral (see image). The sides of the ladder are the same in all DNA molecules, but the rungs are what make the variations. Each rung pairs up two of the following chemicals: guanine (G), cytosine (C), adenine (A) and thiamine (T). The arrangement of these four chemicals creates the code that the cells are able to interpret. This is the genetic code of the organism. Chromosomes DNA contains all the instructions, which create the organism's characteristics. The multitude of characteristics for each organism means that there is a lot of DNA in any one cell. This DNA is arranged in the cell in compact packages, called chromosomes. Every human cell contains 46 chromosomes. In order to have a complete human organism, all 46 of the chromosomes must be present. Not all organisms have the same number of chromosomes (Dogs have 78, cats have 38). Every cell of a human contains 23 pairs of chromosomes (dogs 39, cats 19). Not all of the chromosomes from species to species are the same, which accounts for the different characteristics between the species. Genes A single gene is an uninterrupted segment of DNA, which contains the coded instructions for the organism. Researchers found out that (by working on the fruit fly): - Genes are located in the chromosomes - Each chromosome has numerous gene locations - Genes come in pairs - Both genes in a pair carry DNA instructions for the same thing - Specific characteristic genes occupy matching locations on the two chromosomes - DNA code may not be exactly the same in both locations Offspring inherit genes from both parents. The genes exist in an array of possible forms that differ as to their exact DNA sequence. These variations in forms are called alleles. The ultimate combination of the chromosome pair is what makes the variation possible - combining the different variations of different characteristics to create a unique variation. 3.2 Cell Division Cell Division and Asexual Reproduction Asexual reproduction involves only one parent. All of the offspring are genetically identical to the parent. In single celled organisms, binary fission enables the parent cell to split its contents equally between the two new cells. Prior to this division, the parent cell duplicates its DNA and when the split takes place each new cell receives a complete exact copy of the DNA, of the parent. In multi-cellular organisms the process that produces two new cells with the same number of chromosomes is called Mitosis. Cell Division and Sexual Reproduction in Plants and Animals Sexual reproduction usually involves two individual organisms. The offspring that are produced from this union have genetically different characteristics, half from one parent and the other half from the other parent - making a unique offspring. During sexual reproduction, the specialized sex cells (gametes) unite to form a zygote, which develops into the new organism. When a male gamete and a female gamete unite, meiosis takes place. Meiosis is a type of cell division that produces cells with only half the DNA of a normal cell. This process involves two cell divisions, not one. 3.3 Patterns of Inheritance (Gregor Mendel) Long before the science of genetics started, people tried to reproduce organisms with only the most preferred traits, by allowing only those organisms with the desirable traits to reproduce. This method was not always successful, but through time (trial and error), this practice of controlled breeding provided scientists with the information to determine which alleles were responsible for specific traits. Purebred VS Hybrid To produce purebred organisms, a breeder would choose pure bred parents, those parents whose ancestors have produced only the desired characteristic they want (true-breeding). If a breeder chooses two different ‘true-breeds’ then a hybrid would be produced. Dominant Traits Crossbreeding two different true-breeds will result in all of the offspring having the same characteristic, that is, the dominant trait. Only the DNA instructions for the dominant trait will be carried out. Recessive Traits When crossbreeding hybrids, the average results will produce 75% of the offspring with the dominant trait and 25% of the offspring with the recessive trait, because there are only 4 possible combinations. One traits is recessive and therefore the allele is recessive. A recessive trait only appears in the offspring if two recessive alleles are inherited. [Punnett Squares] Other Patterns of Inheritance Incomplete dominance occurs because the dominant-recessive pattern does not always prevail. When the alleles are neither dominant, nor recessive, an intermediate trait will occur (combining the two traits). Offspring Unlike Either Parent. More than one gene location and more than one allele may be responsible for specific traits. As a result, the complex mixing of the possible combinations for that particular trait may account for the variation of traits an offspring has. Environmental Factors can also have a bearing on how DNA is interpreted and developed. Fetal alcohol syndrome can be a direct result of alcohol consumption during the developing stages of the offspring. The ‘normal’ DNA is affected by the alcohol and will not develop normally. Taking drugs can also affect the DNA during normal development and defects in the organism can occur. (Thalidomide) 4.0 Human Activity affects Biological Diversity. 4.1 A Closer Look at Variation Reduction of Biological Diversity The stresses of urbanization and habitat intrusion by farming and industry have resulted in a decline in genetic, species and ecosystem diversity. Extinction, population decreases and degradation of ecosystems reduces biological diversity on the Earth. Extinction and Extirpation Extinction is the disappearance of every individual of a species from the entire planet. It is a natural part of the Earth's history. Scientists estimate that 99% of species that have ever existed on the Earth are now extinct (many by mass extinction - sudden environmental change, like the Ice Age). Most extinction take place over long periods of time, but the rate of extinctions is rising, and this is reducing the biological diversity of our planet. Extirpation is a local extinction, or the disappearance of a species from a particular area. The General Status of Alberta Wild Species 2000 (pdf format) Natural Causes of Extinction and Extirpation Natural selection is a slow process. Even if there is a lot of variation within a species, sometimes the changes in the environment are so drastic that and so quick, that none of the individuals within a species can survive. Most extinctions, in the past, were due to: - catastrophic events (volcanic eruptions, earthquakes, floods, fire) - lack of food (due to overpopulation) - disease Not all extinctions happened millions of years ago. Diseases and natural events occur all the time and when they do, a species, within a particular area, can be extirpated very quickly. Overspecialization Sometimes organisms have adaptations that suit them only to a very narrow set of environmental conditions. This usually occurs in a relatively stable area, where the environment does not change for a very long period of time. This is called overspecialization and it is another cause of extinction. The giant panda is a species that is overspecialized, because it relies on bamboo, making it vulnerable to extinction, when the bamboo is scarce. Human Causes of Extinctions and Exirpations Most extinctions and exirpations today are caused by human activity. Habitat destruction - as a result of - - Urbanization - Construction - agricultural development - Logging - Damming of rivers - Pollution - Pesticides, Herbicides and Fertilizers Introduction of Non-Native Species When introduced species use the same resources, as the native species, the competition will cause a decline in the numbers of native species, simply because there is less to go around. The introduced species will have no natural predators to limit its population and will, in time, take over from the native species. Over-Hunting This was the major cause of the decline and eventual exirpation of the plains Bison, as well as the extinction of the passenger pigeon. Sometimes species are hunted to deliberately exirpate them. The black-tailed prairie dogs were considered a pest in the 1930's and were hunted to reduce their numbers. Effects of Extinctions and Exirpations Extinctions and exirpations reduce biological diversity. When an organism disappears locally or globally, many other species are affected. The cycle of life is adversely affected. 4.2 Selecting Desirable Traits Artificial Selection is the process of selecting and breeding individuals with desirable traits to produce offspring with the desired traits. The selection process is simple. Only those individuals, with the desired trait, will be allowed to reproduce. This selection process also applies to plants, which can be bred to possess desirable traits. The main difference between 'natural' selection and 'artificial' selection is that, humans control the artificial selection process. Biotechnology The process of intervention to produce more desirable organisms has been going on for some time. This process takes a long time to see results - usually many generations. Farmers, dog and horse breeders, along with scientists can now speed up the artificial selection process by using 'low-tech' or 'high-tech' technologies, such as; - cloning (made from cells) - artificial insemination (artificially joining the male and female gametes) - in vitro fertilization (male and female gametes are selected and then allowed to fertilize in a controlled setting) - genetic engineering (directly altering the DNA of an organism) Biotechnology and Society Beneficial or detrimental to society? That is one of the pressing questions that many humans are struggling with, when it comes to biotechnology. There are many good things that can be produced, but what about the problems, including, - risks in animals (reducing genetic variation within a specific population, less resistance to disease, birth defects and other abnormalities) - risks in plants (resistance to herbicides) 4.3 Reducing Our Impact on Biological Diversity Preserving global biological diversity is a challenge that is receiving much attention. The 1995 Canadian Biodiversity Strategy was created to preserve biodiversity in Canada. It will be done through the cooperation of many levels of government, along with many groups, agencies and individuals, who are dedicated to preserving our bio-diverse future. - Protected Areas (National Parks, Provincial Parks, game preserves, natural areas) - Restoration Programs for Ecosystems and Species (Governments and Nature Conservancy of Canada programs to purchase land for species habitat renewal, individual landowners giving habitat back - in the form of a naturally protected area, Ducks Unlimited CARE program, Swift Fox - restoration of a species - extirpated from Canada and now recovering) - Resource Use Policies (Laws - National Accord for the Protection of Species at Risk - Species at Risk Act - Wildlife Act, 1998) - Controlling the Introduction and Spread of Exotic Species (Information and teaching about the invasiveness of an exotic species is communicated to the public on a regular basis. Penalties and fines, as well as loss of desirable areas for recreational purposes, has improved the perception of the negative effect an exotic species can have on a local ecosystem.) - Conservation of Genetic Resources (Ex-situ conservation refers to conservation of components of biodiversity outside of a natural habitat. - The collection and storage of genetic resources, such as seeds (IPGRI) - Zoos (captive breeding programs) - Sperm and Egg Banks - Human Genome Project)
The following pages have been provided as a proof PDF. Printers other than Walsworth Yearbooks are explicitly restricted from printing this PDF or recreating it in any form. A long time ago, a young man picked up a guitar and fell in love with music. Although it wasn’t popular to be a teen who wrote and played songs, the young man persevered. He had a vision of where he wanted to go in life, so he decided to “keep on rollin’” along his path…and made music history. “Any one of you guys has the potential to do amazing things.” Kevin Cronin ’69 THE CRUSADER 2020 20/20 VISION Table of Contents Student Life...4 People...24 Academics...52 Organizations...74 Sports...92 Class of 2020...136 BROTHER RICE HIGH SCHOOL 10001 S. Pulaski Chicago, IL 60655 www.brotherrice.org Be a Crusader. Be Exceptional. Walsworth Crusaders brave the cold to participate in the Polar Plunge. Senior Frankie Mesec dresses up as the Crusader for the Polar Plunge. Students laugh and enjoy their free time during lunch. Junior Kade Van Assen relaxes at lunch. Senior Kevin Plumb hangs out in the senior lounge. Senior Martin Loughney enjoys time with his friends. Seniors have fun at their last pep rally before the big homecoming game. Seniors Dylan Robertson and Matt Doligale hang out at lunch. Students walk the halls on the first day of school. Juniors celebrate their hard work at the Junior Leadership Ceremony. Senior Deandre Hagan enjoys his lunch. Students show off their Crusader pride and cheer at the pep rally. Senior Jack Lascola leads the way down to the pep rally while playing the bass drum. Two Crusaders fight in the ring during their lunch period. Sophomore Daniel Albanese, junior Dylan Early, and senior Johnny Petteton spectate the lunch time boxing activities. Planning the activities for spirit week is a big part of my role as a member of the Student Council. This year, my peers and I wanted to make the pep rally different than anything we had ever seen. Bringing in the wrestlers to hype up the Crusaders was a fun and unique idea. Mr. Creed played a big role in helping us execute this great undertaking. It was an idea that he had toyed with in years past, and we thought that this year was the perfect time to bring it forward. Once it was approved, we knew that this would be something that everyone would love. Lots of hard work and preparation went into this day. After the pep rally was over, we were all so satisfied with the results. The Crusaders had an amazing time at the pep rally and we were so happy to see it. Seniors Jack Dejarld, Tom Crane, and Martin Sheehan enjoy the pep rally. The best place to be on Homecoming night is right near the stage with all of the seniors. Senior Colin Condon and junior Jeremiah Powell hand in their tickets to begin the night of festivities. Junior Joe Elbey and his date are ready for an exciting night at Homecoming. Seniors Colin Osborne and Sean Corbett are ready for a great night of dancing in the moshpits. It's homecoming season and that means it's Malachi's time to shine. "This year's theme at homecoming was a Hawaiian luau which was a really cool experience for me and my date. The decorations were awesome but the music was not my favorite, which is usually the best thing at homecoming." "I danced the night away with my friends in the mosh pit, which is the best part about homecoming in my opinion. The gym gets pretty hot so I usually swing by into the cafeteria for some water and a small sandwich while I socialize before heading back into the war zone." "After the music was done and everyone was clearing out, I took my date and a couple of my friends to an arcade and bowling. I bowled my friends out of the lane all night long, as usual." "As the night wound down and me and my guys were all talking about how our last homecoming was, we all realized that these were the moments that we will never forget when we are older. Homecoming was the time of my life!" This was the first year Brother Rice implemented the House System. Besides giving everyone another way to compete and interact during school, the Houses were a nice way to celebrate our history as a Christian Brother school. It was also a unique experience to be a part of a brand-new program at Rice. The Houses ushered in a new type of contest I haven’t seen in my four years at Rice. The contest, the food-eating contest, was highly exciting. From watching pie-eating contests to watching Twinkies being devoured in a single bite, the contest tapped into everyone’s competitive side. The Mountain Dew chug also showed how willing each House was to earn points for the House competition. One of the best House meetings was when we held the first annual Eddy Games. Each House cheered as representatives from each House participated in various competitions, showcasing everything from athletic skill to willpower. It was a great way to bring the student body together. Another highlight of the Houses were the bimonthly mentor meetings. In these meetings, we discussed how to build leadership, integrity, and how to work better with others. Many students and teachers have put countless hours into preparing the House System. It couldn’t have been started without the continual dedication of Mr. Dolan, Mr. Dunne, Doc Luxem, Ms. Pacetti, Mr. Prunckle, and the students that attended the ACTION Leadership Workshop. Despite some growing pains, I think the House System can become even better in the next few years. Waterford puts up their banner at the first House assembly. Juniors competed in a Twinkle-eating contest that had exciting results. Students compete in a fun two-part game with brooms, buckets, and tennis balls. Students wait eagerly for the House assembly to begin. Seniors competed in a pie-eating contest that left the contestants covered in pie. House Dublin cheers on their fellow student competitors. The Mountain Dew chug would not be the same if not for Coach Gibson. Principal Alberts '85, Mr. McShane '87, Mrs. Diehl, Coach Lyons '92, and President Donahue '74 line up for a picture on Founder's Day to celebrate the hard work and accomplishments of the Hall of Fame inductees. Senior Greg Foster talks about his Brother Rice experience. Senior Ramon Valadez gives a Founder's Day speech. Senior Ken Foyle reflects on the life of Blessed Edmund Rice. Mr. McShane '87 stands with his family for a photo after his induction into the Brother Rice Hall of Fame. Mrs. Diehl with her family after being inducted into the Brother Rice Hall of Fame. Mr. Lyons delivers a speech after his induction. Brother Hayes, Mrs. VanAssen, and Mr. Alberts ‘85 listen in as the inductees are introduced. Mr. Dunne gives a memorable introduction for Coach Lyons. Mr. McShane ‘87 thanks family and friends on Founder’s Day. Coach Lyons ‘92 and his family gather for a nice picture to celebrate his achievements and accomplishments that granted him a spot in the Brother Rice Hall of Fame. Junior Chris Staszak and the Brother Rice Choir lead the school in song during Mass. Father Mark Walter gives one of his famous homilies during Mass. Father Mark initiates the new Peer Ministers at the start of the school year. Senior Declan Docherty receives the Eucharist from senior Patrick Voves. Senior Owen Greybill reads from Scripture during Mass. The senior class loves to hear the band play their annual Christmas Concert during the Christmas Mass. Connor Bowes '20 By Luke Onoroto '20 Connor Bowes is the perfect example of a strong spiritual leader. Bowes is a peer minister, a Kaironian, and an Edmund Rice Camp counselor. "Brother Rice's spirit is all about acting manfully in Christ Jesus through always looking out for others, especially classmates. It really creates an environment of brotherhood at the school that not many other places could offer." "The spiritual atmosphere here has definitely helped me grow as a person and make some amazing friends. It is, without a doubt, one of the best parts of my high school experience." "My favorite religious experience here at Rice certainly has to be Kairos. The four day retreat is a great time to get to know yourself, bond with your classmates, and step away from the stressful parts of life." KAIROS 150 CANDIDATES - Aiden Conlian, Kyle Gallagher, Adam Homel, Nick Toosley, Danny Bombard, Tommy Boyle, Tom Devine, Scott Hahn, Charlie Kleist, Patrick Loughney, Anthony Noska, Nathan Sobek, Jake Summers, Packy Voves, Jeremy Zemgulyis Some of K-150 just “hangin’ out” Leaders of K-150 - Bill O’Connell, Connor Bowes, Martin Sheehan, James Littleton, Tommy Crane, Danny Hackett K-150 Adult team- Mr. Joe Augustyn, Fr. Mike Olean K-150’s best attempt to complete a pyramid Table Mark Table Luke CANDIDATES - Jack O’Leary, Matt Lufrano, Pat Ward, Paul Staudacher, Matt Quattrocchi, Robert Carter, Ryan Rice, Connor Durkin, Jeremy Ludwig, Billy O’Hara, Johnny Pettenon, Kevin Plumb, Brian Barsch, Jack Payton, Connor King, Caleb Bailey Stobbs, Dan Golon, Connor Leibforth, Jimmy Maguire, Dylan Robertson, Mike Lorenz, Luke Whirity, Patrick Hennigan, Liam McElligott, Colin Smyth, Matt Doligale, Mike Graydolf, Jack Dejarld, Sean Gorbett. Kairos 151- Table John Kairos 151 Team - Alex McFarlane, Martin Murray, Danny Bombard, Declan McGuire, Harrison Morg, Michael Amato, Fr. Mark Walter, Mr. Max Dunne, Mr. Pat Creed, Mr. Mike Dolan, Mr. Don Molenda. Kairos 152 FOREVER IN OUR HEARTS Leaders - Owen Greybill, Sean Joyce, Ryan Kopale, Kevin Phelan, Ramon Valadez, Steve Walczak. Candidates - Mick Badke, Jack Botta, Kevin Brown, Eddie Burke, Dan Eberle, Luke Kedzierski, Ryan Kirchman, Kiernan Schumacher, Nick Acevedo, Matt Bobak, Mike Bobak, Jack Bresnahan, Nicholas Currier, Emory Duran, Jack Eastman, Mike Kelley, Seth Miller, Alex Perez, Mr. Anthony Malopsy. I was anxiously awaiting the opportunity to lead Kairos 152. It meant a lot to me, and I couldn't express with words how unfortunate the circumstances of Covid-19 were. I choose to look at it as everything happens for a reason. We might not know why, but God has a plan. To the K152 candidates: stay strong and follow your hearts! Owen Greybill '20 "Edmund Rice Camp has been a great way for me, as well as many other students, to be involved in the Brother Rice community and to give back to those who are less fortunate." - Matt Quattrocchi "As one of the senior leaders of ERC, I'm going to miss working camp this year. I always had fun seeing the kids every year, and I enjoyed meeting some guys I normally wouldn't have met." - Martin Murray FRESHMEN Nikola Abusara Diego Acuna Darien Akins Carlo Alvarez Demetrious Alvarez Pedro Araiza Brendan Arnold Michael Arundel Diego Bahena Lionel Bell Troy Bever Francisco Biesiada Caleb Bokowski Michael Bos Daniel Boss Gavin Bowen Aidan Bowes Joseph Bowes Douglas Boyce Jack Brouder Matthew Buschman Rocco Cafarelli Jack Campbell Demarcus Caston Gavin Catuara Julian Cervantes Alexander Cichowicz Christian Clettenberg Edward Condon Jack Conlan Charles Connolly Kyle Connolly Peter Connolly Robert Cusack Kameron Dancy Kiwaun Davis Mateo Del Bosque Sergio Diaz John Docherty Thomas Donohue Nicholas Dorn Matthew Drag Nathan Duenas Brendan Durkin Daniel Durkin Luke Dwyer Alexander Elgin Samuel Estrada Zachary Figus Daniel Fitzpatrick John Fitzpatrick Andres Flores Antonio Franco Charles Frenzel Palmer Fry Emmanuel Richardson Morgan Riste Jack Rochowicz Jacob Rodriguez Luke Rosales Jackson-Jakob Ruiz Martin Ryan Sean Ryan Damian Salgado Miguel Santos Joseph Scarriot Aiden Schickel Michael Schiltz James Siegler Cameron Slavin Aydan Smith-Tetrev Ryan Sommerfeld Adam Sosnowski Matthew Spell Christopher Stajszczak Sean Stalker Colin Stone Charlie Sullivan Jason Sullivan Sean Sullivan Joshua Sutker Brendan Tait Samuel Taylor Andrew Tegge Nelson Thornton Bryce Tinsley Zachary Tobias Nicholas Topor Darius Tulloch Donnacha Twomey Jack Urchell Cole Van Assen Alberto Vega Cooper Wainwright Charles Walsh John Welniak Mack Whitcomb Nicholas White-Walls Francis Williams Wyatt Williamson Quinn Wirtz Valentine Wojcik James Worthington Payton Young Matthew Zia Richard Zoller Jacob Pietryla Benjamin Gadison Casey Gallagher Christopher Garza William Gaskin Jack Gaughan Martin Gavin Joel Gerardo Ryan Gierhahn Jack Gilmartin James Gilmartin Declan Goggin Brett Gomez Julius Gomez Owen Gorman Daniel Grannes Amir Gray Ethan Green Emmett Griffin Trent Guzek Conor Haggerty Jake Hannigan Roman Harris Yixian He Dominic Heidy Joseph Heilmann Ahmad Henderson Andrew Hoefler Johnathan Houk Edward Hrebic Joaquin Huerta Daniel Hughes Carter Hunt Alexander Illus Miguel Islas Henry Ivers Joshua Jaeger Savaun Jones Daniel Karpierz Gabriel Kenah Marcus Kennedy Ryan Kenney Brendan Kenny Ryan Killelea Jonathan Klikuszewski Samuel Klinger Nathan Kramer Jack Lavin James Lenihan Daniel Leon Vincent Linares Kevin Lufrano Connor Lyons Owen Lyons Patrick Mahanes [Group photo of students] Jake Maheras Brendan Malloy Kevin Malone Myles Maloney Nicholas Matejko Brendan McCarthy Charlie McClorey John McGuffage Luke McKee Brendan McMullin Benjamin McMurray Peter McShane Jackson Mendoza William Metzler III Sean Mongan Sean Moran Zander Morgan Nicholas Morrin John Morrison Mason Mroz Sean Mulcrone Michael Murphy Conor Murray James Navarrete Bakari Nelson Bryce Nevils Jakub Niedzielski Nick Niego Alexander Novak Daniel O'Brien Aiden O'Hara Martin O'Keeffe Sergio Oregei Jack Osborne William Owens Noah Palomino Adrian Penuelas Mateo Perez Matthew Petraitis Nash Pickens Roderick Pierce III Frankie Plunkett Jakub Potoczny Donald Pratl Owen Preabt Patrick Quaid Ryan Quattrocchi Patrick Quirk George Raphael-McElroy William Reardon Chris Regalado Charles Regan Robert Regan Thomas Rich Logan Acosta Daniel Albanese Dana Alexander Enrique Alvarez Joseph Amato Raul Andrade Jr Jack Antonsen Vince Arunno Colin Ashley Liam Bailey Stobbs Raymond Barkmeier Julien Barsch Thomas Bennett Jimmy Biondo Maurice Brown John Byrne Patrick Carney Oscar Cerritos Nathan Chirillo Anthony Clark Kyle Clayton Colin Clisham Kevin Conlon Griffin Conners Patrick Conroy Manuel Correa Chris Crescent Kian Culkin Matthew Cunningham Daniel Curran Sean Curtin Nicholas Daugherty Nicholas Diaz Samuel Dorau Christian Duval Willem Eastman Jacob Ebeling Michael Fahy Jacob Fenton Nicholas Finn John Finnell William Flanigan Gavin Flood Juan Flores Daniel Foley Kevin Frazier Patrick Furlong Patrick Galeher Zachary Garofalo Connor Melean Joseph Murphy Kevin Murphy Quaron Neal Connor Nelligan Liam Nelligan Luke Niksic Brendan Nye John O'Connell Connor O'Malley Nico Pape Sean Paulsen Thomas Petrowski Joseph Pfeiffer Beau Polickey Robert Prati Brenden Price William Przybylski Jorge Rangel Jesus Reyes Brandon Rogers Zion Rose Jake Ryan Carlos Salgado Kiernan Saunders Nicholas Scorzo Rolando Sepulveda Khary Shaw Landen Sinclair Alexander Stepinski Anton Tellis Joseph Ternes Edgar Valadez Daniel Veal Thomas Verran Jose Villarruel Nickolas Viramontes Matthew Vlahos James Vovos Gavin Ward Dylan Warda Luke Wayer Benett Weber Brinaro White Daniel White Jacob Wizgird Dakobie Wordlaw Joseph Yozze II Mateo Zarate Timothy Gavin Thomas Golon Kyle Good Dustin Hahn Dameon Hall Jr. Conor Hansen Kenrick Harrell Manuel Harris Daniel Hartz Timothy Hayes James Heis Joseph Helms Michael Helson Ryan Henneman Tamaine Hills Jr. James Hogan Dorian Hopson Henry Hynes Connor Ivers Andrew Ivy Jr. Brian Jeffers Phillip Johanet Brett Jones Jayden Jordan Jackson Judeh Michael Jurgilas Nathan Kaczynski William Karstrand Brendan Kelly Sean Kinard John Klimczak Thomas Lamb Jack Lausch Connor Leahy Nelson Lopez Julius Lujano James Lynch Liam Lyons Anthony Macellaio Alejandro Macias Connor Mahay Jack Mallon Sean Maloney Patrick Martin Blake Mayer Carter McAlllly Jack McCall Kaden McDonald Kevin McDonald William McGee Sean McNally JUNIORS Jair Alaniz, David Alexander, Ryan Altman, Ryan Arbagey, Alejandro Arellano, Charlie Arundel, Michael Badke, Sebastian Barrera, Kevin Barrett, Daniel Barry, Brian Barsch, Joshua Bell, Michael Bernas, Jack Botta, William Bowes, Kevin Brown, Brandon Bryant, Edward Burke, Joseph Cambria, Adrian Campos, Christopher Casey, Brian Cavanaugh, Nick Cipriani, Quinn Clifford, Joseph Collins Michael Collins Aidan Conlan Lewis Conn Jr. Emmett Connolly Michael Corcoran Daniel Corpus Jonathan Cosgrove Cullen Cosme John Creviston Will Culloton Frank Cunnea Gabriel Daggy Sean Deane John Dematteo Curtis Denger Aidan Desmond Steven Dillon Jack Duggan Conor Durkin Dylan Early Daniel Eberle Luke Egan Joseph Eloby Kevin Fiedler Connor Foley Kyle Gallagher Armani Garcia Edgar Garcia Brian Gidney Kevin Gilhooley Luke Murphy Matthew Murphy George Navarro Kevin O'Connell Aidan O'Connor Brennan O'Malley Cesar Onate-Rocco Xavier Osuna Quinn Owens Dominic Palazzolo Geovanni Palazzolo Jacob Palmer Gabriel Palos Jeffrey Panella Brendan Powell Jeremiah Powell Andrew Przybylski Matthew Quattrochi Seamus Quinn Nehemiah Ray Collin Rice Matthew Rogers Troy Russiaky Brendan Ryan Cole Scarnavack Ryan Schiestel Kiernan Schumacher Willie Shaw III Tyler Showers Thomas Skrypkun Andrew Sloyan Benjamin Somers Joseph Spaitis Christopher Staszak Paul Staudacher Keiton Stokes Michael Stuart Will Stubitsch Jack Sullivan Kevin Sullivan Mark Sweiss Lucas Tamosaitis Nicholas Toosley Lucas Truesdale Christopher Valles Gabriel Valles Kade Van Assen Austin Veal Edmund Vogrich Daniel Wallace Patrick Ward Nathaniel Wells Ryan Whelan Clevon Williams Daniel Zapata Benjamin Zarlengo Julian Zubrzycki Jack Zupan Thomas Gilmartin Jacob Gliva Garrett Greene Gabriel Gutierrez Ben Guzek Maximillian Guzman Richard Haley Justin Hardiek Devlin Harris Francis Herman Thomas Hermanson Gael Jesus Hernandez Cameron Hill Joseph Hladik Brycen Ho Sean Hollander Adam Homel John Hosty Matthew Houlihan Michael Imala Jacob Jackson Edward James Matthew Jennings Myles Jones Luke Kedzierski John Kelly Ryan Kirchman Joseph Konstant George Kozar Matthew Kramer \| Brian Lacey \| Scott Lascody \| Luke Lawrence \| Sean Lopez \| Andrew Love \| \|-------------\|---------------\|--------------\|------------\|-------------\| \| Jeremy Ludwig \| Matthew Lufrano \| Dean Lullo Jr. \| Andrew Luna \| Anthony Lundy \| \| Kevin Lynch \| Michael Lynch \| Stephen Lynch \| Sean Mahanes \| Maxwell Mallon \| \| Patrick Malone \| Juan Daniel Martel \| Grant Matern \| Brian McCann \| Collin McGlynn \| \| Paul McGrath \| Joseph McIntyre \| Martin McKee \| Brendan McQuillan \| Felix Mejia \| \| Dwayne Moorehead \| Arturo Mora \| Nathan Mosqueda \| Luke Moustakas \| Michael Mullarkey \| ADMINISTRATION Mark Donahue President Bob Alberts Principal Karen Van Assen Assoc. Principal - Academics Doc Mathiuss Asst. Principal/Dean of Students Joe Augustyn Campus Minister Denis Bergstedt Division Leader Kirk Bosi Dir. Maintenance Phil Cahill Dir. Athletics Patrick Creed Dir. Counseling Mike Dolan Division Leader & House Dean Max Dunne House Dean Christina Forbes Division Leader Br. Pat Hayes Division Leader Sandra Jones-Thomas Dir. Technology Leslie Luxem House Dean Becky Pacetti Dir. Student Activities/House John Rolence Division Leader Derek Van Dyke Division Leader Fr. Mark Walter Chaplain INSTITUTIONAL ADVANCEMENT Jim Casey Development Dave Clisham Chief Financial Officer Nancy Condreva IA Coordinator Bobby Frasor Dir. Admissions Jan Hickey Alumni Relations Matt Kelly Dir. Alumni Kevin Larson Development Sean McBride Dir. Admissions Kaitlyn McCormick Dir. Marketing Greg Nye Dir. Admissions Tim O’Connell Dir. Leadership Gifts Matt Prunckle Dir. Admissions/House Dean Mike Zunica Development [Photos of people in various settings, including a group baking cookies and another group posing for a photo.] FACULTY Al Albanese Theology Dina Altobelli Athletics Samantha Antos Counseling Joe Augustyn Theology Denis Bergstedt Math Marta Carbol Spanish Cindy Charters Math Br. Tom Collins Photographer Extraordinaire Debbie Cook Main Office Brendan Coughlan Math/Engineering Darlene Diehl Registrar Frank DiNovella Maintenance Mike Dolan Social Science AND STAFF Eve Donnelly English Max Dunne Science Dan Dwyer Theology Michelle England English Christina Forbes English Tom Gibson Physical Education Bill Gleeson Social Science/Phys Ed Amy Guzek Theology Jon Lee Hall English Br. Pat Hayes Science Mary Lynn Hollendorner Finance Maureen Holt French Mary Beth Jantz Counseling \| Name \| Department \| \|-----------------------\|---------------------\| \| Lynda Jaros \| Art \| \| Mark Klutcharch \| Theology \| \| Leslie Luxem \| German \| \| Debbie Lynch \| Spanish \| \| Tim Lyons \| Social Science \| \| Anthony Malopsy \| Microsoft/Theology \| \| Eileen Mark \| Spanish \| \| Lisa Marley \| Dean's Office \| \| Peg Mason \| Bookstore \| \| Tim McAlpin \| Counseling \| \| Tom McAuliffe \| Social Science/ \| \| \| Theology \| \| Don Molenda \| Science \| \| Matt Muth \| Science \| \| Becky Pacetti \| English \| \| Steve Parker \| Technology \| \| Bob Peters \| Business \| \| Cathy Plumb \| Main Office \| \| Pat Richardson \| Social Science/Phys Ed \| \| John Rolence \| English \| \| Angela Rundh \| Counseling \| Sue Salmon School Nurse Kay Scaletta Catapult Judy Schramm Finance Tom Sheehan Maintenance Sue Stanley Science Mary Strahlman Math Kyle Swynenburg Math Derek Van Dyke Science Rob Vogt English Fr. Mark Walter Theology Kyle Watson Athletic Trainer Tom Wazio Science Aaron Woods Math Zach Zielenski Music Cafeteria Staff: Shirley Woolford, Mika Bottando, Nancy Acevedo, Doreen McKenna, Yolanda Rosales, Dawn Tobar and Maria Villalpando The Jesuit community is committed to providing a quality education that prepares students for college and beyond. Our faculty members are dedicated to fostering a love of learning and helping students develop critical thinking skills, strong work habits, and a sense of responsibility. In addition to our core academic curriculum, we offer a variety of extracurricular activities and sports teams that provide opportunities for students to develop leadership skills, teamwork, and a healthy lifestyle. Our goal is to create an environment where every student feels supported, challenged, and empowered to reach their full potential. Mr. Albanese instructs his sophomore class. Mr. Augustyn gives a lecture in peer ministry. Mrs. Guzek gets the feel for things in her first year. Mr. McAulliffe teaches his Theology III junior class. Mrs. Holt works with her senior theology class. The sophomores pay attention in class. Bill O’Connell ’20 By Charlie Fitzgerald ’20 A leap of faith. Senior Bill O’Connell describes his move to become a peer minister a “push from God.” Coming from a Catholic family, Bill has always been close to God in many ways. “I make sure to go to church every Sunday,” he said. “My parents make sure of it, too. But I always wanted a little more.” Bill said joining Mr. Augustyn’s Peer Ministry class is a choice he won’t soon regret. The class has taught him new things about the church and he can even give out the Holy Communion at mass. “I’ll be able to give my little cousin, Barbara, her first communion in May!” exclaimed Bill. “This is something I’ve been looking forward to since taking this class.” Bill has really gotten the hang of things and plans to continue his vocation. Fabio Leonard '02 By Tom Devine '20 Fabio Leonard is an example of a model Crusader. Not only is Fabio the president of the French Club, but he is also a three year member of the soccer team. Fabio is a natural French speaker, who learned the language at a young age with the help of his parents, from Haiti. "French has meant so much to me in these past few years and helped me to feel at home here at Brother Rice," Fabio said. Fabio has been a leader in French class, helping other Crusaders get involved in French class and in French Club. "I would like to thank Mrs. Rzeszutko and Mrs. Holt for helping me grow my knowledge and love for the French Language. Their dedication to my success has meant a lot to me," Fabio said. Mrs. Carbol teaches her Spanish III Honors class. Hola Hallo Bonjour Mrs. Holt teaches her French IV class. Seniors Tom Gorman and Declan Docherty having a fun time in German class. Ms. Lynch teaches a Spanish lesson. Doc Luxuem watches students’ presentations. Spanish I students enjoy class. Spanish I students complete an online assignment. Doña Carbol reviews with her Spanish I class. Brother Hayes teaches the physics behind music to his students. Mr. Wazio gives a lecture to his students. Mr. Molenda’s AP Chem students focus on acing their test. Junior Lewis Conn plays an instrument in physics class. Mr. Dunne grades the tests of his senior anatomy students. Ms. Stanley’s biology class learns all about DNA. Science is my favorite subject, and the Brother Rice Science Department has helped me develop my scientific skills. Science appeals to me because it has a set of rules that must always be followed. In this way, it’s more like an intricate but encapsulating puzzle. As a three-year member of the engineering program, I have been able to test many of my skills numerous times. I really enjoyed the principles of engineering final when we had to construct and program carnival games because seeing the culmination of all I learnt in class was amazing. I will use the fundamental base of science Brother Rice has provided me to go and pursue a degree in electrical engineering. My favorite science teacher is Bro Hayes. He has really influenced me, and I enjoy how extremely energetic and excited he is every day for class. He always gets me excited, and I like how he teaches us how to use concepts in real world situations. Bro Hayes also makes his classes very understandable and presents materials in a way that is easy to comprehend. My favorite experiment was when Bro Hayes let the class build their own individual radios for fun. Everyone started off with a motherboard and had to construct the radio from scratch. It was our final lab of the year, and it was very rewarding to finish it. Mr. Muth watches his students as they complete a group activity. Mr. Van Dyke teaches his class about his newest topic. Mr. Dunner’s anatomy class takes a field trip to see an open heart surgery. Seniors work on their online assignments in their science class. Senior Charlie Fitzgerald in Mr. Peters accounting class. Entrepreneurship class works on their projects. Mr. Peters gets ready for accounting class. Freshman Jack Rochowitz gets some work done in Microsoft Office. Mr. Parker catches up with his sophomore students. Freshman Nick Matejko in Mr. Malopsy’s class. Anthony Matejko '20 By Justin Jefferson '20 Anthony Matejko's time at Rice has been nothing short of amazing. "Rice helped me prepare for my future career in business with the classes they offered me. One of my favorite classes was accounting," Matejko said. He will be majoring in accounting at Purdue University next fall. Matejko is a hard worker with a businessman's mindset. He said, "I took the class because it challenged me academically and gave me a glimpse of the life of an accountant." Even though Matejko didn't begin his high school years at Rice, we are lucky to have him finish it here. Students have fun while working in Mr. Peters's 2nd period accounting class. Mr. Malopsy teaches his Microsoft Office class. Freshmen Conor Murray and Mason Mroz hard at work. Microsoft Office class in room 101. Mr Bergstedt has had an overwhelming amount of influence on me as a math student at Brother Rice. I’ve had the man for three years, and he is probably one of the best teachers I’ve ever had. My largest challenge in the most rigorous math track at Rice was not the math itself, but rather the high standard to which Mr. Bergstedt required us to know the material. His courses required constant diligence to keep up, as simply cramming the night before a major test only ever resulted in failure. BR math has helped me grow as a student and an individual by teaching me better time management. To keep up with the workload in both math and my other subjects, Mr. Bergstedt helped us organize a personal daily schedule to help plan out the hours in the day. Keeping to this schedule has improved my diligence and helped me manage time for my other classes as well. BR math has helped me prepare for a college workload in which doing ungraded homework is still necessary. In my classes, most daily homework is never graded, but it is still absolutely crucial to finish, as the hardest problem types that appear on that homework almost always make appearances on tests. It has also prepared me to major in statistics when I leave for college. Mr. Bergstedt helps his calculus class understand a quartic function. Freshmen Sean Ryan and Christian Clettenberg congratulate a fellow student on completing a problem in Mr. Coughlan’s algebra class. Mr. Woods solves the problem for the class on the SMART board. Mr. Coughlan returns to Brother Rice to teach math and engineering this year. Mrs. Charters gives a lecture to her freshman class. Mrs. Strahiman helps sophomore Sean Kinnard better understand the problem at hand. Alex MacFarlane '20 By Luke Onoroto '20 I think at a time when young people are surrounded by many influences, social studies courses teach kids that values like accountability, morality, and tolerance don’t just belong in classrooms; they belong in the community and in all of our future careers and lives. I am planning on going into the military and I think understanding the world as a whole is very important for a successful career there. Someday I’d love to enter the field of politics. Rice has taught me a lot about morality, and I want to use the government as a platform to improve our country. Brother Rice has shown me that putting ideals and beliefs into action is an essential element of social studies. AP Euro with Mr. McAuliffe and AP US History with Mr. Dolan both really helped me develop connections across time periods and cultures that stick with me to this day. A junior history class listens closely to one of Coach Gleeson’s lectures. Mr. McAuliffe explains to his sophomore AP European history class the intricacies of many European monarchies. Mr. Dolan explains the importance of Social Studies to incoming students. Mr. Lyons shows a PowerPoint to his sophomore history class. Mr. Richardson presents the history of the Vietnam War to his senior history class. This junior class listens closely to Mr. McAuliffe explain European history. Coach Gleeson teaches his class about the history behind the United States. Nick Reidy ’20 By Grant Gierhahn ’20 At Brother Rice, the English curriculum is undoubtedly one of the most strenuous the school has to offer. Some students back down from this seemingly daunting challenge, unwilling to put in the necessary effort to earn a good grade. But not senior Nick Reidy. Entering Brother Rice as a freshman, Reidy started off in academic level English. However, over the course of his four years as a Crusader, Reidy progressed to an AP level class as a junior and an honors class as a senior. Working his way up the ranks, Reidy has excelled academically, demonstrating an impressive diligence to his studies, especially in English. “The English curriculum at Br. Rice has greatly improved both my written and verbal communication skills, which I look forward to utilizing in my future career,” Reidy said. The English Department at Br. Rice certainly isn’t a breeze. However, if one truly exhibits a firm commitment and seeks help from the excellent English faculty, his rigor will unquestionably reap the benefits. Mrs. England gives instructions to her class. Mrs. Hall’s AP class completes an assignment. Mr. Vogt assists senior Robert Carter in Broadcast Journalism class. Mrs. Hall looks on as her students complete their work. Mr. Rolence leads a group lesson with his students. Ms. Forbes prepares a lesson plan. Ms. Pacetti cues up a PowerPoint for class. Ms. Donnelly passes back papers to her students. "Picture, if you will, Twilight Zone actors coming back for a summer performance. Here's to hoping that this summer brings a show that's 'One for the Angels.'" -Seamus Quinn Frankie Mesec Evan Olivo Laurance Pavlik Chris Valles and Dana Alexander Chris Stasak and Dana Alexander Seamus Quinn and Jack Lascola Grant Sibley Seamus Quinn and Natalie Chibe There is a fifth dimension beyond that which is known to man. It is a dimension as vast as space and as timeless as infinity. It is the middle ground between light and shadow, between science and superstition, and it lies between the pit of man's fears, and the summit of his knowledge. This is the dimension of imagination. It is an area which we call ... The Twilight Zone. -Rod Serling Gavin Paul Mr. Zielinski is jamming out to the band’s halftime show. He shows great pride towards all the hard work everyone has done. The band had another very successful year. The highlight of the year was a new band leader, Mr. Zack Zielinski, Brother Rice Class of 2015. He expects results and will not stop until he gets them! Mr. Zielinski went to the University of Dayton and studied music. He is fresh out of college and is working hard to bring enthusiasm to the band program. The band has been performing around Chicagoland while participating in several competitions and parades. The band performed at halftime shows at our football games, the Lyrical Fight Club sang at many prayer services and masses, and the jazz band got the entire school into the holiday spirit by playing at the Christmas prayer service. The band has grown in many ways this year -- as people and as musicians. As the band year comes to a close, most of the seniors will be moving on to college with some sort of music major or minor related field. Many students have said they enjoyed being pushed by this new, fresh band director, Mr. Zielinski. Freshman Brendan Kelly plays the trumpet during the halftime show at Tom Mitchell Field. During the halftime competition show, the band performs to “Conflict.” Tyler Davros is a senior at Brother Rice and the co-low brass section leader. Tyler can play the trombone, baritone, and tuba. He has been in most of the bands all four of his years at Rice, including the concert bands, competition band, football band, musical pit, and jazz bands. In addition to his Rice band experience, Tyler has participated in out-of-school band events, like “Tuba Christmas” downtown and a marching band camp at Ohio State University. “Freshman year was pretty bare bones for me, because it still felt like grade school to me,” Tyler said. “Sophomore year was a bit challenging and I did struggle with it a bit. Junior year was the wild year. I felt more musical, I had a lot of stuff happen to me, and it has affected me as an individual. Senior year still feels like junior year, but a lot better.” For his favorite year of band, Tyler said, “Personally my favorite year was junior year because I felt more musically involved in band. My favorite part of band was the San Antonio trip and how I got sick on the way back.” Tyler spoke about his band experience: “With my time in band, I’ve enjoyed it since day one of competition band freshman year until my last concert in the spring. I’ve enjoyed playing with everyone as well.” About being section leader, he said, “Being a section leader is not bad at all. It’s a great position to demonstrate leadership and responsibility to someone of higher power.” Tyler hopes to become a band director some day and knows all he learned from band will help him in the future. Junior Ryan Kirchman and sophomore John Klimczak play taps for the alumni dinner. The band’s brass section does the measure “56 visual” in the competition band show, “Conflict.” The marching band in front of Cinderella’s Castle in the Magic Kingdom. The Jazz band plays “Go Tell it On the Mountain” for the Christmas prayer service. Dylan Robertson '20 By Nicholas Currier '20 Dylan is quite the student when it comes to art. He has worked on many projects that can be seen around the school. Dylan is a dedicated student that has lots of patience and creativity. His passion for art is like no other. With every stroke of his brush, he leaves his mark on Brother Rice. The 3rd period gym class plays against each other in a soccer tournament. They will see which team is the best in a multi-day game. Students run down the gym to try and get the ball away from their goal. Mr. Gibson watches future basketball players' form. The gym class is practicing free-throws by taking turns at the basket. The students are having an end-of-class meeting by Mr. Gleeson before they go and change out of their gym uniforms. Organizations The FBLA is an organization that focuses on leadership and business skills. Members participate in various activities such as competitions, community service projects, and networking events. The FBLA provides opportunities for students to develop their skills and gain valuable experience in the field of business. The FBLA has several committees that focus on different aspects of the organization. These include the Executive Committee, which is responsible for overseeing the operations of the club; the Finance Committee, which manages the budget and finances of the club; and the Membership Committee, which is responsible for recruiting new members and maintaining existing member relationships. In addition to these committees, the FBLA also has several subcommittees that focus on specific areas of interest. For example, there may be a committee focused on marketing and promotion, another focused on public relations, and yet another focused on community service. Overall, the FBLA is a great way for students to develop their leadership and business skills while also making new friends and gaining valuable experience in the field of business. Edmund Rice A Hui In Oi Tae Rugby National Scholarship Charter High School Rice IMPROV CLUB Row 1: Edgar Garcia, Francis Mesec, Harrison Morg, Ms. Donnelly, Tyler Colander, Christopher Staszak, Gabriel Valles. Row 2: Evan Olivo, Jeremy Ludwig, Seamus Quinn, Laurence Pavlik, Jeremy Zemgulys, Jack Finnell. LYRICAL FIGHT CLUB Row 1: Mr. Zielinski, Andres Flores, John Pettenon, Christopher Staszak, Matthew Bobak, Francis Mesec, Michael Bobak. Row 2: Jeremy Zemgulys, Tyler Davros, Jeremy Ludwig, Edgar Garcia, John Klimczak, Evan Olivo, Luke Doeslaere. CHESS CLUB/TEAM Row 1: Will Stubitsch, Tyler Colander, Joseph Spaitis, Edgar Garcia, Michael Stuart, Matthew Jennings. Row 2: Jakub Niedzielski, Andrew Luna, Christopher Staszak, George Kozar, Antonio Franco, Ryan Kirchman. Row 3: John Docherty, Owen Preabt, Collin Rice, Conor Murray, Dr. Luxem. COUNSELING OFFICE RUNNERS Row 1: Landen Sinclair, Charles Frenzel, Nicholas Matejko, Matthew Buschman, Zander Morgan, Daniel Karpierz. Row 2: Brian Barsch, Dean Lullo, Seamus Quinn, Michael Jurgilas, Colin Clisham, Jack Antonsen, Jacob Wzigard, Damian Salgado. CREATIVE WRITING CLUB Row 1: Daniel Curran, Daniel Hartz, Kevin McDonald, Dana Alexander, Antonio Franco, Patrick Galeher, Mr. Vogt. Row 2: John O’Connell, James Vovos, Colin Clisham, Samuel Klinger, Gavin Catuara, Charles Regan, Charlie Sullivan, Devlin Harris. DEANS OFFICE RUNNERS Row 1: Raul Andrade, Lionel Bell, Jack Campbell, Mateo Zarate, Jack Gilmartin, Will Cullaton. Row 2: Connor Mahay, Wyatt Williamson, Demarcus Caston, Noah Palomino, Joseph Konstant. Diversity Club Row 1: Mr. McAuliffe, Lewis Conn, Collin Rice, Row 2:: Ramus Berryhill, Emory Duran, Frank Mesec. Drama Club Row 1: Mr. Rolence, Evan Olivo, Francis Mesec, John Petteton, Laurence Pavlik, Tyler Davros, John Rogers. Row 2: Christopher Staszak, Christopher Valles, Cesar Onate-Rocco, Xavier Osuna, Seamus Quinn, Charlie Sullivan, Edgar Garcia, Jack Finnell, Jeremy Ludwig. Row 3: Francisco Biesiada, Gavin Catuara, Andres Flores, Dana Alexander, Gabriel Gutierrez, Gabriel Valles, Mateo Perez, Robert Regan. EDMUND RICE CAMP Row 1: Nicholas Toosley, Connor Bowes, Ronan Dolan, Martin Murray, Michael Nelligan, Owen Greybill, Matthew Cuattrocchi, Quinn Clifford, Andrew Luna, Edgar Garcia, Kyle Gallagher, Adam Homel Row 2: Mr. Augustyn, Francis Mesec, Paul Staudacher, Declan Docherty, Luke O'rolo, Connor Melean, Julien Barsch, Juan Daniel Martel, Gabriel Valles, Michael Lynch, Mrs. England Row 3: Stephen Lynch, Sean Maloney, Cameron Slavin, James Hogan, Jack Mallon, Mateo Perez, Kevin McDaniel, Maxwell Mallon, Joseph Yozze Row 4: Sean Hollander, Thomas Lamb, Christopher Staszak, Sean McNally, Michael Inala, Matthew Lufiano, Patrick Lougney, Gabriel Gutierrez, Adrian Campos, Christopher Valles, Row 5: Jesus Reyes, Michael Fathy, Jack McCall, Quinn Owens, Garrett Greene, Sean Joyce, Joseph Hladik, Michael Schitz, Michael Amato, George Raphael-McElroy, Row 6: James Siegler, Patrick Calheir, Connor Mahay, Colin Clisham, Oscar Serritos, Conor Murray, Thomas Golon, Thomas Boyle, Griffin Canners, Jack Urchell FISHING CLUB Collin Rice, Lewis Conn, Mr. McAuliffe, Ethan Green, Brendan Durkin. FRENCH CLUB Row 1: Brandon Bryant, Brenden Price, Kieman Schumacher, Julian Zubrzycki, Andrew Luna, Fabio Leonard, Jakub Niedzielski, Nicholas Topor, Donald Pratt, Devlin Harris. Row 2: Mrs. Holt, TJ Murphy, Jacoby Young, Zion Rose, George Raphael-McElroy, Matthew Drag, Kaden McDonald, Gabriel Gutierrez, Juan Daniel Martel, George Kozar. BRTV/GAMEDAY CREW Row 1: Paul Staudacher, Kevin O’Connell, Conor Durkin, Grant Gierhahn, Aidan O’Connor, Ryan Schiestel, Adam Homel, John DeMatteo. Row 2: Mr. Creed, Gavin Flood, Daniel Hartz, Dana Alexander, Jacob Wizgird, John O’Connell, Timothy Hayes. GERMAN CLUB Row 1: Caleb Bailey-Stobbs, Kevin O’Shea, Thomas Rich, John Eastman, Laurence Pavlik, Ryan Rice, Julius Lujano, James Vovos, Brendan Tait, Alex Novak, Ryan Kopale, Daniel Bombard. Row 2: Dr. Luxem, Manuel Correa, Edgar Garcia, Tyler Colander, Joseph Spailitis, Lewis Conn, Willem Eastman, Sean Maloney, Antonio Franco, Collin Rice, Jack (John) Morrison, Sean Ryan. Row 3: Ryan Kirchman, Jakub Niedziecki, Devlin Harris, Carter Hunt, Conor Murray, Colin Clisham, Gavin Flood, Liam Bailey-Stobbs, Martin Murray, Declan Docherty, Nathan Kramer. Advocacy Club Row 1: Nathan Cook, Owen Greybill, Steven Walczak, John Dejarid, Kenneth Foyle, Luke Onoroto, Martin Murray, Ryan Kirchman. Row 2: Gabriel Valles, Adrian Campos, Jeremy Zemgulys, Daniel Wallace, Aidan O’Connor, Matthew Lufrano, Joseph Sullivan, Christopher Staszak, Kiernan Schumacher. Row 3: Francis Mosec, Benjamin Blahusiak, Quinn Clifford, Conor Durkin, Patrick Ward, Daniel Zapata, Christopher Valles, Kevin Tracy. Announcement Team Row 1: Ms. Pacetti, Timothy Hayes, Conor Durkin, Aidan O’Connor, Devlin Harris, William Karstrand, Maurice Brown, Mr. Vogt. Row 2: John O’Connell, Kevin McDonald, Martin Murray, Martin Sheehan, Dana Alexander, Daniel Hartz, Brinaro White, Jack Dejarid. ART CLUB Owen Greybill, Mrs. Jaros, Xavier Osuna ATHLETIC TRAINERS Row 1: Alex Roche, Rico Powell, Andrew Love, Gregory Foster, Chase Hall, Mr. Watson. Row 2: Martin Loughney, Michael Loughney, Conor Glennon, Jahil Pettis, Anthony Noska, Deandre Hagan, Louis Stepanek, Michael Amato, Dwayne Moorehead. Main Office Runners Row 1: Mrs. Plumb, Quinn Wirtz, Connor Ivers, Cristian Duval, Kyle Connolly, Michael Murphy, Bill Bowes, James Heis. Row 2: Ben Guzek, Aydan Smith-Tetrev, Pedro Araiza, Khary Shaw, Daniel Hughes, Joel Gerardo, Damian Salgado, Vincent Linares. Paintball Club Row 1: Ms. Lynch, Michael Stuart, Collin Rice, Andrew Przybylski, Bennett Weber. Row 2: Matthew Vlahos, Landen Sinclair, Gavin Catuara, Douglas Boyce. NATIONAL HONOR SOCIETY Row 1: Joseph Sullivan, Kenneth Foye, Benjamin Blahusiak, Ryan Rice, Ronan Dolan, Anthony Matejko, Nicholas Currier, Marin Murray, Luke O’Horo, Edgar Garcia, Matthew Jennings, John Dejdiri, Thomas Crane, Mark Kelly, William O’Flara, Austin Veal, Row 2: Daniel Zapata, Garrett Greene, Kevin Brown, Frank Cumina, Connor Bowes, Quinn Owens, Aidan Connoc, Kevin O’Connell, Daniel Golon, John Eastman, Declan McGuire, Declan Docherty, Quinn Clifford, Matthew Luriano, Paul Staudacher, Row 3: Adrian Campos, Jeffrey Panella, Jack Sullivan, Jack Botta, John Clewerson, Matthew Quattrocon, Joseph Elbey, Nicholas Fealy, Marin Sheehan, Jack Lausich, Kevin Murphy, Patrick Carey, Patrick Caher, Row 4: James Hogan, Grant Giermann, Nick O’Brian, Michael Flynn, Lewis Conn, Adam Horrel, Joseph Espitia, Kiernan Schumacher, Christopher Staszak, Daniel Wallace, Joseph Hlaic, Jeremy Zenguvis, Michael Farry, Row 5: Jack Finnegan, Kevin Phelan, Conor Gleeson, James Maguire, Henry Berish, Francis Massec, Owen Greylus, Seamus Quinn, Brendan Ryan, Will Stubitsch, Justin Hardel, Joseph Kustel, Conor McMillin, Kevin O’Shea, Charles Kustel, Connor Melean, John Rogers, Jack Malion, Jacob Benton, Jake Ryan, Ryan Kirchman, Row 7: Matthew Rogers, John Kelly, Michael Imalai, Brian Barsich, Christopher Valles, Gabriel Valles, Joseph Pleffer, Jack Anthonson, Brendan Nye, Sean McNally, Kyle Gallagher, Colin Chisam, Connor Leany. PEER MINISTERS Row 1: Jack Finnegan, Kevin Plumb, Kevin O’Shea, Mark Kelly, Kenneth Foyle, Steven Walczak, Harrison Morg, Tyler Colander. Row 2: Henry Barsch, Kevin Tracy, Martin Murray, James Littleton, Charles Kleist, Patrick Voves, Dan Hackett, Michael Amato. Row 3: Mr. Augustyn, John O’Leary, Martin Sheehan, Luke Onoroto, Nathan Cook, John Dejard, Connor Bowes, Daniel Bombard. Row 4: Owen Greybill, James Maguire, Kevin Phelan, Thomas Crane, Sean Joyce, Michael Nelligan, Ryan Kopale, William O’Connell. POLITICS CLUB Row 1: Brian Barsch, Grant Gierhahn, Nathan Cook, Ryan Rice, Alex MacFarlane, Henry Barsch, Joseph Eloby, Christopher Staszak, Benjamin Blahusiak. Row 2: Emory Duran, Sean Joyce, Owen Greybill, Steven Walczak, Jack Sullivan, Daniel Wallace, Conor Durkin, Matthew Lufrano, Kyle Gallagher, Matthew Rogers. Row 3: Quinn Clifford, Thomas Murphy, Mike Gradolf, Sean Mulcrone, Charles Regan, Francisco Morquecho, Christopher Valles, Jeffrey Panella, John Docherty. ROBOTICS CLUB Row 1: Ryan Quattrocchi, Gabriel Gutierrez, Francis Mesec, Christopher Garza, Cameron Slavin, Jack Urchell, Antonio Franco, Alexander Novak. Row 2: Mr. Van Dyke, Ethan Green, Nash Pickens, Andrew Cwik, Aydan Smith-Tetreu, Andrew Hoeffer, Emmett Griffin, Brendan Tait. Row 3: Dorian Hopson, Brian Gidney, Benett Weber, Matthew Vlahos, James Vovos, Colin Clishan, Joseph Yozze, Frank Biesiada, Gabriel Valles. Row 4: Douglas Boyce, Nathan Kaczynski, Brendan Durkin, Gabriel Kenah, Kameryn Dancy, Peter Connolly, Troy Bever, Donald Pratt. SCHOLASTIC BOWL Row 1: Laurence Pavlik, Jeffrey Panella, Christopher Staszak, Kenneth Foyle, Benjamin Blahuasiak, Luke Onoroto, Steven Walczak, Nathan Cook, Matthew Lufrano. Row 2: Charles Regan, Joseph Yozze, Ryan Henneman, Nathan Kaczynski, Mateo Perez, Connor Melean, Mrs. England. Student Council Row 1: Ms. Pacetti, Jack Dejard, Ronan Dolan, Martin Murray, Martin Sheehan, Thomas Crane, Conor Durkin, Grant Giernahn. Row 2: Mateo Perez, Adam Homel, James Lenihan, Thomas Hermanson, John Creviston, Quinn Clifford, Kyle Gallagher, Will Stubitsch. --- 2019-20 Illinois State Scholars Row 1: Nathan T. Cook (Mount Greenwood), John M. Eastman (St. John Fisher), John R. Dolan (St. Barnabas), Thomas J. Crane (Most Holy Redeemer), Principal Robert Alberts, President Mark Donahue, Martin J. Murray (Queen Of Martyrs), Michael W. Kinnerk (Mount Greenwood), Jeremy J. Zemgulis (Sutherland), Henry J. Barsch (St. Barnabas). Row 2: William S. O’Hara (Most Holy Redeemer), Tyler D. Colander (St. Linus), Laurence W. Pavlik (St. Gerald), Liam D. Sheehan (St. Catherine of Alexandria), Declan H. Docherty (Queen Of Martyrs), Sean G. Joyce (St. Christina), Luke A. Onorato (Mount Greenwood), Kevin G. Phelan (St. Catherine of Alexandria), Kevin E. Tracy (St. Germaine). Row 3: Ryan J. Kopale (St. John Fisher), Steven D. Walczak (St. Gerald), Joseph P. Sullivan (St. Germaine), Alexander G. MacFarlane (Homeschooled), Owen P. Greybill (Trinity Lutheran), Benjamin J. Blahusiak (Our Lady Of The Ridge), Michael P. Nelligan (St. John Fisher), Ryan O. Rice (Queen Of Martyrs), Kenneth A. Foyle III (Our Lady Of The Ridge), Dylan W. Robertson (St. Joan of Arc). SPANISH CLUB Row 1: Thomas Hermanson, Jack Sullivan, Will Stubisch, Quinn Clifford, Conor Dunkin, Aidan O’Connor, Mrs. Carrol, Brendan Powell, Stephen Lynch, Jeffrey Panella, Willie Shaw, Austin Veal Row 2: Justin Hardiek, Brennan O’Malley, Grant Matern, Kevin O’Connell, John Crewston, John Kelly, Kevi Brown, Nathan Mosqueda, Sean Deane, Brendan Dunkin, Row 3: Patrick Malone, Adam Homel, Jacob Palmer, Matthew Quattroche, Quinn Owens, Paul McGrath, Joseph Collins, Charlie Aundel, Joseph Elbey, Matthew Rogers, Mateo Perez, Kyle Gallagher, Christopher Staloschek, Row 4: Brendan Ryan, Aidan Conlan, Adrian Campos, Daniel Zapata, Nick Cipriani, Brian Barsch, Frank Cumina, Jack Botta, Matthew Luriano, Ryan Schiestel, Row 5: Edward James, Thomas Skrypkin, Sean Joyce, Kevin Phelan, Ryan Whelan, Colin McGivn, Daniel Leon, John McGuffage, Sean Hollander, Michael Mullarkey, Edmund Vogtich, Row 6: Benjamin Zarifongo, Dean Lullo, Luke Egan, Ryan Altman, Cole Searnavack, John Hosty, Emmanuel Richardson, Brian McCann, Michael Lynch, Robert Regan, Mateo Del Basque. SPORTS SPOR TSSPO Wrestling, Lacrosse, Swimming, Soccer, Rugby, Volleyball, Track, Tennis, Basketball, Football, Baseball A two year member of the program, Jimmy Maguire battled hard to become the top senior on the team. When asked about how he became one of the top guys in the program, Jimmy said, “This is a sport where in order to succeed, you have to be mentally tough. I think that makes all the difference for me, and remembering that helps me keep going during each race.” What many would call a “grind freak,” Jimmy is someone that other guys on the team can look up to and aspire to be like. “He’s been a great addition to the team. Jim is a guy that everyone can talk to, and a runner that you want to strive to be like,” said junior Tom Skrypkin. Although he has only been doing cross country for two years, Jimmy has made a huge impact on the team. This past year he led the team down to the 2A state championship. Going into his last race, Jimmy knew what he had to do to make it count: “I’m honestly going to miss this team a lot more than I thought. But I’m looking forward to leaving it all out on the course with them one last time.” He did just that; Maguire finished with an impressive time of 16:28.90 in his last race ever as a Crusader. After two years of hard work, this was the last time Jimmy Maguire would lace up the spikes in stripes and tights, but he wouldn’t have wanted to do it with any other group. “I couldn’t have asked for a better team or coaching staff to do this with, and even though I’m done I know that these guys and this program will continue to ‘run ugly.’” Senior Jimmy Maguire battles for a top finish at CCL. Senior Declan McGuire starts off strong for a big PR at the Loyola Lakefront Invitational. Mikey Corcoran, Alex MacFarlane, Eddie Burke, Jimmy Maguire, Jordan Harris, Charlie Walsh, and Harrison Morg pose for a photo before the big race. Juniors Eddie Burke and Mikey Corcoran stick together to get a top finish at Lewis University. Senior Harrison Morg sustains a steady, but effective pace during the varsity race. Junior Tom Skrypkun sprints intently towards the finish line. Alex MacFarlane and Matt Quattrochi gasp for air after crossing the finish line. The frosh/soph runners prepare to compete. The varsity Crusaders take off after the starting gun is fired at the Loyola Lakefront Invitational. Golf first sparked my interest when I was about six. I had only occasionally played competitive golf until my freshman season at Brother Rice. My freshman season was a great way for me to make new friends and get better every day. I loved having Mr. Albanese and Mr. Lettiere as our coaches. Having practice rounds at Harborside every Friday my sophomore year was a very memorable experience. It was an adjustment having a whole new coaching staff, but it was nice to practice and play a lot more. I also became friends with most of the freshmen on the team, too, which was a good time. Junior year was a bit of a downfall for me. I didn’t play as well as I’d hoped, and to top it off, I had a really bad round at Ridge Country Club, which is our home course. Playing bad that year taught me how to face adversity and prepared me for a senior year. This year, Coach Ade was one of the most influential coaches for me. He taught me a lot of life lessons and was always fun to be around. Even though I didn’t make it to state, I still had fun supporting Quinn Clifford and Ben Zarlengo, who did. Brother Rice Golf has given me memories and relationships I will hold onto for the rest of my life, and I know my teammates feel the same way. “I never learned anything from a match that I won.” Junior Mike Mullarkey watches his ball soar through the air after a solid iron shot. Tony Macellaio reads the green in order to sink his putt. Junior Thomas Hermanson strategically plans out his next shot during a match against Marist. Junior Captain Quinn Clifford put on a show this season for the Crusaders in a vital year for him. He led the charge in the Crusaders' regional championship. Quinn Clifford concentrates on making a long putt in order to minimize his score. Ridge Country Club Invitational Champions - Best Score: Quinn Clifford '21 and Ben Zarlengo '21 80 2 State Qualifiers - Quinn Clifford '21 and Ben Zarlengo '21 2019 Kicking Crusaders Record: 13-8-3 vs. Hubbard W vs. Eisenhower T vs. St. Rita L vs. ICCP W @ Jones W vs. Marist T @ St. Francis de Sales W vs. St. Joseph W vs. Minooka L vs. Marmion W @ St. Ignatius L vs. Whitney Young L @ Hinsdale South W vs. Fenwick T @ St. Laurence L @ Shepard W @ Mt. Carmel L vs. Loyola W @ Hinsdale Central L vs. Providence W vs. Lincoln Park W vs. Nazareth W IHSA Playoffs vs. Tinley Park W vs. St. Rita L Sophomore Nico Pape avoids a tackle. Senior Henry Barsch eyes down the ball. The Crusaders pray before a home game. Jack Finnegan '20 By Henry Barsch '20 With a final record of 7-9-4 last year, All-American senior Jack Finnegan did not expect to win many games this season. "I was expecting, to be honest, to be just below .500," said the senior striker. "I wanted to be .500 very badly and I knew we could do it, but [13-8-3] wasn't necessarily what I was expecting." Finnegan netted 44 goals for the Crusaders. With his outstanding play, he captured many awards. It was his second All-State selection, third All-Conference, and first Lawless Award. But the award he is most proud of is All-American. He is the second Kicking Crusader to be an All-American, behind the legendary Billy Savarino. "It was cool to be an All-American. I really wanted it, but I did not expect at all to get it," said Finnegan. Finnegan gives a lot of credit to Coach Matt Prunckle. He said, "Coach Prunckle's presence really turned the program around. Once Coach got onto campus, the mood of the team just changed." The Crusaders finished 13-8-3 this season with the best season campaign in recent memory. 2019 Kicking Crusaders Record: 13-8-3 vs. Hubbard W vs. Eisenhower T vs. St. Rita L vs. ICCP W @ Jones W vs. Marist T @ St. Francis de Sales W vs. St. Joseph W vs. Minooka L vs. Marmion W @ St. Ignatius L vs. Whitney Young L @ Hinsdale South W vs. Fenwick T @ St. Laurence L @ Shepard W @ Mt. Carmel L vs. Loyola W @ Hinsdale Central L vs. Providence W vs. Lincoln Park W vs. Nazareth W IHSA Playoffs vs. Tinley Park W vs. St. Rita L Sophomore Nico Pape avoids a tackle. Senior Henry Barsch eyes down the ball. The Crusaders pray before a home game. Jack Finnegan '20 By Henry Barsch '20 With a final record of 7-9-4 last year, All-American senior Jack Finnegan did not expect to win many games this season. "I was expecting, to be honest, to be just below .500," said the senior striker. "I wanted to be .500 very badly and I knew we could do it, but [13-8-3] wasn't necessarily what I was expecting." Finnegan netted 44 goals for the Crusaders. With his outstanding play, he captured many awards. It was his second All-State selection, third All-Conference, and first Lawless Award. But the award he is most proud of is All-American. He is the second Kicking Crusader to be an All-American, behind the legendary Billy Savarino. "It was cool to be an All-American. I really wanted it, but I did not expect at all to get it," said Finnegan. Finnegan gives a lot of credit to Coach Matt Prunckle. He said, "Coach Prunckle's presence really turned the program around. Once Coach got onto campus, the mood of the team just changed." The Crusaders finished 13-8-3 this season with the best season campaign in recent memory. FALL JV Freshman Football Freshman Soccer JV Cross Country Sophomore Football Sophomore Soccer JV Golf Senior Deandre Hagan leaps for the opening tip. Senior Colin Campbell rises up for a layup against Mt. Carmel. The bench cheers on the team. Senior Conor Glennon attacks the basket during a game. The bench mob gets crazy during an exciting game. Schedule Rich South (W 78-64) Lincoln Way Central (L 51-65) Joliet West (L 53-73) Montini (W 79-53) St. Rita (W 61-58) Providence St. Mel (W 51-14) St. Francis de Sales (W 71-32) Lane Tech (W 61-60) Marinoni (W 70-53) Benet (L 41-57) (York Holiday Tournament) Riverside Brookfield (W 56-53) Mt. Carmel (L 60-66) Leo (W 73-59) Richards (W 85-83) Providence (W 57-53) Marist (W 55-47) St. Ignatius (L 58-64) DePaul Prep (W 46-40) Marian Catholic (L 55-31) Fenwick (L 76-67) Loyola (W 54-49) St. Joseph (W 57-49) De La Salle (W 58-57) St. Laurence (L 61-55) Rico Powell '20 By Conor Glennon '20 Playing basketball at Brother Rice is more than just high school basketball. It’s a tradition. Years of excellence paved the way for Crusaders today and in the future. This tradition is what drives senior Rico Powell. Rico Powell is no stranger to hard work. Starting on the “B” team freshman year, Powell used it as an opportunity to learn and grow. Fast forward three years, and Powell has grown into a key piece of a competitive Crusader team. Powell is genuinely happy with the results of his hard work, as would anybody. However, Powell is just happy to be a part of Brother Rice basketball history. He said, “It truly is amazing what can be achieved when you are playing for something bigger than yourself. Brother Rice basketball is bigger than me. I am just happy to play a role in its tradition.” Another great year in the books for the bowling program. Brother Rice bowling had their second consecutive second place finish at the Catholic League Championships this year, behind St. Patrick for the second year in a row. Senior Liam Sheehan was excited for the CCL matchup, as it was his first time on the varsity squad. "It was very fun. As a team, we got some of the highest scores in baker's games. At one of the previous tournaments, Tony Lundy scored a 299 in one of the games. That was a rare feat and extremely fun to watch. He was one pin away from a perfect game," said Sheehan. "I am excited for the future of this team. This season was super fun," said Sheehan. The bowling team had quite the successful season as they came second at CCL, beat school rival Marist, took 6th in the region, and made countless memories doing it all. Sheehan said, "I couldn't be happier with the season. I'll definitely look back on this season with pride." 2020 Schedule Record: 9-2 Mt. Carmel W Fenwick W Providence L Oak Lawn Invite 10th St. Rita W St. Laurence W Leo W Marist W De La Salle W Notre Dame L Final Fling 4th Providence W CCL 2nd Marist W IHSAA PLAYOFFS Regional 6th Junior Josh Bell, and seniors Liam Sheehan and Eddie McGunn talk strategy. Junior Tom Skrypkun adjusts the score. Players Ryan Kirchman, Tony Lundy, Liam Sheehan, and Eddie McGunn pose by the bowling balls. Senior Eddie McGunn bowls a strike. Junior Ryan Kirchman focuses on the pins. WRESTLING Junior Luke Kedzierski looking huge Senior Captain Tom Crane hand gets raised after a victory. Coach Bringe Coach Murzyn Sophomore Nathan Chirillo dominates his opponent. Crusader wrestlers discussing a meet. Sophomore Tom Bennett's game face Junior Austin Veal slams his opponent. Michael Loughney '20 By Martin Loughney '20 I never planned on wrestling at Brother Rice, until Coach Murzyn pulled me out in the hallway one day after gym class and asked me to come check it out. Not knowing what I was getting myself into, I agreed to go to practice to see what it was all about. I wrestled in my khakis and socks, and I remember it being one of the hardest things I have ever done. Still for some odd reason, I showed up day after day, never giving up. Getting better and better each day made it worthwhile; all the way up until today, it has been non-stop wrestling for me. I’ve dedicated so much time, blood, sweat, and even tears to this sport. I couldn’t imagine where I’d be without it. We have such a great team this year, filled with some great young talent. Being one of the leaders on this team is truly an honor, and I know if I try my hardest all the time, the kids looking up to me for guidance will follow. Every time I go to practice or out for my match, I never quit, no matter the challenge. “Pain is nothing compared to what it is like to quit. Give everything you got today, for tomorrow may never come.” - Dan Gable Row 1: Coach Paul Manning, Coach AJ Hernaki, Conor Hansen, Matt Doligale, Liam Bailey Stobbs, Connor Foley, Cooper Wainwright, Lou Stepanek, Luke Lawrence, Connor Haggerty, Patrick Malone. Row 2: Edmund Vogrich, Brett Jones, Blake Mayer, Brian Jeffers, Mick Badke, Jake Ryan, Sean Curtin, Caleb Bailey-Stobbs. Freshman Cooper Wainwright weaves through the defense on his way to the net. Junior Edmund Vogrich crashes to the corner of the net in order to save the puck against Mt. Carmel. Sophomores Conor Hansen and Liam Bailey-Stobbs anxiously wait for a shift change. My favorite memory of my Brother Rice hockey career was going to the quarter finals in state last year, where we played a very tough Hinsdale Central team. As the underdogs, we came out hard and fast, eventually driving the game into overtime. Unfortunately, it ended in a loss for us, but it was still an amazing moment of teamwork for our squad and definitely something I’ll remember for a long time. A defining time in my career at Brother Rice was my junior year. I was on the varsity team and I truly benefited a lot from the senior leadership I was under that year. Some of the seniors, like Billy Jeffers, really took me under their wing and molded me into the player I am today. My favorite part of leading the team now as a senior is the responsibility I have in teaching the younger guys how to get better and the mindset they need to play. I take pride in the way I lead my team because I know that we seniors have to leave this team in a better place than where we started. Thanks to Brother Rice hockey, I have developed unbreakable bonds with teammates and matured as a man, too. I was lucky enough to be coached by some great people who truly motivated me to become a better player and a better man. I was taught to work hard every second of every shift I get, and I have now learned this mentality in my day-to-day life. SKATING THROUGH 2020! WINTER JV JV Hockey JV Bowling JV Swimming "Lacrosse is more than just the game. We all grow closer each and every day. The seniors graduate every year with high expectations for those that have to fill their roles as leaders, captains, teammates, and friends." -Nicholas Currier '20 From left to right - Seniors Rob Carter, Nicholas Currier, and Johnny Pettenon "SMALL SQUAD BIG HEART" Ronan Dolan '20 By Charlie Fitzgerald '20 Ronan Dolan is a four-year sprinter on the track and field team who has been a part of multiple state qualifying relay teams his freshman and junior year. "I first came to Rice not knowing what sport I wanted to play in the spring. I used to play baseball and lacrosse, but when I tried out for track, I knew that it was the sport for me." "I think track is such a great sport because it really shows people how tough you are mentally and physically. I also got to meet a bunch of awesome people like Leo Staudacher and Joe Murtaugh." "I will always be grateful to Coach Wazio and the rest of the coaching staff for supporting me during my four years at Rice, and I hope that the track and field program has much success in the future." "All the hard work that is done in the dark will eventually come to light. SPEED KILLS." -CHASE HALL '20 "This was our year for the 4x200. Too bad Covid-19 had to just come in and take that away from us." -ANTHONY MATEJKO '20 WINTER JV Fresh/Soph Basketball Hail Our Crusader Team! JV WRESTLING BASS FISHING “Synergize: One Plus One Equals Three or More” By Connor Leibfirth ’20 I first stepped onto the tennis court when I was 5 years old. I knew since I was 4 that I wanted to play tennis at Brother Rice. My favorite memory was when Jack Aler, Connor Leibfirth, and I competed at state against very skilled players. I will also miss Taco Tuesdays with my teammates and Mr. Grogan. Coach Grogan is my biggest tennis inspiration, because he always had many quotes that would always get me pumped before a match. He would always tell us, “Be God’s number one draft choice.” Dan Hackett gives Jake Summers a fist bump at the break. Jake Summers heads for the trizone. Kevin Plumb, Dan Hackett, and Jake Summers discuss their next move at the break. The Crusaders make a gang tackle. Jake Summers knocks the opposing ball carrier out of bounds. Kevin O’Shea tells the scrumhalf when to drop the ball into the scrum. The Crusaders secured the state title for the tenth time as a program in 2019. "Brother Rice rugby has taught me more about brotherhood than I could ever imagine. I am very excited to continue playing at the University of Louisville, but I will always cherish my time playing here. I loved every second playing in that uniform." - Jake Summers '20 Bill O'Connell catches a pass from Colin Condon against Marist. Martin Murray catches a kick versus Marist. A host of Crusaders take down a Marist ball carrier. Pat Loughney makes a big tackle. Dan Ward is ready to make a play. Martin Murray dishes out a pass against rival Marist. The Crusaders get ready for a scrum against St. Ignatius. GRADUATION Welcoming Remarks Mr. Mark J. Donahue '74, President Commencement Address Mr. Robert J. Alberts '85, Principal Valedictorian's Address Owen Phillip Greybill Class of 2020 Commencement Exercises https://www.youtube.com/watch?v=7FsgNuZgpt0 Awarding of Diplomas https://www.youtube.com/watch?v=OdVN5zlKggw&t=9152s "Vision is not about seeing the present, but about seeing the future." TJ Murphy '20 “God put you on this earth for a reason. Go find out what it is.” Henry Barsch ’20 "Mrs. Carbol is not only one of the nicest individuals I have ever encountered, but she is by far, the most passionate, knowledgeable and personable teacher I have ever had. Her mental toughness also goes unmatched. I am a better man today after having her as a mentor." "I can see the world more clearly because of Mr. Dolan. He sparked my interest in history and gave me multiple viewpoints all the time. Mr. Dolan also showed me that it is never too late to change my life and impact others' lives." "Brother Hayes helped me see the world more clearly. His class ignited the spark that was already in me when it came to my interest in physics and engineering. His class opened my eyes to the amazement and powers of physics and drew me in." "The person who first made me feel like I was a part of something bigger and important was Coach Prunckle. He came in and, from day one, inspired me and my teammates to be better and make Rice a better place to be." "Mrs. Carbol is not only one of the nicest individuals I have ever encountered, but she is by far, the most passionate, knowledgeable and personable teacher I have ever had. Her mental toughness also goes unmatched. I am a better man today after having her as a mentor." "I can see the world more clearly because of Mr. Dolan. He sparked my interest in history and gave me multiple viewpoints all the time. Mr. Dolan also showed me that it is never too late to change my life and impact others' lives." "Brother Hayes helped me see the world more clearly. His class ignited the spark that was already in me when it came to my interest in physics and engineering. His class opened my eyes to the amazement and powers of physics and drew me in." "The person who first made me feel like I was a part of something bigger and important was Coach Prunckle. He came in and, from day one, inspired me and my teammates to be better and make Rice a better place to be." WATER POLO Senior Andrew Cwik surveying the waters. Senior T.J. Murphy posing before the competition. Brother Rice Principal Bob Alberts has released a message to parents, students and faculty with information regarding the steps we are taking in response to coronavirus (COVID-19). Read more. Freshman Antonio Franco showing his officePrize while working from his Chromebook eLearning Dear Parents/Guardians, Today is day 5 of eLearning. Yesterday was a beautiful day. I hope you were able to get outside and get some fresh air and exercise. Keeping your mind and body strong is very important for your health. #ActNormallyInDigitalSpaces Edpuzzle has been a great educational platform for our teachers. Mr. Peters is busy working on a new lecture for accounting class, and Mr. Abshire is making a video for his senior Theology class. #Plus5P #BRelearning The Brother Rice and Mother McAuley Band is keeping #RicePride alive with a virtual Crusader fight song! Great job to all of our talented musicians and Band Director Zach Zielinski. #RiSExceptional YOUTUBE.COM BRMM Virtual Band - Fight Song Created with Wondershare Filmora We are living in an unprecedented time. With most things totally out of our control, we may struggle to feel good or feel positive about what is happening. It's so important to take care of our own mental health in this unprecedented time in our lives. Here are some tips to help you take care of yourself while we are away from school. https://buff.ly/2aQWj63 #BRelearning TAKING CARE OF YOUR MENTAL HEALTH IN THE FACE OF UNCERTAINTY 1. SEPARATE WHAT IS IN YOUR CONTROL FROM WHAT IS NOT There are things you can do and it's helpful to focus on those. Wash your hands. Recite others to wash theirs. Take deep breaths. Practice mindfulness. 2. DO WHAT HELPS YOU FEEL A SENSE OF SAFETY This will be different for everyone, and it's important not to compare yourself to others. It's ok if you're terrified what makes you feel safe is to limit attendance at large social events, but make sure you separate when you're alone. It's ok if you're terrified what makes you feel safe is to stay home and avoid crowds. 3. GET OUTSIDE IN NATURE – EVEN IF AVOIDING CROWDS Take a walk or sit in your neighborhood when it's safe to come alone. Nature is good distracting. The sun will give you your dose of vitamin D, and it will feel great to get some fresh air off your computer screen. 4. CHALLENGE YOURSELF TO STAY IN THE PRESENT Perhaps you worry is overwhelming; you are not only thinking about what is currently happening, but also projecting into the future. Try to stay in the present moment by focusing on your breathing. Bring your awareness back to the present moment. Notice your thoughts and feelings. Don't judge them. Accept them and move on. Engaging in mindfulness exercises is one way to help stay grounded and present. 5. STAY CONNECTED & REACH OUT IF YOU NEED MORE SUPPORT Talk to trusted friends about what you are feeling. We have so many ways of staying connected from FaceTime to Zoom to texting. If you need support, please reach out to your counselor. They are here to listen and are monitoring to share what you are experiencing. If you're feeling alone and struggling, you can also reach out to The Crisis Text Line by sending TALK to 741741 or National Suicide Prevention Lifeline at 1-800-273-TALK. TO COVID-19 Brother Rice High School - Chicago March 24 at 6:52 PM Through our eLearning platforms, Brother Rice Broadcast Journalism students were instructed to pitch a COVID-19 related story, write a script, and record desk footage. Here's what Aidan O'Connor came up with! #BRelearning https://www.youtube.com/embed/1PQiexox-ggQ Brother Rice High School - Chicago March 23 at 10:02 AM Happy Sunday! Please take a moment this morning to pray with Fr. Mark Walker Brother Rice High School - Chicago March 23 Today's topic for English 4 Journalists day is "Medical Monday". They posted a moving tribute to all of people in their lives who are in the medical field. Thank you to all of our medical professionals and first responders who are working to keep our community safe. We are keeping you all in our prayers. #BRelearning We are also continuing to learn on many own from our crew. Thank you to all of the medical workers in the field that are working to accomplish the goal of stopping the virus and protecting our overall health! Brother Rice High School - Chicago March 17 In light of recent events and cancellations, the Brother Rice Drama Club regrets to announce that it will postpone next weekend's performances of The Twilight Zone until a date to be determined this spring. While the world may feel like it has been turned upside down, we are confident that a new version is worth waiting for! We will make an announcement about the rescheduled dates soon. In the meantime, the Brother Rice Drama Club is not only committed to staging these performances, but also to the health and safety of all our members, our families, and our prospective audiences. Stay tuned and stay well. Brother Rice High School - Chicago March 17 Check out Brother Rice's 3D printer in action! Engineering teacher, Mr. Van Dyke, is frequently checking in on our 3D printer to see how it is doing. He has been a vital worker, he has put in so much time to make this possible! #BRelearning Brother Rice High School - Chicago March 23 The Brother Rice family is thankful and praying for all of our medical professionals and first responders during this time. We appreciate all the exceptional work you do for our community. #BeExceptional Thank you to all of our medical professionals and first responders during this time! Brother Rice High School - Chicago March 23 Today's topic for English 4 Journalists day was "Teacher Tuesday." Thank you to all of our teachers, counselors and staff for doing their absolute best with teaching their lessons to us in a learning format and working remotely. #BRelearning I would like to shout out all the teachers at Brother Rice. This transition has not been easy or popular, but you all are doing your best to provide us with a learning environment. Thank you for your efforts, and we hope to see you soon! Brother Rice High School - Chicago March 24 at 11:23 PM Mr. Durme is showing his #BRelPride with his son, while creating a new video lesson for his biology classes and grading scans of handwritten engineering drawings for the sophomore introduction to engineering design course. #BRelearning Don't forget to wear your Crusader gear and show off your #RicePride today! Brother Rice High School - Chicago March 24 at 11:23 PM AP Calc going strong at Brother Rice! Mr. Bergstedt is keeping these guys on track with regular virtual classes via Google hangouts—so much appreciation for him and all the teachers who will not be stopped from engaging and teaching their students. Much ❤️ Brother Rice High School - Chicago April 14 at 1:30 PM Junior Engineering student, Conor Durkin, is leading Brother Rice's efforts in the fight against Covid19. Using our 3D printers, our Engineering Program will begin printing 50 face shields per day to be donated to local hospitals. Stay tuned for updates on our Crusaders' efforts! #eRiceLearning --- Brother Rice High School - Chicago April 23 at 12:00 PM Freshman Emmett O'Brien has been busy using his 3D printer at home to print mask hooks for medical professionals. These hooks prevent mask straps from leaving bruising. We are so proud of Emmett and very excited to have this young engineer in our 3-year program in the fall. This is truly what being a Crusader is all about! #eRiceLearning #CRHS --- Brother Rice High School - Chicago April 23 at 5:00 PM Thank you to our #CRHS alumnus Dan Grzadzies, M.D. '00! Dan works in Respiratory Medicine at Advocate Christ Medical Center in Oak Lawn. He wants to give a special shoutout to all the Br. Rice students who sent well wishes to their ER staff! --- Brother Rice High School - Chicago April 21 at 10:37 PM Not all heroes wear capes! Direct message us your photos of Crusaders Heroes on the front lines of COVID-19 and we will share them with the Brother Rice community. #CrusaderHeroes --- Brother Rice High School - Chicago April 20 at 6:25 PM Brother Rice football players showed support to healthcare workers at Little Company of Mary Hospital and Christ Hospital. Check out WGN's segment! https://youtu.be/QD-idYQ5G5Q --- Brother Rice High School Counseling Office Tips for Successful eLearning for Students 1. Set a Study Spot Make sure you have a dedicated study space that you can call your own. It should be filled with light. If you have a room filled with light, you will be more active and engaged in your studies! 2. Get Comfortable If you’re sitting with your Chromebook or worksheets on the floor, you may become uncomfortable. Being uncomfortable will make it harder to engage with the information being presented by your teachers. 3. Communicate When You Are Working Tell your family when you are sitting down to participate in eLearning. Let them know not to distract you until you are finished. You want to be zealous in on your work and if there is family chatter, it could disrupt your learning process. 4. Pick a Study Plan That Is Right For You Make sure you have ample time to complete assignments and projects. If you discover that, be sure you also take a break when it’s needed. Brother Rice High School - Chicago May 7 Thanks to MITT’s Bill Auer and Erin Sadekow for joining with Mr. Peter Perrotta and our seniors/Alumni Class along with BR alumni Nick Cincinno ’18 and John Stillman ’16. The students heard from the experts themselves as they discussed the importance of electrical safety in the workplace. As Bill said, it’s not just learning about business, it’s about how you live your life. #BRsLearning Chris Valles and Gabe Daggy put together a Holy Week Stations of the Cross prayer video in celebration of Holy Week. Click the link to watch the full video: https://youtu.be/yj3phTo Our Crusader family may be physically distanced from one another, but we remain spiritually connected, especially during Holy Week. We have created an online prayer request form to be shared with Fr. Mark Walter and the Brother Rice Peer Ministry Team. Please send in any special intentions you may have. https://forms.gle/ERtLGLzyBkUvGwqg? The Blue Angels flyover was captured from Brother Rice by the Schumacher family! Such an amazing tribute to honor healthcare workers and first responders during this time. Do you have a prayer request? Our Crusader family may be physically distanced from one another, but we remain spiritually connected, especially during Holy Week. We have created an online prayer request form to be shared with Fr. Mark Walter and the Brother Rice Peer Ministry Team. Please send in any special intentions you may have. https://forms.gle/ERtLGLzyBkUvGwqg? #WeAreInThisTogether for our seniors! Today we are celebrating all of our spring sport athletes from the Class of 2020. Thank you for your hard work and dedication the past four years! We are proud of our Crusaders! #IHSA Illinois High School Association (IHLA) We Remember Mr. Bob Peters People always say if you love what you do, you will never work a day in your life. Mr. Peters loved what he did. Every single day, Mr. Peters buttoned up his shirt and tied his tie, not because he wanted to look nice, but because he wanted to set an example for students to understand discipline. He did that for his students. A common knock against the educational systems in America is that they lack certain courses that teach young kids about life and beyond. Mr. Peters took young kids and molded them into young men. Mr. Peters demanded that students respected him and all of his colleagues. He was allowed to demand this of us because he gave us that same level of respect. Mr. Peters was full of life. I can assume with pure confidence that the most energetic spot of all passing periods was outside of Mr. Peters’ room. He greeted everybody, and I mean everybody. I had known Mr. Peters a little prior to entering high school, but I had never really spoken to him. I always knew who he was because he was the guy with the goatee busting his butt for the Palos Baseball Organization so that kids were able to make the most out of their time on the field. He was always looking to make the lives of people around him better. My first day of freshman year, I was walking to my new locker, which just so happened to be in the same hallway as his room. He saw me walk by and walked over and met me at my locker. He shook my hand, looked me in the eye and told me if I ever needed anything to come find him in his room. He meant it. For the next four years, I don’t think a single day went by without one of us shouting at each other in the hallway. That alone inspired me to take one of his classes. He attacked every class period with the intent of teaching us something new. That probably sounds super simple, but with Mr. Peters, it wasn’t. It only made sense for me to ask him to write my letter of recommendation for college. I knew that he would put everything he had into that letter. I never read it, nor do I ever need to. I know he wrote that letter with his whole heart and that was all I needed. Mr. Peters was an inspiration to me and many others. What he taught his students went far beyond the walls of a classroom. Mr. Peters taught his students how to become men. He taught his students that in order to be respected, you must first be able to give respect. Thank you, Mr. Peters. Your passion inspired us all. Conor Glennon ‘20 Mr. Peters was undoubtedly one of my favorite teachers at Brother Rice. Before I knew Mr. Peters, I would walk by his classroom on my way to another class and I would hear him play classic rock on his computer. Kids who knew him would shout out “MR. PETERS” in the hallway as they passed by. This is when I knew I wanted to take his classes. I took Mr. Peters’s accounting class junior year and his business entrepreneurship class senior year. These were some of my favorite classes at Rice. The material learned in these classes wasn’t always that exciting, but Mr. Peters made it fun. Mr. Peters will truly be missed by all who knew him. R.I.P. Connor Leibforth ‘20 We are accountants; we are never done. Bill O’Connell ‘20 Goodbye and Best Wishes You’ve changed me forever. And I’ll never forget you. Author Kiera Cass Class of 2020 First Day of School Freshmen Freshmen Class of 2020 On Their Way to College Jack DeJarld Miami University (OH) “I chose Miami for the rigorous academics, beautiful campus, and strong football program.” Conor Glennon University of Memphis “I chose this school to pursue an academic and basketball career at the highest level. I love the city of Memphis and am getting the opportunity to play for one of the best programs in the world.” Michael Nelligan Purdue University “I have elected to further my education at Purdue because of its well-respected engineering program.” Frankie Mesec University of Iowa “I chose Iowa because it had everything I wanted: a beautiful campus, engineering, and a Big 10 marching band. Other schools gave me similar opportunities, but Iowa just felt like home.” John Eastman University of Illinois “I chose to go to Illinois @ Urbana-Champaign because it is a great education and business school, and I knew that joining my older brother was the right choice.” Nathan Cook University of Chicago “I chose the University of Chicago because of its excellent academic programs, its unique clubs, and its student diversity.” Johnny Pettenon Concordia University in Wisconsin “I chose this college because I loved the atmosphere there and I felt welcomed as soon as I walked through those doors. I also chose Concordia because they have a great nursing program which is what I would be majoring in.” Michael Gradolf West Virginia University “I chose WVU because I was driving to New York and stayed in Morgantown for the night and thought the campus looked neat.” Colin Condon Western Michigan University "After basic training for the army, I will be continuing my education and rugby career at Western Michigan University. I chose this school because the campus is really nice and their strong rugby program." Alex MacFarlane West Point "I'm attending West Point to grow as a leader during the next four years, and to lead from the front in serving my country." John Rogers Saint Xavier University "I chose Saint Xavier because it has a good education program which will help me become a teacher." Jeremy Zemgulys University of Michigan "I chose to enroll at the University of Michigan because I really like the academic and social atmosphere of its community. I also plan to attend the University of Michigan because Ann Arbor is a beautiful area." Martin Sheehan University of Iowa "I chose the University of Iowa because it felt like home to me and I love the business school they provide." James Littleton Illinois State University "Ever since the first visit, I felt very positive this was the school for me. I am especially excited for their excellent business school" Mark Kelly Marquette University-Core Honors- Opus College of Engineering "I want to go here because it's where I feel like I most belong. Also, I had family go through there so I can ask questions about social life anytime I want." Henry Barsch University of Kansas "I chose Kansas due to the law program." Nicholas Currier Journalist Charlie Fitzgerald Historian Luke Lawrence Captain James Maguire Chaplain Sean Mahanes Captain Kevin O’Shea Jr. Captain Rico Powell Captain Christopher Valles Captain Gabriel Valles Captain Austin Veal Captain Martin Murray Taoiseach Kevin Phelan Cork Chieftain Alexander MacFarlane Limerick Chieftain Edward Burke Captain Colin Condon Journalist Lewis Conn Jr. Captain Sean Corbett Captain Malachi Dameron Captain Edgar Garcia Captain Sean Joyce Chaplain Kevin Plumb Captain Nehemiah Ray Captain Joseph Sullivan Historian LEADERS BROTHER RICE HIGH SCHOOL Be a Crusader. Be Exceptional. BROTHER RICE HIGH SCHOOL WATERFORD Be a Crusader. Be Exceptional. John Dolan Journalist Conor Durkin Historian Joseph Eloby Captain Jack Finnegan Captain Devlin Harris Captain Ryan Kopale Chaplain Anthony Matejko Captain Martin Sheehan Captain Will Stubitsch Captain Daniel Wallace Captain Thomas Crane Tanaiste Owen Greybill Dublin Chieftain Henry Barsch Waterford Chieftain Brian Barsch Captain Kevin Brown Captain Adrian Campos Captain John Dejarld Chaplain Kenneth Foyle III Historian Grant Gierhahn Journalist Thomas Murphy Captain Michael Nelligan Captain Brendan Ryan Captain Liam Sheehan Captain Seniors Kevin Phelan and Sean Joyce check into a basketball game. (Far right) Seniors Colin Campbell, Mike Gradolf, and Tom Devine have a blast in the moshpit. (Top) Bill O’Connell and his mom at the mother son mass. (Above) Seniors enjoy the pep rally before homecoming! (Right) Seniors “take the rail” to cheer on the football team. The rugby team celebrates its ninth state title after defeating Nequa Valley! Senior baseball players have a great time during pictures. Seniors Kevin Phelan and Martin Sheehan sit with their mothers after the mother-son mass. (Below) Jack Finnegan, Micah Gouwens, and Jack Payton sign letters of intent to play Division One athletics. (Left) Tyler Colander reads the Bible passage for an all school mass. (Left) Ronan Dolan, Owen Greybill, Martin Murray, Martin Sheehan, and Kevin Phelan receive their prestigious academic awards. (Top) Jack DeJard struggles to catch his breath after battling it out on the field. Dan Golon, NHS, takes a prospective family on a tour around the halls of Brother Rice. Seth Miller poses proudly with his gold medal after an amazing competition. Two of the biggest trophies, Jacob Sullivan and Giacomo Irazi, on display. “Our visions are sculpted not by our eyes, but by the love and friendship of those dearest to us." Charlie Fitzgerald '20 Owen Greybill Gold Medal for General Excellence Gold Medal for Advocacy Gold Medal for Student Athlete Kevin Tracy Silver Medal for General Excellence W.C. Penny Gold Medal for Mathematics Joseph Sullivan Bronze Medal for General Excellence Ella C. McCormick Memorial Medal for Science James M. Coleman Memorial Award for Christian Service Thomas Crane American Legion Medal for Citizenship Andrew Cwik Gold Medal for Engineering Tyler Davros Gold Medal for Music Declan Docherty Gold Medal for German Kenneth Foyle III Gold Medal for Spanish Grant Gierhahn Gold Medal For Media Communications Justin Jefferson E.M. Vranka Gold Medal for “Rice Pride” Michael Kinnerk Gold Medal for French Gold Medal for Journalism Connor Leibforth Bob Peters Memorial Gold Medal for Business James Littleton Gold Medal for Campus Ministry Alexander MacFarlane John F. Kennedy Memorial Medal for U.S. History Francis Mesec Gold Medal for Drama Seth Miller Gold Medal for Computer Science Martin Murray Elmer J. Anderson Memorial Award for Student Leadership Laurence Pavlik Gold Medal for English Patrick C. O’Connor Memorial Medal for Theology Nicholas Acevedo Michael Amato Adrian Arriaga Edward Bahena Caleb Bailey-Stobbs Henry Barsch Ramus Berryhill Benjamin Blahusiak Michael Blake Matthew Bobak Michael Bobak Daniel Bombard "I can see the world more clearly because of Mr. Gleeson. He was a tough teacher and you always had to 'act manfully in Christ Jesus' in his classroom. He taught me that life is not easy, but if you continue to always give it 100%, then it will pay off in the end." "I can see the world more clearly because of Mr. Molenda. He taught me patience and composure." "Dr. Luxem helped me realize who I am as a student and a teammate throughout my four years at Brother Rice." "I can see the world more clearly because of Mr. Rolence. He is very engaging both in the classroom and in Drama Club. Mr. Rolence taught me to get involved and enjoy what you do." "Mrs. Charters told me, 'You're a good kid, but in order to achieve your goals in life, you need to put in work.'" "Ms. Donnelly helped me realize that I can accomplish anything in this world when I set my mind to it. She also showed me that education goes a long way to get where you want to go, and if you don't struggle then you won't grow." “I can see the world more clearly because of Mr. Dwyer. I walk into his class every day excited to learn about life lessons and important things that will help me down the road in life.” “Mr. Bergstedt has pushed me to be a better person. By challenging me every day in the classroom, he instilled a work ethic in me that will be useful for the rest of my life, and for that, I am forever grateful.” “I can see the world more clearly because of Mr. Dunne. I will always remember not only his extensive knowledge in the classroom, but also his ability to hold engaging, meaningful conversations about more than just the course material.” “Someone who made me see the world more clearly would have to be Mr. Peters. He was always full of energy and loved coming to work every day. He shared stories of why it was necessary to pick the right career because if you enjoyed working every day it wasn’t considered a job.” “Coach Bringe always made me push myself in every wrestling practice and game.” “I can see the world more clearly now because of Mr. Swynenburg. As a coach and teacher, Mr. Swynenburg always pushed me to be the best student and athlete I could be. If it wasn’t for him, I would not be the young man I am today.” "I can see the world more clearly because of Mr. Parker. He has shown me through the years how to adapt and succeed at a job with great work ethic, and by demonstrating daily how important family is in life. I promise him this - the lessons that I have learned from him will never be forgotten or taken for granted." "All of my band directors have helped me see the world in a different way and I truly thank them for it because it really has made me who I am today. Thank you Mr. Rendak, Mr. Rallis, Mr. Flores, and Mr. Zielinski." “Mr. Creed has helped me see the world more clearly more than anyone I could have ever imagined. Transferring into Rice my sophomore year and Mr. Creed welcoming me into that school with open arms has made a huge impact on my high school experience. Mr. Creed will forever be the GOAT.” “Coach Gleeson and Coach Lyons both taught me toughness and how to be a man.” “I can see the world more clearly because of Mr. Dolan. The way he explains current events and history in a clear concise manner allows for an unbiased view of the world.” “I can see the world more clearly because of Mr. Antos and Mr. Parker. When I visited Brother Rice for the first time, my family and I were greeted by Mr. Antos, who made Brother Rice feel warm, welcoming, and family-first by taking us into the chapel, leading us in an introductory prayer, and describing the values of Edmund Rice and an Edmund Rice education to us; after that we went on a tour where I met Mr. Parker, who was talking about the technology Brother Rice uses and he also discussed how he used the Edmund Rice values in his daily teachings. These men live Brother Rice every day and I have become a better person by knowing them and having them guide me through these four years at Brother Rice.” “Mr. Lyons taught me how to live the Crusader way.” “Mr. Creed has helped me come so far during my time at Brother Rice. I used to be very insecure about myself and my ability to do things, but Mr. Creed really changed that for me. If it wasn’t for his help and guidance, I am honestly not sure where I would be today.” “A special thanks to Ms. Forbes for improving my vocabulary skills significantly and for all the fun times we had in English I and III, especially the day you bought a fancy cake in for the entire class. It was delicious! Thank you very much for everything.” "Throughout my four years, I would see Bro Hayes every day by my locker and because he had my brother, he always made it a point to say hi and check up on me and my family. This year, having Bro's class was the best decision of my life because not only am I learning, but I am also enjoying myself as well." "Mr. Molenda’s down-to-earth attitude showed me that the best of relationships could come from the most unlikely circumstances. He taught me responsibility, understanding, patience, along with countless other traits I use every day." Crusader Baseball "The best that could've been" Class of 2020 Baseball Tribute Connor King Tom Devine Micah Gouwens Nate Sobek Marquis Jackson Jack Payton Luke Whirity Dylan Robertson '20 By Alex Roche '20 Dylan Robertson is a quiet guy, but once he steps on that baseball field, he is a whole different man. "Baseball has been my sport since I was little, and I can't wait for more to come in the future." If the 2020 baseball season was to happen, Dylan would have been one of the two varsity captains and led the Crusader team. "Ever since freshman year, D-rob has been a leader for our team," said Jacob Sullivan. For Dylan, he will be continuing his baseball and academic career at Iowa Western, where he will hopefully be a great leader as well. The 2020 Crusader baseball team had recently won summer state and sadly will not be able to play their games this year, but they are going to go into Brother Rice history. Eddie Myles III: St. Margaret of Scotland Michael Nelligan: St. John Fisher; Basketball 1; Crusader Crazies 1, 2, 3, 4; Cross Country 3; Volleyball 1, 2, 3, 4; BR Ambassadors 1, 2, 3, 4; Edmund Rice Camp Counselor 2, 3, 4; Illinois State Scholar; Main Office Runner 2; National Honor Society 2, 3, 4; Peer Ministry 4; Kairos 148. Anthony Noska: St. Michael; Athletic Trainer 4; Crusader Crazies 1, 2, 3, 4; Football 1, 2; Wrestling 1, 2, 3; Kairos 150. William O’Connell: St. Christina; Basketball 1, 2; Crusader Crazies 1, 2, 3, 4; Football 1; Rugby 2, 3, 4; Edmund Rice Camp Counselor 3, 4; Peer Ministry 4; Kairos 146, 150. Billy O’Hara: Most Holy Redeemer; Baseball 1, 2, 3; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2, 3, 4; Illinois State Scholar; Main Office Runner 2; National Honor Society 2, 3, 4; Peer Ministry 4; Kairos 151. Jack O’Leary: Independence Junior High; Baseball 1, 2, 3, 4; Football 1, 2, 3, 4; Main Office Runner 2, 3; Peer Ministry 4; Kairos 151. Evan Olivo: Liberty Junior High Luke Onoroto: Mount Greenwood Colin Osborne: Queen of Martyrs; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2; Volleyball 1, 2. Kevin O’Shea: Queen of Martyrs; Crusader Crazies 1, 2, 3, 4; Football Statistics 1, 2; Rugby 2, 3, 4; Volleyball 1; BR Ambassadors 3, 4; Chess Club 1, 2, 3; Dean’s Office Runner 2; German Club 1, 2, 3, 4; National Honor Society 3, 4; Peer Ministry 4; Kairos 148. Laurence Pavlik: St. Gerald; Band 1, 2, 3, 4; Drama Club 4; German Club 1, 2, 3, 4; Illinois State Scholar; Improv Club 4; Lyrical Fight Club 4; Politics Club 3; Scholastic Bowl 1, 2, 3, 4; Kairos 147. Jack Payton: Orland Junior High; Baseball 1, 2, 3, 4. Alexander Perez: St Christina Jahlil Pettis: O. W. Huth John Pettenon: St. Symphorosa; Football 1, 2, 3, 4; Lacrosse 1, 2, 3, 4; BR Ambassadors 4; Drama Club 4; Lyrical Fight Club 2, 3, 4; Main Office Runner 3; Kairos 151. Kevin Phelan: St. Catherine of Alexandria; Basketball 1, 2, 3, 4; Crusader Crazies 1, 2, 3, 4; Football 1, 2, 3, 4; BR Ambassadors 3, 4; Edmund Rice Camp Counselor 2, 3; Illinois State Scholar; National Honor Society 3, 4; Peer Ministry 4; Spanish Club 4; Kairos 149, 152. Kevin Plumb: Queen of Martyrs; Basketball Stats 1; Crusader Crazies 1, 2, 3, 4; Football 1, 4; Rugby 1, 3, 4; National Honor Society 2, 3, 4; Peer Ministry 4; Kairos 151. Rico Powell: CICS Wrightwood Vincent Przybylski: St. Catherine of Alexandria; Band 1, 2, 3, 4; German Club 1, 2; Investment Club 4; Main Office Runner 2; Paintball Club 3; Robotics Club 1, 2. Nicholas Reidy: Independence Junior High Ryan Rice: Queen of Martyrs; Crusader Crazies 1, 2, 3, 4; Cross Country 1; Football Statistics 2; Rugby 2; German Club 1, 2, 3, 4; Illinois State Scholar; Main Office Runner 2; National Honor Society 2, 3, 4; Politics Club 3, 4; Robotics Club 1, 2, 3; Kairos 151. Dylan Robertson: St Joan of Arc; Baseball 1, 2, 3, 4; French Club 2; Illinois State Scholar; National Honor Society 3; Kairos 151. Alex Roche: St John Fisher; Athletic Trainer 4; Baseball 1, 2, 3, 4; Crusader Crazies 1, 2, 3, 4; Football 1, 2, 3, 4; Wrestling 1; Yearbook 4. John Rogers: St. John Fisher; Band 1, 2, 3, 4; Drama Club 2, 3, 4; Edmund Rice Camp Counselor 1; National Honor Society 3, 4. Corey Ross: St.Bede; Band 1; Chess Club 1, 4; German Club 1, 4. Liam Sheehan: St. Catherine of Alexandria; Bowling 1, 2, 3, 4; Volleyball 1, 2, 3, 4. By Connor Leibforth ‘20 \| Name \| School \| Activities \| \|--------------------\|-------------------------------\|---------------------------------------------------------------------------\| \| Martin Sheehan \| Most Holy Redeemer \| Crusader Crazies 1, 2, 3, 4; Football 1, 2; BR Ambassadors 2, 3, 4; Announcements Team 4; National Honor Society 2, 3, 4; Peer Ministry 4; Politics Club 4; Spanish Club 4; Student Council 1, 2, 3, 4; Kairos 149, 150. \| \| Colin Smyth \| Jerling Junior High \| Baseball 1; Crusader Crazies 1, 2, 3, 4; Football 1, 2, 3; Rugby 4; Track 2; Kairos 151. \| \| Nathan Sobek \| Queen of Martyrs \| Baseball 1, 2, 3, 4; Basketball 1; Crusader Crazies 1, 2, 3, 4; BR Ambassadors 3; Kairos 150. \| \| Kris Springer \| St. Damian \| Volleyball 1. \| \| Louie Stepanek \| Oak Lawn-Hometown Middle School \| Athletic Trainer 4; Hockey 1, 2, 3, 4; Main Office Runner 3. \| \| Jacob Sullivan \| Orland Junior High \| \| \| Joseph Sullivan \| St. Germaine \| Advocacy Club 3, 4; BR Ambassadors 4; Chess Club 3; Illinois State Scholar; Investment Club 4; National Honor Society 2, 3, 4; Paintball Club 3. \| \| Jacob Summers \| St. John Fisher \| \| \| Kevin Tracy \| St. Germaine \| Basketball 1, 2, 3, 4; Cross Country 1; Advocacy Club 4; BR Ambassadors 3, 4; Illinois State Scholar; National Honor Society 3, 4; Peer Ministry 4; Politics Club 4. \| \| Ramon Valadez Jr. \| St. Agnes \| Football 4; Kairos 149, 152. \| \| Ricardo Villasenor \| St. Bruno \| \| \| Packy Voves \| Queen of Martyrs \| Lacrosse 1; Announcements Team 2; Dean's Office Runner 2; Main Office Runner 3; Peer Ministry 4; Kairos 150. \| \| Steven Walczak \| St. Gerald \| Crusader Crazies 3, 4; Advocacy Club 3, 4; Illinois State Scholar; Peer Ministry 4; Politics Club 3, 4; Robotics Club 1, 2; Scholastic Bowl 1, 2, 3, 4; Kairos 149, 152. \| \| Daniel Ward \| Queen of Martyrs \| Baseball 1, 2; Football 1; Rugby 3, 4. \| \| Luke Whirity \| St. Christina \| Baseball 1, 2, 3, 4; Basketball 1; BR Ambassadors 3; Kairos 151. \| \| Jacoby Young \| St. Germaine \| \| \| Denver Warren \| Hall Elementary \| \| \| Ethan Williams \| St. Catherine of Alexandria \| Yearbook 4. \| \| Jeremy Zembulys \| Sutherland \| Tennis 1, 2, 3, 4; Advocacy Club 3, 4; Band 1, 2, 3, 4; Drama Club 4; French Club 1, 2, 4; Illinois State Scholar; Improv Club 4; Lyrical Fight Club 2, 3, 4; National Honor Society 2, 3, 4; Pep Band 1; Kairos 150. \| \| Name \| School/Location \| Activities \| \|-----------------------\|------------------------------------------------------\|---------------------------------------------------------------------------\| \| Nick Acevedo \| St. Barnabas; Crusader Crazies 1, 2, 3, 4; Hockey 1; Lacrosse 1, 2, 3, 4; Soccer 2; French Club 1, 2; Investment Club 4. \| \| Michael Amato \| St. Symphorosa; Athletic Trainer 4; Crusader Crazies 1, 2, 3, 4; Football 1, 2, 3, 4; BR Ambassadors 2, 3; Announcements Team 2, 3; Edmund Rice Camp Counselor 4; Peer Ministry 4; Spanish Club 2; Kairos 149, 151. \| \| Adrian Arriaga \| UNO Torres Charter School; Baseball 1, 2; Football 1. \| \| Edward Bahena \| St. Bruno \| \| Caleb Bailey-Stoobs \| Palos South \| \| Henry Barsch \| St. Barnabas; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2, 3, 4; Track 2, 3, 4; BR Ambassadors 3, 4; Edmund Rice Camp Counselor 3; Illinois State Scholar; National Honor Society 3, 4; Peer Ministry 4; Politics Club 2, 3, 4; Yearbook 4; Kairos 149. \| \| Ramus Berryhill \| Calumet Park; Swimming 1, 2; Wrestling 3; BR Ambassadors 1, 2, 3, 4; Band 1, 2, 3, 4; French Club 2; Lyrical Fight Club 1, 2, 3, 4. \| \| Ben Blahusiak \| Our Lady of the Ridge; Crusader Crazies 1, 2, 3, 4; Advocacy Club 3, 4; Illinois State Scholar; National Honor Society 2, 3, 4; Politics Club 4; Scholastic Bowl 3, 4; Kairos 148. \| \| Matt Bobak \| St. Gerald; Band 1, 2, 3, 4; Lyrical Fight Club 4. \| \| Michael Bobak \| St. Gerald; Band 1, 2, 3, 4; Lyrical Fight Club 4. \| \| Daniel Bombard \| Most Holy Redeemer; Crusader Crazies 1, 2, 3, 4; Football 1, 2; Rugby 2, 3, 4; German Club 1, 2, 3, 4; Main Office Runner 3; Peer Ministry 4; Kairos 150, 151. \| \| Tommy Boyle \| Most Holy Redeemer; Crusader Crazies 1, 2, 3, 4; Lacrosse 1, 2, 3, 4; Soccer 1, 2; Edmund Rice Camp Counselor 1, 2, 3; Main Office Runner 3; Kairos 150. \| \| Connor Bowes \| Saint Germaine; Basketball Stats 1; Crusader Crazies 1, 2, 3, 4; Volleyball 1; Water Polo 4; BR Ambassadors 2, 3, 4; Edmund Rice Camp Counselor 3, 4; Investment Club 4; National Honor Society 2, 3, 4; Peer Ministry 4; Kairos 147, 150. \| \| John Bresnahan \| St. John Fisher \| \| Mario Brown \| Beasley Academic Center; Football 4. \| \| Quinn Callahan \| Independence Junior High; Baseball 2; Basketball 1; Crusader Crazies 4; Main Office Runner 2, 3. \| \| Colin Campbell \| St. Catherine of Alexandria; Baseball 1, 2, 3; Baseball Statistics 1; Basketball 1, 2, 3, 4; Crusader Crazies 1, 2, 3, 4; BR Ambassadors 3, 4; Dean's Office Runner 3. \| \| Robert Carter III \| St. John Fisher; Basketball Stats 3, 4; Crusader Crazies 1, 2, 3, 4; Football 1, 2, 3; Football Statistics 4; Lacrosse 3, 4; Volleyball 1; BR Ambassadors 3; Announcements Team 2, 4; Gameday Crew 2, 3, 4; Main Office Runner 3; Kairos 151. \| \| Daniel Cimaglia \| St. Germaine; Track 1; Counseling Office Runner 3; National Honor Society 2, 4. \| \| Tyler Colander \| St. Linus; Band 1, 2, 3, 4; Chess Club 1, 2, 3, 4; Chess Team 2, 3, 4; German Club 1, 2, 3, 4; Illinois State Scholar; Improv Club 4; Peer Ministry 4; Pep Band 1; Kairos 147. \| \| Charles Condon \| Oak Lawn-Hometown Middle School; Baseball 1, 2; Basketball 1; Crusader Crazies 1, 2, 3, 4; Investment Club 4. \| \| Colin Condon \| Oak Lawn-Hometown Middle School; Baseball 1; Crusader Crazies 1, 2, 3, 4; Football 1, 2, 3, 4; Rugby 3, 4; BR Ambassadors 3, 4; Main Office Runner 2, 3; Yearbook 4. \| \| Kevin Connolly \| Oak Lawn-Hometown Middle School \| \| Nathan Cook \| Mount Greenwood; Sailing Team 1; Tennis 3; Advocacy Club 3, 4; Chess Club 1; Illinois State Scholar; Peer Ministry 4; Pep Band 1, 2; Politics Club 3, 4; Scholastic Bowl 2, 3, 4; Kairos 148. \| \| Sean Corbett \| St. Cajetan; Football 1, 2, 3, 4; Rugby 3, 4; Sailing Team 1; Main Office Runner 2; Kairos 151. \| \| Tom Crane \| Most Holy Redeemer; Crusader Crazies 1, 2, 3, 4; Golf 2; Volleyball 1; Wrestling 2, 3, 4; BR Ambassadors 3, 4; Illinois State Scholar; National Honor Society 2, 3, 4; Peer Ministry 4; Student Council 1, 2, 3, 4; Kairos 149, 150. \| \| Michael Curran \| Oak Lawn-Hometown Middle School \| \| Nicholas Currier \| Queen of Martyrs; Crusader Crazies 1, 2, 3, 4; Cross Country 1; Lacrosse 1, 2, 3, 4; Soccer 2; Edmund Rice Camp Counselor 2, 3; Investment Club 3; National Honor Society 3, 4; Yearbook 4. \| Andrew Dwik: St Daniel the Prophet; Swimming 1, 2, 3, 4; Water Polo 1, 2, 3, 4; Band 1, 2, 3, 4; Main Office Runner 3; Robotics Club 1, 2, 3, 4. Malachi Dameron: Locke Charter Michael Davis: St. Catherine of Alexandria Tyler Davros: St. John the Baptist; Band 1, 2, 3, 4; Chess Club 2, 3, 4; Dean’s Office Runner 3; Drama Club 4; German Club 1, 2; Lyrical Fight Club 3, 4; Robotics Club 1, 2. Jack DeJarld: Most Holy Redeemer; Basketball 1, 2, 3; Football 1, 2, 3, 4; Advocacy Club 3, 4; BR Ambassadors 3, 4; National Honor Society 2, 3, 4; Peer Ministry 4; Student Council 1, 2, 3, 4; Kairos 151. Thomas Devine: St. Christina; Baseball 1, 2, 3, 4; Basketball Stats 1; Golf 1; Advocacy Club 3; BR Ambassadors 3; Creative Writing Club 4; Edmund Rice Society 2; Investment Club 4; Main Office Runner 2; Yearbook 4; Kairos 150. Declan Docherty: Queen of Martyrs; Cross Country 1; Rugby 2; Soccer 2; Track 1; Volleyball 1; Edmund Rice Camp Counselor 2, 3, 4; German Club 1, 2, 3, 4; Illinois State Scholar; National Honor Society 3, 4. Luke Doeslaere: Oak Lawn-Hometown Middle School; Band 1, 2, 3, 4; Investment Club 4; Lyrical Fight Club 2, 3, 4; Kairos 148. Ronan Dolan: St. Barnabas; Crusader Crazies 1, 2, 3, 4; Football 1, 2, 3, 4; Track 1, 2, 3, 4; Edmund Rice Camp Counselor 2, 3, 4; German Club 2, 3, 4; Illinois State Scholar; National Honor Society 2, 3, 4; Politics Club 3; Student Council 3, 4; Yearbook 4. Matthew Doligale: St. John Fisher Zachary Drobitsch: Independence Junior High; Band 1, 2; Coding Club 2; Investments Club 4. Emory Duran: St. Louis de Montfort; Band 1, 2, 3, 4; Chess Club 1; Diversity Club 3, 4; German Club 2, 3; Politics Club 4. John Eastman: St. John Fisher; Golf 1, 2, 3, 4; Lacrosse 3, 4; Volleyball 1, 2; German Club 1, 2, 3, 4; Illinois State Scholar; Investment Club 4; National Honor Society 2, 3, 4. Jack Finnegan: Oak Lawn Hometown Middle School; Basketball 1; Bass Fishing 1, 2, 3; Soccer 1, 2, 3, 4; BR Ambassadors 3, 4; National Honor Society 3, 4; Peer Ministry 4; Kairos 149. Charlie Fitzgerald: St. John Fisher; Basketball 1, 2; Crusader Crazies 1, 2, 3, 4; Football 1, 4; Rugby 4; Track 2, 3; BR Ambassadors 2, 3, 4; Art Club 3; Diversity Club 4; Investment Club 3, 4; Yearbook 4. By Declan McGuire ‘20 MICHAEL FLYNN: St. Germaine; Baseball 1; Crusader Crazies 1, 2, 3, 4; Football 1, 2; Volleyball 2; National Honor Society 2, 3, 4; Kairos 148. GREG FOSTER: Infant Jesus of Prague; Athletic Trainer 4; Basketball 1, 2, 3, 4; Football 1, 2, 3, 4. KENNETH FOYLE: Our Lady of the Ridge; Crusader Crazies 1, 2, 3, 4; ACTION Leadership Conference; Advocacy Club 3, 4; Illinois State Scholar; National Honor Society 2, 3, 4; Peer Ministry 4; Scholastic Bowl 2, 3, 4; Yearbook 4; Kairos 148. NICHOLAS FRANCIS: Simmons Middle School GRANT GIERHANH: St John Fisher; Crusader Crazies 1, 2, 3, 4; Cross Country 1, 2; Track 1; BR Ambassadors 3, 4; Announcements Team 4; Edmund Rice Camp Counselor 2, 3; Gameday Crew 2, 3, 4; National Honor Society 3, 4; Politics Club 4; Student Council 3, 4; Yearbook 4. CONOR GLENNON: Independence Junior High; Athletic Trainer 4; Basketball 1, 2, 3, 4; Crusader Crazies 1, 2, 3, 4; BR Ambassadors 2, 3, 4; Counseling Office Runner 3; National Honor Society 3, 4; Yearbook 4. DAN GOLON: St. Catherine of Alexandria; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2, 3, 4; Tennis 2; Volleyball 1; BR Ambassadors 2, 3; National Honor Society 3, 4; Peer Ministry 4; Robotics Club 2; Yearbook 4; Kairos 151. THOMAS GORMAN: Christ the King MICAH GOUWENS: Calvan Christian Academy MICHAEL GRADOLF: St. Barnabas; Cross Country 3; Football 1; Lacrosse 2, 3; BR Ambassadors 3; Counseling Office Runner 3; German Club 2, 3; Politics Club 4; Kairos 151. OWEN GREYBILL: Trinity Lutheran; Athletic Trainer 3, 4; Swimming 1, 2, 3, 4; Tennis 4; Track 2, 3; Water Polo 1; ACTION Leadership Conference 3; Advocacy Club 3, 4; BR Ambassadors 3, 4; Art Club 1, 3, 4; Chess Club 1, 2; Chess Team 2, 3; Coding Club 3; Edmund Rice Camp Counselor 2, 3, 4; Illinois State Scholar; National Honor Society 2, 3, 4; Peer Ministry 4; Politics Club 3, 4; Kairos 147, 152. DANIEL HACKETT: St. Christina; Crusader Crazies 1, 2, 3, 4; Rugby 1, 2, 3, 4; Wrestling 1, 2, 3; BR Ambassadors 3, 4; Coding Club 3; Peer Ministry 4; Politics Club 4; Spanish Club 1, 2; Kairos 147, 150. DEANDRE HAGAN: Central Middle School; Basketball 1, 2, 3, 4; Athletic Trainer 4; Yearbook 4. SCOTT HALKO: Sutherland; Anime Club 1, 2. CHASE HALL: Central Middle School; Athletic Trainer 4; Baseball 1; Football 1, 2, 3, 4; Track 1, 2, 3, 4; Band 3, 4; Dean's Office Runner 3. JORDAN HARRIS: Memorial Junior High; Cross Country 4; Rugby 1, 2; Soccer 1, 2, 3, 4; Track 3, 4; BR Ambassadors 3, 4; Kairos 151. PATRICK HENNIGAN: Christ the King; Basketball 1; Football 1; Lacrosse 1, 2, 3, 4; Investment Club 3; Kairos 151. GIACOMO IRACI: St. Catherine of Alexandria; Football 1, 2, 3, 4; Track 1, 2, 3; Counseling Office Runner 3. MARQUIS JACKSON: CICS JUSTIN JEFFERSON: Owen Scholastic Academy SEAN JOYCE: St. Christina; Basketball 1, 2, 3, 4; Crusader Crazies 4; Volleyball 1, 2, 3; BR Ambassadors 3, 4; Edmund Rice Camp Counselor 3, 4; Illinois State Scholar; Investment Club 4; National Honor Society 2, 3, 4; Politics Club 2, 3, 4; Spanish Club 4; Kairos 146, 152. MARK KELLY: St. Damian; Crusader Crazies 1; Volleyball 1, 2, 3, 4; BR Ambassadors 3, 4; Counseling Office Runner 2; National Honor Society 2, 3, 4; Peer Ministry 4; Robotics Club 1; Kairos 147. MICHAEL KELLEY: St. John Fisher; Crusader Crazies 1, 2, 3, 4; Rugby 1, 2, 3; Soccer 1; Investment Club 4. CONNOR KING: Wilbur Wright; Baseball 2, 3, 4; Crusader Crazies 2, 3, 4. MICHAEL KINNERK: Mount Greenwood; Advocacy Club 3; Band 1; Drama Club 1; Illinois State Scholar; Lyrical Fight Club 1, 2, 3; Student Council 1, 2, 3, 4; Yearbook 4. CHARLIE KLEIST: Christ the King; Basketball 1; Lacrosse 3, 4; Soccer 1; Volleyball 1, 2; BR Ambassadors 3; French Club 1, 2; Lyrical Fight Club 1, 2; National Honor Society 3, 4; Peer Ministry 4; Kairos 150. RYAN KOPALE: St. John Fisher; Soccer 1, 2, 3, 4; Swimming 1, 2, 3, 4; Water Polo 1; BR Ambassadors 3, 4; German Club 1, 2, 3, 4; Illinois State Scholar; Main Office Runner 2; National Honor Society 3, 4; Peer Ministry 4; Kairos 148, 152. JACK LANDMESSER: Wright Middle School JACK LASCOLA: Cassell CONNOR LEIBFORTH: Most Holy Redeemer; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2, 3, 4; Tennis 1, 2, 3, 4; Track 1, 2, 3; Investment Club 3, 4; Yearbook 4; Kairos 151. \| Name \| School \| Activities \| \|-----------------------\|-------------------------------\|---------------------------------------------------------------------------\| \| Fabio Leonard \| St. Gerald \| Soccer 1, 2, 3; French Club 4; National Honor Society 2, 3. \| \| William Little \| St. Christina \| Basketball 1; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2; Volleyball 1, 2; Announcements Team 4; Counseling Office Runner 3; Investment Club 3, 4; Peer Ministry 4; Yearbook 4; Kairos 148, 150. \| \| James Littleton \| St. John Fisher \| Basketball 1; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2; Volleyball 1, 2; Announcements Team 4; Counseling Office Runner 3; Investment Club 3, 4; Peer Ministry 4; Yearbook 4; Kairos 148, 150. \| \| Michael Lorenz \| Jack Hille Middle School \| Crusader Crazies 1, 2, 3, 4; Hockey 1, 2, 3, 4; Lacrosse 1; Spanish Club 1, 2, 3; Kairos 151. \| \| Martin Loughney \| Mount Greenwood \| Athletic Trainer 4; BR Ambassadors 3, 4; Edmund Rice Camp Counselor 1, 2, 3, 4; Irish Music 1, 2; Spanish Club 1, 2, 3; Yearbook 4. \| \| Michael Loughney \| Mount Greenwood \| Athletic Trainer 4; Crusader Crazies 1, 2, 3, 4; Soccer 1, 2; Wrestling 1, 2, 3, 4; Edmund Rice Camp Counselor 1, 2, 3, 4; Fishing Club 2, 3; French Club 2. \| \| Patrick Loughney \| Mount Greenwood \| Rugby 1, 2, 3, 4; Soccer 1; Edmund Rice Camp Counselor 1, 2, 3; Fishing Club 1, 2; Kairos 150. \| \| Harry Mabs IV \| Kahler Middle School \| Bass Fishing 4; Hockey 1, 2, 3; Counseling Office Runner 3; Fishing Club 1; German Club 1, 2; Investment Club 4. \| \| Alex MacFarlane \| Most Holy Redeemer/Homeschooled \| Cross Country 2, 3, 4; Hockey 1; Track 1, 2, 3; German Club 1, 2, 3, 4; Illinois State Scholar; Politics Club 1, 2, 3, 4; Scholastic Bowl 1, 2, 3, 4; Kairos 148, 151. \| \| Jimmy Maguire \| St. Catherine of Alexandria \| Basketball 1, 2; Cross Country 3, 4; Tennis 2, 3, 4; Dean's Office Runner 2; Edmund Rice Camp Counselor 2, 3; Investment Club 3, 4; National Honor Society 2, 3, 4; Peer Ministry 4; Student Council 3, 4; Kairos 151. \| \| Anthony Matejko \| Wilbur Wright Middle School \| Crusader Crazies 3, 4; Football 3, 4; Track 2, 3; Investment Club 4; National Honor Society 4; Politics Club 4; Spanish Club 3. \| \| Liam McElligott \| St. Michael \| \| \| Declan McGuire \| St. Christina \| Basketball 1, 2; Crusader Crazies 1, 2, 3, 4; Cross Country 3, 4; Track 3, 4; Volleyball 1, 2; BR Ambassadors 3; Dean's Office Runner 3; Investment Club 4; National Honor Society 3, 4; Peer Ministry 4; Yearbook 4; Kairos 148, 151. \| \| Edward McGunn \| Morgan Park Academy \| Baseball 1, 2, 3; Bowling 1, 2, 3, 4; National Honor Society 2. \| \| Conor McMullin \| St. Christina \| Basketball 1; Volleyball 1, 2, 3, 4; BR Ambassadors 3; Investment Club 3; National Honor Society 2, 3, 4; Spanish Club 2. \| \| Frankie Mesec \| St. Cletus \| Crusader Crazies 1, 2, 3, 4; Advocacy Club 3, 4; BR Ambassadors 3; Band 1, 2, 3, 4; Drama Club 1, 2, 3, 4; Edmund Rice Camp Counselor 2, 4; Improv Club 4; Lyrical Fight Club 4; Main Office Runner 2; National Honor Society 2, 3, 4; Robotics Club 1, 2, 3, 4; Yearbook 4; Kairos 147. \| \| Seth Miller \| Central Middle School \| Baseball 1; Crusader Crazies 1, 2, 3, 4; Swimming 1, 2, 3, 4; Water Polo 2; BR Ambassadors 3, 4; Mission Trip 3, 4. \| \| Harrison Mors \| St. Linus \| Cross Country 1, 2, 3, 4; Track 1, 2, 3, 4; Improv Club 4; Mission Trip 4; Peer Ministry 4; Kairos 148, 151. \| \| Francisco Morquecho \| St. Gall \| Water Polo 4; Anime Club 1; Creative Writing Club 3, 4; Politics Club 3, 4. \| \| TJ Murphy \| St. Barnabas \| Crusader Crazies 1, 2, 3, 4; Cross Country 1; Swimming 1, 2, 3, 4; Water Polo 1, 2, 3, 4; Chess Club 2; Dean's Office Runner 3; German Club 3; Investment Club 4; Robotics Club 2; Kairos 146. \| \| Martin Murray \| Queen of Martyrs \| Crusader Crazies 1, 2, 3, 4; Football 1, 2; Rugby 1, 2, 3, 4; Advocacy Club 3, 4; BR Ambassadors 3, 4; Announcements Team 4; Edmund Rice Camp Counselor 2, 3, 4; German Club 1, 2, 3, 4; Illinois State Scholar; Irish Music 1, 2; Main Office Runner 2; National Honor Society 2, 3, 4; Peer Ministry 4; Student Council 3, 4; Yearbook 4; Kairos 147, 151. \| By Frankie Mesec '20 When I started senior year, I was very hopeful for the future. I had my whole life ahead of me to chase my dreams. I also had a great group of friends and was excited to start my last year at home. There were so many enjoyable moments, from travelling with my family to going to the big football games in the fall. These are memories I will cherish forever. Not only did I make great memories my senior year, but I accomplished some of my goals. I got to be on my first TV show, premiering in the fall finale of "Chicago PD." I also got accepted to numerous well-ranked colleges. I was so excited to be the Editor-in-Chief of The Standard. Everyone on this year’s team did an exceptional job. It was something I never knew I wanted until the opportunity came to me. This year definitely had its many highs, but also its many lows. I’ve learned so much from it. Class of 2020, this is a note for you. You are unstoppable. You’ve overcome so many obstacles. It was so sad to have the end of our senior year taken away by COVID-19. But it taught us many lessons. It taught us to be strong, resilient, to live in the moment, and to not take anything for granted. I wish all of you the best of luck and I am proud to have been a part of this community for the past four years. Mike KinneRk Editor-in-Chief The Standard Special thanks to Mrs. Michelle England; photographers Br. Tom Collins and Tom Killoran Photography; and Walsworth Yearbook staff members Mrs. Mary Slater, Ms. Krista Lofstrom and Ms. Mary Gibson, who finalized the design of our cover. This yearbook features graphics from Freepik.com. Walsworth Yearbooks Online Design Proof - Copyright Walsworth Yearbooks. Only provided as a proof PDF - Printers other than Walsworth Yearbooks are explicitly restricted from printing this PDF or recreating it in any form.
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Oct. 30, 1998;282(5390):897-901. * cited by examiner - SOURCE - DRIVER / TEC CONTROL - FEEDBACK CONTROLLER - PHOTODETECTOR Transmission vs Wavelength (nm) - SOURCE (20) - DRIVER / TEC CONTROL (70) - FEEDBACK CONTROLLER (60) - PHOTODETECTOR (40) - SOURCE (20) - DRIVER / TEC CONTROL (70) - FEEDBACK CONTROLLER (60) - PHOTODETECTOR (50) - SOURCE (20) - DRIVER / TEC CONTROL (70) - FEEDBACK CONTROLLER (60) - PHOTODETECTOR (50) METHOD AND SYSTEM FOR PERFORMING WAVELENGTH LOCKING OF AN OPTICAL TRANSMISSION SOURCE CROSS REFERENCE TO RELATED APPLICATIONS This application claims the benefit of U.S. Provisional Application No. 60/389,219, filed Jun. 17, 2002, entitled “METHOD AND SYSTEM FOR PERFORMING WAVELENGTH LOCKING OF AN OPTICAL TRANSMISSION SOURCE”, with the named Inventors, Jian Wang, Stephen J. Chou and Yong Kewan Park. FIELD OF INVENTION The present invention relates generally to optical devices and systems, and particularly to methods and systems for performing wavelength locking as it relates to optical energy transmitters. BACKGROUND OF THE INVENTION Transference of information via propagating light is generally well understood. For example, a conventional optical fiber communications system may include several III-V semiconductor based optical devices interconnected by one or more optical fibers acting as a transmission medium. Information for transmission may be encoded using well understood techniques. This encoded information may typically be used to modulate a driving signal for an optical source or transmitter, such as a semiconductor laser or Light Emitting Diode (LED). The optical source is responsive to a driving signal to generate a transmission that propagates via the transmission medium to a receiver, such as an optical detector. The optical detector may then provide a signal responsively to the detected transmission to a decoder or demodulator. The demodulator, in response to the received signal, provides the information in a suitable form using well understood techniques. Such methods and systems are well understood by those possessing an ordinary skill in the pertinent arts. In such systems, control of the transmitter may be established. One type of control is conventionally referred to as wavelength control or wavelength locking. For example, in the case of Wavelength Division Multiplexing (WDM) available channel space may be inversely related to channel spacing, the number of desired channels and data rate, for example. That is, as the desired number of channels increases, available channel-width may generally decrease. Thus, wavelength stability, e.g. locking, in optical communications systems is generally important so as to better ensure that adjacent channels do not unintentionally interfere with one-another. Other reasons for controlling and/or monitoring the wavelength of emitted transmissions are also well understood. This generally results in strict performance guidelines for optical sources or transmitters, such as lasers, Light Emitting Diodes (LEDs) and Super Light Emitting Diodes (SLEDs). However, such transmitters in operation may tend not to consistently output transmissions of a desired wavelength precisely enough, due to a number of factors including operating temperature and bias current fluctuations, for example. Laser wavelength control systems, and drawbacks associated with them, are generally discussed in U.S. Pat. No. 5,706,301, entitled LASER WAVELENGTH CONTROL SYSTEM, the entire disclosure of which is hereby incorporated by reference herein. Some approaches that have been suggested for performing wavelength locking include use of etalons, Fiber Bragg Gratings (FBGs) and dielectric thin film filters. Some drawbacks do accompany these solutions however. For example, a drawback of an etalon lies in temperature sensitivity of the etalon cavity index, as well as the cavity length, which both may determine the phase of output light. Further, to make the fringe narrow in order to gain resolution, the etalon may need to have a high gain or Q, which typically requires two medium/high reflectivity dielectric mirrors. Costs associated with making such an etalon may be high, due to inclusion of a precision cavity length and high quality mirrors, for example. Further, the FSR (free-spectral-range) may present another concern when using etalons for wavelength locking, due to the periodic nature of their performance in the frequency domain as is well understood by those possessing an ordinary skill in the pertinent arts. While Fiber Bragg Grating (FBG) filters may be less sensitive to temperature, often the cost associated with the FBG is also high. Further, FBGs tend not to be compact devices and also typically need alignment, which further adds to packaging cost. Dielectric thin film filters are also generally undesirably temperature sensitive and cost prohibitive. For example, to make a narrow filter many stacked layers of dielectric films may be necessary. Accordingly, it is highly desirable to provide a method and system for providing cost efficient and relatively temperature insensitive wavelength locking for an optical transmitter, such as a laser. SUMMARY OF THE INVENTION A system for locking the operating wavelength of an optical transmission source, the system including: a pattern of nanostructures being optically coupled to the optical transmission source and adapted to perform notch filtering; at least one photodetector optically coupled to the pattern of nanostructures; and, at least one controller operatively coupled to the photodetector and optical transmission source to operate the optical transmission source responsively to the at least one photodetector. BRIEF DESCRIPTION OF THE FIGURES Understanding of the present invention will be facilitated by consideration of the following detailed description of the preferred embodiments of the present invention taken in conjunction with the accompanying drawings, in which like numerals refer to like parts and in which: FIG. 1 illustrates a system according to an aspect of the present invention; and, FIG. 2 illustrates transmission characteristics of a filter according to an aspect of the present invention. FIG. 3 illustrates a system in which a filter is formed on an interface of a photodetector, FIG. 4 illustrates a system having a splitter and FIG. 5 illustrates a system in which the filter is formed on an interface of the splitter. DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENTS It is to be understood that the figures and descriptions of the present invention have been simplified to illustrate elements that are relevant for a clear understanding of the present invention, while eliminating, for purposes of clarity, many other elements found in optical communications systems and optical energy sources. Those of ordinary skill in the art will recognize that other elements are desirable and/or required in order to implement the present invention. However, because such elements are well known in the art, and because they do not facilitate a better understanding of the present invention, a discussion of such elements is not provided herein. The disclosure herein is directed to all such variations and modifications to such systems and methods known to those skilled in the art. According to an aspect of the present invention, a pattern of sub-wavelength optical elements, such as nanostructures or nanoelements, for example, with dimensions of 0.1 nm to 1000 nm, may be patterned to provide wavelength locking. In particular, a dimension of 100 nm to 1000 nm may be used. As will be recognized by those possessing ordinary skill in the pertinent arts, various patterns may be fabricated onto the devices. These patterns may serve various optical or photonic functions. Such patterns may take the form of holes, strips, trenches or pillars, for example, all of which may have a common period or not, and may be of various heights and widths. The strips may be of the form of rectangular grooves, for example, or alternatively triangular or semicircular grooves. Similarly pillars, basically the inverse of holes, may be patterned. The pillars may be patterned with a common period in both axes or alternatively by varying the period in one or both axes. The pillars may be shaped in the form of, for example, elevated steps, rounded semi-circles, or triangles. The pillars may also be shaped with one conic in one axis and another conic in the other. Further, the patterns may take the form of variable or chirped structures, such as chirped gratings. Further, a multiple-period pixel structure, super-grating structure or multiple-peak filter or different filter pass band shape may be realized and utilized. Further, the pattern may form a multi-dimensional grating structure which may be polarization independent, for example. According to an aspect of the present invention, a method and system for locking a wavelength of an optical source, such as a laser, may be achieved. A pattern of nanostructures, such as sub-wavelength resonant grating structures, may be configured so as to perform narrow band notch filtering, which can be used as a wavelength sensitive mechanism to lock and/or monitor the output wavelength of optical transmitters, such as lasers for example. Changing wavelength may be converted into change of optical intensity using the nanostructures, such that by measuring and locking the converted intensity, wavelength locking and monitoring may be effectively realized. Advantages of such a configuration may include being less temperature sensitive, comparable to an Etalon or FBG solution for example; having a relatively simple structure and therefore being relatively easy to fabricate, having a relatively low cost; that it can be integrated into a laser package like an etalon; and that it may exhibit a single filtering peak, rather than a periodic fringe such as that typically associated with an etalon, thereby providing an enhanced FSR of operation. Referring now to FIG. 1, there is shown a system 10 according to an aspect of the present invention. System 10 may include optical transmission source 20, optics 30, filter 40, optical detector 50, controller 60 and optical transmission source 20 driving circuitry and temperature compensation (TEC) controller 70. A transmission splitter (not shown) may be utilized to provide a transmission for operation as well as a transmission for application to optics 30 from source 20 in a conventional manner. As shown in FIG. 4, a transmission splitter 32 may be optically coupled between the source 20 and the photodetector 50. In one embodiment, the filter 40 may be formed on an interface of the splitter 32. Optical transmission source 20 may take the form of a distributed feedback (DFB) laser as is conventionally understood, for example. Such a laser operates responsively to conventional driver circuitry that may include temperature compensation functionality as is also well understood in the pertinent arts. Such circuitry may take the form of driving circuitry and controller 70. Of course, source 20 and driver 70 may take any suitable form for telecommunications operation for example, as will be readily understood by those possessing an ordinary skill in the pertinent arts. Optics 30 serves to distribute output of source 20, i.e. a transmission, across an operable surface area of filter 40, by increasing the spot-size for example. The optically distributed source 20 transmission impinges upon filter 40. Spot-size converters are generally well understood. For example, U.S. Pat. No. 6,253,009, entitled SEMICONDUCTING OPTICAL COMPONENT COMPRISING A SPOT-SIZE CONVERTER, the entire disclosure of which is hereby incorporated by reference herein as if being set forth in its entirety, teaches a spot-size converter that includes a damped coupling section in which the width of the active waveguide tapers down and the width of the passive waveguide increases, and a mode expansion section including only the passive waveguide whose width tapers down. Of course, any suitable method or device for effectively increasing the spot-size may be utilized though. Filter 40 may include a pattern of nanostructures configured so as to perform narrow band notch filtering around a desired operating frequency of transmission source 20, for example. Changes in the wavelength of source 20 transmissions may be converted by filter 40 into changes in optical intensity using the nanostructure pattern as is readily understood by those possessing an ordinary skill in the pertinent arts. Filter 40 may be provided as a standalone element monolithically integrated into device 10 for example, or may be formed on an output facet of source 20, a surface of optics 30 or an input surface of photodetector 40, for example. Referring now also to FIG. 2, there is shown a transmission characteristic of a filter suitable for use according to an aspect of the present invention. As is shown therein, filter 40 may exhibit a certain percentage of transitivity at a wavelength suitable for telecommunications, such as 1.55 μm. As the wavelength of the transmission impinging the filter 40 varies, so does the percentage of transitivity. As the transitivity of the filter 40 changes, so does the intensity of the transmission impinging upon detector 50. As will be recognized by those possessing an ordinary skill in the pertinent arts, the transmission characteristics illustrated in FIG. 2 include a single transition in the filtering curve, as opposed to the periodicity typically associated with Etalons for example. This results in an enhanced FSR of operation as compared to Etalon based devices, for example. Referring still to FIG. 2, according to an aspect of the present invention, a desired locking point may correspond to: a) a maximum intensity (for reflection from filter 40 for example); b) a minimum intensity (for transmission through filter 40 for example); c) a point on the operational transmission characteristic curve (see FIG. 2) on the left or right side of the filtering transition, i.e. where the first derivative of the operational characteristic approaches maximum; or d) any point on the filtering curve. According to an aspect of the present invention, a single optical detector may use a locking point corresponding to a maximum or minimum intensity to wavelength lock source 20, using dithering technology and methods, for example, such as that taught in U.S. Pat. No. 6,240,109, the entire disclosure of which is hereby incorporated by reference herein. According to an aspect of the present invention, transmission impinging upon filter 40 may come from either side of the filter 40 with a normal incidence or at an angle ($\alpha$) to the normal. As will be recognized by those possessing an ordinary skill in the pertinent arts, as the angle of incidence ($\alpha$) changes so may the transmission/reflection characteristics of filter 40. For example, multiple minimums and/or maximums may occur. Regardless, according to an aspect of the present invention, either transmission and/or reflection intensity can be used for locking or monitoring, for example. According to an aspect of the present invention, the filter’s maximum or minimum transitivity or reflectivity peak wavelength position may occur at normal incidence, as the grating period and the effective index of the waveguide may be precisely controlled, to provide an absolute wavelength standard. In the case of a locking point on the curve not corresponding to a maximum or minimum of transitivity or reflectivity for example, one photodetector 50 may be used to measure transmissions though the filter 40 for example, while a second photodetector 52 may be used to measure optical transmissions reflected by such a filter for example, thereby providing intensity normalization. Alternatively, a photodetector may be used to measure transmissions for normalization purposes that have not impinged upon filter 40 at all. Detector 50 may take the form of any photo- or optical-detector being suitable for detecting the changes in intensity generated by filter 40. For example, where the locking point corresponds to a minimum in filter 40 transitivity, a threshold detector may be used. Further, detector 40 may generate a signal S1 responsively to, and being indicative of, the detected intensity in a conventional manner. Signal S1 may be provided to control unit 60. Of course, any suitable method or device for effectively detecting the intensity, and/or changes therein, of transmissions and/or reflections through or from filter 40 may be utilized. Control unit 60 may take the form of suitable hardware and/or software for receiving signal S1 and generating a control signal S2. For example, controller 60 may take the form of an application specific integrated circuit (ASIC) or microprocessor based computing device, for example. Regardless, control unit 60 receives signal S1, and uses it to determine the wavelength of transmissions emanating from source 20, as signal S1 is indicative of the detected intensity. Based upon the determined wavelength, control unit 60 generates a signal S2. For example, control unit 60 may utilize a lookup table stored in an accessible computing memory and including data indicative of the transmission characteristics of the filter 40. Controller 60 may include circuitry indicative of the same transmission characteristic. Utilizing the lookup table or circuitry, controller 60 may generate a signal 60 indicative of a difference between the desired transmission wavelength and the actual transmission wavelength. Alternatively, signal S2 may be indicative of an amount of tuning necessary to correct the difference, for example. Signal S2 is provided to driver 70. Driver 70 drives source 20 in a conventional manner. Driver 70 may provide temperature compensation for source 20 in a conventional manner. Temperature compensation may be provided by controller 60. Driver 70, in addition to conventional techniques for example, may utilize signal S2 to drive, or operate, source 20. For example, the operating DC bias current level of a DFB laser serving as source 20 may be adjusted using the driver 70 via signal S3. Signal, S3 may be dependent both upon signal S2 and conventional temperature compensation techniques, for example. Driver 70 may take the form of suitable hardware and/or software for receiving signal S1 and generating a control signal S2. For example, driver 70 may take the form of an application specific integrated circuit (ASIC) or microprocessor based computing device, for example. Controller 60 and driver 70 may be integrated into a single device, such as an ASIC or microprocessor based computing device. Device 10 may take the form of an integrated electro-optical device. For example, device 10 may be integrally or monolithically formed on a single chip. Controller 60 and driver 70 may be integrated into a single hardware and/or software device. Referring again to filter 40, a utilized nanostructure may be used to provide the nanostructure pattern and include a lower index (n_1) bottom layer 41 (not shown), higher index (n_2) layer 42 (not shown), and lower index (n_3) top layer 43 (not shown). These layers 41, 42, 43 may form filter 40. Further, a grating (that may be one-dimensional or two-dimensional for example) may be inserted into the waveguiding structure 10. The nanostructure of filter 40 may be formed in accordance with the teachings of U.S. Pat. No. 5,772,905, issued Jun. 30, 1998, entitled NANOIMPRINT LITHOGRAPHY, the entire disclosure of which is hereby incorporated herein by reference as if being set forth in its entirety. For sake of completeness, the structure may be formed according to the following process. A mold may be provided. The mold may include a plurality of features having a desired shape. The mold may be patterned with features such as pillars, holes and trenches with a feature size as small as approximately 25 nm for example, using electron beam lithography, reactive ion etching (RIE) and other appropriate methods. The depth of a feature may be from approximately 5 nm to 500 nm, depending upon the desired lateral dimension. In general, the mold can be made of metals, dielectrics, semiconductors or ceramics, or their combination. The mold may include a layer and features of silicon dioxide on a silicon substrate. A glass substrate including a lower cladding SiO$_2$ layer and SiN core (collectively the substrate) and carrying a thin film layer may also be provided. The thin film layer may be deposited through any appropriate technique such as spin casting. The thin film layer may include a thermoplastic polymer or liquid polymer. Generally, the thin film may be softer than the mold. A compressive molding step may be accomplished, where the mold is pressed into the thin film layer thereby forming compressed regions corresponding to the mold features. For nanoimprint process, during the compressive molding step, the thin film may be heated to a temperature to allow sufficient softening of the film relative to the mold. For example, above the glass transition temperature the polymer has a low viscosity and can flow, thereby conforming to the features of the mold. The mold may then be removed, resulting in the thin film layer including a plurality of recesses formed at the compressed regions that generally conform to the shape of the mold features. The compressed portions of the thin film may then be removed thereby exposing the underlying substrate. This removal may be through any appropriate process such as oxygen reactive ion etching, for example. The substrate may be further etched by reactive ion etching or wet chemical etching as would be known to those possessing an ordinary skill in the pertinent arts. This forms dams having recesses on the surface of the substrate. It will be apparent to those skilled in the art that various modifications and variations may be made in the apparatus and process of the present invention without departing from the spirit or scope of the invention. Thus, it is intended that the present invention cover the modification and variations of this invention provided they come within the scope of the appended claims and their equivalents. What is claimed is: 1. A system for locking the operating wavelength of an optical transmission source, said system comprising: - a pattern of nanostructures arranged over a substrate in a single plane and in a direction substantially parallel to the substrate, said nanostructures being optically coupled to said optical transmission source and adapted to perform notch filtering, said nanostructures separated by less than the operating wavelength, wherein a transmission characteristic curve of said nanostructures contains a single filtering peak; - at least one photodetector optically coupled to said pattern of nanostructures; and, - at least one controller operatively coupled to said photodetector and optical transmission source to operate said optical transmission source responsively to said at least one photodetector. 2. The system of claim 1, wherein said pattern of nanostructures has a transitivity associated with said operating wavelength. 3. The system of claim 2, wherein changes in said operating wavelength have corresponding changes in said transitivity. 4. The system of claim 3, wherein said photodetector detects an intensity of transmissions passing through said pattern of nanostructures. 5. The system of claim 3, wherein said photodetector detects an intensity of transmissions reflected by said pattern of nanostructures. 6. The system of claim 3, further comprising a second photodetector optically coupled to said filter and operatively coupled to said at least one controller and optical transmission source. 7. The system of claim 6, wherein said photodetectors and at least one controller provide intensity normalization for said transmission. 8. The system of claim 1, wherein said at least one controller performs temperature compensation. 9. The system of claim 8, wherein said at least one controller controls a DC current bias of said optical transmission source. 10. The system of claim 1, wherein said optical transmission source, filter, photodetector and controller are contained on a single substrate. 11. The system of claim 1, wherein said notch filtering comprises a transmission characteristic having a single minimum. 12. The system of claim 1, wherein said notch filtering comprises a reflection characteristic having a single maximum. 13. A method for controlling an operating wavelength of an optical energy transmission source, said method comprising: - emitting optical energy having a given wavelength; - notch filtering said emitted optical energy using a plurality of nanostructures arranged in a single plane over a substrate and in a direction substantially parallel to the substrate, said nanostructures spaced with a separation less than the operating wavelength, wherein a transmission characteristic curve of said nanostructures contains a single filtering peak; - detecting an optical energy intensity associated with said given wavelength dependently upon said notch filtering; and, - controlling continued emission of said optical energy dependently upon said detected optical intensity. 14. The method of claim 13, wherein said detecting an intensity comprises detecting a threshold intensity. 15. The method of claim 13, further comprising determining said given wavelength dependently upon said determined intensity. 16. The method of claim 15, further comprising determining a difference between said operating wavelength and given wavelength. 17. The method of claim 13, wherein said controlling comprises controlling a DC current bias of said optical transmission source. 18. The method of claim 13, further comprising performing compensation for said optical transmission source and said controlling is further dependent upon said temperature compensation. 19. A communication system using a wavelength-stable optical energy transmission generated by a method comprising: - generating an optical transmission having a given wavelength; - notch filtering said optical transmission using at least two nanostructures arranged in a single plane over a substrate and in a direction substantially parallel to the substrate, said nanostructures separated by less than the given wavelength, wherein a transmission characteristic curve of said nanostructures contains a single filtering peak; - detecting an intensity associated with said given wavelength dependently upon said notch filtering; and, - adjusting said generating dependently upon said detected optical intensity. 20. The communications system of claim 19, wherein said at least one nanostructure has a transitivity associated with said given wavelength. 21. The communications system of claim 20, wherein changes in said given wavelength have corresponding changes in said transitivity. 22. The communications system of claim 19, wherein said adjusting comprises adjusting a DC current bias associated with said generating. 23. The communications system of claim 19, wherein said notch filtering comprises a transmission characteristic having a single minimum or maximum. 24. The communications system of claim 19, further comprising determining said given wavelength dependently upon said determined intensity. 25. The communications system of claim 24, further comprising determining a difference between said operating wavelength and given wavelength. 26. A system for monitoring the operating wavelength of an optical transmission source, said system comprising: a pattern of nanostructures arranged in a single plane over a substrate and in a direction substantially parallel to the substrate, said nanostructures separated by less than the operating wavelength, said pattern of nanostructures being optically coupled to said optical transmission source and adapted to perform notch filtering said transmission to generate at least one intensity, wherein a transmission characteristic curve of said nanostructures contains a single filtering peak; and, at least one photodetector optically coupled to said pattern of nanostructures and being suitable for generating a signal indicative of said intensity. 27. The system of claim 26, wherein said pattern is formed on an interface of said optical transmission source. 28. A system for monitoring the operating wavelength of an optical transmission source, said system comprising: a pattern of nanostructures arranged in a plane over a substrate and in a direction substantially parallel to the substrate, said nanostructures separated by less than the operating wavelength, said pattern of nanostructures being optically coupled to said optical transmission source and adapted to perform notch filtering said transmission to generate at least one intensity, wherein a transmission characteristic curve of said nanostructures contains a single filtering peak; and, at least one photodetector optically coupled to said pattern of nanostructures and being suitable for generating a signal indicative of said intensity, wherein said pattern is formed on an interface of said splitter. 29. The system of claim 27, further comprising a transmission splitter optically coupled between said source and said photodetector. 30. A system for monitoring the operating wavelength of an optical transmission source, said system comprising: a pattern of nanostructures arranged in a plane over a substrate and in a direction substantially parallel to the substrate, said nanostructures separated by less than the operating wavelength, said pattern of nanostructures being optically coupled to said optical transmission source and adapted to perform notch filtering said transmission to generate at least one intensity, wherein a transmission characteristic curve of said nanostructures contains a single filtering peak; and, at least one photodetector optically coupled to said pattern of nanostructures and being suitable for generating a signal indicative of said intensity, wherein said pattern is formed on an interface of said splitter. 31. The system of claim 27, wherein said pattern has a transmission characteristic including a single minimum transitivity for said transmission.
The Holy Spirit Applied by Wilbur S. Johnson as directed by the Holy Spirit Acknowledgments Jesus and the Holy Spirit for blessed guidance. EDITOR Teresa Carter, Skidmore, Missouri PROOFREADER Imalee Johnson, Arkansas City, Kansas CRITIQUE AND "EXERCISE GUINEA PIGS" Imalee Johnson, Arkansas City, Kansas Charley Monroe, Arkansas City, Kansas Larry Wright, Perry, Kansas COUNSELORS AND CONTRIBUTORS Roger & Vikki Day, Highmore, South Dakota Josh Day, Highmore, South Dakota Imalee Johnson, Arkansas City, Kansas Scott Prough, Oklahoma City, Oklahoma Joe & Joy Ragsdale, Fort Smith, Arkansas Chuck & Anita Thomas, Tulsa, Oklahoma Rodger Thompson, Wichita, Kansas Jeff & Sally Willard, Van Buren, Arkansas Larry & Jeanette Wright, Perry, Kansas John Wright, Perry, Kansas MEET THE AUTHOR We first met Wilbur and Imalee Johnson back in the winter of 1977. We had been ministering with the Green Mountain Christian Church in Lakewood, Colorado, for three years at the time. Our brother-in-law, Richard Schafer who was ministering in Soldier, Kansas, told us what a powerful series of meetings Wilbur had led for them there. He recommended we schedule Wilbur and Imalee as soon as possible. That we did, and we were not disappointed. The influence of those meetings have remained with us to this day. We learned how to deal with the enemy and how to serve the Lord with a living faith. But on a more personal level I want to say that we found Wilbur and Imalee to be people of genuine spiritual integrity. We were struck by the true humility and servants heart with which they served us. After meetings the fellowship and conversations would run late into the night. Wilbur and Imalee Johnson, are among the very rare few people I have ever known who genuinely have the gift of faith, and live it out daily, trusting God in every detail of life. I stand in awe of such faith, and hold deep respect for their consistency, even in the face of the greatest of difficulties. These folks live what they teach. It is not just some academic theorem. Everything Wilbur teaches, the Lord has proven in the trenches of their daily living. It is like water that God has forced though solid rock, flowing out of their hearts pure and sweet. I urge you to read with expectation, the writings of this man. They are the fruit of a life of faith, and they will open the eyes of your soul to the heart of our Lord for you. It is with loving appreciation that I recommend to you Wilbur Johnson, my brother, my mentor, and my friend. Rodger A. Thompson An endorsement with words is always important. Rodger and Connie did just that, and went beyond in endorsing Faith Alive Revivals by calling us to labor with them in three revivals during their 18 year ministry in Colorado. And, yet that which warms our hearts forever, is their endorsement of the message out of God's Word with their lives. Thus, several of their testimonies grace the pages of this book. Rodger is now serving as one of the directors and vice president of our Faith Alive Ministry. His counsel is an invaluable asset. Gratefully, Wilbur Johnson. \| Section \| Page \| \|--------------------------\|------\| \| I THE BEGINNING \| 1 \| \| II HE CREATES \| 11 \| \| III HE CONVINCES \| 25 \| \| IV HE CONVICTS \| 45 \| \| V HE CONVERTS \| 54 \| \| VI HE CONSECRATES: \| 65 \| \| How to Stay Filled \| \| \| FRUIT and GIFTS of the SPIRIT \| \| \| VII HE COMFORTS \| 135 \| \| VIII HE COMMITS \| 179 \| \| IX THE CHALLENGE \| 185 \| Purpose of This Study "That He would grant you, according to the riches of His glory, to be strengthened with might through His Spirit in the inner man, that Christ may dwell in your hearts through faith; that you, being rooted and grounded in love, may be able to comprehend with all the saints what is the width and length and depth and height, to know the love of Christ which passes knowledge; that you may be filled with all the fullness of God." (Ephesians 3:16-19 NKJ) It is exciting to know that fullness. We are not required to be mystical to have that fullness. It is available as we realize the tremendous love of God, His perfect plan revealing His power through the Holy Spirit, that we experience the deeper things of God. THIS COURSE CONTAINS: Some INFORMATION, but that is not the purpose of this study. Some INSPIRATION, but that is not the purpose of this study. It contains INFORMATION plus INSPIRATION with much APPLICATION which is the purpose of this study, thus, the title - - The Holy Spirit APPLIED. Billy Graham wrote some challenging words in his book The Holy Spirit: "If you believe in Jesus Christ, a power is available to you that can change your life, even in such intimate areas as your marriage, your family relationships, and every other relationship. Also, God offers power that can change a tired church into a vital, growing body, power that can revitalize Christendom. As a friend of mine has said, 'I need Jesus Christ for my eternal life and the Holy Spirit of God for my internal life.' Unfortunately, this power has been ignored, misunderstood, and misused. By our ignorance we have short-circuited the power of the Holy Spirit." (Page 14) THE HOLY SPIRIT APPLIED Can the Holy Spirit be any other way, than applied? Yes, regretfully, He can be neglected, slighted, ignored, winked at, just studied, done despite to, refused, spurned, denied, and the list goes on which is a sad commentary on what was meant to be a love relationship between Jesus, God, the Holy Spirit and us. What does the Holy Spirit seek to appropriate to our lives? His power, love for Jesus, and the will of God! On Monday morning, April 25, 1907, people going to work in London, England, were shocked to see chalked on the front of the famous City Temple the word ICHABOD. The newspapers carried pictures of the unspeakable desecration in their afternoon editions. A week or so later a house painter came forward voluntarily to admit that he had chalked the word there early that Monday morning. Asked in court why he had done such a sacrilegious thing, the painter replied, "Dr. Parker told me to do it!" Dr. Joseph Parker, the former pastor, was long since dead. The puzzled court asked for an explanation. The painter explained that he was a Christian and regular attendee at the City Temple during the days when Dr. Joseph Parker was the preacher. He told how Dr. Parker had said that if ever the false "gospel" of the higher critics was preached in that place, ICHABOD, which means "The glory is departed" (I Samuel 4:21) should be written over the front of the building." I did what Dr Parker asked me to do, sir." The POWER of the HOLY SPIRIT is often dissipated by church leaders and individuals by knocking the SUPER out of super NATURAL, so "ICHABOD"--the glory has departed may become an epitaph for churches and individuals of the 20th century. May this be our goal and prayer in this course-- "Help me blessed Holy Spirit to open my mind and heart to You as I study this course, so Jesus will be more and more Lord of my life. In Jesus Name--A-men!" Prayerfully for You Wilbur S. Johnson "So he said to me, "This is the word of the LORD to Zerubbabel: 'Not by might nor by power, but by my Spirit,' says the LORD Almighty." (Zechariah 4:6) EXERCISE 1: The following exercise will assist us in seeing how the Holy Spirit is often removed from contemporary life. Below are two columns, natural and supernatural which illustrate the above scripture. Select words phrases from the list on the next page to fill in the supernatural column. The first one is completed to provide you an example. \| NATURAL \| SUPERNATURAL \| \|------------------\|---------------------------------------------------\| \| "might and power"\| "but by my Spirit" \| \| MEMBERSHIP \| People joining church \| \| \| People being born again into the Kingdom \| \| PRAYER \| Saying / reading words \| \| WORKS \| Mere social acts \| \| WORSHIP \| Ritual void of meaning \| \| WITNESS \| Glorifying self and/or institutional church \| \| TEACHING \| Just a theological dissertation \| \| PREACHING \| Just words (plain or oratory) \| \| MONEY \| Laying up treasure on earth \| \| MUSIC \| That which glorifies the composition and composer \| \| BUILDINGS \| Temples of wood and stone \| Words / phrases which suggest SUPERNATURAL acts to be placed in right hand column of Exercise #1. * Sharing gifts-ministry in Jesus' Name * Praise directed to God - life changing experience * Word taught - lives changed! * Introducing people to Jesus with Word and invitation * God's Word presented in power of Holy Spirit * Words spoken to God which bless and change lives * Music shared which glorifies Jesus and edifies people * Place of prayer and power * People being born again into the Kingdom * Laying up treasure in heaven GROUP-CLASS PROJECT: Spend some time discussing HOW the "supernatural" gets displaced by the "natural" in your church or life. Mostly consider what can be done to prevent such in the future. Dwell mostly on the positive side of these subjects--* * Conversion (are we teaching people prior to and after baptism?) * Worship (how can we keep form from displacing Spirit?) * Prayer (are we doing all we can to teach people how to pray?) * Money (how can we better make giving a spiritual act?) * Teaching (how can we make this statement a reality? "The lesson is not taught until the life is changed.") * Works-service (how can we better include Jesus in these?) THE NATURE OF SPIRIT PURPOSE: So we can learn that--- 1. God is spirit - Holy Spirit is spirit, 2. The spiritual is true reality, 3. We are surrounded by spiritual forces. "For who among men knows the thoughts of a man except the man's spirit within him? In the same way no one knows the thoughts of God except the Spirit of God." (I Corinthians 2:11) 1. God is spirit - Holy Spirit is spirit Here at the end of the twentieth century with much knowledge which of the following concepts can we define? EXERCISE 2: Draw a circle around the ones that we can define: LOVE ... TRUTH ... FIRE ... GOD ... LIGHT ... DEATH ... SLEEP ... ELECTRICITY ... MAGNETISM ... SPIRIT It seems redundant to say that the nature of the blessed Holy Spirit is spirit; but, that is precisely true! It is this lesson about His nature that we must first emphasize and learn if we are to allow Him to apply his plan and purpose to our lives. Jesus said "God is Spirit." (John 4:24). Now spirit defies an absolute definition. This was emphasized in a conversation I had with a science professor while sharing in a Faith Alive Revival at Valley Center, Kansas. This Christian professor was head of the physics and chemistry department at Wichita State University. I like to ask science-minded people certain questions, so I said; "Professor, may I ask you some scientific questions? "Yes, but I can't guarantee you all the answers." "I am interested in a definition of fire." She responded: "So am I. What else do you want to know?" "Can you give me a definition of electricity?" She smiled and said, "Now, Preacher, there are a great many hypotheses which have been established about fire and electricity but no absolute definition can be given. Ask me something that I do know." I congratulated the wise professor on possessing true wisdom and told her she was the first among many, in my search, to acknowledge that no absolute definition exists. Which is more real? An apple which we can SEE, TOUCH, HEAR, SMELL and TASTE or a SPIRIT? Our humanistic materialistic oriented society may cause us to answer the former, an APPLE; but the latter is the only right answer from a Biblical perspective. ANSWER to the concepts you circled above: all should be circled for none of these concepts can be defined in an absolute sense. We know only limited statements of truth about them-- hypotheses. I observe for your thinking and consideration that no absolute definition can be established for LOVE, TRUTH, LIFE, DEATH, LIGHT or SPIRIT. The reason may be that the Bible declares-- "God is a FIRE (Hebrews 12:29); LIFE (John 1:4, 14:6; Acts 17:28); LOVE (I John 4:8); LIGHT (John 1:5); SPIRIT (John 4:24). You see, if we could define these words in an absolute, final sense, then we could define God. But the Bible says that God and His ways are past finding out (Romans 11:33). Since God's essential nature is SPIRIT he operates on a plane that cannot be discerned by our senses. Even though spirit is ethereal, yet His work is very real! Jesus compared being born again of the water and spirit to the wind when He said, "The wind blows where it wishes and you hear the sound but cannot tell where it goes. So is everyone who is born of the Spirit" (John 3:8). This matter of the new birth being compared to the wind is a strong indication, much to the consternation of our logical mind set, that the total work of the Holy Spirit cannot be traced like a line on a map, or measured by pounds and ounces. He is spirit! 2. The spiritual is true reality One doubt that plagued me for years was the thought, "Spirit isn't real". The Lord led me to see that to the contrary, s-p-i-r-i-t is r-e-a-l-i-t-y, and that which we see and touch all around us is NOT reality. I owe this insight to my college science professor at Oklahoma City University (OCU). Dr. Hammer could be rather dramatic in illustrating his teaching. As we started a new semester, he jumped up on his desk and stomped on it. "How many of you think this desk is solid? Is it real?" Everyone raised their hand and he said, "You're wrong. The atoms in this desk are only more dense than those of the air you breathe. Given enough time, many thousands of years, all the atoms that are now flying off this wood desk will leave nothing in its place." He got our attention, and with that, we started our study of atomic science. What Professor Hammer was teaching was given Christian application by my Bible college professor, Howard Hayes, six blocks down the street at Midwest Christian College in pointing out that this "atom" concept was first stated in Hebrews 11:3 and Colossians 1:16,17. In these verses the truth is established that the unseen atoms, "things which are not seen", are God's building blocks. Further II Peter 3:10 states that this material earth will in God's time, dissolve, but the real world of the spirit will go on and on. Interesting too is that we were taught at OCU and today that which holds the atom together is dubbed "atomic glue." God gives the atomic glue a name—"He (Jesus) is before all things, and in him all things hold together." (Colossians 1:17) Now, we have said all this to impress upon our minds that this area of the "spirit" and in particular the Holy Spirit as related to our spirit is MOST important! Since we are not evolutionists, humanists or materialists, we remind ourselves that the spirit and the unseen virtues of the Spirit are true reality. Matters of the Spirit—joy, peace, love, mercy, righteousness, etc. will never cease. "So we fix our eyes not on what is seen, but on what is unseen. For what is seen is temporary, but what is unseen is eternal." (II Corinthians 4:18) 3. We are surrounded by spiritual forces. EXERCISE 3: As you study this point take time to LISTEN to all the sounds around you, then list them. 1) List the SOUNDS which your ears hear. 2) Now, list all the "silent" sounds traversing the space around you--- those sounds your ears cannot perceive, yet we know exist. Example: tv channel signals This illustrates that there is a great unseen world all around us; but, our ears and eyes are "holden" (see Luke 24:16 KJ and ASV), and not hear these. Just so the HOLY SPIRIT is unseen and unheard; yet, His Mighty Presence and Power is all about us, and within us providing we have received Jesus into our hearts. So, "tune in" with desire and prayer! "Therefore since we are surrounded by such a great cloud of witnesses, let us throw off everything that hinders and the sin that so easily entangles, and let us run with perseverance the race marked out for us." (Hebrews 12:1-2) ANGELS in this world "Are not all angels ministering spirits sent to serve those who will inherit salvation?" (Hebrews 1:14) In the realm of earth life, where we live and serve, servants do more if asked. I concluded that since God's Word declares angels are ministering spirits sent by God to serve the Saints, they might serve more if I talked to God in prayer about the matter. I rejoice in the Lord to report that they are blessed servants of the Saints by God's request. It does make a difference if we ask for special angelic assignments on various occasions. Lisa, our mentally-challenged daughter, was often gawked and stared at by people. This upset Lisa as it would any human being. I found on such occasions that if I asked the Lord to send angels to detract the gaze of the person or persons, that in seconds they became busy staring at someone else or eating their own food. EXERCISE 4: In the following Scriptures underline the words phrases which address the unseen forces of God and the devil. Hebrews 1:13-14 "To which of the angels did God ever say, "Sit at my right hand until I make your enemies a footstool for your feet"? Are not all angels ministering spirits sent to serve those who will inherit salvation?" Revelation 16:14 "They are spirits of demons performing miraculous signs, and they go out to the kings of the whole world, to gather them for the battle on the great day of God Almighty." Ephesians 6:11-12 "Put on the full armor of God so that you can take your stand against the devil's schemes. For our struggle is not against flesh and blood, but against the rulers, against the authorities, against the powers of this dark world and against the spiritual forces of evil in the heavenly realms." Ephesians 2:1-2 "As for you, you were dead in your transgressions and sins, in which you used to live when you followed the ways of this world and of the ruler of the kingdom of the air, the spirit who is now at work in those who are disobedient." Ephesians 3:10 "His intent was that now, through the church, the manifold wisdom of God should be made known to the rulers and authorities in the heavenly realms," Colossians 1:16-17 "For by him all things were created: things in heaven and on earth, visible and invisible, whether thrones or powers or rulers or authorities; all things were created by him and for him. He is before all things, and in him all things hold together." Here is one of a few places in the Bible where we get to "see" behind the eternal scene. 1. II Kings 6:8-18: Elisha was singled out by the King of Aram to be eliminated because he knew what the king was going to do, even what the king was saying in his own bedroom (vs. 12). Elisha and his servant stayed in Dothan, and during the night the King of Aram surrounded their house with horses and chariots. The Bible records the next morning: "When the servant of the man of God got up and went out early the next morning, an army with horses and chariots had surrounded the city. "Oh, my lord, what shall we do?" the servant asked. "Don't be afraid," the prophet answered. "Those who are with us are more than those who are with them." vss. 15-17. And Elisha prayed, "O LORD, open his eyes so he may see." Then the LORD opened the servant's eyes, and he looked and saw the hills full of horses and chariots of fire all around Elisha." With his natural eyes the servant could not see the unseen forces of God ready to do battle. This strange battle matched the SEEN against the UNSEEN, and all of the Arameans were struck blind. For the final strange conclusion read verses 18-23. Just so, I remind us, we too, are surrounded by unseen forces be they called angels, ministering spirits, heavenly forces, cloud of witnesses, heavenly host, army of God, etc. Over three hundred times in the Bible these unseen forces are recorded doing service, battle, or prevailing on behalf of God's people. EXERCISE 5: 2. Job 1:1-2:10 - Write down a few key words which speak about the "unseen side" of this story. 3. Daniel 10:1-21 - Read this carefully and write down the name(s) of characters from the "unseen world" (Note vss 5, 13, 16.) 4. Luke 2:8-15 - Write down a phrase or two which address the "unseen angels." 5. The Resurrection of Jesus - From your memory list three or four appearances of "unseen angels / men" from the other side of eternity. CONCLUSION Write down a few impressions of what you have learned from this section THE NATURE OF SPIRIT. In the beginning God created the heavens and the earth. Now the earth was formless and empty, darkness was over the surface of the deep, and the Spirit of God was hovering over the waters. Then God said, "Let us make man in our image, in our likeness, and let them rule over the fish of the sea and the birds of the air, over the livestock, over all the earth, and over all the creatures that move along the ground." (Genesis 1:2,26) Having made ourselves familiar in the previous section with the nature and reality of the Holy Spirit, we now press on to learn of His works, fruits, and gifts, and how to be empowered with his presence and power. The unseen Holy Spirit makes the difference First century Christians, controlled and empowered by the Holy Spirit and filled with His love, turned the world upside down. As the disciples were filled with the Holy Spirit, they received a divine, supernatural power that changed them from fearful men into radiant witnesses for Christ. They were used of God to change the course of history. And that omnipotent power, the power of the Holy Spirit, is available to us, to enable us to live a holy and fruitful life for Jesus Christ. Yet, tragedy of tragedies, there are multitudes of Christians who do not even know who the Holy Spirit is, or, if they do, they do not know how to appropriate His power. Consequently, they go through life without ever experiencing the abundant and fruitful life which Christ promised to all who trust Him. Again and again I am reminded of the great contrast between the church today and His church in the first century. In J. B. Phillips' introduction to the Letters to the Young Churches, he says: "The great difference between present-day Christianity and that of which we read in these letters (New Testament epistles), is that to us, it is primarily a performance; to them it was a real experience. We are apt to reduce the Christian religion to a code or, at best, a rule of heart and life. To these men it is quite plainly, the invasion of their lives by a new quality of life altogether. They do not hesitate to describe this as Christ living in them." This same first century power, the power of the risen, living, indwelling Christ made known through the Holy Spirit is still available to us today. Do you know this power in your life? Are you a victorious, fruitful witness for Christ? If not, you can be. For this reason, I believe the most important message that I could give to Christians is the applied material in this study of The Holy Spirit Applied! "But you will receive power when the Holy Spirit comes on you; and you will be my witnesses in Jerusalem, and in all Judea and Samaria, and to the ends of the earth." (Act 1:8) EXERCISE 6 We begin this section with an excellent illustration of the unseen presence and work of the Holy Spirit as found in John 15:1-8. Keep in mind that the Holy Spirit is never named in these verses, yet 23 times His work is named or alluded to. Many times the work of Jesus and the Holy Spirit are identical, and there are several duplicates. Draw a circle around those 23 words-phrases which speak of His unseen-silent work. John 15:1-8 1 "I am the true vine, and My Father is the vine dresser." 2 "Every branch in Me that does not bear fruit He takes away; and every branch that bears fruit He prunes, that it may bear more fruit." 3 "You are already clean because of the word which I have spoken to you." 4 "Abide in Me, and I in you. As the branch cannot bear fruit of itself, unless it abides in the vine, neither can you, unless you abide in Me." 5 "I am the vine, you are the branches. He who abides in Me, and I in him, bears much fruit; for without Me you can do nothing." 6 "If anyone does not abide in Me, he is cast out as a branch and is withered; and they gather them and throw them into the fire, and they are burned." "If you abide in Me, and My words abide in you, you will ask what you desire, and it shall be done for you." "By this My Father is glorified, that you bear much fruit; so you will be My disciples." (NKJ) The next seven sections of our study will point out the work of the Holy Spirit. This life long labor of the Holy Spirit has been compared to a "hound" on the trail of its prey from conception to the crown of glory. Francis Thompson draws such a beautiful picture in his poem. THE HOUND OF HEAVEN by Francis Thompson I fled Him, down the nights and down the days; I fled Him down the arches of the years; I fled Him down the labyrinthine ways Of my own mind; and in the midst of tears I hid from Him, and under running laughter. Up vistaed hopes I sped; And shot; precipitated, A down Titanic glooms of chasmed fears, From those strong Feet that followed, followed after. But with unhurrying chase, And unperturbed pace, Deliberate speed, majestic instancy, They beat--and a Voice beat More instant than the Feet All things betray thee, who betrayest Me. After a long pursuit covering many years, and through a myriad of fears, this Unseen Pursuer-The Holy Spirit-brings his man home. Here are the final words. Now of that long pursuit Comes on at hand the bruit; The Voice is round me like a bursting sea: "Save Me, save only Me!" "All which I took from thee I did but take, Not for thy harm," But Just that thou mightest seek it in My arms. All of which a child mistakes As fancies lost. I have stored for thee at home: Rise, clasp My hand, and come! We're headin' Home!! Unseen He is, and yet, Reality personified. We need Him! Must have Him! Therefore, He seeks us like this "Hound of Heaven" from the cradle to the crown where His work will be completed when He commits us back to the Father, and we are crowned on that Last Day! 1. The Holy Spirit assists in Creating our LIFE. EXERCISE 7 Genesis 1:1-2 What was the Holy Spirit doing in the "beginning?" Genesis 1:26 What two pronouns in this verse suggest creation was a joint venture? John 1:1-3 Name the three who were included in what I dub "God's Creation Crew." THINK about Adams' creation: Job 33:4 "The Spirit of God has ______ ____; the breath of the Almighty _______ - _______." Genesis 1:26 "Then God said, 'Let us make man in our image, in our likeness, and let them rule over the fish of the sea and the birds of the air, over the livestock, over all the earth, and over all the creatures that move along the ground.'" Genesis 1:26-28 "Man was made in God's image and after His likeness, two words to express the same thing and making each other the more expressive; image and likeness denote the same image, the nearest resemblance of any of the visible creatures. Man was not made in the likeness of any creature that went before him, but in the likeness of His Creator; yet still between God and man there is an infinite distance. Christ only is the express image of God's person, (Hebrews 1:3) as the Son of his Father, having the same nature. It is only some of God's honor that is put upon man, who is God's image only as the shadow in the glass, or the king's impress upon the coin. God's image upon man consists in His nature and constitution, not those of his body (for God has not a body), but those of His soul. This honor indeed God has put upon the body of man, that the Word was made flesh, (John 1:1-4) the Son of God was clothed with a body like ours and will shortly clothe ours with a glory like that of His. And this we may safely say, That He by whom God made the worlds, not only the great world, but man the little world, formed the human body, at the first, according to the platform He designed for himself in the fullness of time. But it is the soul, the great soul, of man, that does especially bear God's image. The soul is a spirit, an intelligent immortal spirit, an influencing active spirit, herein resembling God, the Father of Spirits, (Hebrews 12:9) and the soul of the world. The spirit of man is the candle of the Lord. The soul of man, considered in its three noble faculties, understanding, will, and active power, is perhaps the brightest clearest looking-glass in nature, wherein to see God. Seed thoughts from Matthew Henry's Commentary, pg. 3 Great is the mystery of Creation and so well expressed by the Holy Spirit in (Acts 17:24-28) THINK about OUR creation: Psalm 139:13-16 "For you created my inmost being; you knit me together in my mother's womb. I praise you because I am fearfully and wonderfully made; your works are wonderful, I know that full well. My frame was not hidden from you when I was made in the secret place. When I was woven together in the depths of the earth, your eyes saw my unformed body. All the days ordained for me were written in your book before one of them came to be." EXERCISE 8 Consider the implication of "I am fearfully and wonderfully made": Doctors, S.A. Lewin and John Gilmore, gynecologists, reveal to us that when a baby is conceived there are 100,000,000 (one hundred million) male sperm (my word is "baby seeds") available. Only one of these will fertilize the female egg to produce a baby. Consider the mathematics of this: \[ 100,000,000 \text{ sperm} \\ - 1 (\text{________________________}) \text{ fill in your name} \\ = 99,999,999 \] Who makes this selection of one out of one hundred million? Scientists say it is "blind biological chance." I assert it is "Divine selection." Any one of the other 99,999,999 sperm would have produced a different person. So, we can join our voice of praise with David "I praise you because I am fearfully and wonderfully made; your works are wonderful, I know that full well." (Psalm 139:14) And the scientific community further spells out the wonder of our creation! FACTORIES IN A HUMAN CELL You may recall that human cells are so small that some 30,000 of them would fit inside the letter "o". So you would consider the cell to be small, wouldn't you? Probing a little deeper, we find that there are molecules in the cell, which perform its varied functions. There are as many as 200 trillion molecules in each cell! Those molecules are in turn made of atoms, which are composed of a variety of atomic particles. Some molecules are simple and small. The water molecule, as we have seen, is made of only three atoms: two of hydrogen and one of oxygen. In contrast, some of the molecules which make up the chromosomes in the nucleus of a human cell -- known as DNA molecules -- are composed of many hundreds of atoms in long winding chains. They are among the most complex of living substances. Now we are discovering how relative are the words "large" and "small." We have many large molecules in a very small cell. To show this more clearly, consider that all of the DNA molecules in all of the cells of the human body could be compressed into a volume of one cubic inch -- about like an ice cube! Yet, if all of these molecule chains were joined end-to-end they would stretch a distance 800 times as far as from the earth to the sun -- nearly 75 billion miles! Are they small or are they large? EXERCISE 9 Take time for some moments of meditation, and spoken praise to our Creator! Enemies of the Holy Spirit's creative work: "For you created my inmost being; you knit me together in my mother's womb. I praise you because I am fearfully and wonderfully made; your works are wonderful, I know that full well. My frame was not hidden from you when I was made in the secret place. When I was woven together in the depths of the earth, your eyes saw my unformed body. All the days ordained for me were written in your book before one of them came to be. How precious to me are your thoughts, O God! How vast is the sum of them! Were I to count them, they would outnumber the grains of sand." (Psalm 139:13-18) EXERCISE 10 Name two great enemies of the creation of life process. One at the beginning and one at the end. 1. ___________________________ 2. ___________________________ CONSIDER ABORTION: Does aborting a fetus harm a human being? ____________ The w-o-r-k of the Holy Spirit begins in the life of a human even before we are born. This was true with me in being an unwanted pregnancy in 1931. It was the days of the Big Depression and one more mouth to feed and person to clothe was not desirable. As my Mother drove down the seventeen miles of dirt road into Medicine Lodge to get an abortion, a voice spoke to her, "Turn back! Turn back!" And she did! I believe it was the Voice of the Spirit speaking. And, Jehovah God breathed into my nostrils the breath (Hebrew for spirit) of life, and I was born on June 4th. (Genesis 2:7) EXERCISE 11 Is man qualified to choose life or death for a human being, either by abortion or euthanasia? ______ Consider this true example: Situational ethics is now being taught in many schools. However, one teacher who wanted to illustrate the faultiness of human reasoning gave the following true situation to a class of students. How would you advise a mother who was pregnant with her fifth child based on the following facts: "Her husband had syphilis. She had tuberculosis. Their first child was born blind. Their second child died. Their third child was born deaf. Their fourth child had tuberculosis. "The mother is considering an abortion. Would you advise her to have one?" In view of these facts, most of the students agreed that she should 'have an abortion. The teacher then announced, "If you said 'Yes,' you would have just killed the great composer Ludwig van Beethoven, world-renowned composer. 2. THE HOLY SPIRIT CREATES SPIRITUAL LIFE We are a spirit. Scripture establishes clearly that we are spirits, we have a soul and live in a body. (II Thessalonians 5:23) Here are succinct words by Dr. Robert Schuller which speak to this truth: "Secular humanism has told us we are human beings only. The truth is we are spiritual beings on a human journey with eternal dimensions." Hour of Power TV, August 9, 1998. EXERCISE 12 Draw a line under the phrase or sentence in the following verses which speak of the "spirit of man". Zechariah 12:1 "This is the word of the LORD concerning Israel. The LORD, who stretches out the heavens, who lays the foundation of the earth, and who forms the spirit of man within him," I Corinthians 2:11-12 "For who among men knoweth the things of a man, save the spirit of the man, which is in him? Even so the things of God none knoweth, save the Spirit of God. But we received, not the spirit of the world, but the spirit which is from God; that we might know the things that were freely given to us of God." 1 Corinthians 14:14-15 "For if I pray in a tongue, my spirit prays, but my mind is unfruitful. So what shall I do? I will pray with my spirit, but I will also pray with my mind; I will sing with my spirit, but I will also sing with my mind." Hebrews 12:22-23 "But you have come to Mount Zion, to the heavenly Jerusalem, the city of the living God. You have come to thousands upon thousands of angels in joyful assembly, to the church of the first-born, whose names are written in heaven. You have come to God, the judge of all men, to the spirits of righteous men made perfect." Proverbs 20:27 "The lamp of the LORD searches the spirit of a man; it searches out his inmost being." Watchman Nee speaks clearly about man's spirit: "The ordinary concept of the constitution of human beings is dualistic—soul and body. According to this concept, soul is the invisible inner spiritual part, while body is the visible outer corporal part...Such an opinion comes from fallen man, not from God; apart from God's revelation, no concept is dependable. That the body is man's outward sheath is undoubtedly correct, but the Bible never confuses spirit and soul as though they are the same. Not only are they different in terms; their very natures differ from each other. The Word of God does not divide man into two parts of soul and body. It treats man, rather, as tripartite spirit, soul and body. (I Thessalonians 5:23) "May the God of peace himself sanctify you wholly; and may your spirit and soul and body be kept sound and blameless at the coming of our Lord Jesus Christ." Is it a matter of any consequence to divide spirit and soul? It is an issue of supreme importance for it effects tremendously the spiritual life of the believer. According to the teaching of the Bible and the experience of believers, the human spirit can be said to comprise three parts; or, to put it another way, one can say it has three main functions. These are conscience, intuition and communion. The conscience is the discerning organ which distinguishes right from wrong—intuition is the sensing organ of the human spirit, and communion is worshipping God. The organs of the soul are incompetent to worship God. God is not apprehended by our thoughts, feelings or intentions, for He can only be known directly in our spirits. Our worship of God and God's communications with us are directly in the spirit. 'God is spirit, and his worshipers must worship in spirit and in truth.' (John 4:24)" Watchman Nee (1903-1972) The Spiritual Man. (Part 1, pg. 21) What do the following verses teach us about spirit---ours and God's? Romans 8:15,16 I Corinthians 6:17,19,20 Our spirit and our body. "While they were stoning him, Stephen prayed, "Lord Jesus, receive my spirit." Acts 7:59 From my e-mail comes a true story which illustrates in a beautiful way both the "body" and "spirit" side of man. The Birdies "See that you do not look down on one of these little ones. For I tell you that their angels in heaven always see the face of my Father in heaven." Matthew 18:10 Only when we die to self do we hear and see the birdies, and enter into the plan of our designer. Thank you Deborah Fougerousse for sharing this awesome story. This is a true story that occurred in 1994 and was told by Lloyd Glen. Throughout our lives we are blessed with spiritual experiences, some of which are very sacred and confidential, and others, although sacred, are meant to be shared. Last summer my family had a spiritual experience that had a lasting and profound impact on us, one we feel must be shared. It's a message of love. It's a message of regaining perspective, and restoring proper balance and renewing priorities. In humility, I pray that I might, in relating this story, give you a gift my little son, Brian, gave our family one summer day last year. On July 22nd, I was enroute to Washington D.C. for a business trip. It was all so very ordinary, until we landed in Denver for a plane change. As I collected my belongings from the overhead bin, an announcement was made for Mr. Lloyd Glenn to see the United customer service representative immediately. I thought nothing of it until I reached the door to leave the plane and I heard a gentleman asking every male if they were Mr. Glenn. At this point I knew something was wrong and my heart sunk. When I got off the plane a solemn-faced young man came toward me and said, "Mr. Glenn there is an emergency at your home. I do not know what the emergency is, or who is involved, but I will take you to the phone so you can call the hospital. My heart was now pounding, but the will to be calm took over. Woodenly, I followed this stranger to the distant telephone where I called the number he gave me for the Mission Hospital. My call was put through to the trauma center where I learned that my three-year-old son had been trapped underneath the automatic garage door for several minutes, and that when my wife had found him he was dead. CPR had been performed by a neighbor, who is a doctor, and the paramedics had continued the treatment as Brian was transported to the hospital. By the time of my call, Brian was revived and they believed he would live, but they did not know how much damage had been done to his brain, nor to his heart. They explained that the door had completely closed on his little sternum right over his heart. He had been severely crushed. After speaking with the medical staff, my wife sounded worried but not hysterical, and I took comfort in her calmness. The return flight seemed to last forever, but finally I arrived at the hospital six hours after the garage door had come down. When I walked into the intensive care unit, nothing could have prepared me to see my little son laying so still on a great big bed with tubes and monitors everywhere. He was on a respirator. I glanced at my wife who stood and tried to give me a reassuring smile. It all seemed like a terrible dream. I was filled in on the details and given a guarded prognosis. Brian was going to live, and the preliminary tests indicated that his heart was okay--two miracles, in and of themselves. But only time would tell if his brain received any damage. Throughout the seemingly endless hours, my wife was calm. She felt that Brian would eventually be all right. I hung on to her words and faith like a lifeline. All that night and the next day Brian remained unconscious. It seemed like forever since I had left for my business trip the day before. Finally at two o'clock that afternoon, our son regained consciousness and sat up uttering the most beautiful words I have ever heard spoken. He said, "Daddy, hold me," and he reached for me with his little arms. [TEAR BREAK...smile] By the next day he was pronounced with no neurological or physical deficits, and the story of his miraculous survival spread throughout the hospital. You cannot imagine our gratitude and joy. As we took Brian home we felt a unique reverence for the life and love of our Heavenly Father that comes to those who brush death so closely. In the days that followed there was a special spirit about our home. Our two older children were much closer to their little brother. My wife and I were much closer to each other, and all of us were very close as a whole family. Life took on a less stressful pace. Perspective seemed to be more focused, and balance much easier to gain and maintain. We felt deeply blessed. Our gratitude was truly profound. [The story is not over] (smile) Almost a month later to the day of the accident, Brian awoke from his afternoon nap and said, "Sit down mommy. I have something to tell you." At this time in his life, Brian usually spoke in small phrases, so such a large sentence surprised my wife. She sat down with him on his bed and he began his sacred and remarkable story. "Do you remember when I got stuck under the garage door? Well it was so heavy and it hurt really bad. I called to you, but you couldn't hear me. I started to cry, but then it hurt too bad. And then the "birdies" came. "The birdies?" my wife asked puzzled. "Yes," he replied. "The birdies" made a whooshing sound and flew into the garage. They took care of me." "They did?" "Yes", he said. "One of the birdies came and got you. She came to tell you I got stuck under the door." A sweet reverent feeling filled the room. The spirit was so strong and yet lighter than air. My wife realized that a three-year-old had no concept of death and spirits, so he was referring to the beings who came to him from beyond as "birdies" because they were up in the air like birds that fly. "What did the birdies look like?" she asked. Brian answered. "They were so beautiful. They were dressed in white, all white. Some of them had green and white. But some of them had on just white." "Did they say anything?" "Yes," he answered. They told me the baby would be alright." "The baby?" my wife asked confused. And Brian answered. "The baby laying on the garage floor." He went on, "You came out and opened the garage door and ran to the baby. You told the baby to stay and not leave." My wife nearly collapsed upon hearing this, for she had indeed gone and knelt beside Brian's body and seeing his crushed chest and unrecognizable features, knowing he was already dead, she looked up around her and whispered, "Don't leave us Brian, please stay if you can." As she listened to Brian telling her the words she had spoken, she realized that the spirit had left his body and was looking down from above on his little lifeless form. "Then what happened?" she asked. "We went on a trip." he said, "far, far away." He grew agitated trying to say the things he didn't seem to have the words for. My wife tried to calm and comfort him, and let him know it would be okay. He struggled with wanting to say something that obviously was very important to him, but finding the words was difficult. "We flew so fast up in the air. They're so pretty Mommy." he added. "And there is lots and lots of "birdies". My wife was stunned. Into her mind the sweet comforting spirit enveloped her more soundly, but with an urgency she had never before known. Brian went on to tell her that the 'birdies' had told him that he had to come back and tell everyone about the "birdies". He said they brought him back to the house and that a big fire truck, and an ambulance were there. A man was bringing the baby out on a white bed and he tried to tell the man the baby would be okay, but the man couldn't hear him. He said the birdies told him he had to go with the ambulance, but they would be near him. He said, "they were so pretty and so peaceful, and he didn't want to come back. And then the bright light came." He said that the light was so bright and so warm, and he loved the bright light so much. Someone was in the bright light and put their arms around him, and told him, "I love you but you have to go back. You have to play baseball, and tell everyone about the 'birdies'." Then the person in the bright light kissed him and waved bye-bye. Then whoosh, the big sound came and they went into the clouds." The story went on for about an hour. He taught us that "birdies" were always with us, but we don't see them because we look with our eyes and we don't hear them because we listen with our ears. But they are always there, you can only see them in here (he put his hand over his heart). They whisper things to help us do what is right because they love us so much. Brian continued, stating, "I have a plan, Mommy. You have a plan. Daddy has a plan. Everyone has a plan. We must all live our plan and keep our promises. The birdies help us to do that cause they love us so much." In the weeks that followed, he often came to us and told all, or part of it again and again. Always the story remained the same. The details were never changed or out of order. A few times he added further bits of information and clarified the message he had already delivered. It never ceased to amaze us how he could tell such detail and speak beyond his ability when he spoke of his "birdies." Everywhere he went, he told strangers about the "birdies." Surprisingly, no one ever looked at him strangely when he did this. Rather, they always got a softened look on their face and smiled. Needless to say, we have not been the same since that day, and I pray we never will be. Don Waybright -- Tyson Foods, Inc. -- Springdale, Arkansas 72762 EXERCISE 14 Circle the words in the following verses which speak of the eternal essence of a person. "Remember your Creator in the days of your youth, before the days of trouble come and the years approach when you will say, 'I find no pleasure in them'-- Remember him before the silver cord is severed, or the golden bowl is broken; before the pitcher is shattered at the spring, or the wheel broken at the well, and the dust returns to the ground it came from, and the spirit returns to God who gave it." (Ecclesiastes 12:1-7) "While they were stoning him, Stephen prayed, 'Lord Jesus, receive my spirit.' Then he fell on his knees and cried out, 'Lord, do not hold this sin against them.' When he had said this, he fell asleep." (Acts 7:59-60) "Then a man named Jairus, a ruler of the synagogue, came and fell at Jesus' feet, pleading with him to come to his house because his only daughter, a girl of about twelve, was dying. As Jesus was on his way, the crowds almost crushed him. While Jesus was still speaking, someone came from the house of Jairus, the synagogue ruler. "Your daughter is dead," he said. "Don't bother the teacher any more." Hearing this, Jesus said to Jairus, "Don't be afraid; just believe, and she will be healed." . . . . . . . When he arrived at the house of Jairus, he did not let anyone go in with him except Peter, John and James, and the child's father and mother. 2 Meanwhile, all the people were wailing and mourning for her. "Stop wailing," Jesus said. "She is not dead but asleep." They laughed at him, knowing that she was dead. But he took her by the hand and said, "My child, get up!" Her spirit returned, and at once she stood up. Then Jesus told them to give her something to eat. Her parents were astonished, but he ordered them not to tell anyone what had happened." (Luke 8:40-42, 49-56) "Jesus called out with a loud voice, "Father, into your hands I commit my spirit." When he had said this, he breathed his last. . . . Now there was a man named Joseph, a member of the Council, a good and upright man, who had not consented to their decision and action. He came from the Judean town of Arimathea and he was waiting for the kingdom of God. Going to Pilate, he asked for Jesus' body." (Luke 23:46, 50-52) "See my hands and my feet, that it is I myself: handle me, and see; for a spirit hath not flesh and bones, as ye behold me having. And when he had said this, he showed them his hands and his feet." (Luke 24:39-40 ASV) "But when the Helper comes, whom I shall send to you from the Father, the Spirit of truth who proceeds from the Father, He will testify of Me." (John 15:26 NKJ) Before I accepted Jesus, the Holy Spirit was seeking to convince me about Jesus, prayer, the fruits of the Spirit and revealing the folly of the works of the flesh. When I was twelve years old I borrowed Mama's hammer and the Spirit taught me that God hears and answers specific prayers as I shared in my first book. (Page 102) But, prior to that when I was eight, the Spirit convinced me out of a horrendous dust storm that when the Spirit bids us pray, be very sure that is what we do. It started out a normal sunny Sunday in June in the mid thirties. The cows were milked, breakfast over, chickens prepared for dinner and we ate at high noon which was our custom. It was about 1 O'clock when dark clouds rolled in creating encroaching darkness. Mother said, "There's a storm coming and we need to do some things: First, get the chickens in." This proved to be a herculean task for besides the 200 baby chicks in a pen, we had six or seven hens with broods of baby chicks roaming the yard freely. The hens and chicks usually found their way to the chicken house when darkness came on gradually as the sun set. But, when darkness came on suddenly the hens simply squatted down where they were, called their chicks in under their body and wings and were ready to sleep. Mother said: "We can't leave them here for they will suffocate from the blowing dirt." So, we gathered them up in bushel peach baskets and basket by basket carried hen and chicks to the chicken house. I asked mother, "Aren't we going to church and Sunday School this afternoon?" Mother said: "No. We must weather this storm. The chickens are in, now close the garage door, get in the house quickly, close the doors and windows, and PRAY!" The raging dust storm struck suddenly in all its fury creating intense darkness. Our time was consumed with praying and hanging wet towels, gunny sacks and blankets over the windows to catch some of the blowing dust. By midnight the storm blew itself out and we milked the cows and ate the latest supper we had ever eaten. Then, after shaking the dust out of our bed sheets and pillows, all was quiet, and we slept in peace. The Spirit convinced me that when faced with a crisis and I need to pray, be very sure that I do just that and nothing else for God is in the eye of every storm and rides on the wings of prayer. So, the Holy Spirit seeks at an early age to convince us of various eternal truths. EXERCISE 15 Now write some experience from your early life about how the Holy Spirit convinced you about a particular truth. The Holy Spirit Seeks to Convince Us that: 1. God Loves Us 2. God's Word Is Genuine 3. Jesus Wants To Save Us 4. Unity Is Of The Spirit 1. The Holy Spirit seeks to convince us that God Loves Us "And hope does not disappoint us, because God has poured out his love into our hearts by the Holy Spirit, whom he has given us." (Romans 5:5) Dwight L. Moody said--"First and foremost the Holy Spirit imparts love." NOT SO IN THE OLD TESTAMENT-- Adam sins--- God rendezvous with Adam asking--Where have you been? What did you do? God tells Adam and Eve--You must pay. God shows Adam (man) the door (the gate to the Garden) God waves farewell and Adam finds himself on the outside looking in. BUT, IN THE NEW TESTAMENT-- Man has weathered 4,000 years of sin and its consequence. Now, God meets man singing--Peace on earth, Good will to you. Man sees God in human form---as a Baby! God says--I love you! Come, let us walk together! The miracles, parables all say---Let's talk of a New Day and a New Way! At Calvary God says---I love you! You're forgiven! Welcome Home! At the empty tomb, God says---Come, clasp My hand, and live forever! God's love is far greater than human love. I have tried to cause my love to prevail on certain occasions. In 1964 when our youngest daughter, Lisa was almost five years old, and had been diagnosed as having various problems --- childhood schizophrenia, autism, impaired senses. Everyone else in our family had gone to Dodge City or somewhere. Lisa and I were home alone in the parsonage at Minneola, Kansas. I sought to make a "deal" with God. Lisa was crying. I took her in my arms rocking her in our orange rocking chair seeking to soothe away the source of irritation. I asked God to let me trade places with Lisa as I was already 32 and had lived an eventful life. I was willing to trade health problems and if Lisa's malady could be licked in me--O.K. and if not--O.K. I received no answer, only silence! For this silence of no answer I did not fault God, but since "all things are possible" with Him, I wanted to try because I love my daughters, and sons VERY MUCH! For many years I have reflected on the story of the Father's love in seeking after His prodigal son of Luke 15. The Lord gave me this poem which tells of the seeking Father. The Waiting Father Just two days ago I saw a Father waiting on His porch, Swinging to and fro in an old porch swing. Love was reaching down a path where eyes could not see. Yesterday, I saw Him standing by the yard gate, Looking longingly down an empty road. He was hoping---perhaps today My son will come home. Last evening I saw Him standing at the kitchen door. It was supper time, and a welcome home feast was prepared. An empty chair was at the table, set for a certain boy. This morning I saw this Father at the end of the lane. He spoke of an expected letter as he nailed a sign on the post: "WELCOME HOME MY SON, COME ON IN!" Now, it's high noon, and the waiting Father waits no more. He peers through shadows cast by clouds beneath the noonday sun. Down the road He runs calling--"Come home my son! Come on Home!" I stand and watch as He crosses the creek, And seems to disappear down the old country road. That figure in the far west: Is it an animal, a tree, a person? Now, thunder rolls, it's quite dark for such an early hour. The figure is that of a bedraggled boy running towards home. Love has won! Father and son hug with hope on a distant hill! EXERCISE 16 Now write an experience in your life of the Holy Spirit working through God's love. 2. The Holy Spirit seeks to convince us that God's Word Is Genuine. God has spoken. His Words are inspired. (II Peter 1:21 ....I Timothy 3:16) "Above all, you must understand that no prophecy of Scripture came about by the prophet's own interpretation. For prophecy never had its origin in the will of man, but men spoke from God as they were carried along by the Holy Spirit." (II Peter 1:20,21) Consider this: "Long ago the Old Testament writers realized the human spirit needed hope. So, they decided to write about hope and we have their thinking in the Bible." by Vernon Richerson, elder of Arkansas City, Kansas Bible Christian Church - 1/29/28 as spoken at Mt. Zion Community Church. Is the thought in the above quote TRUE___? or ____False? What Mr. Richerson says is exactly what the writings of the Bible is NOT! Men did not write out of their own thinking but "spoke from God as they were carried along by the Holy Spirit." (II Peter 1:20,21) EXERCISE 17 Write down other words-phrases used to translate "God breathed" of II Timothy 3:16. "All Scripture is given by inspiration of God, and is profitable for doctrine, for reproof, for correction, for instruction in righteousness,..." (II Timothy 3:16 NKJ) NIV__________________________________________________________ Other_________________________________________________________ Other_________________________________________________________ Greek-- theopneustos, "inspired by God" (Theos, "God," pneo, "to breathe"), is used in II Timothy 3:16, of the Scriptures. (Vine's) In YOUR OWN words write down what inspiration means to you. AGE and WRITING of the Bible: * 66 books * written over a period of 1600 years, * by 40 different authors who for the most part did not know each other. * written on three different continents (Asia, Africa, Europe) Yet, there is perfect unity from Genesis through Revelation. HOW does the above data effect "inspiration"? EXERCISE 18 Write down what the following verses assert about the Word of God. Proverbs 30:5_____________________________________________________ Proverbs 30:6_____________________________________________________ I Thessalonians 2:13_______________________________________________ Ephesians 6:17____________________________________________________ God has spoken! His words are TRUTH. "But when he, the Spirit of truth, comes, he will guide you into all truth. He will not speak on his own; he will speak only what he hears, and he will tell you what is yet to come. He will bring glory to me by taking from what is mine and making it known to you." (John 16:13,14) In the beginning the devil promised the human race (Adam and Eve) "You will not surely die," the serpent said to the woman. "For God knows that when you eat of it your eyes will be opened, and you will be like God, knowing good and evil." (Genesis 3:4,5) This promise that Adam and Eve would possess truth was short lived for the only truth ("good and evil") man ever realized out of his own mind was that he was naked, (Genesis 3:10-13), and it has been pointed out that for the most part even that has been lost today. Since Eden, man has had to rely totally upon the Word of God and the Spirit of God to know good from evil, or reach his own conclusion which most often leaves him looking like a fool. EXERCISE #19 List some moral truth that man has discovered apart from the Holy Spirit in the Bible _____________________________________________________________________________________ _____________________________________________________________________________________ List some truths that man’s knowing is dependent upon the Holy Spirit in the Bible _____________________________________________________________________________________ _____________________________________________________________________________________ It is quite fashionable in some quarters to compare the teachings of the Bible with the teachings of Zoroaster, Buddha, Confucius, Epictetus, Socrates, Marcus Aurelius Antoninus, and a number of other heathen authors. The difference between the teachings of the Bible and those of these men is found in three points— First, the Bible has in it nothing but truth, while all others have truth mixed with error. It is true that Socrates taught how a philosopher ought to die; he also taught how a woman of the town ought to conduct her business. Jewels there are in the teachings of these men, but (as Joseph Cook once said) they are "jewels picked out of the mud." Second, the Bible contains all truth. There is not a truth to be found anywhere on moral or spiritual subjects that you cannot find in substance within the covers of that old Book. I have often, when speaking upon this subject, asked anyone to bring me a single truth on moral or spiritual subjects, which, upon reflection, I could not find within the covers of this book, and no one has ever been able to do it. I have taken pains to compare some of the better teachings of infidels with those of the Bible. They indeed have jewels of thought, but they are, whether they know it or not, stolen jewels, and stolen from the very book they ridicule. The third point of superiority is this; the Bible contains more truth than all other books put together. Put together from all literature of ancient and modern times all the beautiful thoughts you can; put away all the rubbish; put all these truths that you have culled from the literature of all ages into one book, and even then you will not have a book that will take the place of this one book. My vest pocket New Testament, is a very small book, yet there is more of truth than in all the books that man has produced in all the ages of his history. How will you account for it? There is only one rational way. This is not man's book, but God's book. God has spoken. His Words Are Alive! "For the word of God is living and active. Sharper than any double-edged sword, it penetrates even to dividing soul and spirit, joints and marrow; it judges the thoughts and attitudes of the heart." (Hebrews 4:12) EXERCISE 20 List some of the truths you have heard in the past but never put into action: BE AWARE of what Jesus and Isaiah said: "And in them the prophecy of Isaiah is fulfilled, which says: 'Hearing you will hear and shall not understand, and seeing you will see and not perceive; For the hearts of this people have grown dull. Their ears are hard of hearing, and their eyes they have closed, lest they should see with their eyes and hear with their ears, lest they should understand with their hearts and turn, so that I should heal them.' (Matthew 13:14-15 NKJ) 1. ____________________________________________________________ 2. ____________________________________________________________ 3. ____________________________________________________________ 4. ____________________________________________________________ 5. ____________________________________________________________ The Holy Spirit often convinces us in special ways. Rodger Thompson whose home is Hugoton, Kansas, and now ministers at Wichita shares this meaningful testimony out of his full life. "The convincing power of the Holy Spirit was first known to me when I was a senior in high school. I had slipped deeper and deeper in sin during my high school years. Because I was a Christian, from a Christian home, and active in church weekly, the Holy Spirit kept me under constant conviction. Those were such years of spiritual struggle that I have very few pleasant memories of high school. Those struggles tended to dominate everything. The battle raged inside of me until I thought I would be pulled apart. As I neared graduation my senior year, I realized that the whole social system I had given myself to was about to come to an end and that of the secular college was even worse. I knew that if I went to a secular college I would not survive as a Christian. My sister had gone to Manhattan Bible College a couple of years before and I was familiar with that scene. On the other hand I had a couple of football coaches that were encouraging me to go to a Junior college to play football. As time went by I was under such terrible conviction that I decided to start reading my Bible at bedtime. This was really just an attempt to ease my conscience. One night I was reading in Ecclesiastes and came across 11:9 -- "Rejoice, O young man, in thy youth; and let thy heart cheer thee in the days of thy youth, and walk in the ways of thine heart, and in the sight of thine eyes: but know thou, that for all these things God will bring thee in to judgment." It was as if God spoke these words in my ears. They struck me with such power that the burden of conviction overcame me. I began to weep almost uncontrollably as the weight of my rebellion settled in on me. I was broken. I can't say everything immediately changed but that was the beginning of change. I truly repented and began to, little by little, yield myself over to God. First I decided to go to Manhattan Bible College because I knew I did not have the spiritual strength to survive anywhere else. One stronghold right after another fell. Some quickly and others are still falling. I quit drinking almost immediately. After about six weeks into Bible college I finally quit smoking. I began to teach a high school Sunday school class in the Christian Church in Westmoreland, Kansas. At second semester I started preaching. I will never forget meeting God in Ecclesiastes 11:9 there in my bedroom that night. I will never be the same." --Rodger Thompson-- EXERCISE 21 According to John 14:21 what causes God to r-e-v-e-a-l Himself to us? The person who has My commands and keeps them is the one who [really] loves Me, and whoever [really] loves Me will be loved by My Father. And I [too] will love him and will show (reveal, manifest) Myself to him—I will let Myself be clearly seen by him and make Myself real to him. (John 14:21 Amplified NT.) EXERCISE #22 Following Jesus Step by Step "To this you were called, because Christ suffered for you, leaving you an example, that you should follow in his steps." I Peter 2:21 Please do not omit this exercise. Your stair steps will be different from mine on the next page. Start at the bottom of the stairs with your acceptance of Jesus and trace your journey by truths learned and obeyed. Remember the old chorus -- "We are Climbing Jacob's ladder. Every round goes higher, higher; Every round goes higher, higher. Soldier of the Cross." Just so, keep in mind that Jesus only reveals Himself to us as we act upon what we study--"He who has My commandments and keeps them, it is he who loves Me. And he who loves Me will be loved by My Father, and I will love him and (manifest myself, show myself, reveal myself, make Myself real) to Him." Amplified, John 14:21 NKJ My Steps of Obedience to the Lord and His Word He is convincing me that out of many trials comes maturity! James 1:2-4; I He convinced me that unity is Jesus in people relating to each other! I John 1:7 He convinced me that His church is not a building or a denomination, but "called out people," Matthew 16:18; Luke 17:21 People and Jesus became my focus! He convinced me God still leads people, Romans 8:14, acts 8:26. I learned to tune in by His Word He convinced me about spiritual gifts, Romans 12:5-8 He convinced me that His supernatural is present tense, Acts 4:33 Answered prayer (miracles) became a reality! He convinced me to fast and pray, Matthew 6:16-ff. He convinced me from His Word how to deal with the devil in every day life from James 4:7 He convinced me to pray about all things, Philippians 4:6 I still do! He convinced me to walk and live by faith, Romans 1:17, He convinced me to praise Him in all things, Ephesians 5:20, I Thess. 5:18 He convinced me that God is love and how to communicate His love with others. I John 4:7-11 He convinced me, that having received the Holy Spirit when I came to Jesus (Acts 2:38), to continue being filled with His Holy Spirit according to His Word, Ephesians 5:18; Acts 4:31; Luke 11:9-13. I asked and He answered! After 25 years He convinced me from Romans 12:1,2 that "worship" is the "presenting of our bodies as a living sacrifice to God". And the acts of religion (Greek "worship") are taming the tongue caring for orphans and widows, striving to be "unspotted from the He convinced me to receive Jesus, and then began a long 25 year dry period in my spiritual life during which I was to busy studying the Bible to obey it's truths. I was forever studying but not coming to a knowledge of the truth. II Timothy 3: 5,7 * In 1 and 11 Samuel Jesus is our "Trusted Prophet." * In Kings and Chronicles Jesus is our "Reigning King." * In _______________ Jesus is our "Faithful Scribe." * In _______________ Jesus is the "Rebuilder of the Broken Walls" of our broken lives. * In _______________ Jesus is our "Mordecaia." * In _______________ Jesus is our "Ever-living Redeemer." * In _______________ Jesus is the "Lord, Our Shepherd." * In Proverbs and Ecclesiastes Jesus is our "Wisdom," * In the_____ of _________ Jesus is the "Lover and Bridegroom." * In _______________ Jesus is the Prince of Peace. * In _______________ Jesus is the "Messenger of Beautiful Feet." * In _______________ Jesus is our "Avenger." * In _______________ Jesus is the "Evangelist pleading for Revival." * In _______________ Jesus is "The Lord Mighty to Save." * In _______________ Jesus is the "Restorer of the Lost Heritage." * In _______________ Jesus is the "Fountain Opened in the House of David for Sin." * In _______________ Jesus is the Sun of Righteousness, risen with healing in His Wings. * In _______________ Jesus is the "Messiah." * In _______________ Jesus is the "Wonder-worker." * In _______________ Jesus is the "Son of Man." * In _______________ Jesus is the "Son of God." * In _______________ Jesus is the "Crucified One." * In _______________ Jesus is the "Justifier." * In 1 and II Corinthians Jesus is the "Sanctifier." * In _______________ Jesus is our "Redeemer From the Curse of the Law." * In _______________ Jesus is our "Christ of Unsearchable Riches." * In _______________ Jesus is our "God Who Supplies All Our Needs." * In _______________ Jesus is the "Fullness of the Godhead Bodily." * In 1 and II Thessalonians Jesus is our "Soon Coming King." * In 1 and II Timothy Jesus is the "Mediator between God and Man." * In _______________ Jesus is the "Faithful Pastor." * In _______________ Jesus is the "Friend of the Oppressed." * In _______________ Jesus is the "Blood of the Everlasting Covenant." * In _______________ Jesus is the "Lord who Raises the Sick." * In 1 and 11 Peter Jesus is the "Chief Shepherd Who Will Soon Appear." * In I, II, and III John Jesus is "Love." * In _______________ Jesus is the "Lord Coming with Ten Thousand of His Saints." * In _______________ Jesus is the "Alpha and The Omega - King of Kings and Lord of Lords." A unknown author penned these words long ago which speak eloquently of Jesus and the effect of His life. ONE SOLITARY LIFE "HERE IS a young man who was born in an obscure village, the child of a peasant woman. He grew up in another village. He worked in a carpenter shop until he was 30, and then for three years he was an itinerant preacher. He never wrote a book. He never held an office. He never owned a home. He never had a family. He never went to college. He never put his foot inside a big city. He never traveled 200 miles from the place where he was born. He never did one of the things that usually accompany greatness. He had no credentials but himself. While he was still a young man, the tide of public opinion turned against him. His friends ran away. He was turned over to his enemies. He went through the mockery of a trial. He was nailed to a cross between two thieves. While he was dying, his executioners gambled for the only piece of property he had on earth, and that was his coat. When he was dead, he was laid in a borrowed grave through the pity of a friend. Nineteen wide centuries have come and gone, and today he is the central figure of the human race and the leader of the column of progress. I am far within the mark when I say that all the armies that ever marched, and all the navies that were ever built, and all the parliaments that ever sat, and all the kings that ever reigned, put together, have not affected the life of man upon this earth, as has that One Solitary Life." EXERCISE 25 From the Gospels and/or Book of Acts list some examples of people finding Jesus: EXERCISE 26 Look up the Scripture verse at the end of each sentence and fill in the blank with the appropriate word(s). WHAT JESUS HAS DONE FOR HIS PEOPLE: He descended (John 6:38) that we might ___________ (John 14:3) He became poor (II Corinthians 8:9) that we might become _________. (James 2:5) He was born (John 1:14) that we might be _____________.(John 3:2) He became a servant (Philippians 2:7) that we might be _______. Galatians 4:6,7) He had no home (Matthew 8:20) that we might have a ___________ ____________. (John 14:2 He was hungry (Matthew 4:2) that we might __ __ ____. (John 6:50) He was thirsty (John 19:28) that we might drink of the wells of _____________. (Isaiah 12:3) He was wearied (John 4:6) that we might __ ____. (Matthew 11:29) He was stripped (Matthew 27:28) that we might be _____________. (II Corinthians 5:4) He was forsaken (Matthew 27:46) that we might not be _____________. (Hebrews 13:5) He was sad (Isaiah 53:3) that we might be __ ____. (Philippians 4:4) He was bound (Matthew 27:2) that we might __ __ ____. (John 8:32-36) He was made sin (II Corinthians 5:21) that we might be _____________. (2 Cor. 5:21) He died (John 19:33) that we might __ ____. (John 5:24,25) He will come down (I Thessalonians 4:17) that we might be _____________. (I Thessalonians 4:16,17) Larry Wright and I penned the following poem which speaks of the Good News of Jesus. GOOD NEWS FOR YOU! What's the news? What's the news? Friend I have good news to tell! My Lord has done all things well and conquered over death and hell! That's the news? That's the news? So, follow Jesus and do well, and conquer over death and hell! Then you'll have GOOD NEWS to tell. And you can say "Here's news that rings the bell! Jesus has conquered over death and hell and He does all things well!" That's the news? That's the Good News for Today! by Larry Wright and Wilbur Johnson - March, 1996 4. The Holy Spirit is the Author of Unity "Make every effort to keep the unity of the Spirit through the bond of peace. There is one body and one Spirit-- just as you were called to one hope when you were called--one Lord, one faith, one baptism; one God and Father of all, who is over all and through all and in all." (Ephesians 4:3-6) Perhaps more than any other two blessings, salvation and unity bear the marks of confusion. Man or the evil one in man, has worked overtime to turn simplicity into complexity. The Holy Spirit's definition of "unity" is so simple-- "Now you are the body of Christ, and each one of you is a part of it." (I Corinthians 12:27) "To them God has chosen to make known among the Gentiles the glorious riches of this mystery, which is Christ in you, the hope of glory." (Colossians 1:27) "You are all sons of God through faith in Christ Jesus, for all of you who were baptized into Christ have clothed yourselves with Christ. There is neither Jew nor Greek, slave nor free, male nor female, for you are all one in Christ Jesus. If you belong to Christ, then you are Abraham's seed, and heirs according to the promise." (Galatians 3:26-29) EXERCISE 27 From each of the following verses write down a descriptive phrase which Jesus said about His Kingdom, the Church. John 18:36 ____________________________________________________________ Luke 17:21_____________________________________________________________ Romans 14:17 ___________________________________________________________ Luke 17:21 ______________________________________________________________ I Corinthians 4:20 _______________________________________________________ I Corinthians 15:50_______________________________________________________ John 3:5 _________________________________________________________________ Matthew 13:24-30________________________________________________________ Luke 17:21 ______________________________________________________________ Matthew 13:33; Mark 4:26-29 _____________________________________________ The New Testament Scriptures address the matter of restoration as the restoring of man to God through the Christ of the Cross. Everything God has ever done for man has been directed toward restoring him to God through salvation and sanctification. Even our Lord said—"For the Son of Man has come to seek and to save that which was lost." (Luke 19:10) But, man has contrived all sorts of divisive devices—peculiar teaching, religious forms, rules and works, buildings, relics, names, titles, organizations, etc. I had been preaching only six years when my conviction about unity was put to the test. Bertha Schul came to my study saying, "We have heard you do Bible things here at the Lawrence (Indiana) Christian Church; is that true?" Just in my sixth year of preaching, coupled with the fact that I had never seen these folks before, I was a little hesitant to give a wide-open answer to such a general question; but, I breathed a prayer and said, "Yes, we try to follow the Bible. How can we help you?" They filled me in on their background. They were Roman Catholics but in studying the Bible had concluded they needed to be baptized by immersion. We opened the Scriptures and reviewed God's plan. They spoke further of their intention to remain in the Catholic Church. In my own heart I had to answer the age old question—Are there Christians in other groups? How broad is God's foundation? What does it mean to be "in Christ"? I told them that I was only a servant of Jesus and that my commission in Matthew 28:19,20 gave no fine line restrictions. I immersed them and they went on their way rejoicing. The next Sunday they were in our morning assembly and came forward at the invitation and transferred their membership. I rejoiced in having passed the latitude test earlier, recognizing God's foundation is as broad as His Word and obedient hearts who seek Him! In seeking to build God's people, we need to expand our thinking to realize that on this certain foundation of the apostles and prophets with Jesus as the chief cornerstone, (Ephesians 2:19-22), all Bible believing, Christ honoring people seek to build. But, speaking the truth in love, may grow up in all things into Him who is the head—Christ—from which the whole body, joined and knit together by what every joint supplies, according to the effective working by which every part does its share, causes growth of the body for the edifying of itself in love." (Ephesians 4:15,16) In this living relationship we are addressed as being parts of Christ's Body with the Lord Himself as the Head. So, like the human body in which most of the functions: thinking, growing, loving and living—are hidden and silent, so the unity of Christ's Body is silent and hidden. EXERCISE 28 UNITY STATEMENTS - "True" or "False" - Discussion questions _____ Christian unity is all churches meeting together in one building. _____ Christian unity can be accomplished by the World Council of Churches. _____ Christian unity is everyone believing the same with no deviation. _____ Christian unity can be effected by the National Council of Churches. _____ Christian unity is all church people getting together on Sunday with one super "senior minister"? _____ Christian unity is everyone else correcting their mistakes. _____ Christian unity will be effected by the Restoration Movement of the independent Christian Churches, Churches of Christ or Disciples of Christ. _____ When everyone is perfect we will have Christian unity. _____ There is no place for opinions in Christian unity. _____ Christian unity is CHRIST CENTERED, not church centered. CONCLUSION: "But if we walk in the light, as he is in the light, we have fellowship with one another, and the blood of Jesus, his Son, purifies us from all sin." (I John 1:7) Edwin Markham wrote four beautiful lines of poetry that remind us of our opportunity for and the blessing of an enlarged vision upon God's foundation: "He drew a circle that shut me out— Heretic, rebel, a thing to flout; But love and I had the wit to win, we drew a circle that took him in" EXERCISE #29 Draw some circles so as to illustrate the exclusive and inclusive spirit suggested in the above lines of poetry. Let us conclude our thinking together with this prayer. (If this is being studied in a group setting, this prayer may be prayed as a UNISON PRAYER.) "FROM THIS DAY FORWARD, HELP ME GOD TO KNOW I AM ONE WITH YOU THROUGH JESUS, AS IS EVERY OTHER BIBLE BELIEVING AND CHRIST FOLLOWING PERSON ON THIS PLANET. BLESS ME WITH A WIDER VISION TO CELEBRATE YOUR UNITY IN THE PRESENT TENSE THAT JESUS MAY BE LIFTED UP! In His Name, Amen." THE HOLY SPIRIT CONVICTS "Nevertheless I tell you the truth: It is expedient for you that I go away; for if I go not away, the Comforter will not come unto you; but if I go, I will send him unto you. And he, when he is come, will convict the world in respect of sin, and of righteousness, and of judgment" (John 16:7,8 ASV) THE HOLY SPIRIT CONVICTS OF SIN Matthew Henry asserts: "Convicting is the Holy Spirit's work, only He can do it effectually, and none but He. Man may open the cause; but it is the Spirit only that can open the heart. ..... First He lays open the wound, and then applies healing medicines." EXERCISE 30 Even after we receive Jesus the Holy Spirit continues to seek to convince us of our sins for at least three reasons: 1. I John 1:9 "____ _______ _____, he is faithful and just and will forgive us our sins and purify us from all unrighteousness." 2. James 5:16 "Therefore confess your sins to each other and pray for each other so that you _____ __ _______. The prayer of a righteous man is powerful and effective." 3. Luke 7:47 "Therefore, I tell you, her many sins have been forgiven-- for she loved much. But _____ _____ _____ _____ _____ _____ _____, ________ ________." Harold Bell Wright in his book That Printer of Udell's gives a vivid description of the Holy Spirit at work convicting a character named "Dick" of his past sins. "His own life came before him like a horrid vision just as it had done that morning when he learned of his father's death. He saw his childhood home, smelled the odor of the fragrant pines upon the hills, and heard the murmur of the river running past the cabin. Again he heard his drunken father cursing in his sleep, and caught the whisper of his mother's dying prayer; and again he crept stealthily out of the cabin into the glory of the morning, with a lean hound his only companion." Slowly and painfully he traced his way along the road of memory, recalling every place where he had advanced; every place where he had fallen; going step by step from the innocence of boyhood to the awful knowledge of the man of the world. He had fought, had fallen, had conquered and risen again; always advancing toward the light, but always bearing on his garment the smell of the fire, and upon his hands the stain of the pitch. And now, it was time to respond to this journey of memory across all of his years. He would change!" Our human nature is not bent towards searching out sin. This is well illustrated by a conversation I had with a friend. She remarked, "I have made no mistakes which I regret in life." With amazement I countered that one of the words which translates sin in the New Testament is "mistake"--to miss the mark. I pointed out that I HAD SINNED OFTEN, and with regret. During the night the Lord reminded me from Scripture that Isaiah had contemplated the same proposition, and his response was "Woe to me!" I cried. "I am ruined! For I am a man of unclean lips, and I live among a people of unclean lips, (but) my eyes have seen the King, the LORD Almighty." (Isaiah 6:5) I arose at 5 the next morning after our discussion, and my mind continued working on the above concept--sins-regret. While meditating, I posed the probability that I had committed many regrettable sins, and that I should formulate a "TOP 12 LIST" of my BIGGEST BLUNDER BOOMERS. As my mind traversed the 60+ years of my life, I quickly reached the BIG DOZEN MARK by the time I was six years old, then on to 20, and I saw 30, 40, 50 coming my way. When I began to include sins of omission, I realized the figure would reach into the thousands. I lost count, mostly because I wanted to, and quickly realized without straining my brain, the figure would reach many thousands. What is the value of being aware of our sins? Jesus said there is a relationship between our many sins forgiven and how much we love. "Therefore, I tell you, her many sins have been forgiven--for she loved much. But he who has been forgiven little loves little." (Luke 7:47) Being conscious of my sin(s) has made me seek the Lord's forgiveness, this greatly amplified my prayer walk, which in turn has increased my love for God and provides a climate for accepting others who sin and seek their Lord. Thus, do not neglect the Holy Spirit when He seeks to convict us of our sins. EXERCISE 31 From the following Scriptures list the "tools of conviction" which the Holy Spirit uses. After your answer on each line indicate with "YES" or "NO" whether this "tool" is used today. Jude 1:9__________________________________________________________ Jude 1:15__________________________________________________________ John 8:9___________________________________________________________ James 2:9__________________________________________________________ I Corinthians 14:24_________________________________________________ II Samuel 12:8______________________________________________________ Jonah 1:17; 2:1,2____________________________________________________ Jonah 4:5,7,8_______________________________________________________ Isaiah 6:1,8________________________________________________________ Hebrews 4:12_______________________________________________________ Romans 2:15_______________________________________________________ Spend some time alone. Allow the Spirit to call to your attention your sins which need confessing. Do so and ask forgiveness. "Blessed is he whose transgressions are forgiven, whose sins are covered. Blessed is the man whose sin the LORD does not count against him and in whose spirit is no deceit. When I kept silent, my bones wasted away through my groaning all day long. For day and night your hand was heavy upon me; my strength was sapped as in the heat of summer. Selah Then I acknowledged my sin to you and did not cover up my iniquity. I said, 'I will confess my transgressions to the LORD'-- and you forgave the guilt of my sin. Selah" (Psalm 32:1-5) THE HOLY SPIRIT CONVICTS OF RIGHTEOUSNESS "Nevertheless I tell you the truth: It is expedient for you that I go away; for if I go not away, the Comforter will not come unto you; but if I go, I will send him unto you. And he, when he is come, will convict the world in respect of sin, and of righteousness, and of judgment" (John 16:7,8 ASV) Jesus interprets the statement about "righteousness" in verse ten—"in regard to righteousness, because I am going to the Father, where you can see me no longer;" John 16:10 While our Lord was here, man could see righteousness personified in human form, but when Jesus returned to the Father we now must allow the Holy Spirit and God's Word to "convict" us of righteousness. Our blessed Holy Spirit convicts us concerning righteousness in unique and usually silent ways. Most often we will know HE is working when we start doing righteous deeds. Such is the case of this beautiful testimony by Brother Roger Day of Highmore, South Dakota, as he took Jesus to Russia for the thirteenth time. His trips are different in that he does not go to build buildings, but save souls for Jesus and strengthen the faith of the Saints! EXERCISE 32 As a spiritual exercise I ask you to underline or shade the words-phrases which indicate the Holy Spirit at work. I found 45 such items. "Well, God was on the move in most wonderful ways from the time I got on the first plane until I got off back at home. I prayed that He would reveal His power and that He would see to it that every moment provided opportunities to bless people. He did it. I could not begin to list everything...although I did write a 30 page journal for my wife. It is hard to say what was the most important part of the trip, but briefly I will say this. Back in May or June the Lord had assured me that the next trip was going to be something very special. About that same time, I wrote and told a young lady who was helping organize the trip. She wrote back and told me that God had spoken the same thing to her. Well, shortly after that, they began to have some very great moves of God amongst the youth...but the elders did not understand it, so they squashed it....I did not know about this, until after the first meeting while I was there. What happened at that first meeting was absolutely beautiful. I watched as God moved on the people. Now mind you, they do not watch Christian television, or read Charisma magazine...or anything like that...but here they were...some laughing, some crying, some falling, some jumping...and all praising the Lord, for His presence. The next day, I met with some folks and they told me what had happened in the youth meetings...well, God was just confirming with the elders that they were not going to stop him and He sent them to me to help them understand that they must go with God. Every meeting the intensity increased. People were delivered from smoking, drinking, fears, (there is a lot of strange fear there), demons left, people were saved. Tumors were healed. One very large man who always hugs me until it feels like he could break my back came to me, and said his strength was gone...I believe it was heart problems and blood flow...at any rate, before I left, I got the same old hugs...his strength was back. The churches were brought together with a vision for reaching the community...one is an old line Pentecostal ... the other a charismatic...both blessed by the power of God and a new love and desire to work together. There were probably fifty people saved, maybe more...we had young men come in from a dance that was going on in another part of the auditorium...I believe they came to mock, but they got in a prayer line and when God was done...they just sort of sat down in a daze. Grandmas came for prayer and I had to catch them in my arms and lay them on the floor....in the midst of all the struggles that are there now...they were experiencing the joy of the Lord, and they loved it...there were twenty or thirty people who, one night the Lord spoke to them that He wanted to use them in powerful ways, if they would yield themselves...they came forward for prayer, and then they went out into the people and prayed for those who wanted prayer. Mostly I have to say that I was a spectator, watching God work His wonders, and thanking Him for letting me be there to watch. I met with a small group of about 25 young actors and actresses. I spoke to them about the goodness of God and then sang them a song, with my interpreter telling them the words. When I was done I asked how many would like to accept Jesus as their savior and get to know Him personally...only two remained sitting. Praise the Lord. One by-product of this, was that a religious cow died in one of the elders who teaches drama...he thought that people could only get saved by praying a certain prayer or with a certain message..but he watched them get saved by the words of a song. He said that his wife repented in the bathroom and that he was no longer bound by tradition and then we all laughed....God does mess with our theology sometimes. Most people think I don't have a theology...but I do have Jesus. I also watched God restore relationships, and saw people sharing with one another and giving and well, most everything that you would expect to happen in the presence of God happened, along with a lot of things that some folks don't think do, or should happen. In the airports I saw the presence of God bring peace to three different screaming babies. They simply took hold of the finger I held out to them, and got quiet...their parents could only look and I could only smile, as we did not speak each other's language....I prayed for more people than I ever have as I was made more aware of how God can touch and minister to all who we will ask Him too. There is so much that I do not know...and the more I am in His presence the more I feel like I know nothing...I just want to know Him more. This is as close as I can come to a report unless God tells me something different. Let me again say, that I was more of a spectator than a facilitator. I was just privileged to be there. To God be the glory. The letters that people gave me as I left perhaps say the most important thing. They each conveyed the fact that they loved God more, and were more confident of His love for them, and they were certain that this was only a beginning of what God was going to do now, because they would call upon Him with greater faith than ever. What more could we desire? Also, we were able to share much financial support with other believers who have needs. We also left a considerable fund for the help of widows and orphans. We visited an orphanage, which we hope to help more in the future...now that is really it....God bless you, Roger Day -- Date: Thursday, 03 Dec 1998 Now, carry out this truth—"Nevertheless I tell you the truth. It is to your advantage that I go away; for if I do not go away, the Helper will not come to you; but if I depart, I will send Him to you. "And when He has come, He will convict the world of sin, and of righteousness, and of judgment:" (John 16:7-8 NKJ) Write down what He is convicting you about "righteousness." If you have a problem, go back and read this section again. THE HOLY SPIRIT CONVICTS OF JUDGMENT "Nevertheless I tell you the truth: It is expedient for you that I go away; for if I go not away, the Comforter will not come unto you; but if I go, I will send him unto you. And he, when he is come, will convict the world in respect of sin, and of righteousness, and of judgment" (John 16:7,8 ASV) "The devil, the prince of this world was discovered to be a great deceiver and destroyer, and as such judgment was entered against him, and execution in part done. He was cast out of the Gentile world when his oracles were silenced and his altars deserted, cast out of the bodies of many in Christ's name, which miraculous power continued long in the church; he was cast out of the souls of people by the grace of God working with the gospel of Christ; he fell as lightning from heaven. This is a good argument wherewith the Spirit convinces the world of judgment, that is, First, of inherent holiness and sanctification, (Matthew 12:18). By the judgment of the prince of this world, it appears that Christ is stronger than Satan, and can disarm and dispossess him, and set up his throne upon the ruin of his. Secondly, of a new and better dispensation of things, He shall show that Christ's errand into the world was to set things right in it, and to introduce times of reformation and regeneration; and he proves it by this, that the prince of this world, the great master of misrule, is judged and expelled. All will be well when his power is broken who made the mischief. Thirdly, of the power and dominion of the Lord Jesus, He shall convince the world that all judgment is committed to him, and that he is the Lord of all, which is evident by this, that he has judged the prince of this world, has broken the serpent's head, destroyed him that had the power of death, and spoiled principalities; if Satan be thus subdued by Christ, we may be sure no other power can stand before him. Fourthly, of the final day of judgment; all the obstinate enemies of Christ's gospel and kingdom shall certainly be reckoned with at last, for the devil, their ringleader, is judged." Matthew Henry Augustine is an earthly example of judgment Augustine (c.604 AD) was unable to calm the inner storm of unrest that raged within him and could no longer ignore it. Finally he threw himself prostrate under a Fig tree, his body wrenching violently and uncontrollably with sobs. Augustine found himself crying out to God, "End my uncleanness O Lord! End my uncleanness!" Between his praying and weeping, he heard the voice of a child in a nearby house begin to chant, "Take up and read! Take up and read!" Augustine remembered the Bible he had brought with him. With shaking hands, he opened it to Romans 13:12 in obedience to the voice of the unseen Child. He read: Not in rioting and drunkenness, not in chambering and wantonness, not in strife and envying; but, put you on the Lord Jesus Christ, and make not provision for the flesh in concupiscence. Not in rioting and drunkenness . . .He had partied since the days of his youth. Not in chambering . . .He had lived a life of fornication and fathered a son outside of marriage. Not in wantonness . . .His mind was a filthy pit of unclean thoughts. Not in strife and envying . . .He spent his whole life striving for power and status. He envied everyone in a higher position than he held. Put on the Lord Jesus Christ. . .He had done nothing but mock and jeer the only one who loved him enough to die for him. Make not provision for the flesh. He had cared for nothing or no one, but was concerned only with his own fleshly and self-centered desires. In concupiscence . . .His whole being was saturated with lust. His inner core of rottenness was exposed by the light of God's Word. He had never seen himself as he really was. He cringed at the stench of vile filth within him. For the first time in his life, he stood alone, naked in spirit, before the piercing gaze of a holy God, and prayed: "Oh, my God! End your conviction of me! End my uncleanness, O Lord!" And God opened a fountain for cleansing sin and uncleanness, the precious blood of his only begotten Son. Augustine became a new creation in Christ. Light literally blazed into his heart, driving out darkness and all other gods with its presence. "Oh, my Christ." Augustine prayed in wonder and awe. "Let me live the rest of my life only to please you." Men stared as Augustine ran from the garden, his face lit from within, his torch held confidently. "I have no need to ever consult another astrologer," he cried. "Yes, I consulted these impostors, but Christ is and forever more will be my guide!" All his craving for worldly success was gone. The esteem of men meant nothing to him. Why should he marry an heiress he did not love? He broke his engagement. He resigned his position as professor and retreated to a country villa to write. Shortly after beginning his new life, his restlessness resumed. He turned to the Scriptures for help, and daily grounded himself in the Word of God. And the restlessness was again replaced with a beautiful peace. EXERCISE 33 List the "tools of conviction" which the Holy Spirit uses in Augustine's confrontation with God. If you look closely there are at least eight "tools". The solution for Isaiah is described in these words: "Then one of the seraphs flew to me with a live coal in his hand, which he had taken with tongs from the altar. With it he touched my mouth and said, 'See, this has touched your lips; your guilt is taken away and your sin atoned for.'" (Isaiah 6:6,7) It is imperative along with considering our sin(s) that we confess the same to God, (I John 1:7) then forgive ourselves and forget them just as God has done. Read again David's experience after he had sinned: "O God, according to your unfailing love; according to your great compassion blot out my transgressions. Wash away all my iniquity and cleanse me from my sin. For I know my transgressions, and my sin is always before me. Against you, you only, have I sinned and done what is evil in your sight, so that you are proved right when you speak and justified when you judge. Surely I was sinful at birth, sinful from the time my mother conceived me. Surely you desire truth in the inner parts; you teach me wisdom in the inmost place. Cleanse me with hyssop, and I will be clean; wash me, and I will be whiter than snow. Let me hear joy and gladness; let the bones you have crushed rejoice. Hide your face from my sins and blot out all my iniquity. Create in me a pure heart, O God, and renew a steadfast spirit within me. Do not cast me from your presence or take your Holy Spirit from me. Restore to me the joy of your salvation and grant me a willing spirit, to sustain me." (Psalm 51:1b-12) This searching out our sin process helps to make the grand old hymn a reality in our life, "Lord, to my heart bring back the springtime, Take away the cold and dark of sin; O return to me, sweet Holy Spirit, May I warm and tender be again." Spend some time alone with the Lord, confess your sins and ask for forgiveness. "If we confess our sins, he is faithful and just and will forgive us our sins and purify us from all unrighteousness. If we claim we have not sinned, we make him out to be a liar and his word has no place in our lives." (I John 1:9,10) "Therefore confess your sins to each other and pray for each other so that you may be healed. The prayer of a righteous man is powerful and effective." (James 5:16) Now there was a man of the Pharisees named Nicodemus, a member of the Jewish ruling council. He came to Jesus at night and said, "Rabbi, we know you are a teacher who has come from God. For no one could perform the miraculous signs you are doing if God were not with him." In reply Jesus declared, "I tell you the truth, no one can see the kingdom of God unless he is born again." "How can a man be born when he is old?" Nicodemus asked. "Surely he cannot enter a second time into his mother's womb to be born!" Jesus answered, "I tell you the truth, no one can enter the kingdom of God unless he is born of water and the Spirit. Flesh gives birth to flesh, but the Spirit gives birth to spirit. You should not be surprised at my saying, 'You must be born again.' The wind blows wherever it pleases. You hear its sound, but you cannot tell where it comes from or where it is going. So it is with everyone born of the Spirit." (John 3:1-8) The Holy Spirit's work with each of us begins with creating us; than convincing us about Truth (Jesus); next He seeks to convict us about sin followed by our present consideration-- conversion. WE MUST BE BORN AGAIN - Jesus in John 3:3 "I tell you the truth, no one can see the kingdom of God unless he is born again." WHY must we be born again? Matthew Henry answers wisely: The necessity of this change. First, Christ here shows that it is necessary in the nature of the thing, for we are not fit to enter into the kingdom of God until we are born again: That which is born of the flesh is flesh, v. 6. Here is our malady, with the causes of it, which are such that it is plain there is no remedy but we must be born again. 1. We are here told what we are: We are flesh, not only corporeal but corrupt, (Genesis 6:3). The soul is still a spiritual substance, but so wedded to the flesh, so captivated by the will of the flesh, so in love with the delights of the flesh, so employed in making provision for the flesh, that it is mostly called flesh; it is carnal. And what communion can there be between God, who is a spirit, and a soul in this condition? 2. How we came to be so; by being born of the flesh. It is a corruption that is bred in the bone with us, and therefore we cannot have a new nature, but we must be born again. The corrupt nature, which is flesh, takes rise from our first birth; and therefore the new nature, which is spirit, must take rise from a second birth. Nicodemus spoke of entering again into his mother's womb, and being born; but, if he could do so, to what purpose? If he were born of his mother a hundred times, that would not mend the matter, for still that which is born of the flesh is flesh; a clean thing cannot be brought out of an unclean. He must seek for another original, must be born of the Spirit, or he cannot become spiritual. The case, in short, is this: though man is made to consist of body and soul, yet his spiritual part had dominion over his corporeal part that he was denominated a living soul (Genesis 2:7), but by indulging the appetite of the flesh, in eating forbidden fruit, he prostituted the just dominion of the soul to the tyranny of sensual lust, and became no longer a living soul, but flesh. Dust thou art. The living soul became dead and inactive; thus in the day he sinned he surely died, and so he became earthly. In this degenerate state, he begat a son in his own likeness; he transmitted the human nature, which had been entirely deposited in his hands, thus corrupted and depraved; and in the same plight it is still propagated. Corruption and sin are woven into our nature; we are shapen in iniquity, which makes it necessary that the nature be changed. It is not enough to put on a new coat or a new face, but we must put on the new man, we must be new creatures. Secondly, Christ makes it further necessary, by his own word: "Marvel not that I said unto thee, You must be born again," v. 7. from Matthew Henry's Commentary, John 3:1-21, Pg 34 EXERCISE 34 In your own words tell why we must be born again WE MUST BE BORN AGAIN OF WATER AND THE SPIRIT - Jesus in John 3:5 "I tell you the truth, no one can enter the kingdom of God unless he is born of water and the Spirit." EXERCISE 35 Search out the following Scriptures and write down the word(s) in each verse which refers to birth. On the second line indicate how this addresses being born again. 1. James 1:18__________________________________________________________ ________________________________________________________________ 2. Ephesians 2:17,18____________________________________________________ ________________________________________________________________ 3. Galatians 4:26 4. I Peter 1:23 5. I Peter 1:3 6. John 1:12,13 7. Romans 8:15 8. Romans 2:28,29 9. Colossians 2:11,12 10. I Peter 2:2 11. II Corinthians 5:17 12. Galatians 4:4-7 13. Galatians 3:26 14. I Peter 2:2 15. I Peter 2:2 2 Peter 3:18 16. Colossians 2:6 Romans 8:1 17. John 3:1-18 -- At what point in this conversation did Jesus tell Nicodemus how to be born again? The following new birth testimony shared by Rodger Thompson, minister of the Northwest Christian College of Wichita, Kansas illustrates well the Holy Spirit at work converting. "I share this with you as a way of praising God! My heart must declare His mighty deeds for He is faithful in all things! I was invited to speak at Joel Smith's ordination at the Green Mt. Christian Church in Lakewood, Colorado where we had ministered for 18 years. Joel is a young man who grew up under our ministry there and then graduated from Manhattan Christian College where the Lord called him into ministry. It was a true honor to be asked to participate. We arrived at our host home about 6 Saturday evening. We stepped out of the car and were met at the curb with hugs and warm greetings. Then Jack said, "Before you do anything else, call Randy Cohrs. He wants to be baptized." I was stunned! Randy and his wife Terri started attending Green Mountain Christian Church about 10 years ago. Terri was a long time member of the Christian Church, and Randy was raised Lutheran. He is a trained scientist with a Ph.D in microbiology. Randy works in research with Colorado University Medical Center on a project involving the herpes virus. He is very well educated and very intelligent. Christianity seems to have been a great experiment for Randy, much like one he might perform in his laboratory. He had no qualms about participating fully in church, but true faith was a difficult concept to him. In every other way Randy is a regular guy. We became close friends, talking often about the Scripture and matters of faith. In his heart Randy had always been one of the kindest, most generous and gracious men I had ever known. His lifestyle had been more Christian than that of many Christians. But when I talked to Randy of a personal relationship with Christ, he could only wonder about it, for he had no "experience" to examine or understand. In the last year Randy passed through some very difficult circumstances. He began to be aware that someone greater than himself was at work on his behalf. While many things were at work to bring Randy to the point where he would meet God, he gave us testimony of this one. Contemplating the fact that he and his wife are, sadly, childless, he would have no one in his old age to be there for him, no child to care for him. Then he heard that unmistakable voice, the voice of God-- "I will be there with you!" Randy began to understand what it meant to have a personal relationship with God. In the days that followed He saw God more and more in His life until finally after a dramatic intervention for Randy before an extremely high powered panel of scientists, Randy called his wife and told her he needed to be baptized. He arrived home on the plane the same day we arrived in Denver. He did not want to wait another moment. When I called him on the phone, he wanted to be baptized right then. We went to the church building, where a small group of us listened to his testimony and worshipped and Randy was baptized. Ten years of prayer and witness. All in God's good time. Even a microbiologist can know the God who created the microbes he studies. Now Randy's grand experiment is no longer an experiment. He speaks of God in the first person. His faith and knowledge connect and he has gone from observing life to living it. Praise God! As for the Sunday morning worship service and the ordination -- suffice it to say that God was there in power. I do not know all that He did and will do in all our hearts who were there, but I know I will never be the same. I never am when God does His thing. I cannot find the words to describe what it was like at the "mountain top." If you've been there you know. I am beginning to understand why God is so careful not to let us see too much of His glory at one time. We literally cannot handle it physically or emotionally. I am greatly strengthened in my spirit but very weak in my flesh. God be praised! - Rodger - October, 1998 In considering the process of being born again we must be ever mindful that God's offering for us to be born again (forgiveness of our sins) is offered free. Several years ago an evangelist in England prepared some large placards and, posted them all over the town, declaring that if any man in that town who was in debt would come to his office before 12 o'clock on a certain day with the proof of indebtedness, he would pay the debt. This news spread all over the town but the people did not believe him. One man said to his neighbor, "John, do you believe this man will pay our debts?" "No, of course not, it's only a hoax." The day came and instead of there being a great rush, nobody came. Now it is no wonder that there is not a great rush of men into the kingdom of God to have their debts paid, when a man can be saved for nothing. About 10 o'clock a man was walking in front of the office. He looked this way and that to see if anyone was looking, and by and by, satisfied that there was no one looking, he slipped in and said, "I saw a notice about town that if any one would call here at a certain hour you would pay their debts; is there any truth in it?" "Yes," said the man. "It's quite true. Did you bring the necessary papers with you?" "Yes." nobody wants. He doesn't belong to anyone. Now picture the best kind of family you can think of. A family that loves God. The man has a good job. They're blessed financially. They're givers and lovers of people and they fall in love with this baby. Before long, they adopt it. What's happened? That baby was reborn. He got a new set of parents. Through adoption, he has now become an heir. Why? Not because of anything the baby has done. Those parents didn't say, "I want you to look at that baby. I'm so impressed with all that child has done for us. He has certainly earned our love and respect." No, it's a baby. It couldn't have done anything to earn its new life. This man and this woman agreed together out of the love in their hearts and bestowed grace on that child. Now he has access to everything they have. When they offer him a bottle, he doesn't knock the bottle away and say, "I'm so humble and undeserving. Just give me water." Of course not. That baby acts like part of the family--and not just part of the family but the best part of the family. Because in Jesus' day a covenant or adopted child had the same birthright as the first-born son. That's what Jesus was talking about when He said, "You must be born again." He was talking about grace. He was talking about a new relationship of favor. A new family. A new authority. A new power. If you feel unworthy to receive the rich blessings God has for you today, think about that. Meditate on it, so instead of worrying about and struggling with the needs in your life, you can just walk boldly into the throne room of your Father and receive help to get those needs met. Discover what it really means to be a blood-bought child of Almighty God with a big brother like Jesus. Discover what it means to be born again!" Roger Day OUR BEING BORN AGAIN IS LIKE THE WIND THAT BLOWS "The wind blows wherever it pleases. You hear its sound, but you cannot tell where it comes from or where it is going. So it is with everyone born of the Spirit." (John 3:8) This matter of the new birth being like the wind is a strong indication, much to the consternation of our logical mind set, that the total work of the Holy Spirit cannot be traced like a line on a map. Let us note that the w-o-r-k of the Holy Spirit begins in the life of a human even before he is born. (Psalm 139:13-16.) Since God's essential nature is SPIRIT he operates on a plane that cannot be discerned by our senses. Even though spirit is ethereal, yet His work is very real! Jesus compared being born again of the water and spirit to the wind when He said; "The wind blows where it wishes and you hear the sound but cannot tell where it goes. So is everyone who is born of the Spirit." (John 3:8) "Christ said it, and will never unsay it, so all the world cannot gainsay it, that we must be born again. This born again operation by the Spirit is compared to the mysterious wind. That which is primarily intended here is to show that the Spirit, in sanctifying a soul, is like the wind which we cannot trace. "The wind bloweth where it listeth, so is every one that is born of the Spirit, v. 8. The same word (pneuma) signifies both the wind and the Spirit. This comparison is here used to show, 1. That the Spirit, in regeneration, works arbitrarily and as a free agent. The wind bloweth where it listeth for us, and does not attend our order, nor is subject to our command. God directs it; it fulfills his word, (Psalm 148:8). 2. That he works powerfully and with evident effects: Thou hearest the sound thereof; though its causes are hidden, its effects are manifest. When the soul is brought to mourn for sin, to groan under the burden of corruption, to breathe after Christ, to cry Abba-- Father, then we hear the sound of the Spirit, we find He is at work. 3. That he works mysteriously, and in secret hidden ways: Thou canst not tell whence it comes, nor whither it goes. How it gathers and how it spends its strength is a riddle to us; so the manner and methods of the Spirit's working are a mystery. Which way went the Spirit? 1 Kings 22:24. See Ecclesiastes 11:5 and compare it with Psalm 139:14." (from Matthew Henry's Commentary) EXERCISE 37 Write a paragraph in your own words telling WHY being born again of the Spirit is like the wind. THE WAR IS OVER "But now he has reconciled you by Christ's physical body through death to present you holy in his sight, without blemish and free from accusation--" (Colossians 1:22) It was August 11, 1945, and my Dad was plowing the wheat ground on a hot summer Kansas day in the Gyp Hills of Barber County. I ran down across a half mile of wheat stubble with a message of Good News! It was hard to hear above the loud roar of our John Deere D tractor but I hollered out these words-- "The War is Over! The war is over! And we won!" Dad turned his head away for he had been a soldier in France in World War I, then turned and said-- "We had to win, and many died, but now it's over!" I retreated to a grove of mulberry trees for shade from the blazing sun to think and cool off. The thought that my Dad had been on the battlefields of France, and had seen the ravages and heard the sounds of war, along with his statement, "We had to win, and many died, but now it's over" etched deeply into my heart. I cried as I thought about someone dying on the other side of the world, and little realized that that number was to be calculated in the hundreds of thousands. At the age of twelve in the spring of that year I, too, had realized I was losing the battle in the War against sin, so I surrendered to the Captain of my Salvation—Jesus! Now, each of us having surrendered to Jesus can shout above the din of the world—"The War is Over! The war is over! And we are winning!" EXERCISE 38 On the outline chart below check the appropriate lines indicating where the Holy Spirit is working and what he has done in your life. _____HE has CREATED ME - body, soul, spirit _____HE has CONVINCED ME about Jesus _____HE has CONVICTED ME of sin _____HE has CONVERTED ME - I have repented, received Jesus, been baptized _____HE is CONSECRATING ME - making me like Jesus _____HE COMFORTS ME _____HE will COMMIT ME After we receive Jesus the Holy Spirit is in us! Acts 5:29-32 "Peter and the other apostles replied: "We must obey God rather than men! The God of our fathers raised Jesus from the dead-- whom you had killed by hanging him on a tree. God exalted him to his own right hand as Prince and Savior that he might give repentance and forgiveness of sins to Israel. We are witnesses of these things, and so is the Holy Spirit, whom God has given to those who obey him." "For as the body is one and has many members, but all the members of that one body, being many, are one body, so also is Christ. For by one Spirit we were all baptized into one body-- whether Jews or Greeks, whether slaves or free-- and have all been made to drink into one Spirit." (NKJ) "Peter replied, "Repent and be baptized, every one of you, in the name of Jesus Christ for the forgiveness of your sins. And you will receive the gift of the Holy Spirit." "Then Jesus came to them and said, "All authority in heaven and on earth has been given to me. Therefore go and make disciples of all nations, baptizing them in the name of the Father and of the Son and of the Holy Spirit, and teaching them to obey everything I have commanded you. And surely I am with you always, to the very end of the age". " "And this is his command: to believe in the name of his Son, Jesus Christ, and to love one another as he commanded us. Those who obey his commands live in him, and he in them. And this is how we know that he lives in us: We know it by the Spirit he gave us." "But you will receive power when the Holy Spirit comes on you; and you will be my witnesses in Jerusalem, and in all Judea and Samaria, and to the ends of the earth." THE HOLY SPIRIT CONSECRATES "To the church of Corinth, to those who are consecrated in Christ Jesus, called to be saints, with all who, wherever they may be, invoke the name of our Lord Jesus Christ," (I Corinthians 1:2) Goodspeed, also James Moffatt - Published by Harper Brothers 1935 We become sanctified / consecrated when we do as Paul said we move-operate-walk in the Spirit. "If we live in the Spirit, let us also walk in the Spirit." (Galatians 5:25 NKJ) Some boys in Denver exploring the wild, found a large egg in a nest. They took it home and placed it in a nest of eggs under a goose. It hatched and was not a gosling, but appeared to be a genetic freak of nature with its toes grown together and a crooked twisted beak. It grew in the barnyard of geese. One day a giant eagle began to circle down, down, down over the barnyard. This freakish looking bird started to run across the barn yard flopping its wings. Soon its wings begin to lift it off the ground. It flew up and joined the eagle in the sky. Sad thing was that all along it had been an eagle living like a goose. There is a lesson in this for us, we must walk, live, act in the Spirit, or we end up being a "goose" when the Lord has designed us to "fly with the eagles." EXERCISE 39 Sanctify in its various forms is not a good word to translate the Greek word [hagiasmos]. Any word used in a English translation which must be immediately redefined is inadequate. In the verses below find another word for "sanctify" in another translation. Good comparison translations include--20th. Century N.T., New English Bible, Taylor, Goodspeed, Amplified. II Thessalonians 2:13 "But we ought always to thank God for you, brothers loved by the Lord, because from the beginning God chose you to be saved through the sanctifying (______________) work of the Spirit and through belief in the truth." (NIV) I Corinthians 1:2 "To the church of God in Corinth, to those sanctified (______________) in Christ Jesus and called to be holy, together with all those everywhere who call on the name of our Lord Jesus Christ--their Lord and ours:" (NIV) I Corinthians 6:11 "And that is what some of you were. But you were washed, you were sanctified (______________) you were justified in the name of the Lord Jesus Christ and by the Spirit of our God." (NIV) 1 Thessalonians 4:3 "It is God's will that you should be sanctified (______________) that you should avoid sexual immorality;" (NIV) 1 Peter 1:2 "(you) have been chosen according to the foreknowledge of God the Father, through the sanctifying (______________) work of the Spirit, for obedience to Jesus Christ and sprinkling by his blood: Grace and peace be yours in abundance." (NIV) 1 Peter 3:15 "But sanctify (______________) the Lord God in your hearts, and always be ready to give a defense to everyone who asks you a reason for the hope that is in you, with meekness and fear;" (NKJ) CONCLUSION: So, we have discovered that the Holy Spirit desires to sanctify us--which in literal Greek is "set apart", consecrate us, makes us pure, Holy, separated, cause us to revere - give honor to Christ in our hearts. The Holy Spirit Sanctifies by 1. Giving Power to Begin Again and Power for the Battle with Self and Sin 2. Giving FRUIT as evidence of His Presence 3. Giving us GIFTS to serve Others The most important thing in the life of any Christian is to be filled with the Holy Spirit! The Lord Jesus said, "Without Me ye can do nothing." Christ is in believers in the person of His Holy Spirit. Therefore, if we are filled with His Spirit, He works fruitfully through us. If we are not filled with the Holy Spirit, we are unproductive. It is almost impossible to exaggerate how dependent we are on the Holy Spirit. We are dependent on Him for convicting us of sin before and after our salvation, for giving us understanding of the Gospel, causing us to be born again, empowering us to witness, guiding us in our prayer life--in fact, for everything. It is no wonder that evil spirits have tried to counterfeit the work of the Holy Spirit and confuse His work. There is probably no subject in the Bible upon which there is more confusion today than that of being filled with the Holy Spirit. There are many fine Christian people who seem to equate the filling of the Holy Spirit with speaking in tongues or some emotionally ecstatic experience. There are other Christians who because of excesses observed or heard of in this direction have all but eliminated the teaching of the filling of the Holy Spirit. They just do not recognize His importance in their lives. Satan places two obstacles before men: (1) he tries to keep them from receiving Christ as Savior, and (2) if he fails in this, he then tries to keep men from understanding the importance and work of the Holy Spirit. Once a man is converted, Satan seems to have two different approaches. He tries to get men to associate the filling of the Holy Spirit with emotional excesses, or the opposite swing of the pendulum, to ignore the Holy Spirit altogether. One of the false impressions gained from people and not from the Word of God is that there is some special "feeling" when one is filled with the Holy Spirit. Before we examine how to be filled with the Holy Spirit, let us find what the Bible teaches we are to expect when filled with the Holy Spirit. PRAYER is a KEY to Holy Spirit power. Keep the KEY well worn! It is possible to have the Holy Spirit in us, and yet not be possessed by Him. While sharing a revival at Monahans, Texas, I met Leon James, who had worked on the Yates ranch. This true story about Mr. Yates having oil on his large ranch, yet never drilling for it, illustrates the plight of many Christians. In west Texas, there is a famous oil field known as the Yates Pool. During the Depression, this field was a sheep ranch owned by a man named Yates. Mr. Yates was not able to make enough money on his ranching operation to pay the principal and interest on the mortgage so he was in danger of losing his ranch. With little money for clothes or food, his family like many others had to live on government subsidy. Day after day, as he grazed his sheep over those rolling west Texas hills, he was no doubt greatly troubled about how he would be able to pay his bills. Then a seismographic crew from an oil company came into the area and told Mr. Yates that there might be oil on his land. They asked permission to drill a wildcat well and he signed a lease contract. At 1,115 feet they struck a huge oil reserve. The first well came in at 80,000 barrels a day. Many subsequent wells were more than twice as large. In fact, 30 years after the discovery, a government test of one of the wells showed that it still had the potential flow of 125,000 barrels of oil a day. And Mr. Yates owned it all. The day he purchased the land he received the oil and mineral rights. Yet he was living on relief. A multimillionaire living in poverty. The problem? He did not know the oil was there. He OWNED IT, but he DID NOT POSSESS IT. I do not know of a better illustration of the Christian life than this. The moment we become children of God through faith in Christ, we become heirs of God, and all of His resources are made available to us. Everything we need--including wisdom, love, power--to be men and women of God, and to be fruitful witnesses for Christ, is available to us." Just as it was in the New Testament it is certainly possible for the Holy Spirit not to possess us. EXERCISE 40 In the New Testament many problems were caused by lack of or sinning against the Holy Spirit. On these lines list the problem and/or the cause of the problem. Then, answer this question--Does this problem ever occur today? Acts 7:51 Romans 8:5 Romans 8:5-9 Galatians 5:4-18 Romans 8:13-16 I Corinthians 2:9-15 Acts 8:18-23 Jude 1:17-21 "Sometimes I wonder about Samson. He was one of the weakest men morally and one of the strongest physically of any man who ever lived. He could sleep with a Philistine harlot or carry off the gates and bars of a Philistine city with the same gusto. The tragedy of his life was his association with the temptress, Delilah. He lied to her as she lied to him until finally she wormed out of him the secret of his strength. He was sleeping with his head upon her knees when she cried out, 'The Philistines are upon you, Samson.' He awakened and said, half to himself, 'I will go out as at other times, and shake myself free.' But the Book says, 'And he did not know the Lord had left him.' He was kind of childish in his powerlessness. It is then that I am reminded of the people of God whom he has called. After many acts of divine daring they become entangled with the affairs of this life. They are asleep in the lap of the world. Finally summoned from their stupor they try to shake themselves free, as at other times in the past, only to discover that God has withdrawn his power. One of the saddest things ever spoken about is these who will come in the time of stress in the last days who will "Hold the form of religion but deny the power of it." Like an embalmed corpse, the life and energy have fled. Like a petrified tree no fruit is borne. They are called men of corrupt minds and counterfeit faith. They are accused of being lovers of pleasure rather than lovers of God. Without being meddlesome or unjustly accusative, I think we can see the condition described prevalent upon every side today. In our preaching we lash out at the symptoms. We treat the infection by picking away at the pimples. But there is a deep inflammation which cannot be administered to on the surface. It is the result of the loss of the power of the Spirit. Until it is remedied nothing else will avail. What was the course, what always happens? We have identified the faith with the culture. It happened in Rome. It happened in Russia. It happened in England. Now it has happened in the United States." by the late Carl Ketcherside EXERCISE 41 Draw a line under the words which speak of being filled with the Holy Spirit. Indicate "Before" and "After" whether the reference is before or after a person becomes a Christian. Exodus 35:30-31_________ "Then Moses said to the Israelites, 'See, the LORD has chosen Bezalel, son of Uri, the son of Hur, of the tribe of Judah, and he has filled him with the Spirit of God, with skill, ability and knowledge in all kinds of crafts'--" Micah 3:8_________ "But as for me, I am filled with power, with the Spirit of the LORD, and with justice and might, to declare to Jacob his transgression, to Israel his sin." Luke 1:67_________ "His father Zechariah was filled with the Holy Spirit and prophesied" Luke 4:1_________ "Jesus, full of the Holy Spirit, returned from the Jordan and was led by the Spirit in the desert" Luke 1:13-15_________ "But the angel said to him: 'Do not be afraid, Zechariah; your prayer has been heard. Your wife Elizabeth will bear you a son, and you are to give him the name John. He will be a joy and delight to you, and many will rejoice because of his birth, for he will be great in the sight of the Lord. He is never to take wine or other fermented drink, and he will be filled with the Holy Spirit even from birth.'" Acts 2:4_________ "All of them were filled with the Holy Spirit and began to speak in other tongues as the Spirit enabled them." Acts 4:8_________ "Then Peter, filled with the Holy Spirit, said to them: 'Rulers and elders of the people!' " Acts 4:31_________ "After they prayed, the place where they were meeting was shaken. And they were all filled with the Holy Spirit and spoke the word of God boldly." Acts 5:3 "Then Peter said, 'Ananias, how is it that Satan has so filled your heart that you have lied to the Holy Spirit and have kept for yourself some of the money you received for the land?'" Acts 9:17 "Then Ananias went to the house and entered it. Placing his hands on Saul, he said, 'Brother Saul, the Lord--Jesus, who appeared to you on the road as you were coming here--has sent me so that you may see again and be filled with the Holy Spirit.'" (NIV) Acts 13:9 "Then Saul, who was also called Paul, filled with the Holy Spirit, looked straight at Elymas and said,..." Acts 13:52 "And the disciples were filled with joy and with the Holy Spirit." (NIV) Luke 4:1 "Jesus, full of the Holy Spirit, returned from the Jordan and was led by the Spirit in the desert,..." Acts 6:3 "Brothers, choose seven men from among you who are known to be full of the Spirit and wisdom. We will turn this responsibility over to them." Acts 6:5 "This proposal pleased the whole group. They chose Stephen, a man full of faith and of the Holy Spirit; also Philip, Procorus, Nicanor, Timon, Parmenas, and Nicolas from Antioch, a convert to Judaism." Acts 7:55 "But Stephen, full of the Holy Spirit, looked up to heaven and saw the glory of God, and Jesus standing at the right hand of God." Acts 11:24 "He was a good man, full of the Holy Spirit and faith, and a great number of people were brought to the Lord." Ephesians 5:18 "Do not get drunk on wine, which leads to debauchery. Instead, be filled with the Spirit." Having received the Holy Spirit when Jesus came into our life, we are in need of keeping His presence replenished. EXERCISE 42 In the Scripture, Luke 11:9-13 1. Who is Jesus speaking to? (Note vs.1) 2. What does He say the Father will do if we ask Him? (Note vs. 13) The command of Ephesians 5:18; "Do not get drunk on wine, which leads to debauchery. Instead, be filled with the Spirit." plus the 12 references in exercise 41 indicating people being (re)filled with the Holy Spirit after they came to Jesus" establishes a clear example that we too, need to continue being filled with the Holy Spirit. Brother Roger Day of Highmore, South Dakota, says--"A person needs to know the Holy Spirit, and not just about the Holy Spirit. A person needs to know how to hear, love and etc. the precious Holy Spirit. Lots of folks think the Holy Spirit is just a name and that they already have all they need, but they need to know what is really involved and what to expect...and if none of what is to be expected is going on in their lives...then the Holy Spirit is not going on in their lives. For instance, the Holy Spirit will empower us to defeat that nasty habit of foul language...if we continue to swear and feel no check in our Spirit, then the Holy Spirit is more than likely not functioning in our lives....we have quenched Him. We all need to eat a plate full and keep eating...anyone who does not want to eat...can not blame God if they starve to death!!! love ya....Roger" It would seem obvious that we would know how to continue being filled with the Holy Spirit, but such was not the case with me at least. 1 - The three things that are needful to receiving most of God's blessings are also true of continuing to be filled with the Holy Spirit. Jesus gave us a valuable life principle of desire from the "Sermon on the Mount." Blessed are those who hunger and thirst for righteousness, for they shall be filled." Can we assume that everyone knows they must desire a closer walk - to be filled with the power and presence of Jesus through the Holy Spirit? One person said to me, "The Holy Spirit can fill me if He wants to, I am not going to seek Him." Entertain no illusions, the Holy Spirit will NOT fill those who have no desire. The Holy Spirit only walks through doors that are already open. The door of our heart is our WILL and the latch on that door is desire. Desire is a door latch to every grace God has to offer: salvation, prayer, guidance, victorious living, strength, our daily needs, etc. James said it with these words—"Draw near to God and He will draw near to you." (James 4:8) David encourages us, "O God, You are my God; early will I seek You; My soul thirsts for You, My flesh longs for You in a dry and thirsty land where there is no water." (Psalm 63:1) This simple story impressed on me the need for heartfelt DESIRE. A seeking soul once went to a religious wise man asking how he could know God better. The teacher took the seeker down to the ocean and they waded out into the water. As they approached shoulder deep water the teacher pushed the disciples' head under and held it there. The lad began to thrash around and flail his arms. The teacher continued to hold him under the waves. Finally he allowed the lad to surface. He came up gasping for breath and said "What is the meaning of this?" The wise teacher said, "Lad, what did you want more than anything else when under the water?" "To breathe air" he replied. "Very well," the teacher said, "and when you desire God as much as you wanted air under the water, you shall have Him." Now the Bible says, (God) "is not far from each one of us; for in Him we live and move and have our being..." (Acts 17:27b, 28a) Yet, it is forever true that we must o-p-e-n the door of our wills with d-e-s-i-r-e if the Holy Spirit is to fill us. I had MUCH DESIRED over some 20 years for the Holy Spirit to fill me: but there had been a lack of surrender and the habitual sin problem in my life. from my book Faith Alive in Heart, Home, and Church - pg 60 2 - Surrender - As common as saying "water is wet" and "ice is cold" is the admonition to Christians to continue surrendering. It is to Christians that James and Paul speak: "Submit therefore to God." (James 4:7 ASV) "I beseech you therefore, brethren, by the mercies of God, that you present your bodies a living sacrifice." (Romans 12:1a) Paul's picture of sacrifice is drawn from the daily temple sacrifices. The lamb's legs were tied together, its chin pulled back so the priest could cut the jugular vein to begin the sacrifice. A bonus for us as we offer ourselves to God is that having died to self, we get to go on living while tied-up on God's altar of service. Surrender begins when we first receive Christ. However men like Carl Ketcherside, who I shared about in Chapter 1, found a new beginning in inviting Jesus into his life. And across the country many people tell me that in their original confession of Christ before being baptized, they simply answered a preacher's question about Jesus with a "Yes" or "No." I suggest they again confess Christ and renew their surrender with a prayer such as the following: A PRAYER OF SURRENDER Lord, Jesus I believe You are the Son of God who died for my sins and rose again that I may live forever according to the Scriptures. "As far as the East is from the West" so remove my sins from me. I still believe and receive You as my Lord and Savior. Come into my heart and be the Lord of my life. Use me as You choose through all my days and ways to glorify You! In Your Name Jesus - Amen! 3 - Ask and receive is the third principle of staying filled with the Holy Spirit. It was graduation time and Andy asked his father for a new car as a graduation gift. A graduation party was held and Andy was invited into his father's office. He handed him a nicely wrapped box. Andy opened it to find a Bible with his name inscribed in gold. In anger he blurted out, "I asked for a car and you give me a Bible!" He threw it down on the desk and stomped out. Years of separation followed. Andy moved to a distant state and began a career. After many years, knowing his father was growing old, he decided to visit him. Before he could begin his trip a telegram came announcing that his father had died. He hastened home as the only child to settle affairs of the estate. When he walked into his father's office, there was the desk and the Bible he had been given on graduation. He picked it up and it fell open to a marked place with this verse underlined: "So I say to you: Ask and it will be given to you; seek and you will find; knock and the door will be opened to you." (Luke 11:9), He reads the verse and notes a lump in the back of the Bible. Turning there he discovers a car key and a note--"Son, I love you and here is the new car you asked for." Jesus continues his teaching in the above reference as He says: "For everyone who asks receives; he who seeks finds; and to him who knocks, the door will be opened. 'Which of you fathers, if your son asks for a fish, will give him a snake instead? Or if he asks for an egg, will give him a scorpion? If you then, though you are evil, know how to give good gifts to your children, how much more will your Father in heaven give the Holy Spirit to those who ask him!'" (Luke 11:10-13) How we might pray is contained in the following words: Dear Father, I love You, Praise You and Seek You! Thank You for Jesus and His power and presence through the Holy Spirit. Please forgive me for those times when I have acted as boss of my life. Jesus, I now invite you to take your place on the throne of my heart. Fill me with your Holy Spirit as you have promised in your Word. And, now as an act of faith, I thank You for directing my life and filling me with the Holy Spirit. In Jesus' Name - Amen And, how often shall we ask? I respond to this posed question by asking a question—What size is your "fuel tank"? For many years I drove a four cylinder Opel station wagon. It had a ten gallon gas tank and when full would take me 300 miles. Now I drive an eight cylinder 454 engine Suburban with a thirty gallon tank and if the terrain and weather are favorable I can go 210 miles on a full tank. I suggest we human beings vary as much or more than automobiles. Because I made a dry run for so many years in NOT knowing to ASK for the Holy Spirit to fill me, I now ask every morning before getting out of bed. Other times during the day when I am weak in body, lack strength in my spirit, need wisdom, etc. I instantly pray—"God, fill me with Your Holy Spirit and thank You in Jesus' Name." Three signs of being filled with the Holy Spirit How can we know that the Holy Spirit is filling us? Being full-filled with the Spirit was a matter of simplicity in the first century; however, today we often complicate the matter. Yet, I suggest three simple signs out of many. 1. Spirit filled people are known by their talk. "Then they called them in again and commanded them not to speak or teach at all in the name of Jesus. But Peter and John replied, 'Judge for yourselves whether it is right in God's sight to obey you rather than God. For we cannot help speaking about what we have seen and heard.'" (Acts 4:18-20) When the Holy Spirit fills us, Jesus is on the "throne of our heart" and His Name becomes foremost in our life. The following story indicates the place and purpose of Jesus in our talk. This is a true story of something that happened just a few years ago at USC. There was a professor of philosophy there who was a deeply committed atheist. His primary goal for one required class was to spend the entire semester attempting to prove that God couldn't exist. His students were always afraid to argue with him because of his impeccable logic. For twenty years, he had taught this class and no one had ever had the courage to go against him. Sure, some had argued in class at times, but no one had ever 'really gone against him' (you'll see what I mean later). Nobody would go against him because he had a reputation. At the end of every semester, on the last day, he would say to his class of 300 students, "If there is anyone here who still believes in Jesus, stand up!" In twenty years, no one had ever stood up. They knew what he was going to do next. He would say, "because anyone who does believe in God is a fool. If God existed, he could stop this piece of chalk from hitting the ground and breaking. Such a simple task to prove that he is God, and yet he can't do it." and every year, he would drop the chalk onto the tile floor of the classroom and it would shatter into a hundred pieces. All of the students could do nothing but stop and stare. Most of the students were convinced that God couldn't exist. Certainly, a number of Christians had slipped through, but for 20 years, they had been too afraid to stand up. Well, a few years ago there was a freshman who was enrolled in the class. He was a Christian, and had heard the stories about this professor. He had to take the class because it was one of the required classes for his major and he was afraid. But for three months that semester, he prayed every morning that he would have the courage to stand up no matter what the professor said or what the class thought. Nothing they said or did could ever shatter his faith, he hoped. Finally the day came. The professor said, "If there is anyone here who still believes in God, stand up!" The professor and the class of 300 people looked at him shocked, as he stood up at the back of the classroom. The professor shouted, "YOU FOOL!! If God existed, he could keep this piece of chalk from breaking when it hit the ground!" He proceeded to drop the chalk, but as he did, it slipped out of his fingers, off his shirt cuff, onto the pleats of his pants, down his leg and off his shoe. As it hit the ground, it simply rolled away, unbroken. The professor's jaw dropped as he stared at the chalk. He looked up at the young man and then ran out of the lecture hall. The young man who had dared to stand and speak up proceeded to the front of the room and shared his faith in Jesus for the next half hour. Three hundred students stayed and listened as he told of God's love for them and of his power through Jesus. "Yet to all who received HIM, to those who believed in HIS name, HE gave the right to become children of God--children born not of natural descent, nor of human decision or a husband's will, but born of GOD." (John 1:12) EXERCISE 43 How can you and I better include Jesus in our talk? Think and write a line by each phrase. Be prepared to discuss this if you are in a study group using this course. 1. Weather__________________________________________________________ 2. Government_______________________________________________________ 3. My life__________________________________________________________ 4. Church where I serve ______________________________________________ 5. Politics__________________________________________________________ 6. My strength/weakness_____________________________________________ 7. Money - salary, bills 8. Our church leaders 9. My school grades/subjects 10. My health/sickness 11. My Sunday school class 12. Our ball games which we win/lose 13. Our church services 14. Gifts I give 15. My girl/boy friend When His Spirit fills us we are able to see Jesus in most things. 2. Spirit filled people are known by their walk. "....then know this, you and all the people of Israel: It is by the name of Jesus Christ of Nazareth, whom you crucified but whom God raised from the dead, that this man stands before you healed. He is 'the stone you builders rejected, which has become the capstone.' Salvation is found in no one else, for there is no other name under heaven given to men by which we must be saved." When they saw the courage of Peter and John and realized that they were unschooled, ordinary men, they were astonished and they took note that these men had been with Jesus." (Acts 4:10-13) Such is the case with Joshua Day, a high school senior, in Highmore, South Dakota. Josh tries to walk with Jesus in every situation. When his dad left for Missionary Trip #13 in 1998, he agreed to update me for our e-line prayer line. Here is the way it started. "Hey Wilbur... I'd be glad to keep you informed. Allow me, to start off, sharing what I know from God's own heart... To start, I thought this to be just another routine trip - it's not. For about a week and a half, or two weeks before Monday (his departure date) I began to get flashes of dad - pictures, and terrible gut feelings pertaining to him. I believe the Lord has given me an intercessory spirit, or perhaps prophetic, or both... all I know is, as long as I can remember - my little flashes and whataught have never been wrong... and I could feel something wrong about this trip. On Sunday, the day before he left, he was asking for a lot of prayer, more than he's ever asked for before - and then I knew, I wasn't the only one seeing this trip as more than routine. I don't know if he was not telling us to protect us or what, I mean the family... I can understand that - my sisters are afraid of him being on those planes as it is... in any case, I know his life is in danger... grave danger - and he needs our support. Sunday, the Lord told me my next meal with dad was going to be Thanksgiving dinner... dad gets back that day... the Lord wants me to fast for Him, then... I tested the spirit, and have since Sunday had that message confirmed over and again... last night he told me the loudest - that's when I decided I must be hearing from God. Last night, my mother, Jordan, and I went to a Rod Parsley meeting, after dropping dad off at the airport. On the way home, at a quarter past ten last night, the Lord put dad on all three of our hearts. Mother was thinking about him, and how he was up in the air flying... Jordan was thinking about him, and about to ask mom if he was in the air or on the ground, and me... out of nowhere, all of a sudden the Lord put upon my heart to tell mom to stop the vehicle and pray for dad. Perhaps, I should learn to heed the sword before my side is pricked... but, anyway - again, I tested the spirit on that - I just prayed in my spirit, for dad. Then, my heart began to burn and swell - like I've never felt it do before... I've been in His presence, I've felt the tingling burning in my chest... but never like that... I blurted out for mom to stop the vehicle and pray for dad... then tears came, I began to mourn and pray in the spirit... we all prayed for a few minutes til God gave me the all clear, and we parted... I heard the voice of my dad say "thank you, son"... I believe it was his spirit thanking me/mine for my obedience... In any case, God clearly has huge plans for my dad's trip to Russia. There is so much resistance to it, you can only imagine what God must have in store. If ever he needed prayer support, it's now... I'll let you know when I hear anything, keep praying for him - heaven knows he needs it." God bless, joshua allen r. day While preaching a revival at Blanford, Indiana, Imalee and I and Doug Davis, the preacher, went to eat pizza. The bus boy was a fine young man. After observing him for a few moments, I said, "When did you become a Christian?" Startled, he looked up and said, "How do you know I'm a Christian?" I said, "I can tell by your actions, your attitude and your speech." He responded, "Well, it's true I am a Christian." He went on to share when he found Jesus and how as a senior in high school he was trying to live for Jesus. This opened a door for Doug to invite him to come and share his witness and worship with the State Line Christian Church. EXERCISE 44 Check the words which indicate your walk with Jesus. "but pursue righteousness, faith, love, peace with those who call on the Lord out of a pure heart." (II Timothy 2:22 NKJ) Check the items below in which others can see Jesus in your walk. _____My daily attitude _____My joy _____My love for others _____My language _____My treatment of others _____The things I gaze at _____The magazines-books I read _____The movies-videos I listen to _____The way I drive _____My prayer life _____How I spend my money _____How I use my time _____My hope/ joy _____What I do on Sunday _____My honesty on tests / taxes _____That which makes me happy _____My respect for my parents _____My willingness to stand for the right _____ _____ _____ _____ Our life long walk is well illustrated in this life story letter from Brother Chuck Thomas of Tulsa, Oklahoma. "From my first encounter with the presence of the Holy Spirit in my life, out in southwest Kansas, I can now retrace His work in my life. I am not sure that I was aware at the time, that He had gifted me with teaching, encouragement and mercy. I was aware that my daily schedule became full of appointments to counsel. The counseling continued to increase when we moved to Stillwater, OK, and eventually began to take most of my time. I felt a real need to pursue more education in the field of counseling and the Lord opened the door for me to earn a master degree in counseling at Oklahoma State University. We then moved to Cushing, Oklahoma and the Lord lead me to Valley Hope, where I became a part time chaplain, working with alcohol and drug addicts. The Holy Spirit opened my eyes to the vast field that was white, waiting to be harvested. I soon became aware that He was allowing me to touch more lives in the alcohol and drug rehabilitation program than I had ever experienced in the past. In the first year at Valley Hope I had the opportunity to touch almost 1,000 families. In my preaching experience in the past, I had possibly touched 200 to 300 families. During my work with chemically dependent people I have touched the lives of more than 5,000 families. I believe that He simply expanded my ministry opportunities. He is still in direct control of my life today and I am still touching more and more lives. Since we moved from Cushing to Tulsa, we have been given the opportunity to become part of the Highland Park Christian Church, where our oldest son, Steve is Family Minister. He arranged for anyone who wished to take a test to determine what spiritual gifts he may have. I scored very high in teaching, encouragement and mercy. I believe that is confirmation of the gifts the Holy Spirit gave me and I began to develop, many years ago. I praise the Lord for his Hand in my life and the lives of my family." Chuck 3. Spirit filled people are known by their gawk. Give me credit for the fact that gawk rhymes with walk and talk; but beyond this it means to stare, to gaze at intently. What is it that catches and holds our attention? "The lamp of the body is the eye: if therefore thine eye be single, thy whole body shall be full of light. But if thine eye be evil, thy whole body shall be full of darkness. If therefore the light that is in thee be darkness, how great is the darkness!" (Matthew 6:22,23 ASV) "But I say to you that whoever looks at a woman to lust for her has already committed adultery with her in his heart. "If your right eye causes you to sin, pluck it out and cast it from you; for it is more profitable for you that one of your members perish, than for your whole body to be cast into hell." (Matthew 5:28,29 NKJ) The late Elton Trueblood was a Godly man, a penetrating thinker and writer of many books. In one of his books he said—"Acts 3:4-8 is not true today. Yes it was true in the first century, but if religious life today were described in this text, it would have to say: (words in script are the changed words, thoughts) "When he saw Peter and John about to enter, he asked them for money. Peter looked straight at him, as did John. Then Peter said, "Look at us!" (gaze / gawk at us and call us Reverend or Doctor). So the man gave them his attention, expecting to get something from them. Then Peter said, "Silver or gold I do not have, Silver and gold we have. How much do you need? but what I have I give you. Stay right here while I call the prayer chain and the benevolence chairman. And, the following seldom ever happens-- "In the name of Jesus Christ of Nazareth, walk." Taking him by the right hand, he helped him up, and instantly the man's feet and ankles became strong. He jumped to his feet and began to walk. Then he went with them into the temple courts, walking and jumping, and praising God." (Acts 3:3-8 NIV) The late Gary Spencer, minister at Valley Falls, Kansas, was a brother who kept his eyes fixed on Jesus. In one revival we talked about Jesus' statement, "My house will be called a house of prayer." (Mark 11:17) A couple of years later I returned for another revival and tacked above the entrance to the auditorium was a giant sign which read--THIS IS A HOUSE OF PRAYER. And with Gary it was far more than a sign. He was a man of prayer and led the Christian church people upward and onward in that order. EXERCISE 45 Write in your appropriate words which you focus your attention on. "Flee the evil desires of youth, and pursue righteousness, faith, love and peace, along with those who call on the Lord out of a pure heart." 2 Timothy 2:22 10 things I focus my attention on are 1. ____________________________________________________________ 2. ____________________________________________________________ 3. ____________________________________________________________ 4. ____________________________________________________________ 5. ____________________________________________________________ 6. ____________________________________________________________ 7. ____________________________________________________________ 8. ____________________________________________________________ 9. ____________________________________________________________ 10. ____________________________________________________________ "Let us acknowledge the LORD; let us press on to acknowledge him. As surely as the sun rises, he will appear; he will come to us like the winter rains, like the spring rains that water the earth." (Hosea 6:3) So, we need to keep on talking, walking and gawking for Jesus just as Michael does in the testimony below as shared by Norma Wilson of Harrison, Arkansas. Like any good mother, when Karen found out that another baby was on the way, she did what she could to help her three year-old son Michael, prepare for a new sibling. They find out that the new baby was going to be a girl, and day after day, night after night, Michael sang to his sister in his Mommy's tummy. The pregnancy progressed normally for Karen, an active member of the Panther Creek United Methodist Church in Morristown, Tennessee. Then the labor pains came. Every five minutes ... every minute. But complications arose during delivery. Hours of labor. Would a C-section be required? Finally, Michael's little sister was born. But she was in serious condition. With sirens howling in the night, the ambulance rushed the infant to the neonatal intensive care unit at St. Mary's Hospital in Knoxville. The days inch by. The little girl gets worse. The pediatric specialist tells the parents, "There is very little hope. Be prepared for the worst." Karen and her husband contact a local cemetery about a burial plot. They had fixed a special room in their home for the new baby - now they plan a funeral. Michael keeps begging his parents to let him see his sister, "I want to sing to her," he says. Week two in intensive care. It looks as if a funeral will come before the week is over. Michael keeps nagging about singing to his sister, but kids are never allowed in intensive care. But Karen makes up her mind. She will take Michael whether they like it or not. If he doesn't see his sister now he may never see her alive. She dresses him in an oversized scrub suit and marches him into the ICU. He looks like a walking laundry basket but the head nurse recognizes him as a child and bellows, "Get that kid out of here now! No children are allowed." The mother rises up strong in Karen, and the usually mild-mannered lady glares steel-eyed into the head nurse's face, her lips a firm line. "He is not leaving until he sings to his sister!" Karen tows Michael to his sister's bedside. He gazes at the tiny infant losing the battle to live. And he begins to sing. In the pure hearted voice of a three year-old, Michael sings: "You are my sunshine, my only sunshine, you make me happy when skies are gray ---" Instantly the baby girl responds. The pulse rate becomes calm and steady. Keep on singing, Michael. "You never know, dear, how much I love you, Please don't take my sunshine away---" The ragged, strained breathing becomes as smooth as a kitten's purr. Keep on singing, Michael. "The other night, dear, as I lay sleeping, I dreamed I held you in my arms..." Michael's little sister relaxes as rest, healing rest, seems to sweep over her. "Keep on singing Michael." Tears conquer the face of the bossy head nurse. Karen glows, "You are my sunshine, my only sunshine. Please don't, take my sunshine away." Funeral plans are scrapped. The next day, the very next day, the little girl is well enough to go home! Woman's Day magazine called it "the miracle of a brother's song." The medical staff just called it a miracle. Karen called it a miracle of God's love! The Holy Spirit Sanctifies by 1. Giving Power to Begin Again and Power to win in the Battle with Self and Sin 2. Giving FRUIT as evidence of His Presence 3. Giving us GIFTS to serve Others 1. Sanctifying POWER for our Battle with Self and Sin "But we ought always to thank God for you, brothers loved by the Lord, because from the beginning God chose you to be saved through the sanctifying work of the Spirit and through belief in the truth." (II Thessalonians 2:13) "Grace and peace be yours in abundance through the knowledge of God and of Jesus our Lord. His divine power has given us everything we need for life and godliness through our knowledge of him who called us by his own glory and goodness. Through these he has given us his very great and precious promises, so that through them you may participate in the divine nature and escape the corruption in the world caused by evil desires." (II Peter 1:2-4) Rees Howells, a Welsh coal miner, has a vivid testimony of how the Holy Ghost sanctified him. "Nothing is more real to me than the process the Holy Ghost used to sanctify me. The Holy Spirit went on dealing with me, exposing the root of my nature which was self, and you can only get out of a thing what is in its root. Sin was canceled, and it wasn't sin He was dealing with, it was self that thing which came from the Fall. It was not going to take any superficial surrender. He put His finger on each part of my self-life, and I had to decide in cold blood. He could never take a thing away until I gave my consent. Then the moment I gave it, some purging took place (Isaiah 6: 5-7), and I could never touch that thing again. It was not saying I was purged and the thing still having a hold on me: no, it was a breaking, and the Holy Ghost taking control. Day by day the dealing went on. He was seeking to make Jesus the Lord of my life." Every servant of God has to learn to keep their body in submission, as he goes through necessary disciplines in the early days of his training. God began to deal with a simple appetite in Rees Howells, the love of food. The Lord called him to a day of prayer and fasting, which was something new to him. He was used to a comfortable home and four good meals a day, and it came as a shock to realize that it meant no dinner and he was agitating about it. And would it only happen once? Supposing God asked him to do it every day! When midday came he was on his knees in his bedroom, but there was no prayer that next hour. "I didn't know such a lust was in me," he said afterwards. "My agitation was the proof of the grip it had on me. If the thing had no power over me, why did I argue about it?" At one o'clock his mother called him, and he told her he wasn't taking lunch. But she called again, as a mother would, and urged, "It won't take you long to have it." The goodly aroma from downstairs was too much for him and down he came. But after the meal, when he returned to his room, he couldn't get back into the presence of God. He came face to face with disobedience to the Holy Ghost. "I felt like the man in the garden of Eden," he said. "I went up the mountain and walked miles cursing that 'old man' within me. I felt that if God were to take lunch from me to the end of my days, He would be justified in doing so. To some people this might seem as nothing, but once you are God's channel on no account can you disobey Him, or bring in your own ideas. I wept many tears and it almost seemed as if He would never allow me to come back into His presence, until He said, 'I will forgive you, but you are not to go unpunished. You hold up your hands while you pray from 6 to 9 o'clock.'" (Exodus 17: 11, 12; I Timothy 2: 8.) The closer a person is to God, the more terrible is the least sin seen to be. He didn't take dinner for many days after that, but spent the hour with God. As he said later "The moment I got victory in it, it wasn't a very big thing to do, it was merely a steppingstone to His next call to me. It is while you still want a thing that you can't get your mind off it. When you have risen above it, He may give it back to YOU, but then you are out of it. In all these experiences the Lord's purpose was the transformation of His servant. The Holy Ghost took me through grade after grade. The process of changing one's natures (replacing self nature by the Divine nature) is very slow. It was a daily dying and showing forth the life of Christ." from Intecessor For God by Rees Howell (1879-1950) pages 40,41, 100 The areas the Holy Spirit will seek to discipline us in will be as different as the individual. With Rees Howell the disciplines included love of money, ambition, reputation and pride. "Then he said to them all: 'If anyone would come after me, he must deny himself and take up his cross daily and follow me.' " (Luke 9:23) EXERCISE 46 Check the following disciplines the Lord has used in developing your life. ___Discipline of Danger ___Discipline of Daring ___Discipline of Decision ___Discipline of Darkness ___Discipline of Decision ___Discipline of Defense Discipline of Defamation Discipline of Declining days Discipline of Delay Discipline of Deformity Discipline of Delight Discipline of Desire Discipline of Dependability Discipline of Desolation Discipline of Detail Discipline of Desolation Discipline of Desperation Discipline of Difficulty Discipline of Determination Discipline of Disappointment Discipline of Disability Discipline of Discernment Discipline of Discontentment Discipline of Disdain Discipline of Disease Discipline of Disillusionment Discipline of Doubt Discipline of Distinction Discipline of Diversion Discipline of Duty Discipline of Domination Discipline of Durability Discipline words above are chapter titles from V. Raymond Edman's Book, The Disciplines of Life One of our great needs in overcoming self and the various subterfuges of the flesh is that of appetite. I have often said when sharing a revival that I like all kinds of good food; but I do not care for sauerkraut since it's spoiled cabbage. Within the next day or two I usually am served a side dish of sauerkraut. At any rate we end up eating that which our fleshly appetite dictates. This simple story illustrates what appetite can do. A young lady stopped by the public library on her way home from work. She quickly checked out a book which had an interesting title. Before her blind date that evening she read a few pages and determined to return the book the next day because she found it uninteresting, dry material. As the foursome were eating an evening meal one of them posed the question, "What are you reading?" When it came her turn she volunteered the name of the newly-checked out book. Her date was very interested being a college professor and the author of her book. She volunteered a few glib statements about the title and that she had not really read much of the book. Later in her testimony she said, "I went home that night, picked up the book, and read every word and hung on every line because I had fallen in love with the author of the book." That made the difference! So it is with us. The business of the Holy Spirit is to assist us in falling in love with the Author of the Bible. And when I allowed the blessed Holy Spirit to fill me, I too, fell in love with the Author and reading the Bible, praying, fasting, praising, just living for Jesus became matters of high exhilaration! "Those who live according to the sinful nature have their minds set on what that nature desires; but those who live in accordance with the Spirit have their minds set on what the Spirit desires." (Romans 8:5) EXERCISE 46-A Draw a circle around the number which represents your spiritual appetite before you met Jesus and now. BEFORE I ACCEPTED JESUS 1 2 3 4 5 6 7 8 9 10 APPETITE FOR SPIRITUAL THINGS 1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10 SET APART FROM WORLD 1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10 ABLE TO DEAL WITH THE DEVIL 1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10 VICTORY OVER HABITUAL SINS 1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10 HUNGER FOR GOD'S WORD 1 2 3 4 5 6 7 8 9 10 1 2 3 4 5 6 7 8 9 10 DESIRE TO FOLLOW GOD'S WORD 1 2 3 4 5 6 7 8 9 10 Total before I accepted Jesus_______ POSSIBLE 60 TOTAL my life as of NOW_____ Sanctification is progressive in our lives. Hopefully the above figure which represents your former life, and "as of now" is higher than before you met Jesus and the Holy Spirit convicted you of sin and convinced you to accept Him. The Apostle Paul said of his own self--"Brethren, I could not myself yet to have laid hold: but one thing (I do), forgetting the things which are behind, and stretching forward to the things which are before, I press on toward the goal unto the prize of the high calling of God in Christ Jesus." (Philippians 3:13-14) Our Blessed Holy Spirit assists us in overcoming habitual - besetting sins. "Therefore, since we are surrounded by such a great cloud of witnesses, let us throw off everything that hinders and the sin that so easily entangles, and let us run with perseverance the race marked out for us." Hebrews 12:1 When I was six years old the devil attacked my flesh by tempting me to steal. Another besetting sin came a few years later. I tried by my own efforts of self-determination, commitment, and prayer to overcome these sins. Victory was short realized and my life became like a roller coaster --up and down, down, then up. But, praise God when the Holy Spirit filled me. He did somethings I had never been capable of doing--HE REMOVED THE APPETITE FOR THOSE FLESHLY DESIRES. "Do not love the world or the things in the world. If anyone loves the world, the love of the Father is not in him. For all that is in the world--the lust of the flesh, the lust of the eyes, and the pride of life--is not of the Father but is of the world. And the world is passing away, and the lust of it; but he who does the will of God abides forever." (I John 2:15-17 NKJ) Satan tempts us in the same three areas where Adam and Eve, and Jesus were tempted as indicated in the chart below: AREAS WHERE SATAN TEMPTS \| Satan tempts us \| Eve and Adam were tempted Genesis 3:1-ff \| Jesus was tempted Luke 4:2-ff \| \|-----------------\|------------------------------------------\|-------------------------------\| \| BODY - "Lust of the flesh" \| "Good for food" \| "Turn stones to bread" \| \| SOUL - "Lust of the eyes" \| "pleasant to the eyes" \| "Worship me....give you kingdoms of the world" \| \| SPIRIT --"Pride of life" \| "to make one wise" \| "Cast self down from pinnacle of temple" \| from "DEALING WITH DEVIL" seminar by Wilbur Johnson SOME PRACTICAL SUGGESTIONS FOR GAINING FREEDOM FROM BESETTING - HABITUAL SINS 1. DETERMINE TO CHANGE (REPENT) With the help of God and His Holy Spirit, the individual must make a conscious, deliberate effort to change. This step would include God's teaching on REPENTANCE. Repentance from dead works times past being sufficient for all ungodly deeds, etc., etc. I see repentance as involving 1) Sorrow for past problem sin; 2) purging my life from influences that would draw one astray. Burn, destroy, get rid of all magazines, videos, pictures, or objects that draw one into this activity. Jesus put it this way, "If your right hand offends you, CUT IT OFF." (Matthew 5:30) This also would include avoiding movie houses, video stores, magazine racks, topless bars or private clubs, etc., that may cause one to be tempted. Even when it seems that you are winning the battle, you need to continue to avoid even driving past such business establishments and those parts of town where you might be tempted. If and when you travel, avoid motels that have "dirty movies" as even an option. Much like an alcoholic who recognizes that he/she is an alcoholic and consequently must never touch liquor again lest they fall back into their old ways, so a person beset by lust must avoid all things that draws one's eye. Even the second look at a lovely lady must be avoided if one is really serious about purging this sin from his life. Romans 13:14 says, "But put on the Lord Jesus Christ and make no provision for the flesh to fulfill the lust there of." (See also verse 13). You may recall my message--"How To Be Filled With The Holy Spirit" in the first series. It is contained in my video and on page 34 of my book "Faith Alive in Heart, Home, and Church"--that talks about knowing a Christian by his/her TALK, by his/her WALK, and by his/her GAWK. 2. PRAY TO BE FILLED WITH THE HOLY SPIRIT (Ephesians 5:18; Acts 4:31) The first, most important and essential thing is to ask God to fill you daily with His Spirit. This request, regularly and sincerely, may indeed be the easiest step, but it surely is the most essential. Without the Holy Spirits working (URGING & PURGING) we do not have the DESIRE to say no. That is why I include this as the second step. If a person were not a Christian, then the first step would be to put on the Lord Jesus Christ. 3. FASTING CAN BE HELPFUL. It must be emphasized, that, as I understand fasting, it is not just refraining from eating food, but must include using that time to speak to God in prayer and to let Him speak to you through His word. 4. CONFESSION NEEDED. I believe confession and accountability must be included as a third step. YES, confession to GOD--(I John 1:9); but, also confession to a fellow Christian such as we have shared. (James 5:16) And agree with the other person to ask-- How the battle is going? Ask and expect to be asked pointedly, expecting an honest response how the brother is doing in this battle. We recognize that God knows all and sees all, but we need, as the little girl told her mother, "I want to see God with some skin and bones." We need each other to challenge, inspire, encourage and discipline us. One of my little known favorite passages of scripture is Proverbs 27:17, "As iron sharpens iron, so one man sharpens another." 5. CLAIM THE BLOOD OF JESUS AS A COVERING and cleansing for our sin. (Revelation 12:11) Remind Satan that Jesus has forgiven you and that Satan no longer has any right to you or any part of you, body, soul or spirit. (Romans 6:1-6; Ephesians 2:1-7; and 1 Peter 4:1-3). As Jesus said to the woman, so let His statement be our GOAL, "Go and sin no more." Finally, always be strong and of good courage!" "Finally, be strong in the Lord and in his mighty power. Put on the full armor of God so that you can take your stand against the devil's schemes. For our struggle is not against flesh and blood, but against the rulers, against the authorities, against the powers of this dark world and against the spiritual forces of evil in the heavenly realms. Therefore put on the full armor of God, so that when the day of evil comes, you may be able to stand your ground, and after you have done everything, to stand." (Ephesians 6:10-13) () ACCOUNTABILITY---If you have no one near you whom you can lean on in confessing your faults, and to pray with you, then I am willing to serve Jesus and you in this manner. Get in touch preferably by email@example.com or Box 875. Ark. City, Kansas 67005 REMEMBER THREE THINGS: 1. ACCEPT YOURSELF AS CLEANSED AND FORGIVEN with the knowledge that "Greater is He that is in you, than he that is in the world," (1 John 4:4), and that we have the inner strength available to resist. See )Philippians 4:13) and (1 Corinthians 10:13). 2. GOD NEVER GIVES UP ON US. Fellow human beings sometimes will, but NOT GOD. HE IS ALWAYS with us, desiring HIS BEST for us but often having to settle for something less. VERY IMPORTANT IS the fact that we NOT GIVE UP ON OURSELVES. 3. GOD LOVES YOU/ME (.) period. NOT when we sin no more, and NOT as we will be tomorrow, or NOT when we are perfect. BUT, HE LOVES us as WE ARE RIGHT NOW, even when we fail, and YES when we win the VICTORY. HALLELUJAH FOR HIM and HIS LOVE! JESUS LOVES YOU and we do too!-- by the Grace of God---we PRAY FOR YOU. Matthew Henry makes these excellent comments about the victory of overcoming in I John 5:4 "And this is the victory that overcometh the world, even our faith, v. 4. Faith is the cause of victory, the means, the instrument, the spiritual armor and artillery by which we overcome. 1. In and by faith we cleave to Christ, in contempt of, and opposition to, the world. 2. Faith works in and by love to God and Christ, and so withdraws us from the love of the world. 3. Faith sanctifies the heart, and purifies it from those sensual lusts by which the world obtains such sway and dominion over souls. 4. It receives and derives strength from the object of it, the Son of God, for conquering the frowns and flatteries of the world. 5. It obtains by gospel promise a right to the indwelling Spirit of grace, that is greater than he who dwells in the world. 6. It sees an invisible world at hand, with which this world is not worthy to be compared, and into which it tells the soul in which it resides it must be continually prepared to enter; and thereupon, The apostle concludes that it is the real Christian who are the true conqueror of the world: Who is he then that overcometh the world, but he that believeth that Jesus is the Son of God? v. 5. It is the world that lies in our way to heaven, and is the great impediment to our entrance there. But he who believes that Jesus is the Son of God believes therein that Jesus Came from God to be the Savior of the world, and powerfully to conduct us from the world to heaven, and to God, who is fully to be enjoyed there. And he who so believes must needs by this faith overcome the world." from Matthew Henry's Commentary EXERCISE 47 Now, without looking back, write down four suggested rules for overcoming habitual sins. 1. ____________________________________________________________ 2. ____________________________________________________________ 3. ____________________________________________________________ 4. ____________________________________________________________ Meditate on your victory of overcoming certain sins and if you are willing, share one of your victories with your class, group, leader. The Holy Spirit Sanctifies by 1. Giving Power to Begin Again and Power to win in the Battle with Self and Sin 2. Giving FRUIT as evidence of His Presence 3. Giving us GIFTS to serve Others "But the fruit of the Spirit is love, joy, peace, long-suffering, kindness, goodness, faithfulness, gentleness, self-control. Against such there is no law. And those who are Christ's have crucified the flesh with its passions and desires. If we live in the Spirit, let us also walk in the Spirit." (Galatians 5:22-25 NKJ) EXERCISE 48 List all the growth factors that produces an apple on a tree Any fruit is the wonderful result of several factors. Your list surely included--God, seed, planting, sprout, tree or bush, bud, bloom and finally the fruit. We have little or nothing to do with this whole process. Just so, our spiritual fruit, passes through a like process. EXERCISE 49 Draw a circle around the number which represents your spiritual status quo before you met Jesus and now. BEFORE I ACCEPTED JESUS \| \| LOVE \| JOY \| PEACE \| GOODNESS \| FAITH \| LONG SUFFERING \| MEEKNESS \| GENTLENESS \| TEMPERANCE \| \|------------------\|------\|-----\|-------\|----------\|-------\|----------------\|----------\|------------\|------------\| \| 1 2 3 4 5 6 7 8 9 10 \| \| \| \| \| \| \| \| \| \| AS OF NOW \| \| LOVE \| JOY \| PEACE \| GOODNESS \| FAITH \| LONG SUFFERING \| MEEKNESS \| GENTLENESS \| TEMPERANCE \| \|------------------\|------\|-----\|-------\|----------\|-------\|----------------\|----------\|------------\|------------\| \| 1 2 3 4 5 6 7 8 9 10 \| \| \| \| \| \| \| \| \| \| Total before I accepted Jesus_______ POSSIBLE 90 TOTAL my life as of NOW_______ Our title above asserts that fruit is the evidence of His presence. Matthew records Jesus' message about the importance of fruit. "Watch out for false prophets. They come to you in sheep's clothing but inwardly they are ferocious wolves. By their fruit you will recognize them. Do people pick grapes from thorn bushes or figs from thistles? Likewise every good tree bears good fruit, but a bad tree bears bad fruit. A good tree cannot bear bad fruit, and a bad tree cannot bear good fruit. Every tree that does not bear good fruit is cut down and thrown into the fire. Thus, by their fruit you will recognize them. 'Not everyone who says to me, 'Lord, Lord,' will enter the kingdom of heaven, but only he who does the will of my Father who is in heaven. Many will say to me on that day, 'Lord, Lord, did we not prophesy in your name, and in your name drive out demons and perform many miracles?' Then I will tell them plainly, 'I never knew you. Away from me, you evildoers!' Thus, by their fruit you will recognize them." (Matthew 7:15-23) Fruit is a valid test to determine the genuineness of faith. Works are not trustworthy. In Jesus' example, a wolf (false prophet) can produce works; but good trees, vines, people are known by good fruit. Here is a good rule to go by-- we must prove all things. (I Thessalonians 5:21) EXERCISE 49 Write out the following verses: 1 Thessalonians 5:21 1 John 4:1 "Observe the illustration of this comparison, of the fruit being the discovery of the tree. You cannot always distinguish them by their bark and leaves, nor by the spreading of their boughs, but by their fruits ye shall know them. The fruit is according to the tree. Men may in their professions put a force upon their nature, and contradict their inward principles, but the stream and bent of their practices will agree with them. Christ insists upon this, the agreeableness between the fruit and the tree, which is such as that. If you know what the tree is, you may know what fruit to expect. Never look to gather grapes from thorns, nor figs from thistles; it is not in their nature to produce such fruits. An apple may be stuck, or a bunch of grapes may hang, upon a thorn; so may a good truth, a good word or action, be found in a bad man, but you may be sure it never grew there." (from Matthew Henry's Commentary) NOTE again what Jesus said: "Thus, by their fruit you will recognize them. "Not everyone who says to me, 'Lord, Lord,' will enter the kingdom of heaven, but only he who does the will of my Father who is in heaven. Many will say to me on that day, 'Lord, Lord, did we not prophesy in your name, and in your name drive out demons and perform many miracles?' Then I will tell them plainly, 'I never knew you. Away from me, you evildoers!' Thus, by their fruit you will recognize them.'" (Matthew 7:20-23) EXERCISE 50 Write down three things from Matthew 7:20-23 which Jesus said many will say they did: 1. ____________________________________________________________ 2. ____________________________________________________________ 3. ____________________________________________________________ Are the above three items fruits or works.? _________________ The answer is--they are works, and herein lies a great danger! The following insight is from the late J. Russell Morse, a missionary to Tibet. "Just as there are certain laws of physics that everyone shares in and must live by such as the Law of gravity, Law of force and the Law of thermodynamics; just so, there are spiritual laws that we all share in automatically, too. We all have the gift of life from God and He sustains that life. It is also true that there are certain laws of power we can "plug into." Out in Tibet we preached tithing and some of the pagans began to practice it. They were blessed just as Malachi 3:10 promises. Although not Christians, they were richly blessed because they plugged into God's power source. Pharoah's "Magic men" did the same thing with the first three of the Ten Plagues in Exodus 7. In Matthew 7:22 these people plugged into God's power and did many good works, yet Jesus in verse 23 said "I never knew you, Away from me, you evildoers." Fruits come from the Holy Spirit, but works can be counterfeited. So, do NOT follow men because of their works, rather observe their fruits." One final word of caution, EXERCISE 51 Write "YES" or "NO" after each fruit named in Galatians 5:22-25 which CAN be counterfeited. "But the fruit of the Spirit is love- joy- peace- longsuffering- kindness- goodness- faithfulness, gentleness- self-control- Against such there is no law. And those who are Christ's have crucified the flesh with its passions and desires. If we live in the Spirit, let us also walk in the Spirit." (NKJ) Those who have studied the Scripture and the Mind of the Lord assert that LOVE is the only fruit which cannot be counterfeited. This may be well be the reason Jesus had so much to say about LOVE. 62 times Jesus talks about love in the Gospels, and taking their cue from Him the writers of the 23 other New Testament books speak of love 168 times. EXERCISE 52 Write down I Corinthians 13:13 I attended a New Year's "Watch Party" at which we were asked to write down a resolution for the New Year. One young man announced--"I resolve to love everybody this year even if it kills me." We smile but what he resolved is impossible. Love or any of the fruits are not arrived at through self determination but are produced as fruit of the Spirit. We receive them by abiding in the Vine as Jesus said: "I am the true vine, and My Father is the vinedresser. Every branch in Me that does not bear fruit He takes away; and every branch that bears fruit He prunes, that it may bear more fruit. You are already clean because of the word which I have spoken to you. "Abide in Me, and I in you. As the branch cannot bear fruit of itself, unless it abides in the vine, neither can you, unless you abide in Me. I am the vine, you are the branches. He who abides in Me, and I in him, bears much fruit; for without Me you can do nothing. If anyone does not abide in Me, he is cast out as a branch and is withered; and they gather them and throw them into the fire, and they are burned. If you abide in Me, and My words abide in you, you will ask what you desire, and it shall be done for you. By this My Father is glorified, that you bear much fruit; so you will be My disciples. As the Father loved Me, I also have loved you; abide in My love." (John 15:1-9 NKJ) EXERCISE 54 Let us close this section on the Holy Spirit Consecrating (setting us apart) with this meaningful meditation. Spend some time alone reading this meditation and praying about your daily walk with Jesus. As the Lord sifts our soul through the vicissitudes the Holy Spirit is sanctifying/consecrating us for this life and that Life yet to be with eternal dimensions. "Early in the morning, Jesus stood on the shore, but the disciples did not realize that it was Jesus. He called out to them, "Friends, haven't you any fish? No, they answered. He said, Throw your net on the right side of the boat and you will find some. When they did, they were unable to haul the net in because of the large number of fish. Then the disciple whom Jesus loved said to Peter, It is the Lord! As soon as Simon Peter heard him say, It is the Lord, he wrapped his outer garment around him (for he had taken it off) and jumped into the water. The other disciples followed in the boat, towing the net full of fish, for they were not far from shore, about a hundred yards. When they landed, they saw a fire of burning coals there with fish on it, and some bread. Jesus said to them, "Bring some of the fish you have just caught." Simon Peter climbed aboard and dragged the net ashore. It was full of large fish, 153, but even with so many the net was not torn. Jesus said to them, "Come and have breakfast." None of the disciples dared ask him, "Who are you?" They knew it was the Lord. Jesus came, took the bread and gave it to them, and did the same with the fish. This was now the third time Jesus appeared to his disciples after he was raised from the dead. When they had finished eating, Jesus said to Simon Peter, "Simon, son of John, do you truly love me more than these?" "Yes, Lord," he said, "you know that I love you." Jesus said, "Feed my lambs." Again Jesus said, "Simon, son of John, do you truly love me?" He answered, "Yes, Lord, you know that I love you." Jesus said, "Take care of my sheep." The third time he said to him, "Simon, son of John, do you love me?" Peter was hurt because Jesus asked him the third time, "Do you love me?" He said, "Lord, you know all things; you know that I love you." Jesus said, "Feed my sheep." (John 21:4-21) * A LOVE STORY * One day, I woke early in the morning to watch the sunrise. Ah, the beauty of God's creation is beyond description. As I watched, I praised God for His beautiful work. As I sat there, I felt the Lord's presence with me. He asked me, "Do you love me?" I answered, "Of course, God! You are my Lord and Saviour!" Then He asked, "If you were physically handicapped, would you still love me?" I was perplexed. I looked down upon my arms, legs and the rest of my body and wondered how many things I wouldn't be able to do, the things that I took for granted. And I answered, "It would be tough Lord, but I would still love You." Then the Lord said, "If you were blind, would you still love my creation?" How could I love something without being able to see it? Then I thought of all the blind people in the world and how many of them still loved God and His creation. So I answered, "It's hard to think of it, but I would still love you." The Lord then asked me, If you were deaf, would you still listen to my word?" How could I listen to anything being deaf? Then I understood. Listening to God's Word is not merely using our ears, but our hearts. I answered, "It would be tough, but I would still listen to Your word." The Lord then asked, If you were mute, would you still praise My Name?" How could I praise without a voice? Then it occurred to me: God wants us to sing from our very heart and soul. It never matters what we sound like. And praising God is not always with a song, but when we are persecuted, we give God praise with our words of thanks. So I answered, "Though I could not physically sing, I would still praise Your Name." And the Lord asked, "Do you really love Me?" With courage and a strong conviction, I answered boldly, "Yes Lord! I love You because You are the One and true God!" I thought I had answered well, but God asked, THEN WHY DO YOU SIN?" I answered, "Because I am only human. I am not perfect." "THEN WHY IN TIMES OF PEACE DO YOU STRAY THE FURTHEST? WHY ONLY IN TIMES OF TROUBLE DO YOU PRAY EARNESTLY?" No answers. Only tears. The Lord continued; "Why only sing at fellowships and retreats? Why seek Me only in times of worship? Why ask things so selfishly? Why ask things so unfaithfully?" The tears continued to roll down my cheeks. Why are you ashamed of Me? Why are you not spreading the good news? Why in times of persecution, you cry to others when I offer My shoulder to cry on? Why make excuses when I give you opportunities to serve in My Name?" I tried to answer, but there was no answer to give. You are blessed with life. I made you not to throw this gift away. I have blessed you with talents to serve Me, but you continue to turn away. I have revealed My Word to you, but you do not gain in knowledge. I have spoken to you but your ears were closed. I have shown My blessings to you, but your eyes were turned away. I have sent you servants, but you sat idly by as they were pushed away. I have heard your prayers and I have answered them all." "DO YOU TRULY LOVE ME?" I could not answer. How could I? I was embarrassed beyond belief. I had no excuse. What could I say to this? When my heart had cried out and the tears had flowed, I said, "Please forgive me Lord. I am unworthy to be Your child." The Lord answered, "That is My Grace, My child." I asked, "Then why do you continue to forgive me? Why do You love me so?" The Lord answered, Because you are My creation. You are my child. I will never abandon you. When you cry, I will have compassion and cry with you. When you shout with joy, I will laugh with you. When you are down, I will encourage you. When you fall, I will raise you up. When you are tired, I will carry you. I will be with you till the end of days, and I will love you forever." Never had I cried so hard before. How could I have been so cold? How could I have hurt God as I had done? I asked God, "How much do You love me?" The Lord stretched out His arms, and I saw His nail-pierced hands. I bowed down at the feet of Christ, my Saviour. And love overflowed my heart, I truly prayed. Author Unknown. Shared by Mrs. Philip (Deb) Messer, Goddard, Kansas The Holy Spirit Sanctifies by 1. Giving Power to Begin Again and Power to win in the Battle with Self and Sin 2. Giving FRUIT as evidence of His Presence 3. Giving us GIFTS to serve Others EXERCISE 55 This exercise illustrates the matter of "blind spots" in our vision. Sometimes we have "blind spots" in relation to our spiritual gifts. We may mistake "talents" for "gifts" or simply fail to realize what our gifts are. Read this sentence: FINISHED FILES ARE THE RESULT OF YEARS OF SCIENTIFIC STUDY COMBINED WITH THE EXPERIENCE OF YEARS. Now count aloud the F's in the sentence. Count them ONLY ONCE: do not go back and count them again. See below... ANSWER: There are six F's in the sentence. One of average intelligence finds three of them. If you spotted four, you're above average. If you got five, you can rejoice. If you caught six, you are a genius. There is no catch. Many people forget the "OF'S." The human brain tends to see them as Vs and not Fs. GIFTS DEFINED and HAZARDS Biggest Hazard for any of the gifts is "Gift Projection." This means our giftedness makes our motivations and abilities seem so important to us and so natural that we tend to think others should feel the same way we do and be able to do the same things we do. EXERCISE 56 After each gift definition and the listing of hazards, please list a Bible example and a contemporary example from your own life, church or the brotherhood. GIFTS for SERVING GIFT OF SHOWING MERCY: The ability to manifest practical, compassionate, cheerful love toward suffering members of the body of Christ. To identify with the feelings of those in distress and the ability to meet their needs. Hazards -- * * Pride in ability to empathize and resenting those who are not sensitive to people. * Failure to be firm with those who have been hurt. Build up sense of self pity in people. * Being guided by emotion rather than logic. * Overlooking grave spiritual failures and mistaking indulgence for love. The opposite end from the prophet. The mercy makes excuses and tends to condone the sin. * Tends to be prepared to accept peace at any price. * Tends to conflict with other gifted people more than others because they see almost everything in shades of gray and really doesn't care that the suffering may be caused by sin. All they know is that there is a hurting person in need of love and ministry, not judgment. Gifted people need each other to balance each other, and if they fail to understand that and recognize the lubricating nature of love, I Corinthians 13, they will be in constant conflict. Author and lecturer Leo Buscaglia once talked about a contest he was asked to judge. The purpose of the contest was to find the most caring child. The winner was a four-year-old child whose next door neighbor was an elderly gentleman who had recently lost his wife. Upon seeing the man cry, the little boy went into the old gentlemen's yard, climbed onto his lap, and just sat there. When his mother asked him what he had said to the neighbor, the little boy said, "Nothing, I just helped him cry." #1) NAME of the gift the child exercised ____________________________________________ EXAMPLE of this gift in the Bible_________________________________________________ EXAMPLE of this gift from your life or church_____________________________________ GIFT OF GIVING: Motivation to entrust assets to others for the furtherance of the ministry. The God-given ability, perhaps to earn, certainly to give money for the progress of God's work with such care and cheer that the recipients are fortified. Hazards -- * * Pride * Danger of measuring spiritual success by material assets. * Overlooking long range spiritual goals in order to meet immediate material needs (is tempted to give without looking into situation carefully enough) * Temptation to buy influence (threaten to withdraw support). Temptation to use money as a weapon or a means of manipulation. EXAMPLE of this gift in the Bible_________________________________________________ EXAMPLE of this gift from your life or church_____________________________________ GIFT OF HELPS: This is the Spirit-given ability to serve the church in any supporting role, usually temporal, though sometimes spiritual. The gift enables one to serve joyfully and diligently wherever and whenever required. It is not for helping the poor, sick, aged, orphans and widows (which is really the gift of showing mercy), but for lending a hand wherever it will release other workers in their primary spiritual Ministries, and to do it in such a way that it strengthens and heartens. Hazards -- * * Neglecting home responsibilities. * Pride in good works. A unique example of this gift is told in the following true story. She is a woman of the Kansas prairie, working long and hard beside her husband, "Preach" tilling the soil, and raising a fine family of two sons and one daughter. I came to know her best when she arrived at our end of the State for a thirty day stay to house sit, tend garden and ride herd on two dogs and two cats. The month of June stretched into August, then September and October. The philosophy of the Lady of the Prairie is simply said "I live by the side of the road of life and people's needs are my concern." The immediate need in Winfield was dictated by her daughter-in-law who fell while rafting in the Grand Canyon. She broke her back in two places causing paralysis from the upper waist down. This faithful mother-in-law full of mercy, love and help stayed on. The planned one month turned into two, three, four, five, six. Simply she said, "I stay as long as there is a need." Late Spring had turned to Summer, then when Fall was leaning toward Winter, and her daughter-in-law had learned to live in a wheel chair and drive a hand controlled van. This wonderful lady returned to her home on the Kansas prairie near Hugoton. I salute this Lady of the Prairie as a "Queen of Helps to Souls in Need." I know both of them well for the daughter-in-law is my daughter, Dr. Teresa Johnson and the "Queen of Helps, Mercy and Love" is the dedicated June Flummerfelt. #2) NAME of the gift June Flummerfelt exercised ______________________________________ EXAMPLE of this gift from your life or church_________________________________________ GIFT OF GIVING: Motivation to demonstrate love by meeting practical needs. Carrying out the spirit of love by serving others in Jesus' Name. Hazards -- * * Neglecting home responsibilities. * Pride in good works. * Danger of being pushy...of anticipating a person's need before the person is aware of it. * May become bitter because sufficient appreciation has not been shown for his gifts. * Emphasis on practical things to the exclusion of spiritual things. * Sometimes impatient with "spiritual people." (note: Mary & Martha) * Sometimes more concerned with meeting material needs than spiritual needs. EXAMPLE of this gift in the Bible____________________________________________________ EXAMPLE of this gift from your life or church_________________________________________ GIFT OF HOSPITALITY: That supernatural ability to open ones' house with a warm welcome to strangers or friends in need of food and lodging. Hazards -- * * Neglecting home responsibilities. * Pride in good works. Rees Howells (1879-1950), the Welsh coal miner, tells of a meaningful ministry among the needy. He describes it, "Not long after this, and only a few months after he had started the ministry in the village, the Lord gave him a further commission, He laid on him the burden of the tramps. The many men who were to be found in that district wandering homeless and jobless from place to place. They were to give a chance to every tramp that came to the mission. It was to be a practical lesson of what divine love is towards an undeserving sinner. The Spirit made plain what they were to do: to give each man a new suit of work clothes, find him lodgings and work, and pay his board until he drew his first pay. "We were called to put Isaiah 58 into practice," said Mr. Howells. "Is it not to share your food with the hungry and to provide the poor wanderer with shelter-- when you see the naked, to clothe him, and not to turn away from your own flesh and blood? Then your light will break forth like the dawn, and your healing will quickly appear; then your righteousness will go before you, and the glory of the LORD will be your rear guard." (Isaiah 58:7,8) "When we first started to help them:" Rees said, "we were afraid too many would come in the same fortnight, and that we could not provide for them; and while there was fear, there was inward struggle. We soon found out that we could not provide and that was just the place the Lord wanted us to come. Then we had to find out that God would provide if we would trust Him. The Holy Ghost allowed us to be failures once or twice, so we quit struggling and trying to do it ourselves. We clung to God's promises, pleading with Him to come to our rescue, and He never failed us." from Rees Howells' Intercessor, pgs 58-65 In our ministry of many years at Minneola, Kansas, we experienced similar lessons in a faith walk of helping people. The "tramps" began to come one by one and sometimes by the carload. We helped them one by one in Jesus' Name according to their needs. My wife, Imalee, was a key person in this whole scenario, always with a open heart to set one more place at the meal table or make room for overnight guests. A tuned in 'Kitchen Committee' of Marie Moody, Irene Deniston, Katy Johnson and Carmalee Beebe were most willing to help. This attitude of help the helpless spread throughout the church and youth leaders Sharon Kennedy, Lillie Houser, Irene Grimmett and Juanita Morain enlisted their youth groups to assist in ministering to the needs within the town and church in a variety of ways. Morris Kennedy enlisted the men to take tons of food to the Kiamichi Mountain Missionaries of Oklahoma for many years. Some funds were available through the elders and deacons but the needs exceeded the funds available. We began to present these impossible needs to the Lord. When a need was present, but most often just prior, cash in an unmarked envelope arrived in the mail. Sometimes a twenty dollar bill or two and once a hundred. The need dictated the amount. Not until many years later as I was visiting the Postmaster Elwood Marshall, a lady came in and dropped an envelope in the mail slot. Postmaster Marshall reached over, picked up the letter, postmarked it and said, "Preacher here is a 'special delivery' letter for you." I opened the unmarked letter and a twenty dollar bill fell out. The mystery saint was Irene Grimmett. Strangely after ten years the "highway-tramps" ceased to come our way, and we moved on to the Faith Alive traveling revival ministry. #3) NAME of the gift Rees Howells exercised EXAMPLE of this gift in the Bible EXAMPLE of this gift from your life or church GIFTS for TEACHING GIFT OF TEACHING: To search out and to validate already existing truth. This is the supernatural ability to explain clearly and apply effectively the truth of the Word of God. Every believer is to be a teacher in his own quiet, confined way, even if he doesn't possess the gift to teach in formal situations. Hazards -- * * Pride of knowledge * More interested in the research than in the student. * To be so concerned about details that a person misses the broad spectrum of the picture. * Danger of believing that spiritual truth can be discerned by the intellect. * Becoming so involved in study that the gaining of knowledge becomes an end of itself instead of the impartation being the end. * Tends to be intolerant of those who do not dig deep enough in study and therefore often sees shallowness in other's presentations. From lectures and the threads of everyday life, Professor Howard Hayes of Midwest Christian College of Oklahoma City and now of Tennessee imparted academic lessons and life to me---> > He taught me the discipline of study! > The discipline of thinking/reasoning was so evident in Bro. Hayes that I picked it up! > Studying Scripture in its context was passed along! > Observing Brother Hayes taught me the importance of the discipline of listening! > The disciplines which are needful for a good revival was shared by Brother Hayes in a revival he preached for me at the Ripley, Oklahoma Christian Church in 1952. > The disciplines of planning and prayer in a revival meeting plus having adequate publicity for a revival has blessed me much! > The importance of public school assemblies during a revival and how to do it was a BIG blessing. I still remember a rope trick with spiritual application by Brother Hayes used at the school. I begged him to show me how to do it, and have used it hundreds of times in VBS, camps, youth meetings, Sunday School classes, revivals, etc. across the past 46 years. > The importance of Bible messages with contemporary tied in. I still remember the message he spoke at the school--"The Danger of Flying Too Low", about an airplane incident in New York City in which a plane had nicked the corner of the Empire State Building. The problem was diagnosed as --plane flying at too low an elevation. Scripture he used was from Romans. > The life discipline of living adequately but frugally which Howard and Florence conveyed to all who observed their lives. .... The discipline of love (sometimes tough love) they practiced! .... I bless them for their discipline of forgiveness and kindness which has stuck with me. > All of the above coupled with their attitude of "MAKE DO! DEAL WITH THE WORST -- HOPE FOR THE BEST" has enriched me MUCH! #4) NAME of the gift Bro. Hayes exercised_________________________________________ EXAMPLE of this gift in the Bible____________________________________________________ EXAMPLE of this gift from your life or church________________________________________ GIFT of WORD OF KNOWLEDGE: To have available important information needed for any specific situation, especially scriptural information. Knowledge differs from wisdom. Knowledge is information; wisdom is the proper use of information to achieve proper ends. The gift of knowledge is the ability to search, systematize and summarize the teachings of the Word of God, a supernatural ability to acquire deep insight into divine truth that is not discoverable by human reason. The gift of wisdom is the ability to relate those insights to the needs and problems of life. A Word of Knowledge blessed my soul when our daughter, Lisa, who was 18 years of age at the time. She had an appointment with Dr. Menninger of the famed "Menninger Clinic" of Topeka, Kansas. After walking into Dr. Menninger's office, and introduction he asked her to be seated in a chair close to his desk. She immediately sensed that he had a genuine interest in her and she looked directly at him with a smile. He handed her a lead writing pencil. Lisa reached out and took hold of the pencil placing it between her three fingers and thumb as any of us would do. Dr. Menninger smiled, and at that point began a long dissertation by saying, "Lisa, you have told me a book full by the way you took my pencil. You're not on an animal level. A monkey would have clutched the pencil, but you received it like an intelligent human being, which you are." He continued to talk for many minutes and my spirit assured me his words were a Word of Knowledge. His words encouraged Lisa and us, and warmed our hearts across the years when other doctors and psychiatrists floundered in their diagnoses. Hazards -- * * Pride in knowledge. * Impatient with less knowledge. * May mistake knowledge for wisdom. * May seek after knowledge as an end in itself and overlook the needs to which it should be applied. Here is a life story which illustrates this Gift of the Word of Knowledge. Something happened near Christmas that was a word of knowledge to my soul. A pickup pulled up in front of the house and a man got out caring a poinsettia. Imalee and I started guessing as to who? A lady got out which confused our guessing even more. They rang the door bell and Imalee said to the man, "Come in Cliff." She was right! It was Cliff and Virginia Johnson from Wichita who we had met 22 years earlier in Guthrie, Oklahoma, at a revival there. They have sent gifts three or four times every year. We chatted and I offered to take them out to supper. But they had come down to visit a cousin and had a supper appointment with reservations at a local motel. They left the poinsettia with a Christmas card and a fifty dollar check. I insisted they see the house but being our age they were not given to climbing stairs unless it was an absolute necessity. They toured the downstairs and Imalee and Virginia came back into the living room. Cliff and I walked straight on through to the vestibule. Then, out of the clear blue sky Cliff said, "You know something has been bothering me for many months. I dream about it and wake up thinking, 'Who will take care of Virginia if I go first? But, recently the answer came to me and it was this--GOD HAS TAKEN CARE OF US ALL THESE YEARS AND BEEN VERY GOOD TO US. IF I GO FIRST HE WILL TAKE CARE OF VIRGINIA AND IF SHE GOES FIRST, HE'S GOT ME IN HIS HANDS, TOO!" I told Cliff that strangely I, too, been wrestling with the same proposition for some time. He responded--"WELL, GOD WILL TAKE CARE OF US!" That warmed my heart very, very good, like a wood fire in a fireplace on a cold winter day. I'll remember that the rest of my days. #5) NAME of the gift Bro. Cliff Johnson exercised_____________________________________ EXAMPLE of this gift in the Bible_____________________________________________________ EXAMPLE of this gift from your life or church_________________________________________ GIFT OF EXHORTATION - ENCOURAGEMENT: Motivation to stimulate the faith of others to specific action in spiritual development (either groups or individuals). Whenever I'm disappointed with my spot in my life, I stop and think about little Jamie Scott. Jamie was trying out for a part in a school play. His mother told me that he'd set his heart on being in it, though she feared he would not be chosen. On the day the parts were awarded, I went with her to collect him after school. "Guess what Mom," he shouted, and then he said these words that will remain a lesson to me: "I've been chosen to clap and cheer." Hazards -- * * Pride of results. * Easily discouraged and depressed. * Tends to manipulate others for personal gain. * Tends to spend too much time personally with people who do not want lasting results. * Tendency to be indiscreet in sharing results, it becomes an exhibition of spiritual pride. My phone rang on a cloudy winter afternoon just after Christmas and I waited for Imalee to take the call. Doyle Terry of Zephyrhills, Florida, was calling to say: "The Bible says to encourage one another and we're calling to say God loves You! We love you and rejoice that even though you are now tied down a bit, yet you are being used by God across this Nation. Your Lamplighter with the 23rd Psalm meditation came today, and as we meditated upon all the trials you have been through, and yet you are able to write this 23rd Psalm meditation of acceptance, we wept and thanked God for you and His Word. You'll remember we first met in a revival over 16 years ago at Harper, Kansas, and you shared from I Thessalonians 5:18 16 Be joyful always; 17 pray continually; 18 give thanks in all circumstances, for this is God's will for you in Christ Jesus." We believed it and now we practice it! I've been in excruciating pain when it was time for a service to start and we were to sing and preach, and simply appealed to the Lord with--'Thank you Lord for this pain, and it went away!" The Singing Terrys are a team for Jesus who traverse the country singing and speaking for the Lord. #6) NAME of the gift Dr. Menninger exercised_____________________________________ NAME of the gift Bro. Terry exercised___________________________________________ EXAMPLE of this gift in the Bible_______________________________________________ EXAMPLE of this gift from your life or church_____________________________________ Gifts for LEADING GIFT OF ADMINISTRATION / RULING: The Spirit-given ability to preside, govern, plan, organize and administer with wisdom, fairness, example, humility, service, confidence, ease and efficiency. Hazards -- * * Pride in power and authority. * Using people to achieve his needs instead of meeting their needs. * Danger in overlooking major character weaknesses in people who are useful to meeting his goals. * Cannot tolerate fools gladly. * Can develop a power complex. #7) EXAMPLE of this gift in the Bible___________________________________________ EXAMPLE of this gift from your life or church____________________________________ GIFT OF DISCERNING: To discern between the spirit of truth and the spirit of error. Though every believer is responsible for discerning the spirits, some have a particular power to do so—a special ability to distinguish between the spirit of truth and the spirit of error. A person with the gift of discernment can discriminate between that which is raised up by God and that which pretends to be. He can spot a phony, unmask Satan's trickery, detect erroneous teachings and ferret out false teachers. Hazards -- * * May mistake lack of faith for spiritual discernment of error. * Pride in ability to point out falseness. Discernment of demons from a summer youth conference as reported by a director of Faith Alive days ministry. "Brother Wilbur: Simply AMAZING !!!!! That would summarize the youth conference and the whole week. Each evening after the Praise and Preaching time, the church groups gathered to go over the day's events. (Bill) started earlier in the week with each person sharing their testimony. We had kids who shared they had been taking drugs, including smoking marijuana. One girl shared of a night when she and some friends sneaked out of her house met some boys, got drunk and ended up loosing her virginity which she said was the most dreadful experience that she had ever had and that she was greatly sorry she had ever done it. Another boy said that his sister was the target of a gang and that they had people driving by and shooting into their house. One boy said that he had been involved with the occult and satan worship and that he was trying to get out. Each story brought a flow of tears and a separate prayer time. I hope that the confessions will be accompanied by true repentance. Friday night the boy that had been in the occult was baptized before our small group time. That is when a startling thing happened. We were discussing the decisions that were made. The young man had his shirt off because it was wet from the baptism and we were on couches and chairs inside. As the discussions continued, stripe-like scars started to appear on his chest and stomach and he began to scream out in pain. (Bill) took the medical approach and asked if he was allergic to something or ever experienced hives. Several commented that the stripes had not been there when we sat down. We discerned that there were evil spirits involved, so we gathered and prayed and pleaded for the blood of Jesus to cover us and that the evil spirits would depart in Jesus' name. The stripes lightened, but did not totally disappear. The screaming in pain dissipated to an occasional cringe. Afterwards, the adult sponsors discussed what had happened with a bit of scepticism, but we could not explain the marks. (Bill) felt convicted that the incident was for real and spent time directly with the young man in Bible study and prayer. (Fred) told him that he had been told that if any one tried to get out of the Occult group, that the "demons" would burrow under the skin and try to seal themselves in. I had never heard that part before, but the incident did match a lot of what I had heard about demon possession. Oh, I failed to mention, that (Bill) had the young man repeat phrases after him which included naming the name of JESUS and claiming victory through the blood of Jesus. (Fred) was reluctant at first to say the name of Jesus, but with much persuasion was able to say Jesus. I came home with (James), but I was told there were further incidents on the bus ride home. (Bill) had the kids fast and pray. I guess there was a reappearance of the "stripes/scars" and that (Fred) actually passed out and collapsed on the bus. Wilbur, I believe this is a real occurrence and I am not sure what else we could/should have done. (Fred) had never told his parents that he was in the occult group and I'm sure that they will question the event. (Bill) was going to go back and discuss the events with them, but I don't know how they responded. I believe that (Fred) must stand by his decision, destroy any items that he may still have that were any way involved with the occult worship and find support to help him through this. I would be interested in any other comments or suggestions that you might have. (Names in parenthesis are substituted names.) By for now, and may God bless. In Christian Love, Larry Wright REPLY by Wilbur Johnson This "demon" case is most significant. NO, I have never heard of demons "hiding out under skin burrows-welts or whatever; but, most anything is possible when the devil is involved. Sounds to me like you all did what you could and what you should. On that same Friday I got a phone call from a young man (c.30 years of age) to come to his house as he needed help. I have known him several years as he cuts meat at Country Mart and had been to his house about a year ago. Last Friday when I visited him he complained of a "demon of paranoia." I discerned that there was demonic activity in his life and I spent about two hours praying with him, confessing Scripture and he confessed many sins and prayed which brought relief. He is an avid (fetish) jogger believing God has called him to run and pray. He attends Calvary Chapel, reads his Bible and prays. Strange case to say the least. #8) NAME of the gifts Youth Leaders exercised_____________________________________ EXAMPLE of this gift in the Bible_______________________________________________ EXAMPLE of this gift from your life or church____________________________________ GIFT OF WORD OF WISDOM: To apply knowledge or insights to situations in a practical way. Hazards -- * * Cannot tolerate fools gladly. * Pride in his ability to perceive answers to complex problems. * Easily offended when advice not followed. * May be tempted to use the gift to get his own way or withhold wisdom as punishment. Uncertain of what "door" to walk through in serving the Lord, I needed wisdom from on High. At the time, we had ministered at Minneola, Kansas, for nine years and were considering if it was time to move. The pulpit of the Central Christian Church in Dodge City, Kansas, was open and I was contemplating the Lord's Will for us in relation to that. So, the night before, on my prayer walk, I asked the Lord this question-"HOW LONG SHOULD WE STAY IN ONE PLACE?" No one else knew of my prayer query. The next day was the Fourth of July. We went to the Wright Park at Dodge City for an outing. When we arrived at 11:30 a.m. there was a group of "Jesus People" having a rally. You may remember these were common in the sixties and seventies as a facet of "The Jesus Movement." I walked over to the informal gathering of young people and they were seeking someone to lead in a closing prayer. Two guys volunteered and prayed the closing prayer. Just as they finished, the leader announced he had a message from the Lord for someone in the group. This is what he said "Someone here wants to know how long they should minister in one place?" The answer is--"Sometimes you must stay in one place for ten years or more to accomplish in one day what I want done." The leader said the person the message was for could acknowledge it or remain silent. Much startled and amazed I chose the silent response and sat down to ponder this answer. The answer was right! We stayed and the tenth year after that plus three more were days of high victory. --by Wilbur Johnson-- #9) NAME of the GIFT the unknown brother exercised_____________________________________ EXAMPLE of this gift in the Bible_______________________________________________________ EXAMPLE of this gift from your life or church___________________________________________ GIFT of PROPHECY: Motivation to reveal unrighteous motives by proclaiming God's truth. Not foretelling, but forth telling. Since God's revelation has been finished, and the Bible is our all-sufficient guide today, the gift of prophecy is now identified with proclamation based on God's Word. The gift of prophecy does not involve new revelation but a clearer understanding or amplification of already-given truth. Prophecy applies the Scripture to the present scene. So we might define the gift of prophecy as the Spirit given ability to proclaim the written Word of God with clarity and to apply it to a particular situation with a view to correction or edification. Hazards: * Spiritual Pride. May consider himself more righteous than others. * Tends to depend on his own ability in his presentation. * Tends to be judgmental, identifying sin with the individual. * Tends to have a sharp tongue without love. * Knows the right thing to say, but chooses the wrong time to say it. #10) EXAMPLE of this gift in the Bible__________________________________________ EXAMPLE of this gift from your life or church_____________________________________ THE APOSTOLIC GIFT: Officially, the apostolic ended with the apostles; unofficially, the apostolic gift persists to our day as the missionary gift. The word "missionary" covers a broad meaning, sometimes losing significance by including almost anyone in Christian service or with Christian concern. More accurately from the Greek, though, a missionary can be defined as "one sent to minister transculturally with church-planting goals." The missionary is sent from, as opposed to being called to, a particular church. Rather than being invited to a certain area, he is ordered (commissioned) out of his original homeland. Ability to serve in another culture is part of the missionary gift. The missionary must minister with evangelistic goals. Full-orbed evangelism includes conversion, baptism, growth and the organized fellowship; in other words, church planting. #11) EXAMPLE of this gift in the Bible__________________________________________ EXAMPLE of this gift from your life or church_____________________________________ GIFT OF SHEPHERDING: Like the shepherd who guides, grazes and guards his flock, this gift involves guiding young believers into paths of righteousness, steering them toward spiritual nourishment, and protecting them from hostile influences. If more Christians would guide, feed and guard fellow believers, not so much counseling would have to be done by church staff. This not only eliminates much wear and tear on the official pastor, but also meets needs that otherwise might be ignored. Hazards: * Pride in power and authority. * Resentment when the sheep do not follow, respect or appreciate them. * Using people to achieve his needs instead of meeting their needs. * Danger in overlooking major character weaknesses in people who are useful to him in meeting his goals. * Tendency to get caught up in 'Churchanity' and neglect the sheep. * Easy for shepherd to gossip, breach confidentiality. * Cannot tolerate fools gladly. * Can develop a power complex. Abuse of power. #12) EXAMPLE of this gift in the Bible__________________________________________ EXAMPLE of this gift from your life or church____________________________________ GIFT OF EVANGELISM: Though all believers are to witness, the gift of evangelism is a special ability to proclaim the Good News of salvation effectively so that people respond to the claims of Christ in conversion and in discipleship. Hazards -- * * Temptation to draw followers after themselves, * Use of influence for personal gain. * Temptation to not see that new converts are properly discipled which is a part of the Great Commission in Matthew 28:19,20. * Pride * Gift projection (See introduction at beginning of gift section). Was Sam Walton, owner of the Wal-Mart stores a Christian? Is Mr. Wall of the giant "WALL DRUG STORE" in the Black Hills of South Dakota saved? When I met these two men the Spirit impressed me to find out. "Therefore, if anyone is in Christ, he is a new creation; the old has gone, the new has come! All this is from God, who reconciled us to himself through Christ and gave us the ministry of reconciliation: that God was reconciling the world to himself in Christ, not counting men's sins against them. And he has committed to us the message of reconciliation." II Corinthians 5:17-19 While preaching a revival at Blanford, Indiana, Imalee and I, and preacher Doug Davis, went to eat pizza. The bus boy was a fine young man. After observing his speech and actions for a few moments, I said to him, "When did you become a Christian?" Startled, he looked up and said, "How do you know I'm a Christian?" I said, "I can tell by your actions, your attitude and your speech." He responded, "Well, it's true I am a Christian." He went on to share when he found Jesus and how as a senior in high school he was trying to live for Jesus. This opened a door for Doug Davis to interject an invitation for him to come and share his witness and worship with the State Line Christian Church. Wherever there are people, there are opportunities to encourage souls on the road of life. #13) NAME OF GIFT exercised in the above examples_____________________________________ EXAMPLE of this gift in the Bible_____________________________________________________ EXAMPLE of this gift from your life or church_________________________________________ Be prepared to share with your class/group what method YOU use in winning souls. GIFT OF FAITH: Unlike saving faith, which every believer must have, the gift of mountain-moving faith is a Spirit given ability to have a vision of what needs to be done and firm conviction that God will do it even though it looks impossible. Indications that the gift is genuine is when others follow the Spirit in you. Hazard -- * * Impatient with the weaker faith and pragmatic. * May become careless and mistake his will for God's. * May conflict with the one possessing the gift of wisdom, knowledge, discerning of spirits, or gifts of leadership. * Pride in faith. The late J. Russel and Gertrude Morse family, our missionaries to Tibet tell of many beautiful stories how the Holy Spirit led others through them. Son, Eugene Morse, records in the February, 1974 Reader's Digest one of those stories titled—"Home to Hidden Valley." Simply he said--The Communists were coming into the area to harass and capture the Christians. Bro. J. Russell Morse challenged the people: "But thanks be to God, who always leads us in triumphal procession in Christ and through us spreads everywhere the fragrance of the knowledge of him." II Corinthians 2:14 The people responded and at midnight after prayer, five thousand of them started an impossible journey of many miles out of Tibet, around India and into Burma. Brother Morse supposed some would be lost along the way. The perilous path took them through lion country, deadly snakes, and much of the mountain trail required sliding sideways single file. There were many children and mothers with small babies plus elderly folk. They pushed on through wind, rain and mud and after many days arrived safely without the loss of one, high in the Himalayan Mountains in a place called "Hidden Valley." #14) NAME OF THE GIFT Brother Morse exercised in leading the people____________________ EXAMPLE of this gift in the Bible______________________________________________ GIVE SOME EXAMPLES all of us are called upon to exercise this gift daily _________________________________________________________________________ GIFTS for CONFIRMING GIFT OF MIRACLES: The ability to perform supernatural works for the Purpose of confirming the authority or the Word or the messenger; or expedite God's plan. A miracle must be an act which sets aside God's everyday acts such as the water turned to wine, Jesus walking on the water, healing of the man born blind, etc. Hazards -- * * Pride in power. * Tendency to seek personal glory (Moses and the rock) * Danger of designating ordinary acts of God as miracles. Rodger Thompson, minister in Wichita, Kansas, visited India in 1998 and following is a part of his report: "Another woman in this village of Bangalapudur in the Periyar region in southern India was near death. The pastor prayed for her and then returned home. That night he was awakened by the Holy Spirit, and told to go pray for this lady. When he arrived at her home, he was told she had died and her body had been removed. He told them he was told to come pray for her so he went to where her body was and prayed. God raised her back from the dead! Shortly afterward (a week or two) she was bitten by a poisonous snake. Victims die from this bite almost immediately. Before she slipped into a coma she asked to be moved to the church building, as she wanted to die there. The members of the church did that, but the pastor and some of the members fasted and prayed for her there for five or ten days (I'm not sure which). At the end of that time the lady said she saw a great light and then woke up, healed!" #15) NAME OF ABOVE GIFT__________________________________________ EXAMPLE of this gift in the Bible_____________________________________ EXAMPLE of this gift from your life or church___________________________ GIFT OF HEALING: The power to be used of God to bring healing at every level: emotional spiritual and physical. It is especially related to physical healing. Hazards -- * * Pride in power. * Tendency to seek personal glory. * Tendency to use for personal profit. * Tendency to gather a personal following. "Here is a case of a clear life changing "Word from the Lord" that I had to obey! This incident took place while I was a youth minister at the Fortville Christian Church in Fortville, Indiana. God was awakening me to the fact that the devil is real, spiritual gifts are for the church today and He still does miracles. Many stories could be told about what led up to this event, but suffice it to say it was another of those times when God was speaking into my world with such growing intensity that I was unable to ignore Him. One Sunday afternoon I got a call from the Dengers. Don was an elder in the church and their young son Joe, elementary school age, had wrecked his bike and the handle bar had gouged his eye. They took him to the doctor and the eye was hemorrhaging. It was bad enough that the doctor wanted to do surgery but they couldn't until the hemorrhaging stopped. Joe was to lie perfectly still or he could lose the eye." They had Joe propped up in a recliner when my wife and I arrived. I don't remember when it started, on the way over there or after we walked in. I just remember knowing in my spirit that God wanted me to pray for Joe's healing. I was intimidated. I did everything I could to ignore this conviction. The longer I ignored it the louder it became until it was practically an audible voice in my mind. Like a fool I said "no." I remember thinking, "no, I will not pray for his healing, I will just pray a nice pastoral prayer in which I would ask for healing," but my prayer would not in any way create any expectation on the part of Joe or his family that he would be miraculously healed. So I prayed, visited, and squirmed the whole time. We went home, and as the evening wore on the Holy Spirit kept telling me to pray for Joe to be healed. By now it was such a vivid struggle that I was nearly responding out loud. I remember being in our bedroom when I finally yielded. I think I spoke out loud and said, "OK Lord, I give up. It is too late to go back over there now, but I will pray now and then call Joe's mother in the morning and tell her what I have done. I prayed for Joe to be healed and peace settled over me. The next morning I called Peg, Joe's mother, and told her what I had done and that I fully expected that when Joe went to the doctor the next Friday he would be healed. She shocked me when she said matter-of-factly, "Oh I know he will! I too have prayed for his healing and I know he will be healed!" I was really amazed. As the week went by I got involved in ministry stuff and forgot about Joe's doctor's appointment. Friday afternoon Peg and Joe came walking into my office and told me that they had just come from the doctor. He had examined Joe's eye, backed up, examined it again, backed up and in amazement told them that there was no evidence of injury anywhere in the eye. He said he could go home and return to school and do whatever he wanted. There might be some blurriness for awhile from being covered so long but there was no injury there. Again I have never been the same. Our God is a sovereign God and He will not stay in the boxes we assign Him to." (Rodger Thompson-Wichita, Kansas) #16 NAME OF ABOVE GIFT EXERCISED EXAMPLE of this gift in the Bible EXAMPLE of this gift from your life or church GIFT OF GLOSSA (unlearned languages-tongues) Speaking in an unlearned language as a sign to unbelievers or for personal edification. Hazards -- * * Pride in power to speak in tongues and tendency to assess oneself more spiritual. * May exhibit a spirit of judgment or criticism. * Tendency to seek personal glory and gather a following. The late Brother Don Dewelt of Joplin, Missouri, told me he had two students in his class at Ozark Bible College who praised God with glossa (unlearned language-Vine). "I'm sure not going to fault these young people who get 'charged up' by glossa and are out winning souls to Jesus ever day, which is doing far more than most of my students." #17) EXAMPLE of this gift in the Bible__________________________________________ Do you know of a modern example?______________________________________________ GIFT OF INTERPRETATION OF TONGUES (unlearned language): A companion manifestation that may be exhibited in the tongues speaker or in another person present at the time of the speaking. It is the ability to interpret an unlearned language for the edification of the congregation. Hazards -- * * Primarily, pride. In his fine book Twix Twelve and Twenty, Pat Boone tells of an occasion when he was waiting for a plane in a New York City airport. A lady recognized him and introduced herself saying, "I need your help. I have just met a Hebrew lady from Israel who needs to know about Jesus. The lady speaks Hebrew and understands very little English. Pat introduced himself to the lady and began to tell her about Jesus and what she needed to do to be saved. She accepted Jesus and commented, "Thank you, seldom do I hear anyone speak such clear Hebrew." Pat Boone commented later, I certainly do not speak Hebrew but the Holy Spirit became the translator. Isn't that what occurred on the Day of Pentecost in Acts 2:6-11? 18) EXAMPLE of this gift in the Bible__________________________________________ Do you know of a modern example?______________________________________________ SUGGESTED ANSWERS FOR ABOVE GIFTS #1 - Mercy .... #2 - Helps, mercy, giving .... #3 - Hospitality, mercy .... #4 - Teaching .... #5 - Word of Knowledge .... #6 - Encouragement .... #7 - Word of Knowledge .... #8 - Mercy, Discernment .... #9 - Word of Knowledge .... #10 - Leadership .... #11 - Apostolic gift .... #12 - Shepherding .... #13 - Evangelism .... #14 - Faith .... #15 - Miracles, healing .... #16 - Healing .... #17 - Speaking in unlearned language .... #18 - Interpretation of unlearned language. EXERCISE 56 OPEN BOOK TEST. See how well you have learned the "Gifts of the Spirit" by identifying the GIFTS of the HOLY SPIRIT from a mission trip to INDIA - February, 1999 There are 20 Gifts of the Spirit referenced in this report. Write the name of each on the blank lines provided. "The people of India were among the most beautiful people I have ever seen. Their dark skin and fine facial features set off by brightly colored clothing (among the women) makes for a very attractive people. The sari that the women wear (all casts and in all situations) is one of the most feminine and graceful garments I know of. The men dressed more plainly but they were still very handsome. The first thing that comes to mind is the absolute sense of peace and security I had the whole time we were there. I knew we were in a country where persecution is on the rise and in fact an Australian missionary and his two sons were burned to death by militant Hindus the first week we were there. Yet I was so secure that I didn't even realize it until it was almost over. When I finally realized how secure I felt I knew it was because of all the prayers that were holding us up before the Lord. The only times I was ever a little nervous was when we were traveling. Of course I always prayed the planes up and down, but the travel by auto was a truly harrowing experience. I had experienced something like it several years ago in the Philippines but I still found myself bracing for collision more than once. They drive on the left side of the road when they absolutely have to avoid collision. Otherwise it is a free-for-all. More than once we would pull out to pass a truck or bus, and have two vehicles coming at us with one or more bicycles, motorcycles, and ox carts and pedestrians on the side all trying to use the same two lanes. Somehow they know how to sort it all out. No one gets mad and there are relatively few wrecks. The main problem I had with the travel was the suffocating diesel and smoke fumes combined with the constant bouncing, starting, stopping, and swerving. I used a whole bottle of motion sickness pills. The smoke fumes come from the omnipresent rubbish fires. Everywhere was the smell of burning garbage and open sewers." Example of a spiritual gift from the above paragraphs. #14) Gift of martyrdom See I Corinthians 13:3 India is a land of great contrast. In many ways they still have very primitive lives, and yet in the middle of it all will be a television or other modern things. There is great beauty everywhere, and yet there is great ugliness also. The people are very particular to keep their personal space clean and neat, and yet they will throw trash on the ground and since there is no effective sanitation system, it just piles up in the ditches, vacant lots, and in little piles everywhere. The people set them on fire to get rid of them. With so many people they couldn't build a landfill big enough to hold it all anyway. India Gospel League (IGL) has ministries all over India. They are not in every state but they are in most of them and constantly expanding. The ministry goes beyond just the proclamation of the Gospel and the planting of churches. #15) GIFT OF_______________________. They believe (as I tried to say in my sermon notes that some of you received) that you cannot separate the love of God and the Gospel commission from the love of human beings and the need to minister to the whole person. Consequently they have children's homes, vocational training centers, leper colonies and feedings, hospital and medical ministries, #16) GIFT OF______________________, day care for mothers who work the fields, #17) GIFT OF______________________, schools, a seminary, #18) GIFT OF______________________, ministries to the blind and handicapped, they even work with local governments and civic organizations to improve villages. For example in one village, they helped put in a trench system to carry sewage. In another, they worked to help set up a lighting system. Low caste or otherwise destitute people are trained in a variety of vocations. Typing, sewing, weaving, steel fabrication, carpentry, auto mechanics, nursing, are a few of the vocations taught. India is still a very rural country with agriculture being the primary industry. Of course crops vary across the country but we saw rice, turmeric, sugar cane, tapioca, tomatoes, peanuts, coconuts, castor beans, and many others. Of course almost everything is done by manual labor or with animal labor. Even road building crews and major concrete and block sewer trench construction (most of it is just open sewers running in little steams) we saw were all done manually. I did see a few pieces of heavy equipment and some tractors, but they were rare. Even buried telephone cable was installed manually. One village which we were in had a population of 54,000 people. Salem, a city of one million had just been upgraded from town to city. There were none of the modern buildings of industry there. People everywhere! Samuel Stephens, the president of India Gospel League has a vision of uniting all the small independent churches all over India to work together to saturate India with the Gospel. An organization called the National Association of Independent Churches was formed to serve as a networking agency for the churches. They divide up the country into regions and each region selects its own leader. #19) GIFTED MAN________________________. They set goals and work together to reach them. They meet in regional pastor conferences once a month, and the IGL staff provides equipping for the pastors and gives them equipment to use in planting churches. I was involved in speaking at four of these conferences. In 1992 there was a meeting of 200 pastors and they set the goal of planting 1,000 churches by the year 2000. The next year when they got together the number of pastors had increased dramatically and about 800 churches had already been planted (a church is twenty baptized believers). #20) GIFTED MEN________________________. They revised to 2,000 and again found that they had almost reached it. They increased it to 5,000, and then 10,000, and now it is at 12,500. At one of the conferences I saw the pastors commit themselves to plant two churches each this year. Most pastors serve four to six churches. As you can see there is a great need to raise up leaders, and God is doing it. #21) LEADERSHIP GIFT OF________________________. At one new little house church we were in, I had the privilege of preaching. #22) GIFT OF________________________. They were meeting in a rented two-room house. They were started when IGL decided to try and experiment. They took a visiting team (much like ours) and let them be a part of the showing of the Jesus film in this village. Then they went back, and followed up on those who responded to the invitation twice. A church was born. This congregation existed in a village of 54,000 people, the only Gospel witness there. I couldn't help but think about how many churches we have in a town of 3,000. These people had outgrown their house and had been searching for a long time for a place to meet, but no one wanted to rent to them because they were Christians. Finally the Lord provided this two room house. We sat with the men in the front room and the women were in the back room with a doorway in between. This was their first meeting in the house. They were very excited. They were concerned about the increasing persecution but committed to reach their village. They even broadcast the service over a PA system into the neighborhood. As you may know our church sent $5,000 to help build a church building in Bangalapudur in the Periyar region. #23) GIFT OF________________________. It is also in southern India. We were privileged to be there to dedicate the building. #24) GIFT OF________________________. This church has an amazing story. The pastor was trying to start a church there but was having little response. There was a woman in the village that was in her mid 30s and totally crippled. Doctors and shamans had tried to heal her to no avail. She was possessed by an evil spirit. The pastor went and prayed for her. She was delivered from the evil spirit and totally healed. As a result everyone in the region heard about God's movement and many have come to Christ. GIFTS OF #25) Exorcism and #26)________________________. Another woman in this village was near death. The pastor prayed for her and then returned home. That night he was awakened by the Holy Spirit, and told to go pray for this lady. When he arrived at her home, he was told she had died, and her body had been removed. He told them, he had been told to come pray for her so he went to where her body was and prayed. God raised her back from the dead! Shortly afterward (a week or two) she was bitten by a poisonous snake. Victims die from this bite almost immediately. Before she slipped into a coma she asked to be moved to the church building, as she wanted to die there. The members of the church did that, but the pastor and some of the members fasted and prayed for her there for five or ten days (I'm not sure which). At the end of that time the lady said she saw a great light and then woke up healed! GIFTS OF #27) ___________________ and #28)____________________. There is in the church, which is about a year old, about 40 members, although there were about 200 there for the dedication. They had a regional pastor's conference, ladies conference, and youth conference at the same time. LIST THREE GIFTS #29) ______________; #30)_______________; and #31)______________. There was an older lady there at the dedication whose husband had left her, and her family had rejected her when she became a believer. She was illiterate, but has a good memory of Scripture, and can quote huge sections of the Bible from memory. #32) GIFT OF _______________. She had become an itinerate church planter, and along with another lady goes full time witnessing and praying for people. She has planted five churches. She goes to an area where she feels the Holy Spirit is leading her. When she gets there, she asks about the needs of the people and learns who is sick. She spends time in prayer, and then goes to pray for people around the village. God often works through her and heals those she prays for. THREE GIFTS #33)_______________ #34)______________; and #35)______________. by Rodger Thompson, Northwest Christian Church, Wichita, Kansas SUGGESTED ANSWERS FOR ABOVE INDIA REPORT GIFTS #14 - Martyrdom - #15 - Government, administration #16 - Mercy, helps, teaching, healing #17 - Helps #18 - Teaching #19 - Evangelism, faith, administration, exhortation #20 - Missionary, evangelism, shepherding #21 - Shepherding, faith, government #22 - Exhortation (prophecy) #23 - Giving #24 - Exhortation #25 - Exorcism #26 - Healing #27 - Faith, healing #28 - Word of Knowledge #29 - Evangelism #30 - Teaching #31 - Exhortation #32 - Word of Knowledge #33 - Evangelism #34 - Healing #35 - Shepherding. Identifying and Using OUR Gifts "Each one should use whatever gift he has received to serve others, faithfully administering God's grace in its various forms." (I Peter 4:10) As we begin to look towards our o-w-n personal "Gift(s) of the Spirit" here is a meaningful poem: BUILDERS Isn't it strange that princes and kings, And clowns that caper in sawdust rings, And common folk like you and me Are builders of eternity? To each is given a bag of tools, A shapeless mass, and a book of rules: And each must make, ere life is flown, A stumbling block or a stepping stone. Author Unknown UNWRAPPING YOUR GIFT "There are different kinds of gifts, but the same Spirit. There are different kinds of service, but the same Lord. There are different kinds of working, but the same God works all of them in all men. Now to each one the manifestation of the Spirit is given for the common good." (1 Corinthians 12:4-7) God would have taken us to heaven immediately at conversion had He no purpose for us here. Among other purposes, "we are saved to serve." To equip for service, God gives one or more spiritual gifts to every child of His. He does not want "dead wood" in His church. On our way from Monahans, Texas, to Denver, Colorado, to share another revival, we parked at a state park west of Walsenburg. It was a place of beautiful landscape with mountains in the distance. After visiting with Stan and Susan Stockton, we retired to our trailer for the night. In this prairie park it was very quiet and with the setting of the sun the birds ceased to sing and in the distance a coyote howled. Imalee, Lisa and I slept like babies, and got up at sunrise to begin the final journey in Denver with Rodger and Connie Thompson. When we opened our trailer door, we were pleasantly surprised to see eight inches of snow covering everything. We dug our way through and pulled out slowly heading for the mile high city. When the Holy Spirit filled me, making Jesus the Lord of my life, it was like the coming of the snow--quietly with no immediate observable effects. However, a door was opened into a whole new world, and the flower and fruits of my gifts began to bud and bloom. Later when I took the 100 statement quiz in this chapter it indicated the Lord had, out of 20 Gifts of the Spirit listed in the Scripture, blessed me with 17 of those gifts. Perhaps most evident was a desire to Praise the Lord, discernment of spirits, faith to walk, knowledge to hear God speaking, and on goes the list. Many of these are discussed in detail in my first book Faith Alive in Heart, Home and Church (1989). HOW TO DETERMINE YOUR SPIRITUAL GIFT Below are 100 statements which may help you discover your spiritual gift or gifts. Please rate yourself with the following scale by writing the appropriate number in the corresponding number square on the "score sheet" at the end of these 100 statements. The truth of this statement has been experienced in my life: much 3 .... some 2 .... little 1 .... not at all 0 1. I have proclaimed the truth in a God-inspired and enthusiastic Way. 2. I have been responsible for the growth of a group of Christians. 3. I have enabled persons to learn Biblical truths in detail. 4. I have applied truth effectively in my life. 5. I have the ability to discover truth for myself. 6. I have encouraged verbally the wavering, troubled, etc. 7. I can see the difference between truth and error. 8. I manage money well in order to give liberally to the Lord. 9. I assist key leaders to relieve them for their essential job. 10. I work joyfully with persons ignored by the majority. 11. I can adapt well in a different culture in order to evangelize. 12. I can lead others to a salvation decision for Christ. 13. I can provide food/lodging graciously to those in need. 14. I believe God will keep His promises in spite of circumstances. 15. I can persuade others to move towards achieving Biblical objectives. 16. As a key church leader I delegate responsibility to others. 17. In the name of the Lord I can pray effecting miraculously changing circumstances. 18. In the name of the Lord my prayers cure diseases. 19. I have spoken in unlearned languages (tongues). 20. I can interpret unlearned languages (tongues) to avoid confusion in the church. 21. God uses me to reveal the future but shows no details. 22. I sacrificially give myself for infant or straying Christians. 23. I can explain books of the New Testament well to others. 24. I make what appears to be correct decisions for my life. 25. Insights of truth bring conviction to my mind and heart. 26. I am an instrument of dislodging the complacent and redirecting the wayward. 27. I judge well between the poor and good (or evil and good). 28. I give things or money liberally for the Lord. 29. I enjoy ushering or cleaning at a church related facility. 30. I rejoice to aid the undeserving. 31. I would like to learn another language well to help start a church. 32. I share joyfully what Christ has done for me. 33. My heart and home are open to provide a gracious haven for guests. 34. I have the conviction of the reality of an active God in the daily affairs of my local church. 35. I know where I'm going with Christian followers. 36. I am able to organize ideas, people, things, and time for more effective ministry. 37. In the name of the Lord I can expel demons. 38. In the name of the Lord, I can heal the emotionally ill. 39. I have had tongues spoken by myself interpreted by another. 40. I have a motive for edifying the church when interpreting tongues. 41. God uses me to communicate great truths of God in a gripping compelling clear fashion clearly spoken from the Lord. 42. I am well known by those I serve and guide. 43. I can make difficult Biblical truths understandable to people. 44. I can choose from options an alternative which usually works. 45. I can acquire and master facts and principles of Bible truth. 46. God uses me to verbally challenge the spiritually apathetic. 47. I have insights to tell what is wrong with a Biblical message. 48. I cheerfully give so that God's work will be extended and helped. 49. I enjoy typing, filing or recording figures or minutes for the Lord. 50. I am blessed by visiting in hospitals or homes for the elderly. 51. I am able to begin new churches with a different language and culture. 52. I can explain the meaning well that Jesus is the Christ. 53. I have a knack of making strangers feel at home. 54. I enjoy trusting in the presence and power of God for the impossible. 55. I can influence others towards Biblical goals while serving with them. 56. I am able to plan with others goals of ministry for action. 57. God has intervened to do impossible things in my life. 58. In the name of the Lord I can treat successfully those who are spiritually sick. 59. I do not forbid others to speak in tongues. 60. I pray that I may interpret if speaking in tongues occurs. 61. I preach effectively for people to respond to God's Word. 62. I can feed followers by guiding them to selected portions of the Bible. 63. I communicate Biblical truths to others enabling changes in knowledge, attitudes, values or conduct. 64. My nomination of others for positions prove to be good selections. 65. I easily learn Biblical truths. 66. I am able to counsel effectively the perplexed, guilty or addicted. 67. I am able to identify that which is not true to the Bible. 68. I am able to earn much money for giving to the Lord's work. 69. I distribute church literature or papers in my community. 70. I enjoy taking shut-ins out for a drive or assisting them tangibly otherwise. 71. I enjoy soul-winning in a foreign country. 72. I rejoice to speak a message which is primarily the Gospel. 73. I have a genuine graciousness and appreciation of each guest in my home. 74. I let God be God in answering prayer for other Christians. 75. I can steer others through difficulties in a church related task. 76. I am able to lead a committee in making decisions together. 77. I am an instrument of God's supernatural change in lives. 78. I pray for others so that healing occurs. 79. I do not speak in tongues if there is no interpreter. 80. I can interpret tongues in a way that is orderly and not divisive. 81. I can give messages of doom or judgment where there is no repentance. 82. I am able to restore persons who have wandered away from their Christian community. 83. I train Christians to be obedient disciples of Christ. 84. I fear God in all personal decision-making. 85. I am able to recognize key and important facts of Scripture. 86. I can comfort a Christian in his/her affliction or suffering. 87. I can see through a phony before his phoniness is clearly evident. 88. I enjoy giving things freely with delight and love. 89. I am able to be a teacher's aid in Bible class. 90. I can talk cheerfully with those in prison or the lonely shut-in person. 91. I have the ability to learn a foreign language. 92. I continually go where unbelievers are in order to win them. 93. I am not forgetful to entertain strangers. 94. I trust in the reliability of Jesus as God. 95. Others follow me because I have an expert knowledge of some type which contributes to the building up of my church. 96. I am able to recruit Christians to exercise their spiritual gifts. 97. In the Name of the Lord I am able to recover sight for the blind. 98. I can help effectively those who are feeble-minded. 99. I believe that unlearned languages (tongues) I speak are a sign for unbelievers. 100. I desire an audience of some unbelievers when I interpret tongues. ANSWER SHEET for Spiritual Gift Quiz \| Row \| 1 \| 21 \| 41 \| 61 \| 81 \| \|-----\|-----\|-----\|-----\|-----\|-----\| \| A \| \| \| \| \| \| \| B \| \| \| \| \| \| \| C \| \| \| \| \| \| \| D \| \| \| \| \| \| \| E \| \| \| \| \| \| \| F \| \| \| \| \| \| \| G \| \| \| \| \| \| \| H \| \| \| \| \| \| \| I \| \| \| \| \| \| \| J \| \| \| \| \| \| \| K \| \| \| \| \| \| \| L \| \| \| \| \| \| \| M \| \| \| \| \| \| \| N \| \| \| \| \| \| \| O \| \| \| \| \| \| \| P \| \| \| \| \| \| \| Q \| \| \| \| \| \| \| R \| \| \| \| \| \| \| S \| \| \| \| \| \| \| T \| \| \| \| \| \| Total up your points for each gift from left to right, here is the interpretation: 10-15 total points = You have the gift! Use it meekly and wisely. 5-10 total points = Humbly try out your aptitude in this area. 0-5 total points = Probably no gift for you in this area. After you have completed the test by rating yourself for each of the 100 statements, add the scores in each horizontal row (Row A: Statements 1, 21, 41, 61, 81; Row B: Statements 2, 22, 42, 62, 82, etc.). Record that number in the Total column. Your total score for each row indicates your level of interest and ability in the area of each particular gift. Write in the names of the gifts from the list below. Write the name of the appropriate gift for each row on the lines provided. The highest scores show you which spiritual gifts are most evident in your life. - Row A prophecy - Row B shepherding (pastoring) - Row C teaching - Row D wisdom - Row E knowledge - Row F exhortation - Row G discernment - Row H giving - Row I helps - Row J mercy - Row K apostleship - Row L evangelizing - Row M hospitality - Row N faith - Row O leading - Row P administration - Row Q miracles - Row R healing - Row S tongues - Row T interpreting tongues The above test is reprinted by permission from NOVEMBER issue of MOODY MONTHLY Copyright 1975, Moody Bible Institute of Chicago as condensed from book "19 Gifts of the Spirit" by Leslie B. Flynn and permission of Victor Books, Copyright 1974, Scripture Press Publications, Inc. 1974, Wheaton, Illinois. Paul urges us to uncover and utilize our gifts. He exhorts every believer "not to think of himself more highly than ought to think; but to think soberly." (Romans 12:3) A sensible estimate of our abilities is a spiritual necessity. But how do we go about discovering our spiritual capacities? Here are seven suggestions. 1) List the Gifts A jeweler who recognizes diamonds must become acquainted with all kinds of gems. Similarly, the Christian must be informed about the many, multiformed New Testament gifts if he would hope to recognize his own. 2) Go to Work We ought to expose ourselves to various kinds of Christian service, likely first in the area of natural abilities. Perhaps we should try teaching a Sunday school class, attend teacher training, visit door-to-door, join a nursing home team, or take in a Lay Institute for Evangelism. Willingness to try something new may uncover a gift. Or urging by fellow believers to some different Christian service may suggest a hitherto hidden spiritual ability. When Paul encouraged Timothy to do the work of an evangelist (II Timothy 4:5) was he hinting that such activity might bring out the gift of evangelism? 3) Note your Inclinations Desire for a gift may well point up its existence (though it does not guarantee it). A gift will often be preceded by desire and followed by opportunity to use it. 4) Dedication Ever notice the location of Paul's discussion of gifts in Romans? It comes at the very beginning of the practical section that deals with godly living -- right after he asks for dedication of the believer's body. Is he trying to tell us that after an act of general dedication the first specific area that needs dedication is our gifts? How fitting to consciously place such gifts in the Lord's service, expressing willingness to obey Him with our spiritual capacities. 5) Development The existence of a gift is a call to exercise it. Development of a gift may involve one in formal study, at home, by correspondence, in Sunday school, or in evening Bible school. Our gifts may by sharpened through the ministry of the gifts of fellow Christians. One reason Paul wished to travel to Rome was to bestow the benefit of his spiritual gifts, the overflow of which would contribute to the edification of believers (Romans 1:11). 6) Delight Christians should take delight in discovering and using their gifts. The "delight" criterion in discovering one's gifts seems equivalent to the "peace of God" principle in ascertaining God's will. The inner joy a person experiences in exercising a gift may indicate that this is indeed that person's gift. The delight a person finds in ministering his gift is subconsciously communicated to the recipients of his ministry. The overflow of delight reinforces the exercise of a gift. 7) Discernment by Others The crowning confirmation that we possess a gift is recognition of this gift by others. In fact, others may see a gift in us long before we ourselves are aware of it. Thus, a vital duty of Christians is to encourage fellow believers when they observe a gift. Because the gift of encouragement was clearly evident, the apostles gave a disciple named Joseph a new name, "Son of Encouragement" or "Barnabas" (Acts 4:36). Frank discussion with fellow believers may help identify our gifts. Because self-estimate may be colored by deception, our character and abilities are often best evaluated by others. One professor said, "It's so strange to meet someone who claims to have the gift of preaching when no one has the gift of listening." However, earthly fellowships sometimes do not recognize gifted men at first. Campbell Morgan was rejected as a candidate for the ministry at age twenty-five. In later years, he won world-wide recognition as pastor, author, college president and Bible teacher. It is possible for believers to live many years unconscious of their wealth of spiritual gifts. Unused gifts squander the grace of God. Some believers who used their gifts in bygone days may have allowed these gifts to cool almost to ashes. To such comes the reminder of Paul, "Stir up the gift of God which is in thee" (II Timothy 1:6). The verb "stir" means to rekindle slumbering ashes into a flame. Remember, once God gives a gift, He does not take it back. "The gifts ... of God are without repentance" (Romans 11:29) CONCLUSION "By the grace of God I am what I am and His grace . . . was not in vain." (I Corinthians 15:10) A few years before John Newton died, a friend was having breakfast with him. Their custom was to read from the Bible after the meal. That day the selection was from I Corinthians 15. When the words "by the grace of God I am what I am" were read, Newton was silent for several minutes. Then he said, "I am not what I ought to be. How imperfect and deficient I am! I am not what I wish to be, although I abhor that which is evil and would cleave to what is good. I am not what I hope to be, but soon I shall put off mortality, and with it all sin.... Though I am not what I ought to be, nor what I wish to be, nor yet what I hope to be, I can truly say I am not what I once was; a slave to sin and Satan. I can heartily join with the apostle and acknowledge that by the grace of God I am what I am!" Newton's words apply to every Christian. Because of God's goodness, we are spared the bad that we deserve and are given more good that we do not deserve. Every good thing comes from His hand. Humble gratitude ought to characterize our lives. Even though none of us is what we want to be, I trust each of us is becoming what God wants us to be. THE HOLY SPIRIT COMFORTS 1. THE BEGINNING 2. HE CREATES 3. HE CONVINCES 4. HE CONVICTS 5. HE CONVERTS 6. HE CONSECRATES 7. HE COMFORTS 8. HE COMMITS 9. THE CHALLENGE "Nevertheless I tell you the truth: It is expedient for you that I go away; for if I go not away, the Comforter will not come unto you; but if I go, I will send him unto you." John 16:7 (ASV) Of the some 34 translated titles the Holy Spirit is given in the Bible, the greek "Parakletos" is a special one; also translated "Helper," "Advocate," "Counselor," "Expert Aide." This Greek term was used in a court of justice to denote a legal assistant, counsel for the defense, an advocate; generally, one who pleads another's cause. There is a dimension of our being which requires comfort, thus our benevolent Creator has provided "comfort" in various forms to fill in the gap between what might or should have been and what is. When life deals us what we perceive to be a "bad hand," comfort awaits us. This understanding is put forth in Genesis 5:27-29. Our Lord has designed our journey so that no man needs to travel Life's Road alone. "When Lamech had lived 182 years, he had a son. He named him Noah and said, "He will comfort us in the labor and painful toil of our hands caused by the ground the LORD has cursed." This was well illustrated as we traveled from Jerusalem to Egypt where there was much to see. After 200 miles we arrived at the border of Egypt with a long wait before us. After we cleared customs our new guides from Cairo greeted us. Minutes grew into hours and finally I went to our new Egyptian guides, Aynab and Adly Khattab, and asked why we could not begin the 700 mile trip to Cairo. They made a statement which I shall remember all my earthly days--"No one crosses the desert alone." And I asked, "Why?" They said, "There are bandits in the desert, lions and cobras, which often attack individual travelers or single buses and cars, but, we'll be safe in a caravan." So, after this long wait six tourist buses and three tourist cars were assembled with a security car in front and back--lights flashing and sirens blaring, we swept across the Border and out onto the great Sahara Desert at 120 kilometers per hour (75 MPH). There would be only one stop at the Suez Canal, and after this our guide pointed to the north and said, "Most Bible scholars believe that is Goshen where Israel lived and worked for Pharaoh." Keep in mind that Bible historians conclude this nation after 430 years in Goshen of Egypt had a population numbering in the tens of thousands, possibly a million. Now, all we saw was the shifting, whispering sands of the desert--dunes and hills now reigned supreme where once perhaps a million people lived. When they left Goshen after eating the first Passover (Exodus 12) they would never see those houses again, but there was comfort in knowing they would not travel alone on their desert journey which turned into a 40 year trek before they arrived at the Jordan River and went into the Promised Land (Palestine). They too were accompanied by other travelers and tight security. There was the Pillar of Cloud by Day and a Pillar of Fire by Night, manna and quail, sweet water out of bitter and cures for the serpent attack in the desert. We too, do not journey alone. In the front of our caravan is Jesus and behind us is the Blessed Holy Spirit while Angels minister to us and the comfort of God's Presence is all around us. EXERCISE 57 List some Bible examples where people needed and found comfort. These examples do not need to contain the word "comfort"; but, comfort was provided. Example: Adam and Eve (Genesis 4:1) List some places on our journey where you already have or will need comfort/help. --- God desires to help us in every way. Karl Barth, theologian and philosopher, was asked, "What was the greatest idea you ever contemplated? He answered, "The one I learned at my mother's knee that Jesus loves me this I know for the Bible tells me so. "Well, Mr. Barth what would you say is the bottom line of all your theological works? He said, "That God is for us. He is not out to get us but loves us and seeks that which is best for us." Just so, the entire Bible is a book of helps for man, and is well expressed in the following scripture and poem. "For He shall give His angels charge over you, to keep you in all your ways." (Psalm 91:11) Working Angel Last night I had a dream; It had a tale to tell. I dreamed I saw an angel; he wasn't feeling well. His body bruised and battered His wings were ripped and torn - This angel could hardly walk, He looked so tired and worn. I walked right up to him to ask; "Angel? How can this be?" He turned around and paused a bit, Then spoke these words to me: "I'm your Guardian Angel, A great task as you can see. You've run amok most all your life: Look what it's done to me. These bruises are from shielding you In times both dire and ill. Those sins you've committed; I've often paid the bill You see my wings are ripped and torn; A noble badge I wear; How often they have lifted you From evils unaware. Each mark is its own story Of deadly wounds destroyed. You made me wish - more than once - That I was unemployed. Oh, don't you fret or worry - But remember - I'm getting old and frail." I could hardly believe all I had heard, Let alone how much he cared. I wept upon his shoulder, And praised God for my Guardian Angel! May - 1999 "Are not all angels ministering spirits sent to serve those who will inherit salvation?" (Hebrews 1:14) Our Blessed Holy Spirit ministers help and comfort to us in many ways. 1. He Comforts us with Assured Forgiveness 2. He Comforts us with Answered Prayer 3. He Comforts us with Awesome Peace 4. He Comforts us with Alleluia Praise answers! 1. He Comforts Us with Assured Forgiveness Even though we conclude forgiveness of sin did not arrive until Jesus' death on the cross; yet, the Old Testament is replete with forward looking promises to that day. EXERCISE 58 Write down God's promise to forgive sin from the following verses: Isaiah 1:18__________________________________________________________ Isaiah 43:25_________________________________________________________ Psalm 103:12_________________________________________________________ Jeremiah 31:34_______________________________________________________ Was the above statement from Jeremiah 31:31-34 future for them? ______ When was it consummated? ____________________________________________ Isaiah 40:1,2 - "Comfort, comfort my people, says your God." What were the words of comfort in the above reference--Isaiah 40:1,2? Now, read Ephesians 1:1-8 from your Bible. While the Living Bible may not be a good translation, at times it is an excellent commentary providing rich spiritual insights. In that light, read Ephesians 1:1-8 below: "Dear Christian Friends at Ephesus, ever loyal to the Lord: This is Paul writing to you, chosen by God to be Jesus Christ's messenger. 2 May his blessings and peace be yours, sent to you from God our Father and Jesus Christ our Lord. ' How we praise God, the Father of our Lord Jesus Christ, who has blessed us with every blessing in heaven because we belong to Christ. Long ago, even before he made the world, God chose us to be his very own, through what Christ would do for us, he decided then to make us holy in his eyes, without a single fault who stand before him covered with his love.' His unchanging plan has always been to adopt us into his own family by sending Jesus Christ to die for us. And He did this because he wanted to. Now all praise to God for his wonderful kindness to us and his favor that he has poured out upon us, because we belong to his dearly loved Son. So overflowing is his kindness towards us that he took away all our sins through the blood of his Son, by whom we are saved; and he has showered down upon us the richness of his grace for how well he understands us and knows what is best for us at all times." (Ephesians 1:1-8 LB) EXERCISE 59 From the above Living Bible text, Ephesians 1:1-8, please answer the following questions: 1. He has "blessed us with every blessing in heaven...." Why?_____________________________________________________ 2. When did "God chose us to be His very own?" ____________________ 3. When did God decide to "make us holy in His eyes, without a single fault..." 4. What has His "unchanging plan" always been? ___________________________________________________________ 5. WHY did God do all of this? ___________________________________ 6. "Now all praise to God for His wonderful kindness..." WHY? See last paragraph of Ephesians 1:1-8 above. EXERCISE 60 Please give your honest heartfelt (not just religious) answers to these questions: 1. Are you certain God has chosen you to be His very own?______________ 2. When did God choose you? _______________________________________ 3. How many unforgiven sins / faults do you now have?_______________ 4. Have you been adopted into God's family?_________________________ 5. Why did God do all of this for you? ________________________________ 6. How many of your sins has God taken away?_________________________ EXERCISE 61 Privately in the prayer closet of your own heart thank God for the above six blessings! EXERCISE 62 When we will not believe our sins are forgiven and we are heaven bound, what does it diminish and/or delete in our lives? Put "D" for diminish by the ones so affected. ___Our faith ___Our witness ___Our giving ___Our hope ___Our love ___Our fervency ___Our joy ___Our peace ___Our mercy ___Our goodness ___Our praise ___Our prayers ___Our worship ___Our winning of souls ___Our happiness ___Our effectiveness as a counselor ASSURED FORGIVENESS The hope which filled the heart of Paul concerning the Corinthian brethren was full of comfort to those who trembled as to their future. But why was it that he believed that the brethren would be confirmed unto the end? I want you to notice that he gives his reasons. Here they are: "God is faithful, by whom ye were called unto the fellowship of his Son, Jesus Christ" (I Corinthians 1:9). The apostle does not say, "You are faithful." Alas! The faithfulness of man is a very unreliable affair; it is mere vanity. He does not say, "You have faithful ministers to lead and guide you, and therefore I trust you will be safe." Oh, no! If we are kept by men we shall be but ill kept. He puts it, "God is faithful." If we are found faithful, it will be because God is faithful. On the faithfulness of our covenant God the whole burden of our salvation must rest. On this glorious attribute of God the matter hinges. We are variable as the wind, frail as a spider's web, weak as water. No dependence can be placed upon our natural qualities or our spiritual attainments; but God abides faithful. He is faithful in His love; He knows no variableness, neither shadow of turning. He is faithful to His purpose; He does not begin a work and then leave it undone. He is faithful to His relationships; as a Father He will not renounce His children, as a friend He will not deny His people, as a Creator He will not forsake the work of His own hands. He is faithful to His promises and will never allow one of them to fail to a single believer. He is faithful to His covenant, which He has made with us in Christ Jesus and ratified with the blood of His sacrifice. He is faithful to His Son and will not allow His precious blood to be spilt in vain. He is faithful to His people to whom He has promised eternal life and from whom He will not turn away. This faithfulness of God is the foundation and cornerstone of our hope of final perseverance. The saints shall persevere in holiness, because God perseveres in grace. He perseveres to bless, and therefore believers persevere in being blessed. He continues to keep His people, and therefore they continue to keep His commandments. Seed thoughts from Charles Spurgeon. NOTE: In the previous "delete-diminish" Exercise 62, it is my studied and experienced conclusion that all should be checked. Some may suppose that my accepting God's forgiveness of sin is subjective. Knowing that I am forgiven of all my sin and on my way to heaven is based on two factors: 1. Objectively, I must believe the Word of God which in multiplied places including the above Scriptures, declares I am saved; and, 2. Subjectively by faith I receive this truth into my own heart / life. EXERCISE 63 Now write down at least three New Testament verses which promise forgiveness of our sin and/or declares that we are saved: 1. ____________________________________________________________ 2. ____________________________________________________________ 3. ____________________________________________________________ Ask What Great Thing I Know? You ask what great thing I know That delights and stirs me so? What high reward I will win? Whose Name I glory in? 'Tis Jesus Christ, the Crucified! What is faith's foundation strong? What awakes my lips to song? Who bore my sinful load? Purchased for me peace with God? 'Tis Jesus Christ, the Crucified! Who is He that makes me wise To discern where duty lies? Who is He that makes me true, When I am tempted not to do? 'Tis Jesus Christ, the Crucified! Who defeats my fiercest foes? Who consoles my saddest woes? Who revives my fainting heart, Healing all its hidden smart? 'Tis Jesus Christ, the Crucified! Who is Life in life to me? Who my hope in death will be? Who will place me on His right, With the countless hosts of light? 'Tis Jesus Christ, the Crucified! This is that great thing I know! The One who delights and stirs me so! Faith in Him who died to save, The One who triumphs o'er the grave, 'Tis Jesus Christ, the Crucified! --Benjamin Hall Kennedy--(edit by wsj) 1. He Comforts us with Assured Forgiveness 2. He Comforts us with Answered Prayer 3. He Comforts us with Awesome Peace 4. He Comforts us with Alleluia Praise answers! 2. The Holy Spirit Comforts Us with Answered Prayer! "In the same way, the Spirit helps us in our weakness. We do not know what we ought to pray for, but the Spirit himself intercedes for us with groans that words cannot express. And he who searches our hearts knows the mind of the Spirit, because the Spirit intercedes for the saints in accordance with God's will." (Romans 8:26,27) Ask - Seek - Knock The winsome voice of a father speaks to his child saying: "Do you need comfort? then ASK!" "Are you sick? then ASK!" "Are you weary? then ASK!" "Is your faith weak? then ASK!" "What does God promise? then ASK!" Too, simplistic? Read what Jesus said: "Then he said to them, 'Suppose one of you has a friend, and he goes to him at midnight and says, 'Friend, lend me three loaves of bread, because a friend of mine on a journey has come to me, and I have nothing to set before him.' "Then the one inside answers, 'Don't bother me. The door is already locked, and my children are with me in bed. I can't get up and give you anything.' I tell you, though he will not get up and give him the bread because he is his friend, yet because of the man's boldness he will get up and give him as much as he needs. "So I say to you: Ask and it will be given to you; seek and you will find; knock and the door will be opened to you. For everyone who asks receives; he who seeks finds; and to him who knocks, the door will be opened." (Luke 11:5-10) Here God hands His children a "blank check" so to speak, and simply says "ask"; but in the above Luke passage that is what He does. Above all else our Lord is teaching us persistence in praying; also, He offers us three levels of praying in this passage-- "ask--seek--knock." Do not mistake these words as being repetitious. They are not, but each designates an increased level of seeking the comfort and help of God in the midst of our problems. 1. ASK -- In the Greek language "ASK" signifies "a simple use of the voice in making a petition." There are mysteries about praying and God's answering; but, one thing is sure---God answers many-most of my instant prayers when I simply ask. I do not keep a record of all the simple "asking prayers" which I pray; but, at five prayers per day across 60 years the total is 109,500. God has answered all of them with either "Yes-No-or-Wait," and the vast majority have been "Yes!" Following are a few examples--* * When I was 10 years old I lost my Mother's hammer. A simple prayer--"God please help me find that hammer!" Instantly I found it on the other side of the creek lying in the middle of an animal path. As recorded in my first book Faith Alive In Heart Home and Church, pg 102,103 * I fell on a blue Milk of Magnesia bottle, which slashed my throat. With blood gushing out of my throat, this frightened eight year old boy prayed, "God, please don't let me die." He answered instantly. We were 17 miles from any doctor or ER, so bandages and tape was the first aid applied. Today I have only a hair line scar and a stronger faith! * Our dog named "Puppy" chased a rabbit in front of our Binder. The sickle mower severed his left back leg leaving it attached by one strand of nerve and muscle. First suggestion was, "End his misery, put the dog down." Then, I prayed, "God, please save my dog." A rush trip to the Veterinarian in town saved Puppy and my three-legged dog lived another 30 years. * At 8 on a Sunday morning traveling to my student preaching point at Ripley. I stopped at Guthrie praying I could get a doughnut for ten cents. I asked the waitress if they had doughnuts and the price? She said, "Yes, and they are 10 each plus tax." I explained that I only had one dime. She said, "Well, they are a dime plus tax, but I can sell you 1/2 doughnut for a nickel, and later the other half for a nickel. We did business and I drove on filled with gratitude to God and one whole doughnut. * "Lord, we need a pianist here at Ripley Christian Church. Please send us one." God sent me a pianist, a lifelong friend, a wife! Her name was / is Imalee. * "Jesus be in charge!" Imalee prayed out loud. That simple prayer brought the Suburban and trailer which was sliding on ice to an instant halt and prevented a collision. Page 197, ibid * I pray about everything, and Jesus helps me repair machinery, raise cattle and catch coyotes," said the Circleville, Kansas, farmer to me. * Russ Johnson of Newkirk, Oklahoma, checked into Snyder Clinic in Winfield, Kansas, for a set of tests. The tests went well except his CAT scan showed a spot on the left kidney. The doctors suspected the spot was malignant. He came by our house on his way to St. Francis Hospital in Wichita, Kansas, on January 22. We prayed as did scores of others. They did a biopsy. On Wednesday Bro. Russ called from home. The biopsy and another CAT scan was done and the Wichita doctors could find nothing to biopsy. He said, "whatever was there is gone!" He ran a Sonogram just to be sure. Nothing there. WOW! He attributes this happening TO THE LORD through ANSWERED PRAYER! It's now one-and-one-half years later and all is well! It still is no secret what God can do! "Jesus, in Your Name chase away the devil in these weird happenings," I prayed. He did and high school senior, Kurt, of Galva, Illinois became a Christian. Page 198, ibid EXERCISE 64 List a few simple "asking" prayers which God has answered for you. But, sometimes we "ASK" and no answer comes, thus Jesus suggests we step up to level two in our praying--"SEEK". 2. SEEK "So I say to you: Ask and it will be given to you; seek and you will find; knock and the door will be opened to you. For everyone who asks receives; he who seeks finds; and to him who knocks, the door will be opened." (Luke 11:9,10) The Greek word "ζητεο" declares this word in relation to praying means--"to seek by thinking, to seek how to do something or what to obtain." Vine's Sometimes we need to pray about what we're going to pray about to establish in our own mind the "what" and "how" of our prayers. Many years ago Marge Hoskins of West Lebanon, Indiana, came to my Study saying, "Wilbur, God is mocking me. I have been praying for patience and He sends me trouble." Having just read Romans 5:3, I said, "Marge, God is answering your prayers for 'Tribulation worketh patience.'" We have laughed about that many times since, but Marge learned an important lesson about what to pray for and the answer to expect. Consider these examples of God answering prayers in unexpected ways: 1. I asked God to take away my pride. God said "No! It is not for me to take away, but for you to give it up." 2. I asked God to make my handicapped child whole. God said "No! Her spirit was whole, her body was only temporary." 3. I asked God to grant me patience. God said "No! Patience is a by-product of tribulations; it isn't granted, it is earned." 4. I asked God to give me happiness. God said "No! I give you blessings, happiness is up to you." 5. I asked God to spare me pain. God said "No. Suffering draws you apart from worldly cares and brings you closer to me." 6. I asked God to make my spirit grow. God said "No! You must grow on your own, but I will prune you to make you fruitful." 7. I asked for all things that I might enjoy life. God said "No! I will give you life so that you may enjoy all things." I Thessalonians 5:16-19 16 Rejoice always, 17 pray without ceasing, 18 in everything give thanks; for this is the will of God in Christ Jesus for you. 19 Do not quench the Spirit." (NKJ) EXERCISE 65 List a few of your unanswered prayers which may have been due to not understanding how God answers when we seek Him. GOD'S SPECIAL CHANNELS OF BLESSING Our purpose in living is not to find ways to get blessings from God, but to give ourselves back to God. Yet, God has established channels through which He wants to bless and guide us. It is some of those channels/tools which we now explore. EXERCISE 66 Name the following tools-channels with which God comforts us. 1. __ __ __ __ with __ __ __ __ __ ... Mark 11:24; James 5:15; Matthew 6:6; Mark 9:19-23 2. __ __ __ __ __ __ ... Ephesians 5:20; I Thessalonians 5:16-18 3. __ __ __ __ and __ __ __ __ ... Matthew 6:16; Luke 5:32-35; Mark 9:29 4. SPEAK TO THE "___ ___ ___ ___ ___ ___ ___" ... Matthew 17:20; Mark 11:12-14, 20-24 5. BIBLE PROMISES CONFESSED TOWARDS PROBLEM ... Wait upon the Lord....renew strength -- (Isaiah 40:31 NKJ) Shall supply all your needs -- (Philippians 4:19) Trust in the Lord....He will direct our path -- (Proverbs 3:5,6) Cast your burdens....He gives rest -- (Matthew 11:28) 6. COME AGAINST __ __ __ __ __ IN JESUS' NAME ... James 4:7; I Peter 2:21; Matthew 17:14-20; Matthew 16:18; 7. ASK OTHERS TO __ __ __ __ ... I Thessalonians 5:25; I Timothy 2:1; II Corinthians 1:8-11; Philemon 1:4; Revelation 8:3,4 8. BE __ __ __ __ __ __ __ (Visualize what you desire) -- "For as a man thinks in his heart, so is he." Proverbs 23:7a(NKJ) "Keep thy heart with all diligence; For out of it are the issues of life." (Proverbs 4:23 ASV) "Therefore I tell you, whatever you ask for in prayer, believe that you have received it, and it will be yours. (Mark 11:24 NIV) 9. __ __ __ __ __ __ __ be __ __ __ __ ... Matthew 6:10; 26:42; Luke 11:2 This "top line" is also the "bottom line" as Hudson Taylor said, "GOD ALWAYS GIVES THE BEST TO THOSE WHO LEAVE THE CHOICE WITH HIM. 10. Call __ __ __ __ __ __ to ANOINT WITH ____ AND ____... James 5:14-16 EXERCISE 67 Out of considerable Bible study, and 60+ years of observing life, sickness, injury and chastisement within and without, I have reached some conclusions which I want you to consider in the following exercise. 1. What is Jesus/God's primary purpose in this world? (Luke 9:10) ________________________________________________________________________ ________________________________________________________________________ 2. The word "sickness" first appears in the Bible in Genesis 28:1. About how long after the creation of Adam and Eve was this? ________________ Adam & Eve Created 4000 B.C. / Flood 2500 B.C. / Abraham 2000 B.C. / Moses 1500 B.C. / Solomon 1,000 B.C. 3. When does death of an individual first occur in the Bible? ____________ Who? ____________ 4. Has God ever visited anyone with disease? See Leviticus 26:24,25; Deuteronomy 28:27,35; II Chronicles 21:13-19; Psalm 106:13-15; Isaiah 10:16) If so, name the affliction/disease _______________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 5. Is illness/injury ever used by God to teach certain lessons of life? II Corinthians 12:2-10 ______________________________________________________ ________________________________________________________________________ Hebrews 12:5-13 __________________________________________________________ ________________________________________________________________________ James 1:2-4 I Thessalonians 3:2,3 6. What is the one thing the Lord has taught us people who are sick to do? (James 5:14-16) 7. Why do people often not want to practice James 5:14-16? 8. Does Matthew 6:10; 26:42 or Luke 11:2 (NKJ) have anything to do with sickness and healing? 9. What does I Thessalonians 5:16-18 NKJ-- "Rejoice always, pray without ceasing, in everything give thanks; for this is the will of God in Christ Jesus for you." have to do with our experience of affliction, chastisement, sickness, injury, etc? 3. KNOCK "So I say to you: Ask and it will be given to you; seek and you will find; knock and the door will be opened to you. So I say to you: Ask and it will be given to you; seek and you will find; knock and the door will be opened to you. For everyone who asks receives; he who seeks finds; and to him who knocks, the door will be opened." (Luke 11:9,10) Vine in his Expository Dictionary of Biblical Words says the Greek indicates the word for "knock" means "to strike, knock," is used in the New Testament of opportunity (persistent, urgent) in dealing with God. When I studied Greek we learned what was called the "linear tense," (present imperative), and in this passage is a present participle meaning that which continues on and on. The Amplified New Testament is precisely correct with its translation-- "So I say to you, Ask and keep on asking, and it shall be given you; seek and keep on seeking, and you shall find; knock and keep on knocking, and the door shall be opened to you. For every one who asks and keeps on asking receives, and he who seeks and keeps on seeking finds, and to him who knocks and keeps on knocking the door shall be opened." (Luke 11:9,10) Matthew Henry comments on Luke 11:1-13. "We ought to continue instant in prayer, and watch in the same with all perseverance to encourage us in prayer. If importunity (persistent and urgent) could prevail thus with a man who was angry at it, much more with a God who is infinitely more kind and ready to do good to us than we are to one another, and is not angry at our importunity, but accepts it, especially when it is for spiritual mercies that we are importunate. If he do not answer our prayers presently, yet he will in due time, if we continue to pray. We have it from Christ's own mouth, who knows his Father's mind, and in whom all promises are yea and amen. We must not only ask, but we must seek, in the use of means, must second our prayers with our endeavors; and, in asking and seeking, we must continue pressing, still knocking at the same door, and we shall at length prevail, not only by our prayers in concert, but by our particular prayers. Every one that asketh receiveth, even the meanest saint that asks in faith. This poor man cried, and the Lord heard him, (Psalm 34:6). When we ask of God those things which Christ has here directed us to ask, that his name may be sanctified, that his kingdom may come, and his will be done, in these requests we must be importunate." (persistent and urgent) (from Matthew Henry's Commentary, Luke 11:1-13 PP 27,29) Sometimes God leads us in ways we would not choose, therefore we must pray as "knocking on God's door," knowing always that through life's hills and valleys--GOD IS IN CHARGE! "KNOCK" persistently and urgently George Muller (1805-1898) of Bristol, fed some 10,000 orphans, 2,000 at a time, during his lifetime. He used faith and persistent prayer to bring in the food and clothing. He also had a large interest in the lost which the following testimony tells us. In his intercession for others Muller had tremendous tenacity. In 1844 he began praying for the conversion of five persons. "I prayed every day for them without one single intermission, whether sick or well, on land or sea, whatever the pressure of my engagements might be. Eighteen months passed before the first of the five was converted. I thanked God and prayed on for the others. Five years elapsed, and then the second converted. I thanked God for the second and prayed on for the other three. Six more months passed before the third was converted. I thanked God for three and went on praying for the other two. These two remain unconverted after nearly thirty six years. But I hope in God, I pray on, and look yet for the answer." Actually the fourth became a Christian just before Muller's death in 1898, and the fifth accepted the Lord a few years afterward. from Guideposts, March, 1987 "Rejoice always, pray without ceasing," (I Thessalonians 5:16,17 NKJ) In our trials and challenges of over 60 years, persistent praying has brought God's answers except when He gave us no time to pray. I have marveled that of the tens of thousands of prayers I have prayed and God answered, there have been two times when God gave us no opportunity to pray. The first was when our first born son at the age of eighteen was involved in a car accident on a lonely country road. By the time I arrived at the scene the doctor had pronounced him dead, and I had only the opportunity to kneel in the wheat stubble, kiss him and say "God loves you and so do I." Then, 26 years later at 6:30 on a Saturday morning the phone rang and the hospital said, "Come quickly! Your daughter, Lisa, has had a heart attack." We went and just as quickly she flew away to God's eternal day. I have postulated that perhaps He knew our "track record" of persistent prayer from many people and that if home going was to be effected, it must be quickly before Heaven would be bombarded with a multitude of prayers. There have been at least three times when persistent urgent prayers have brought large dividends. First, when Imalee sustained a stroke. Various "prayer tools" were used but the long lasting persistent prayers of several thousand people praying produced a glory healing! Secondly, when I was diagnosed with Viral Hepatitis, and again people came and prayed and anointed me and hundreds of others prayed. I conclude it was the persistent without ceasing prayers which raised us up! Thirdly, in 1997 I was poked with a stroke on my right side. While I used all the "10 Prayer Tools," there was no instantaneous healing but again the prayers of many multitudes of Christians have produced amazing results. Typical of those prayers is one from Brother Rodger Thompson of Wichita, Kansas, sent to me via e-mail: "Thanks for the update. In the flesh, Wilbur and Imalee, my heart breaks for you. You have been called upon to bear much grief. I rejoice in the knowledge of the promise that you will also bear much joy in the morning. I shall agree with you in both the giving of thanks and the asking for a wake up call to those parts of your body that have been stricken with numbness. If I look at circumstances they confuse me. The knowledge of the love and the goodness of God are my focus. He is able and He loves you. I shall rejoice in the Lord and make my petitions known to him with thanksgiving according to Philippians 4:6,7, and receive His peace on your behalf. Heavenly Father I send you this e-mail prayer on behalf of my dear brother Wilbur and sister Imalee. You know their hearts and their sorrow. You know their love for you and their needs. I know you take no pleasure in their suffering. I dig up the roof of your house and lower Wilbur to you in the midst of whatever you are doing. I interrupt you like those men of old who brought their friend to Jesus. Jesus touch Him with your healing touch. Awaken those parts of his body that are numb. Restore his health by the power of Your resurrection. I give you thanks and I rejoice in you and the precious promises. Jesus overcame the gates of hell at calvary and the empty tomb stands in testimony to that fact. In the name of Jesus and by the power of the shed blood and the resurrection, the Lord rebuke you demons of infirmity. Jesus lives and by His stripes we are healed!" In Jesus Name! God be praised! Amen! Rodger "KNOCK" with an attitude of "Thy Will Be Done". "I am thinking "OUT LOUD" as I respond to the question about God's Will. First of all, is everything that happens on earth, "God's will?" I perceive not. One passage that would support this is the one that says, "God does not will that any should perish, but that all should come to eternal life." Yet we know that people perish without God, by their own choice. The reason that this simple question is so complicated is because of the big doctrinal issue, "FREE WILL", and the affect of sin in/on the world. What of the school killings? Was that God's will? I think not. Many bad things happen to good people, are they God's will? Whole books have been written on this one subject. Where is God When It Hurts, and When God Doesn't Make Sense are two more recent releases. I say that to point out how shallow anything that I might say will be when compared to the big picture of the question. God's particular "will" for each person must be answered by each individual. The person going through a struggle must search their heart and the mind of God, and out of this comes their answer. In looking at Job, we would have to say that God understands even our doubts. As we consider Job, when Job finally cries out to God, God doesn't condemn him, but just reminds him of who He (God) is and how small Job is in comparison and that God knows all things and has the power to do all things. Yet He (God) allows certain things to happen so that: 1. We can be tested, (Job); 2. Our faith can grow, (James 1); 3. We can rely more totally on God's Grace, (Paul asking for the thorn to be removed was told by God, "My grace is sufficient, for my power is made strong in weakness," II Corinthians 12; 4. We can receive our heavenly reward, (Sickness unto death) It is easy for others not going through struggles to have opinions. Again consider Job's friends. They all had an opinion on how well Job was doing in his relationship with God, and they were all wrong!!!!!! As you and I have discussed in relationship to your daughter, Lisa, and our minister friend, Gary Spencer, and others, God always answers, it is just that sometimes His answer is "NO". At other times He says "YES", but yes in a way that we do not anticipate. Healing, for example, some times healing takes place in Heaven. Who could say that Britta Thompson or Hugoton, Kansas, or Lisa, or Gary or my mom and dad, Lee and Mildred Wright, were not healed, (James 5:15,16) and yet they died, or did they? Jesus said, "He who liveth and believeth in Me shall never die." We understand that is "Spiritual Life." That a person's "spiritual self", who we truly are, never dies. So why can't God provide "Spiritual" answers to prayers for healing? Again, does He not answer? Could it be He says "NO", or perhaps He heals in ways that we do not expect, (Spiritually in Heaven)? Remember, the great apostle Paul did not receive physical healing on earth. If God answered with physical healing each and every time a Christian asks/prays for healing, would we ever see Heaven? Does God answer in ways beyond our understanding? These are difficult questions and I don't know that any of us has all the answers. However, we know from Jonah's experience that human action/response does move the heart of God and change (at least for a short time) the outcome of history. Nineveh was spared, (for a time, Jonah 3). I believe that prayer does touch the heart of God, and that He does intervene, but not always. I do not know why He provides physical healing on earth on some occasions, and spiritual healing in heaven on others, but we must yield to God's will, which is where this discussion started. Can you imagine what a mess we would be in if God had said yes to His own Son's request to "Let this cup pass from me" and Jesus would not have physically died for our sins? I am grateful that on occasion, God says "NO", even to His own son. Sincerely in Christ, Larry Wright Brother Joe Ragsdale prayed this simple "Thy will be done" prayer for me five days after I was poked by a stroke. from: firstname.lastname@example.org To: willjohnson / email@example.com Date: Wed, 8 Apr 1998 22:48:35 EDT Subject: OUR PRAYER for HIS WILL Hello young man and young lady. I will continue to pray for your healing. This is always the hardest part as my mind says, Lord heal Wilbur completely, but my heart says Lord I pray for Your will to be done in this illness so that through this you may be glorified. We love you both and God loves you both. Joe & Joy Ragsdale, Fort Smith, Arkansas HERE AND NOW Here in the heart of this world, Here in the noise and the din, Here where our spirits are hurled To battle with sorrow and sin, This is the place and the spot, For knowledge of infinite things; This is the kingdom where prayer Can conquer the minds of kings. Wait for no heavenly life, Seek for no temple alone; Here in the midst of strife Know what the sages have known. See what the Perfect One saw, God in the depths of each soul; God as the Light and the Law, God as the beginning and goal. Stand not aloof or apart, Pray in the thick of the fight; There in the street and the mart, That is the place to do right. Not in some cloister or cave, Not in some kingdom above; Here on this side of the grave, Here should we pray and love. Ella Wheeler Wilcox 1. He Comforts us with Assured Forgiveness 2. He Comforts us with Answered Prayer 3. He Comforts us with Awesome Peace Peace in the Valleys of Life Peace in our Sorrow and Grief Peace in our Trials and Troubles 3. He comforts us with Awesome Peace "But the Comforter, (even) the Holy Spirit, whom the Father will send in my name, he shall teach you all things, and bring to your remembrance all that I said unto you. Peace I leave with you; my peace I give unto you: not as the world giveth, give I unto you. Let not your heart be troubled, neither let it be fearful." (John 14:26-27 - ASV) When the Communist movement was in vogue, they touted this definition of peace--peace is the absence of all class conflict. That is, they believed to have peace, all people who disagreed with them must be removed. Even today, many Christians believe that Christian peace is the removal of all conflict, tribulations, etc. Not so! The Greek word picture of peace is that of a little bird in a nest built upon a limb of a giant tree with a storm raging all about while the bird, its nest and tree are held safely in the palm of a giant hand. EXERCISE 67 Give some examples from the Bible of individuals at peace in the midst of a storm, either literal from without or internal from within. Consider the list in Hebrews, chapter 11 Peace in the Valleys of Life "The man of God came up and told the king of Israel, This is what the LORD says: 'Because the Arameans think the LORD is a god of the hills and not a god of the valleys, I will deliver this vast army into your hands, and you will know that I am the LORD.'" (I Kings 20:28 NIV) People like to read the glory stories in Guidepost, Reader's Digest and our own books which record many answered prayers, healings, God's deliverance by faith, and results of praise; but, do not want to be a prayer partner when the "pain and strain of suffering" which brings forth those stories is taking place. It's okay when the pastures are green and the waters are still; but, some want to be removed from the presence of the "winds of adversity" and "raging waters" which lap at the top of our "dikes" in life. It is important to note that God has not promised to keep us out of the "valleys of life" but He has promised to go with us through the "valleys." The Lord's awesome peace is available to all of God's children and dependent upon our response to the trials which come our way. The 23rd Psalm is the world's most loved psalm; yet the "still waters and green pastures" are preceded by the agony of Psalm 22. Surely Psalm 22 is both a foretelling of Christ's suffering, but also David writes in the present tense of his own life. Bible scholar, Matthew Henry suggests, "Psalm 22 is a sad complaint of God's withdrawing. (v. 1, 2.) 1. It may be applied to David, or any other child of God, in the want of the tokens of his favor, pressed with the burden of his displeasure, roaring under it, as one overwhelmed with grief and terror, crying earnestly for relief, and, in this case, apprehending himself forsaken of God, unhel ped, unheard, yet calling him, again and again, "My God," and continuing to cry day and night to him and earnestly desiring his gracious returns. 2. Spiritual desertions are the saints' sorest afflictions; when their evidences are clouded, divine consolations suspended, their communion with God interrupted, and the terrors of God set in array against them, how sad are their spirits, and how sapless all their comforts! 3. Even their complaint of these burdens is a good sign of spiritual life and spiritual senses exercised. To cry out, "My God, why am I sick? Why am I poor?" would give cause to suspect discontent and worldliness. But, Why has Thou forsaken me? is the language of a heart binding up its happiness in God's favor" Psalms 22:1-10 PP 2 from Matthew Henry's Commentary EXERCISE 68 Underline the words/phrases in the following psalm which reveal discouragement. 1 My God, my God, why have you forsaken me? Why are you so far from saving me, so far from the words of my groaning? 2 O my God, I cry out by day, but you do not answer, by night, and am not silent. 3 Yet you are enthroned as the Holy One; you are the praise of Israel. 4 In you our fathers put their trust; they trusted and you delivered them. 5 They cried to you and were saved; in you they trusted and were not disappointed. 6 But I am a worm and not a man, scorned by men and despised by the people. 7 All who see me mock me; they hurl insults, shaking their heads: 8 "He trusts in the LORD; let the LORD rescue him. Let him deliver him, since he delights in him." 9 Yet you brought me out of the womb; you made me trust in you even at my mother's breast. 10 From birth I was cast upon you; from my mother's womb you have been my God. 11 Do not be far from me, for trouble is near and there is no one to help. 12 Many bulls surround me; strong bulls of Bashan encircle me. 13 Roaring lions tearing their prey open their mouths wide against me. 14 I am poured out like water, and all my bones are out of joint. My heart has turned to wax; it has melted away within me. 15 My strength is dried up like a potsherd, and my tongue sticks to the roof of my mouth; you lay me in the dust of death. 16 Dogs have surrounded me; a band of evil men has encircled me, they have pierced my hands and my feet. 17 I can count all my bones; people stare and gloat over me. 18 They divide my garments among them and cast lots for my clothing. But you, O LORD, be not far off; O my Strength, come quickly to help me. Deliver my life from the sword, my precious life from the power of the dogs. Rescue me from the mouth of the lions; save me from the horns of the wild oxen. (Psalm 22:1-22) Jesus said, "the peace I give is of such a nature that the smiles of the world cannot give it, nor the frowns of the world take it away." The peace which Christ gives is infinitely more valuable than that which the world gives. The world's peace begins in ignorance, full of sin, and ends in endless troubles; Christ's peace begins in grace, consists with sin conquered, such is the difference between Christ's peace and the world's. What use do we make of Jesus promise of peace? -- Let not your heart be troubled, for any evils past or present, neither let it be afraid of any evil to come. Those that are interested in the covenant of grace, and entitled to the peace which Christ gives, ought not to yield to overwhelming griefs and fears. The conclusion of the whole matter; He had said (v. 1), Let not your heart be troubled, and here he repeats it as that for which he had now given sufficient reason. "May the God of hope fill you with all joy and peace as you trust in him, so that you may overflow with hope by the power of the Holy Spirit." (Romans 15:13) During a siege of many trials including our daughter, Lisa's death; and Imalee's concussion from her fall on the ice; my stroke(s); our daughter, Teresa's accident in the Grand Canyon; our two-month-old granddaughter, Hannah Johnson's infantile botulism; our daughter, Rebecca's divorce; Imalee's mother's strokes; and my brother-in-law breaking his hip, the Holy Spirit moved in my spirit prompting me to write a meditation of acceptance based on Psalm 23. After passing through the above trials, someone said to me, "How do you stand it?" I said, "I don't and I can't, but HE can and HE does!" So, out of that and after a night of wrestling with God about many of the inequities of life which others must endure, He awakened me in the very early morning with this heartfelt response to the vicissitudes of life. (Psalm 23 by David in bold. My words of response are in non bold) 1 The LORD is my shepherd also my Savior, Lord, Guide, Keeper, Hope, Cornerstone, and Sustainer; I shall not want-- I may question, but will not doubt His ways all of my days. 2 He makes me to lie down in green pastures even brown pastures, and I do not always lie still, but after squirming around, I rest in His beautiful peace; he leads me beside the still waters-- sometimes troubled waters, but He is there, 3 He restores my soul-- after I have created a little havoc when passing over raging waterfalls and stormy seas, always there comes the harbor where the waters grow still and my soul is restored; he leads me in the paths of righteousness for His name's sake--after He washes my eyes with tears and cradles my wounded heart in His arms of love, then I begin to see that He has led me down His path of rightness. 4 Yea, though I walk through the valley of the shadow of death, and when that day comes as I pass over, I'll see death, hell and the grave in the valley below and shout with victory! I will fear no evil for You are with me--because You have been through the same Valley and made it out safe, and are waiting on the Other Side; your rod and Your staff, they comfort me--"Lord, sometimes Your rod and staff hurts before they help me, but always after the mourning comes the morning!" 5 You prepare a table before me in the presence of my enemies-- "It bothers me, Lord, that I don't have more enemies like David, but whatever the situation, You have always spread a banquet table for me in the wilderness of every negative situation"; you anoint my head with oil-- "and Your oil runs all over the crooked stick of my life, and Your Spirit renews my whole being"; my cup runs over-- "pardon my tears, Lord, but my cup is full beyond any proper desserts, so that I cannot contain all Your blessings, and my full heart bursts with love and joy!" 6 Surely goodness and mercy shall follow me all the days of my life--it's happening already, and I accept happy days the rest of the way, too; and I will dwell in the house of the LORD forever. WOW! "My Great Shepherd, You have let me stand on the threshold of the door of Your House, and I long to see beyond into every room, but most of all when I've finished this race, just to see Your Face, will have made it all worthwhile! -- Hallelujah! "May the God of hope fill you with all joy and peace as you trust in him, so that you may overflow with hope by the power of the Holy Spirit." (Romans 15:13) EXERCISE 69 Write a paragraph of your acceptance of an adverse trial (situation) out of your life. Mentioned above is our daughter, Teresa, who spent nine years in medical schools becoming a general surgeon. Our doctor daughter took up practice in Winfield, Kansas, at Snyder Clinic and ministered to hundreds of patients over a period of 10 years. Then, in 1998, while on a rafting trip in the Grand Canyon, she and others were taking a short hike up the side of the canyon. Although I have hiked with her many miles in the Rocky Mountain National Park and she has hiked and climbed mountain trails extensively, yet on the way down she stumbled and fell. She fell 40 feet, striking rocks and breaking her back in three places. It took a helicopter and medical crew some six hours to get her out of the canyon to Flagstaff, Arizona, for emergency medical treatment. From there she was taken to Phoenix for surgery. Now a year later she can not walk because she is paralyzed from the waist down. Now she drives her own vehicle, has a stand up wheel chair, stair lift chair and manages amazingly well in living by herself. In reply to my question "Has this incident changed your life?" she said "I am a totally different person." Several months later I wrote a poem for her, which speaks to all our hurts and hopes. Dedicated to my daughter - Teresa Johnson - as she struggles to recapture life after falling and breaking her back in the Grand Canyon in June of 1998. On Goes His Song His song goes on! When my life is a piece of cake Or when my heart aches, On goes His song! His song goes on! When my life seems shattered And hopes are scattered On goes His song! His song goes on! Through days of wrong When my nights have no song, Still, on goes His song! His song goes on! When my life is bright and sunny And at times, a bit funny; On goes His song! His song goes on! When my heart wounds are deep Made by loved ones leaving we cannot keep; On goes that song! His song goes on! When my health pales And strength fails, Then, so clearly, on goes His song! Through times of wrong: My ears strain to hear His voice, Then, I make His will my choice! He sings the "I am with you always" song! On goes His song! Even when my way is bleak And faith is weak, I hear His assurance song! So, on goes His Song! Until we hear the trumpet sound! Then, we'll be Glory bound! And see the One who sings the song! by Wilbur S. Johnson Aug. 9, 1998 - c.4 a.m. when my sleep was wide awake "I thought about the former days, the years of long ago; I remembered my songs in the night. My heart mused and my spirit inquired:" (Psalm 77:5,6) But, if we will wait in patience, then in the morning we shall see His glory! "For our light affliction, which is but for a moment, is working for us a far more exceeding and eternal weight of glory, while we do not look at the things which are seen, but at the things which are not seen. For the things which are seen are temporary, but the things which are not seen are eternal. (II Corinthians 4:17-18 - NKJ) Peace for our Sorrow and Grief Death cannot be denied, grief is normal; thus comfort is needful. C.S. Lewis in the Chronicles of Narnia has Aslan, the Lion saying: "There was a real railway accident," said Aslan softly. "Your father and mother and all of you are-- as you used to call it in the Shadow-Lands-- dead. The term is over: the holidays have begun. The dream is ended: this is the morning!" And as He spoke He no longer looked to them like a lion; but the things that began to happen after that were so great and beautiful that I cannot write them. And for us this is the end of all the stories, and we can most truly say that they all lived happily ever after But for them it was only the beginning of the real story." from The Chronicles of Narnia, The Last Battle, by C.S. Lewis, chap. 16, pp. 183-184. Sorrow produced by the departure of our loved ones is partly due to our misunderstanding. This is well probed by C.S. Lewis when he speaks of the death of Lazarus: "We are not high-minded, and we follow One who stood and wept at the grave of Lazarus not surely, because He was grieved that Mary and Martha wept, and sorrowed for their lack of faith (though some thus, interpret) but because death, the punishment of sin, is even more horrible in His eyes than in ours. The nature which He had created as God, the nature which He had assumed as Man, lay there before Him in its ignominy; a foul smell, food for worms. Though He was to revive it a moment later, He wept at the shame; if I may here quote a writer of my own communion, "I am not so much afraid of death as ashamed of it." And that brings us again to the paradox. Of all men, we hope most of death; yet nothing will reconcile us to— well, its unnaturalness. We know that we were not made for it; we know how it crept into our destiny as an intruder, and we know Who has defeated it. Because Our Lord is risen we know that on one level it is an enemy already disarmed; but because we know on the natural level that it is God's creation, we cannot cease to fight against the death which mars it." God in the Dock by C.S. Lewis, "Some Thoughts" (1948), page 7, pp. 149-150. EXERCISE 70 C.S. Lewis says Jesus wept at the tomb of Lazarus because of "the shame of death." 1. Is this a new thought to you? ____________________________________________ 2. Lewis uses the phrase "shame of death." What other words or phrases come to your mind which describe death? ____________________________________________ 3. Name some other reasons people grieve? ____________________________________________ My nephew, Scott, and his wife, Christy, bid their baby daughter, Abby, farewell. With Scott's permission, here are some of his special thoughts. "People are very uncomfortable discussing death. Moreover, we in the Christian community have developed the twisted notion that grief, after more than a month or so, somehow indicates a weakness of faith on our part. I certainly don't see it that way. No matter how much we know (believe) that we will see our loved ones in the resurrection, there is the real and very present sense of loss in the here and now. Acknowledging that pain is not a sign of spiritual weakness, but rather an acknowledgment of the reality we face. Faith comes in helping us to understand that the pain will someday turn to joy. Faith keeps us from sinking into despair. There is such a need in the Christian community for education about helping people deal with grief. One woman in our church (a very well-meaning Christian lady I might add) sent us the most offensive card right after Abby died. The card included some ridiculous story about having seen a "vision" of heaven with lots of children parading around. All of the children had candles and were singing and enjoying themselves except for one little girl who sat down and was crying. When asked why she wasn't joining in the parade, she answered that she couldn't, that her mommy's tears kept putting her candle out. Can you believe it? The message of the card was that our tears (only weeks after Abby's death) were causing her pain in heaven! I did a seminar for a local clergy group last year, the topic of which was dealing with grief. I was trying to get them to understand that there are "good" and "bad" things to say to people. Would you believe that one of these clergy told me that that was all fine and good, but that grieving people just need to "get over it" and have thicker skins and not be offended by all the little slights?!" Scott Prough, attorney and professor of law at OCU, Oklahoma City. Expressing Comfort to the Grieving EXERCISE 71 Mark the following either "T" for true or "F" for false. _____ I Thessalonians 4:13 says Christians should not grieve. _____ Paul was a super Christian and had no sorrow. See Philippians 2:27. _____ Laughter is far better than sorrow. See Ecclesiastes 7:3. _____ Sorrow has no place in our life. See Psalm 90:10 _____ Crying and sorrow will go on forever. See Revelation 21:4; Isaiah 51:11 _____ The expression "God needed another flower" is appropriate upon the death of a child. _____ Ignoring the name and life of a loved one is a good expression of sympathy. _____ God keeps no record of our tears. See Psalm 56:8 _____ "Get over it" spoken by a clergyman to sorrowing parents is appropriate. Having bid my father, son, mother, father-in-law, son-in-law, brother and daughter farewell, I am convinced that it is the Holy Spirit who is in charge of ministering true comfort. I have learned out of a thousand sweet experiences and too many sad ones, that it is futile to place total confidence in humans. Brother Scott Prough continues with his heart thoughts: "This discussion is bringing back a lot of old memories. I remember that after Abby died, Christy and I went camping. Neither of us wanted to return to our house and all of its painful memories. Finally we had to return home, and I remember that for the 12-hour drive home I was praying that God would find a way to make it easier for Christy. Imagine my surprise when we pulled into the driveway and saw a strange car out front. It turned out that an old high school friend of Christy's, a girl she hadn't spoken to in years, had heard of Abby's death and dropped by "unexpectedly". The amazing thing was that she knew just what to do. She sat down with Christy and asked to see Abby's baby book and pictures. She spent hours looking at the pictures, commenting on them, and asking the typical "motherly" questions. This was just what the doctor ordered!! Another mother was acknowledging Christy's motherhood, and remembering Abby!! That will forever be one of my strongest proofs of God's ability to answer prayer. The sad thing is that is it just that type of comfort people need. There's no magical thing they can say to take away the pain. But simply acknowledging the grief does wonders. And they need to acknowledge that the deceased lived on this earth and touched people. For us the saddest thing of people's silence is their implicit (and certainly unintentional) denial of our daughter's existence. Abby lived--albeit if only for a few months. She didn't have a big impact on this earth, but she touched us and taught us a few things about life (as I'm sure Lisa did for you and others who knew her). Acknowledging her existence, going to the cemetery is such a small thing to do, yet it ministers to people so deeply." Well, I'm out of time and crying--not a thing to do at work--so I'll let you go for now. Have a blessed day in the Lord." ibid Scott Prough EXERCISE 72 Write down a meaningful experience in which you received/extended comfort in a time of grief. Good Grief Release "Blessed are those who mourn, for they will be comforted." Matthew 5:4 "I sometimes hold it half a sin To put in words the grief I feel; For words, like nature, half reveal And half conceal my soul within." Arthur Henry Hallam, 1833 Shortly after the death of our daughter, Lisa Kaye Johnson, a well meaning person said; "What's wrong with your faith? Don't you know where Lisa is?" I responded, "Yes, we know where Lisa is, and we also know where she isn't." She is with Jesus, but, she is not with us. There is an empty place at mealtime, an empty bed where she used to sleep, an empty chair where she sat as I explained to her the weather and "The Waltons" on TV and dozens of other subjects I talked with her about from day to day. And of course an empty place in our hearts reserved for our love for her and getting to wait upon her. The above question and my answer brings into focus the all important spirit/flesh tug-of-war that exists at the time of grief. Grief is a natural human response when we sustain a loss which is beyond our control. The Bible makes clear from Genesis to Revelation that man is a triune human being-- body, soul, spirit. (I Thessalonians 5:23) We are not of the Christian Science religion, which teaches mind over matter; therefore the flesh has its day as we labor beneath the sun on the trail of reality. Please know, our present problem is not one of weak faith or lack of hope. In fact our FAITH is made stronger and our HOPE more alert by Lisa's going home. We experienced the same spirit/flesh battle when our son Lynn was taken. The depth of one's grief seems to depend on how involved we are with an individual on a daily basis. The longer I live the more convinced I am of the need for what we called "common horse sense" out on the farm. So, we have been comforted on the occasions of our loved ones graduating to glory by hundreds of praying people, those who shared Scripture, scores of cards, memorial gifts, flowers, food and hugs of hope. However, on both occasions we have also been devastated by a minority who came after the funeral was over and lacked common horse sense/wisdom. A minority who came violated every common sense written or unwritten rule of sensitivity. In hopes of helping all of us express empathy, I suggest the following positive 'tools': EXERCISE 73 Check the ones you have used in expressing sympathy. _____ 1. DO talk about the departed person. DON'T give the departed person the silent treatment as though they had died of leprosy or never existed. Find at least one positive thing you can say about the departed and say it. _____ 2. DO express understanding but do NOT say, "I understand" unless you have bid farewell to a person of like relationship, a son, daughter, husband, wife, etc. One can say, "I don't understand completely, not having lost a ___________, but I came to share your sorrow by just being here." _____ 3. DO remind the remaining family member(s) that—"God loves you and so do I." _____ 4. DO NOT brag about a family member of yours who may have the same health problem/disease, etc. and is still living. This cuts to the quick and is in very poor taste. _____ 5. DO ask about the funeral memorial service. If you were there find one positive note about the service and say it. _____ 6. DO ask to go to the cemetery if the place of burial is nearby. _____ 7. DO share some Scripture--either read some or have it written down and hand to the family. _____ 8. DO ask to pray or if we might join together in a prayer circle. _____ 9. DON'T stay away just because you don't know what to say. GO and shake the bereaved hand, hug their neck, and perhaps just set in silence. If words are needed, God will direct, but your love and concern, seen in your presence, speaks louder than words at times. _____ 10. DO read excellent articles like "An Etiquette for Grief" in the March, 1998 Reader's Digest, which came out just after I wrote my treatise. A 'bottom line' for our hurts and hopes is expressed in this Scripture. "When Pharaoh let the people go, God did not lead them on the road through the Philistine country, though that was shorter. For God said, 'If they face war, they might change their minds and return to Egypt.' So God led the people around by the desert road toward the Red Sea. The Israelites went up out of Egypt armed for battle. (Exodus 13:17-18 NIV) The concept that the Promised Land is always near, yet on the other hand, God leads us around by the desert road, has surfaced often across the years when my life seemed to proffer so much of the dry desert, and long winding roads along with a few dead end ones. Yet, as Israel journeyed, and I have found it so, the Way is paved with many an oasis--a crossing place through the Red Seas of life, quail and manna when needed, water from the rocks, seen and unseen angels assisting, His guiding presence in a pillar of fire by night and a cloud by day to point the Way, and always knowing that just over the next sand hill, deep valley or high mountain there will be the sight of the 'ole Jordan River, and when I get there, Joshua (Jesus) will lead the procession down to the waters and we will cross over on dry land to that beautiful land of milk and honey. Then, the trumpets will sound and we will shout with all the saints of the ages that the walls have all fallen down forever and forever. A 'bottom line' for the inequities of life is we can learn from them, and try to help others be a bit more helpful towards our fellow man. So, in spite of the many vicissitudes on our trail, God's goodness is far greater than the gore of men, His Grace is sufficient for all our days and ways, and always we are overshadowed by His everlasting love which lifts us up and takes us on. "Praise be to the God and Father of our Lord Jesus Christ, the Father of compassion and the God of all comfort, who comforts us in all our troubles, so that we can comfort those in any trouble with the comfort we ourselves have received from God." (II Corinthians 1:3,4) Peace in our Trials and Troubles "Therefore, having been justified by faith, we have peace with God through our Lord Jesus Christ, through whom also we have access by faith into this grace in which we stand, and rejoice in hope of the glory of God. And not only that, but we also glory in tribulations, knowing that tribulation produces perseverance; and perseverance, character; and character, hope. Now hope does not disappoint, because the love of God has been poured out in our hearts by the Holy Spirit who was given to us." (Romans 5:1-5 NKJ) EXERCISE 74 List some of your trials/tribulations. If you have/are experiencing victory in them, write the word "VICTORY!" after those. In a TV series called "The Waltons," the mother in the family, Olivia, has polio. Neighbors referred to as "the Baldwin sisters" come to visit. They leave this message with Olivia--"God's ways seem dark, but sooner or later they touch the shining hills of day and we see the sunrise." So, it is with each of us! Robert Schuller of the Hour of Power phrases it this way--"We can turn our hurts into halos, our scars into stars." "I cry to you, O LORD; I say, "You are my refuge, my portion in the land of the living." Listen to my cry, for I am in desperate need; rescue me from those who pursue me, for they are too strong for me. Set me free from my prison, that I may praise your name. Then the righteous will gather about me because of your goodness to me." (Psalm 142:5-7) EXERCISE 75 Make a guess: what will set David "free from prison"? Praising God in an adverse situation is a matter of faith in the providence of God. "At this, Job got up and tore his robe and shaved his head. Then he fell to the ground in worship and said: 'Naked I came from my mother's womb, and naked I will depart. The LORD gave and the LORD has taken away; may the name of the LORD be praised.' In all this, Job did not sin by charging God with wrongdoing." (Job 1:20-22) As the 25th anniversary year of our Faith Alive Days ministry approached we began laying plans for a proper celebration? The Board of Directors of Larry Wright, Rose Foster, Rodger Thompson, Gary Spencer, and Tammy Vanderpool coupled with Imalee and myself appointed a special "Anniversary Committee" to lay plans. The proffered plans included--rallies, printed Bible markers, a video, speaking engagements, perhaps a camp out and if possible publish book #5. As the weeks passed by it became evident that JESUS WOULD CELEBRATE THIS ANNIVERSARY HIS WAY! Tribulations paved our path including-- Faith Alive Ministry Director, Gary Spencer was diagnosed with leukemia Our Holy Land Trip with the Spencers was canceled Our daughter, Lisa's death in November Imalee's concussion from a fall on the ice Close preacher friend, Gary Spencer died Imalee's mother, Ina Barrick, sustains strokes My stroke in April Our daughter, Rebecca's divorce CCDS-SRS litigation Our doctor daughter, Teresa, breaks her back in Grand Canyon on June 13th My brother-in-law, Red Smith, breaks leg/hip Our two-month-old granddaughter, Hannah Johnson's bout with botulism. My brother-in-law, Hap Prough, involved in a car wreck while delivering mail Our plans were laid aside and we bowed low. It wasn't strange, for after 25 years of the Lord being in charge doing things in His own unique way, i.e., no pledged support, no contrived revival invitations, needs supplied day to day, guidance in amazing ways and always His Presence along the way---I should have known He would commemorate the anniversary in HIS WAY! HE did that very thing by using the events of the year like tinsel and bells hung on a Christmas tree with His star at the top. The tree so-to-speak were the great Bible truths we had preached and sought to practice for 25 years 'hung' with the 'tinsel and bells' of the events of the last year. So, we made an intentional choice to rejoice/accept with joy the Lord's plans for us and Faith Alive Days by practicing those Truths of His Word listed as follows: EXERCISE 76 Write down a phrase which depicts the meaning of each verse, and check the ones which you have been blessed in using. * Colossians 1:27 - * Proverbs 3:5,6 - * Zechariah 4:6 - * Isaiah 30:18 - "God works for those who wait for Him" (ASV-1901). * Philippians 4:19 - * I Corinthians 15:31 - * Psalm 44:4 - "command deliverance...O God my King (KJ or NKJ) * Isaiah 40:31 - * Isaiah 65:24 - "before you call - I will * Matthew 7:7 - * Matthew 21:21 - "Speak to the * Luke 18:1 -- * Philippians 4:6 - * James 5:14 - sick: call for elders; prayer + oil = healing! * Romans 8:28 - * II Thessalonians 5:18 - * Hebrews 12:2 - * James 1:2 - . * Proverbs 15:22 - * Job 33:31; James 1:19 - * Romans 8:35-39 - * I Corinthians 10:13 - * Ephesians 3:7 - My gift of ministry is through His grace (ASV) * Exodus 14:14 - * Philippians 1:21 - * II Tim. 1:7 - "no fear..but power, love, sound mind" * Hebrews 1:14 - * James 4:7 - * I Peter 5:7 - James encourages us with these words: "My brethren, count it all joy when you fall into various trials," (James 1:2 - NKJ) Thanking God in an adverse situation brings Peace to Life's Pieces While visiting in Bay City, Texas, I went for a bicycle ride on Saturday, May 13, 1995 in a special park west of town. Many shade trees lined the paved drives. I paused to use the open air (no roof) rest room. A young black man was using the urinal so I used the stool. He came up behind and shoved me causing me to lose my balance. In the same instant he grabbed my billfold and fled towards his car. I collected myself and ran after him noting his license tag number. The Spirit prompted me to—"In everything give thanks," I Thessalonians 5:17, which I did! There were many matters to be thankful for—he took my billfold not my life, stole my credit cards, but not my credit, took my driver's license but not my car, absconded with my social security card but touched not my heavenly security, ran away with my family pictures but not my family, removed old momentos from my billfold but not from my memory. WOW! PRAISE THE LORD? YES! I reported the matter to the police and they promised to begin an investigation on Monday. On Monday I declined to pursue the matter as it would require me to drive 600 miles back to Bay City for a hearing and return again for a trial. In the afternoon of the day I was robbed the Lord inspired me to write this poem. WHAT TO DO WHEN YOU GET A TIGER BY THE TAIL While cycling down a park road. Just movin' along with no big load. A robber man crossed my path. He shoved me when I was in the bath. Now, this man was the robber of my treasure, He took my billfold for his pleasure. I thought: "Must I love him without measure? He has taken away my money for his leisure." I thought: "I'm bound for a dead man's jail. They'll send my pieces home by mail." I got up slowly as that robber began to sail. And for me this robbery became a 'tiger tail.' Now, my 'tiger tail' seemed as big as a whale. Yet I couldn't turn back, though I was a bit pale. I kept on movin', not too hearty, not too hale. Really, my movin' was like a snail. I kept on believin' thru the thunder and the hail. Lifted my bucket up high. HE filled my pail, And I praised the Lord for HE never fails! Soon, I was wamping that 'tiger' with its tail. So, next time you get a 'tiger by the tail', Don't give up and don't turn pale. You can win the tiger tug, and be happy and hale! Just PRAISE THE LORD without fail. Wilbur S. Johnson 5/13/95 (I Thessalonians 5:18; Ephesians 5:20) This aptly illustrates that we need to PRAISE THE LORD FIRST, not ask "WHY." The devil always has a bag full of "reasons" as to why we should not praise the Lord in a negative situation---doesn't make sense, not logical, most people don't, etc. We need to do just what the Word says--"In everything give thanks," then leave it up to God to work all things together for his glory and our good out of the situation. (Romans 8:28) We have found a "bottom line" for all our trials in these Scriptures and poem: For in the day of trouble he will keep me safe in his dwelling; he will hide me in the shelter of his tabernacle and set me high upon a rock." (Psalm 27:5) Now thanks be to God who always leads us in triumph in Christ, and through us diffuses the fragrance of His knowledge in every place." (II Corinthians 2:14 NKJ) DREAM ON I've dreamed many a dream that never came true And I've seen them vanish at dawn, Oh! but enough of my dreams have come true To make me keep dreaming on. I've prayed many a prayer and no answer ever came, Though I've waited patient and long, But enough answers have come through To make me keep praying on. I've sown many a seed that fell by the wayside For the birds to feed upon, But I've held enough golden sheaves in my hand, To keep me sowing on. Now I've tasted the cup of sorrow and pain, And sometimes gone without a song, But I've sipped enough nectar from the roses of life, To make me want to live on. I don't regret a mile I've traveled for the Lord, I don't regret the time I've trusted in His Word, I've seen the years go by and sometimes the days were long, But I'll keep on serving Him until I finish the race. Words by Howard Goodman as adapted by Wilbur Johnson and shared with me my Bob & Marge Hoskins The Apostle Paul was ready to be committed back to the Father. "I have fought the good fight, I have finished the race, I have kept the faith. Now there is in store for me the crown of righteousness, which the Lord, the righteous Judge, will award to me on that day-- and not only to me, but also to all who have longed for his appearing." (II Timothy 4:7,8) We started this study calling attention to the fact that the work of the Holy Spirit is much like Francis Thompson's poem "The Hound of Heaven." I cite his beginning and closing verses as follows: "I fled Him, down the nights and down the days; I fled Him down the arches of the years; I fled Him down the labyrinthine ways Of my own mind; and in the midst of tears I hid from Him, and under running laughter. Up vistaed hopes I sped; And shot; precipitated, Adown Titanic glooms of chasmed fears, From those strong Feet that followed, followed after. But with unhurrying chase, And unperturbed pace, Deliberate speed, majestic instancy, They beat--and a Voice beat More instant than the Feet All things betray thee, who betrayest Me. After a long pursuit covering many years, and through a myriad of fears, this Unseen Pursurer-The Holy Spirit-brings his man home. Here are the final words. Now of that long pursuit Comes on at hand the bruit; The Voice is round me like a bursting sea: "Save Me, save only Me!" "All which I took from thee I did but take, Not for thy harm, But just that thou mightest seek it in My arms. All of which a child mistakes As fancies lost. I have stored for thee at home: Rise, clasp My hand, and come! We're (almost) Home!" Following is a true story of a young man who was ready to have the Holy Spirit commit him back to his heavenly Father. Here's a letter from Sebastian, a 24-year-old Christian from Singapore, to his family, relatives and friends. "Hello. By the time you read this I will have been with Jesus for a few hours already. I want to thank all of you for your kindness, your love, your generosity. I'm proud to be a member of this family. All of you know, I could have escaped the day of my arrest. If time could turn back, I would still choose to stay. I love you all very, very much. I can't thank God enough for what He's done for me. My calmness comes so naturally to me these last few days. I assure all of you that not once has there been any fear or regrets. The Lord has kept me humorous, joyous and peaceful. It is an indescribable feeling. I can't ask for more at this time. I'm sure the Lord will lead all of you through difficulties if your trust in Him one hundred percent. Because of my trust and belief in the Lord, I'm able to look forward to be reunited with all of you in the Lord's kingdom. It may be years before all of us will be together in heaven, but for me it will be like the twinkling of an eye. My hope is that Kent, Ricky and Rocky will receive the Lord too. May the rest of you grow in the Lord's gentleness, kindness and love. I'll ask the Lord to let me be your guardian angel, if that is possible. I know the funeral will be wonderful. The Lord's presence will insure a pleasant and comforting event. Enjoy it. I love you all. Bye. See you all later." Sebastian Sebastian, was arrested on a possession of marijuana. In Singapore such a charge carries an automatic death sentence. His brother's letter tells about Sebastian's execution. "On Monday, August 24, the designated day came for us to visit Sebastian. He had already sensed in his spirit that he would be called home soon. When he confirmed with us that the president's clemency was denied, he told us what to expect. He even knew that he would be executed at dawn on Friday. He began giving instructions to me, telling me what to expect and what I ought to do. And he wanted to donate his organs after his death, so he sought mothers' agreement. As you can see, Sebastian was ready to go, settling his earthly duties. From Tuesday to Thursday, the family was allowed to visit once in the morning and once in the afternoon for periods of two hours each, three visitors at a time. For the next three days Sebastian did nothing but encourage the family, speaking with full confidence of following God personally. He was reminding us to trust in God totally. Not sixty percent nor eighty percent but one hundred percent--he kept saying--one hundred percent. His mother was so comforted by his faith and trust in God that there were no tears but an unbelievable peace. Sebastian prayed for our family members who had not accepted Christ yet and hoped for their acceptance. For those in our family who are Christians, he prayed that we would grow in the Lord. During the last half hour, the warden allowed six of us to see Sebastian together. My eldest brother Isaac, myself, and two younger brothers, Ken and Jeremiah, my mother, and Sebastian's fiancé, Grace, were with him. With God's strength and grace we were able to sing 'Amazing Grace how sweet the sound that saved a soul like me.' In Christ we became one family. There were tears but great comfort. That was how we parted from Sebastian. It was the last time we saw him alive. The prison chaplain told us later that as Sebastian walked to the gallows he sang 'Amazing Grace' over and over again. When his body dropped he was singing Amazing Grace how sweet the sound, that saves a wretch like me. When I've been there 10,000 years, Bright shining as the sun, I've no less days to sing God's praise, then when I first began." That's living with hope. Sebastian made a decision to become a Christian. Exactly how and when I don't know. But that decision was a decision to live by hope. Not by doubt! Not by distrust!" Happy Sebastian was my brother! I asked a man: "Are your bags all packed? Are you ready to go?" He blessed me by saying, "Yes, I'm ready to go! My bags are all packed, and I'm just waiting for my boarding pass." EXERCISE 79 Now write your own statement of readiness to have the Holy Spirit commit you back to the Father. You may use a verse of Scripture if you like. A dear saint of God shared this special poem with be verbally and in writing. She was ready to be committed back to the Father. I'LL COME RUNNING HOME by Yvonne V. Durnberger, Valley Falls, Kansas I often feel I'd love to hear My Father say, "Come home, Abide with me in Heaven, Dear, Here you'll never have to roam." His Word tells plainly of the home He's prepared for you and me, But we must search His Word to know How beautiful Heaven must be. In Revelation He revealed That the streets are paved with gold, The water there is crystal clear, And no one will e're grow old. Life's river there flows on and on Through the Garden of Love so fair. The air which we'll breathe, so pure and sweet Is by far beyond compare. The Angels sing the sweetest songs And millions in one accord Harmonize with harps of gold As they serenade our Lord. But when I wish to hear Him call To come up there and live; I think how great the debt I owe, And how little I've had to give. Oh, how little I have had to give On transportation fare, And reservation for a place to dine At His table laid up there. We thank you Father, for Thy Son, Who paid the price that we Might inherit this eternal home. And come and live with Thee. Give me Dear Father, a few more days, That I may lead some one To make their reservations, To meet Thee and Thy Son. Dear God, while here; I'll work and wait, Until the day shall come, When you are ready and think it's time, Then I'll come running home. Permission to use by Yvonne, March, 1995 EXERCISE 80 On our study outline below, check the areas where the Holy Spirit has/is working in your life. _____HE has CREATED ME - body, soul, spirit _____HE has CONVINCED ME about Jesus _____HE has CONVICTED ME of sin _____HE has CONVERTED ME _____HE IS CONSECRATING ME - making me like Jesus _____HE is COMFORTING ME _____HE will COMMIT ME "And if the Spirit of him who raised Jesus from the dead is living in you, he who raised Christ from the dead will also give life to your mortal bodies through his Spirit, who lives in you." (Romans 8:11) Finally, be strong in the Lord and in his mighty power. Put on the full armor of God so that you can take your stand against the devil's schemes. For our struggle is not against flesh and blood, but against the rulers, against the authorities, against the powers of this dark world and against the spiritual forces of evil in the heavenly realms. Therefore put on the full armor of God, so that when the day of evil comes, you may be able to stand your ground, and after you have done everything, to stand. Stand firm then, with the belt of truth buckled around your waist, with the breastplate of righteousness in place, and with your feet fitted with the readiness that comes from the gospel of peace. In addition to all this, take up the shield of faith, with which you can extinguish all the flaming arrows of the evil one. Take the helmet of salvation and the sword of the Spirit, which is the word of God. And pray in the Spirit on all occasions with all kinds of prayers and requests. With this in mind, be alert and always keep on praying for all the saints." (Ephesians 6:10-18) At the University of Chicago Divinity School each year they have what is called "Baptist Day." It is a day when all the Baptists in the area are invited to the school because they wanted the Baptist dollars to keep coming in. On this day each one is to bring a lunch to be eaten outdoors in a grassy picnic area. Every "Baptist Day" the school would invite one of the greatest minds to lecture in the theological education center. One year they invited Dr. Paul Tillich. Dr. Tillich spoke for two and one-half hours proving that the resurrection of Jesus was false. He quoted scholar after scholar and book after book. He concluded that since there was no such thing as the historical resurrection, the religious tradition of the church was groundless, emotional mumbo-jumbo, because it was based on a relationship with a risen Jesus, who, in fact, never rose from the dead in any literal sense. He then asked if there were any questions. After about 30 seconds, an old, dark skinned preacher with a head of short-cropped, woolly white hair stood up in the back of the auditorium. "Docta Tillich, I got one question," he said as all eyes turned toward him. He reached into his sack lunch and pulled out an apple and began eating it. It is almost impossible to exaggerate how dependent we are on the Holy Spirit. We are dependent on Him for convicting us of sin before and after our salvation, for giving us understanding of the Gospel, causing us to be born again, empowering us to witness, guiding us in our prayer life—in fact, for everything. It is no wonder that evil spirits have tried to counterfeit the work of the Holy Spirit and confuse His work. There is probably no subject in the Bible upon which there is more confusion today than that of being filled with the Holy Spirit. There are many fine Christian people who seem to equate the filling of the Holy Spirit with speaking in tongues or some emotionally ecstatic experience. There are other Christians who because of excesses observed or heard of in this direction have all but eliminated the teaching of the filling of the Holy Spirit. They just do not recognize His importance in their lives. Satan places two obstacles before men: (1) he tries to keep them from receiving Christ as Savior, and (2) if he fails in this, he then tries to keep men from understanding the importance and work of the Holy Spirit. Once a man is converted, Satan seems to have two different approaches. He tries to get men to associate the filling of the Holy Spirit with emotional excesses, or the opposite swing of the pendulum, to ignore the Holy Spirit altogether. STAND Lord help me to stand on the truth of your word. Let me not stumble from the lies of this world but let me know the truth so the truth can set me free. Help me to stand on my knees and bow down to You and only You. Let me give prayer, praise, and thanksgiving to You in all things and let me hear your word, ask and receive, seek and find, knock and have the door opened. Help me to stand in the gap of an unbelieving world. Let me not give up or give in but let me stand firm with the full armor of You, God. Help me to stand at any cost for You. Let me never fall down, but let me take up my cross daily for you and endure all hardships. Help me to stand in all ways in all circumstances. Let me not forget my reasons for standing or Who I'm standing for, but let me always give all the glory to You who gives me strength. By John E. Wright of Perry, Kansas Written July, 1996 while attending CIY Conference Now a graduate of Perry High School "Be strong and courageous. Do not be afraid or terrified because of them, for the LORD your God goes with you; he will never leave you nor forsake you." (Deuteronomy 31:6) Sir Winston Churchill took three years to get through eighth grade because he had trouble learning English. It seems ironic that years later Oxford University asked him to address its commencement exercises. He arrived with his usual props. A cigar, a cane and a top hat accompanied Churchill wherever he went. As Churchill approached the podium, the crowd rose in appreciative applause. With unmatched dignity, he settled the crowd and stood confident before his admirers. Removing the cigar and carefully placing the top hat on the podium, Churchill gazed at his waiting audience. Authority rang in Churchill's voice as he shouted, "Never give up!" Several seconds passed before he rose to his toes and repeated: "Never, never, never give up!" His words thundered in their ears. Once more with tears in his eyes and a rock firm voice he shouted, "Never, never, ever give up!" There was a deafening silence as Churchill reached for his hat and cigar, steadied himself with his cane and left the platform. His commencement address was finished. So short, yet never to be forgotten! "Let us not become weary in doing good, for at the proper time we will reap a harvest if we do not give up." (Galatians 6:9) These Saints of the Lord let the dove of God's Spirit bear fruit through their life by praying, encouraging, and giving during the long days this book was wrestled out of the furnace of life and the Mind of the Spirit. Thank You Lorraine Abernathy, Highmore, SD Albert Pike Christian Church, Fort Smith, AR Louise Amerise, Fort Smith, AR Millie Amherst, Las Vegas, NV Larry & Phyllis Angell, Cawker City, KS Arlan & Wilma Anglemyer, Winfield, KS Les & Elaine Ashdown, Highmore, SD Steve & Mary Austin, Newkirk, OK Bob & Josephine Baker, Ashland, KS Ed & Shirley Ballard, Pleasant Plains, IL Blanche Barnes, Minneola, KS Jerry Barnes, Topeka, KS Ray & Doris Barrick, Ada, Oklahoma Bart Bartel, Pierre, SD Gailand & Bettye Jo Bartlett, Fowler, KS Allen & Glenda Bates, Black Hawk, SD Dean & Carmalee Beebe, Minneola, KS Harrold Bell, Medicine Lodge, KS Oliver & Wilma Bell, Medicine Lodge, KS Bible Christian Church, Arkansas City, KS Walter & Iva Lou Birney, Copeland, KS Maudelene Blass, Arkansas City, KS Ray & Eva Blubaugh, Arkansas City, KS Vernon & Ada Bogart, Dodge City, KS Jerry & Karen Bolster, Guthrie, OK Alice Bookout, Wheatland, WY Larry & Eunice Borman, Winfield, KS Betty Bourdette, Guthrie, OK Kenneth & Shirley Brisco, Mountainburg, AR Ray & Sally Brisco, Fort Smith, AR James Brumley, San Saba, TX Ron & Becky Bruton, Arkansas City, KS Mida Burgess, Clinton, IN Hazel Burghardt & Howard, Dodge City, KS Harold & Joyce Burnside, Roswell, NM Dennis & Debra Byrne, Arkansas City, KS The late Lloyd Cameron, Wichita, KS Teresa Carter, Skidmore, MO Elmo & Mildred Chastain, Mitchell, IN Dale & Nanon Clare, Garden City, KS George & Rose Cloutman, Minneola, KS Paul & Margaret Cole, Cashion, OK Dale & Linda Conard, Hutchinson, KS Blanche Cook, Stronghurst, IL Dan & Audrey Cravatt, Norfolk, NB Marshall & Roberta Cusick, Minneola, KS Maxine & the late Merle Darst, Bucklin, KS Bob Davis, Ashland, KS Doug & Verna Davis, Blanford, IN Roger & Vikki Day, Highmore, SD Marlow & Phyllis DeBey, Downs, KS Dean & Glenna Dellenbach, Abbyville, KS Keith & Linda Dellenbach, Greensburg, KS Frank & Andrea Dickson, Arkansas City, KS Scott & Tina Dinges, Gering, NB Virginia Donaldson, Arkansas City, KS Rebecca Doyen & Katy, Katy, TX Richard & Karen Dubois, Minneola, KS Bill & Carol Duncan, Oberlin, KS Helen Durfey, Highmore, SD Cedric & Ellen Durst, Soldier, KS Carl & Juanita Eckert, Kiowa, KS Leon & Wanda Eckert, Kiowa, KS Craig & Peggy Faussett, Highmore, SD George & Christine Ferguson, Minneola, KS Gary & Charlotte Filson, Protection, KS Fishing Creek Chapel, Mitchell, IN Elizabeth Fleak, Ogallah, NB June Flummerfelt, Hugoton, KS Gilbert & Barbara Forrest, Mulhall, OK Max & Rose Foster, Arkansas City, KS Sue Gardner, Fort Smith, AR Carl & Gina German, Erica & Tye, Mayfield, KS Jerry Gibson, Lafayette, CO Vera Glasco, Dodge City, KS Ike & Marybeth Glass, Newkirk, OK Toots Glaze, Holton, KS Lillian Goff, Broken Arrow, OK Olis & Shirley Goodnight, Englewood, KS Dick & Marie Goodrick, Williamsport, IN Charles & Coleen Grimley and Sherry, Ark City, KS David & Connie Hardy, Downs, KS Ron & Shirley Harris, Minneola, KS Howard & Florence Hayes, Johnson City, TN Oscar & Catherine Heiland, Bucklin, KS Lee & Nancy Hetrick, Williamsport, IN Loren & Pat Hetrick, Roachdale, IN Al & Virginia Hickerson, Great Bend, KS Jeff & Debbie Hiers, Dodge City, KS Highmore Church of Christ, Highmore, SD Larry & Linda Hittle, Roswell, NM Evelyn and the late Floyd Hopper, Scottsbluff, NB Hosanna Restoration Church, Highmore, SD Bob & Marge Hoskins, Lafayette, IN Ron & Haven Howard, Branson, MO Jerri Hoyle, Arkansas City, KS Mike Hylton, Arkansas City, KS Bob & Pat Johnson, Taloga, OK Cliff & Virginia Johnson, Maize, KS Galen & Kim, Elizabeth, Nathaniel, Sarah, Seth & Hannah Johnson, Argillite, KY Marie Johnson, Wheatland, WY Mark & Kathy Johnson, Nikiski, AK Max & Dorothy Johnson, Hugoton, KS Mrs. Oren (Pauline) Johnson, Anchorage, AK Pat & Eileen Johnson, McAllen, TX Russ & Shirley Johnson, Newkirk, OK Teresa Johnson, Winfield, KS Jerl & Danni Joslin, Bethany, OK Glenn & Judy Kailer, Perry, KS Sam & Jeannie Keehn, Soldier, KS Benny & Sharon Kennedy, Cushing, OK Clifford, Barbara & Louann Kincade, Indianapolis, IN Barbara Klossing, Stronghurst, IL Raymond & Kay Lassiter, Valley Falls, KS Ruth Lechner, Harper, Kansas Doris & David Leeper, Protection, KS Kim & Sharon Leeper, Protection, KS Jerry & Carol Longton, Dodge City, KS Lloyd & Oveta Lucas, West Lebanon, IN Ersel Magnison, Medicine Lodge, KS Don & Nancy Mahan, Bedford, IN Daryl & Carolyn Marshall, Halstead, KS The late Bernadean Marshall, Minneola, KS Emogene McBee, Minneola, KS Lillian McClain, Topeka, KS Bob & Lila McClung, Olive Branch, MS Bob & Vada McDonald, Logan, KS Howard & Kay Messer, Graham, MO John & Marcia Messer, Fort Sill, OK Leona Messer, Ashland, KS Phil & Debbie Messer, Goddard, KS Dorothy Midgley, Newkirk, OK Thomas & Sandy Milbern, Lovington, NM Bernice Rush, Arkansas City, KS Minneola Christian Church, Minneola, KS Charley Monroe, Arkansas City, KS Gary & Teresa Moore, Arkansas City, KS Frank & the late Emma Morgan, Ark City, KS Mt. Zion Community Church, Arkansas City, KS John & Ruth Nawn, Roswell, NM Helen Nelson, Dodge City, KS Tim & Cathi Newton, Bohemia, NY John & Betty and Mark Nichols, Mountainburg, AR Jerry & Danette Oberg, Pierre, SD Ruby Olson, Marysville, KS Norman & Jeanette Ostermyer, Roswell, NM John & Joyce Pearce, Rock Port, MO Jim & the late Jody Pearson, Stamford, NE James & Kay Perdue, Arkansas City, KS Pierre Christian Church, Pierre, SD Charles & Anna Petty, Buffalo, OK Larry & Diane Petty, Protection, KS Warren Petty, Buffalo, OK David Pinion, Arkansas City, KS Ruth Pohle, Newkirk, OK Bill & Dorothy Poling, Arkansas City, KS Betty Prewett, Arkansas City, KS Protection Christian Church, Protection, KS Hap and Jan Prough, Ponca City, OK Scott and Christy Prough, Oklahoma City, OK Joe and Joy Ragsdale, Fort Smith, AR Scott and Michelle Rains, Arkansas City, KS Estyle and Darlene Rakes, Minneola, KS Jerry Rakes, Minneola, KS Leila Ralston, Minneola, KS Random Road Chapel, Arkansas City, KS Ruth (Snyder) Ray, Dodge City, KS Freda Reynolds, West Lebanon, IN Rose Rice, Arkansas City, KS Lee and Lovella Richardson, Knoxville, TN Gale, Shirleyne and Andy Rider, Arkansas City, KS Mary Ellen and Dick Riner, Protection, KS Don and Gary Rock, Stockton, KS Everett and Judy Ross, Arkansas City, KS Janice and Faye Rostvit, Colorado Springs, CO Morris and Faye Roth, Stronghurst, IL Joe & Kathy Rush, Dexter, KS Danny & Lois Sampson, Arkansas City, KS Bill & Pat Sanders, Protection, KS Harvey & Myra Sauvage, Havensville, KS Richard & Anita Schafer, Soldier, KS Nita & Wayne Schmidt, Minneola, KS Don Sears, Holton, KS Dorothy Shelton, Minneola, KS Sharon & Larry Shurtz, Arkansas City, KS Russell & Margaret Sims, Ark City, KS Ted & Beverly Skiles, Taiwan ROC Patsy & Elmer Smith, Fort Smith AK Richard & Joan Smith, Hot Springs, AK The late Gary Spencer & Ardith, Ammin, Erin & Evan, Valley Falls, KS J.L. & Karen Spurgeon, Mullinville, KS L.N. & Dell Spurgeon, Protection, KS Robert & Donna Starr, Arkansas City, KS Kevin & Becca Stevens, Arkansas City, KS Stan & Susan Stockton, Canon City, CO Jim & Patti Sturdy, Oklahoma City, OK Ken & Dawn Sturdy, Valley Center, KS Roy & Joyce Sturdy, Oklahoma City, OK Jim & Sharon Sumner, Pierre, SD Jodee Taylor, Springdale, AR Stateline Christian Church Prayer Group, Blanford, IN Howard & Marlene Temple, Mesa, AZ Frank & Lola Tepe, Ponca City, OK Bob & Sharon Ternes, Arkansas City, KS Doyle & Donna Terry, Zephyrhills, FL Charles & Anita Thomas, Tulsa, OK Rodger & Connie Thompson, Wichita, KS Wayne & Eula Thompson, Osborne, KS Cecil & Linda Todd, Lakeview, MO Larry & Linda VanDonge, Soldier, KS Juhree Vanderpool, Newkirk, OK Randy & Tammy Vanderpool, Tarah & Brandon, Arkansas City, KS Virginia Vandolah, Harper, KS Sharon Venardi, Stronghurst, IL Woodrow & Leone Wilson, El Paso, TX Doyle & Carol Wolf, South Haven, KS FRIENDS TO THE END "Thank you Jesus, for my friends, Who made me strong, this battle to win!" Many sent words right up to Heaven Fusing my feeble seed with His leaven. Some shared their sacrifice of gold, For daily bread and to keep out the cold. Some sent their heart wrapped up in hope, Telling me, "rest in Jesus, don't grope!" Some loaned their ears To listen to my faith and fears. Some shared a hand to play in the band To cheer me on across the land. I Praise God for this team! Who made me strong to reach the end! "Now Holy Spirit, more and more fill their life, As they help others in the strife." FOR BY HIS GRACE WE WILL BE, BROTHERS and SISTERS FOREVER! FRIENDS TO THE END! Written on Monday, August 9, 1999 as I reflected on all the assistance I've received while writing this book. Wilbur S. Johnson WILBUR & IMALEE JOHNSON Box 146 / 605 S. Chestnut Ashland KS 67831 I REMEMBER I remember, I remember The house where I was born, The little window where the sun Came peeping in at morn: I remember, I remember, Where I used to swing; And knew the air must rush as free To swallows on the wing: My spirit flew in feathers then, I remember, I remember, The cottonwood trees dark and high: I used to think their fleecy tops Were close against the sky: It was a childish ignorance, But now 'tis (high joy To know, God's Spirit was with me, All the days I was a boy.) Adapted from a poem by Thomas Hood When the Holy Spirit began to make Jesus the Lord of my life--He made a difference! Six months later I started teaching Sunday School, followed by preaching in country churches and youth rallies, followed by a three month interim ministry at the Cherryvale, Kansas, Christian Church. Then on to Midwest Christian College in Oklahoma City and my first every Sunday church at Ripley, Oklahoma. In 1974, after 25 years in the located ministry, He called me to our Faith Alive revival ministry. The pictures at the bottom are a visual account of my sojourn--at age seven, the house where I was born and lived for 14 years, and age forty seven. All my years leads me to conclude that the blessed Holy Spirit has been working all the time. Even before I was born, He was arranging circumstances for my birth. Beyond birth, sometimes on the outside, much of the time on the inside of my heart, His silent mighty work progressed. The principles contained in this study were first lived out in the heart and home of myself and others.
ARCHAEOLOGY IN SUFFOLK 2003 compiled by EDWARD MARTIN, COLIN PENDLETON and JUDITH PLOUVIEZ object drawings by DONNA WREATHALL THIS IS A selection of the new discoveries reported in 2003. Information on all these has been incorporated into the county’s Sites and Monuments Record, which is maintained by the Archaeological Service of Suffolk County Council at Bury St Edmunds; the Record number is quoted at the beginning of each entry. Following requests from metal detector users, we have removed all grid references from entries concerning finds reported by them. We continue to be grateful to all those who contribute information for this annual list. Abbreviations: E.C.C. Essex County Council E.C.S. East Coast Searchers I.D.D.C. Ipswich and District Detector Club M.D.D.C. Mildenhall and District Detector Club M.d.f. Metal detector find N.M.S. Norfolk Museums Service S.C.C.A.S. Suffolk County Council Archaeological Service, Shire Hall, Bury St Edmunds IP33 2AR (tel. 01284 352443; e-mail firstname.lastname@example.org) \| Pa \| Palaeolithic \| \|----\|--------------\| \| Me \| Mesolithic \| \| Ne \| Neolithic \| \| BA \| Bronze Age \| \| IA \| Iron Age \| \| Pr \| Prehistoric \| \| Ro \| Roman \| \| Sx \| Saxon \| \| Md \| Medieval \| \| PM \| Post-Medieval\| \| Un \| Period unknown\| INDIVIDUAL FINDS AND DISCOVERIES Akenham (AKE 019). Sx. Bronze brooch, cross-shaped with expanded arms, Late Saxon. (Fig. 148, G). (M.d.f.). Aldeburgh (ADB 005). Md. Silver penny of William I (1066–1087) modified as a brooch with gilding on the reverse and solder marks where the pin lug and catchplate were fixed to the obverse. (I.D.D.C.). Alderton (ADT 024). Sx. Fragment of a small-long Early Anglo-Saxon brooch and two later hooked tag fasteners. (I.D.D.C.). Aldham (ADH 013). Ne. Polished flint axehead. (E.C.S.). Badingham (BDG 043). Md. Coins and coarse ware pottery, mainly 13th to 14th century. (M.d.f.). Barking (BRK 088). Md. Shield-shaped bronze heraldic harness pendant, a lion rampant inlaid with red and blue enamel. If the colours are meant to represent purple, the arms could be those used by Henry de Lacy, 3rd Earl of Lincoln (1258–1311): or, a lion rampant purpure. (I.D.D.C.). Barking (BRK 103). Ro. Coins (2nd to late 4th centuries) and pottery including samian and Oxford wares. (M.d.f.). Barrow (TL 7664; BRR 040). Md. Pottery (St Neots ware and later coarse wares) found in a garden drain trench. (B.J.Reeve). Great Barton (BRG 036). Ro, Sx. 2nd- to 4th-century coins, bronze bracelet fragment, pottery including samian and 4th-century wares, roof and box tile concentrations suggesting a building. Middle Saxon bronze ansate brooch with punched ring and dot decoration. (I.D.D.C.). Great Barton (BRG 039). Ro, Sx. Roman pottery including samian ware and coins (late 3rd to late 4th century). Middle Saxon bronze ansate brooch with transverse mouldings. (M.d.f.). Great Bealings (BEG 019). IA/Ro. Bronze baldric ring with an offset disc which has a tri-part shape on a yellow glass background with blue filled circles and a central red circle. 1st century; the use of blue and yellow glass might suggest a post-43 date (Fig. 143, A). Also a bronze Colchester brooch. (I.D.D.C.). Great Bealings (BEG 020). Sx. Fragment of a gilded bronze florid cruciform brooch. (M.d.f.). Bedfield (BED 021). Ro, Md. Large scatter of pottery including amphorae, Nene Valley, Oxford and Mayen wares, mainly later Roman in date, with some 12th- to 16th-century material. (C.Ware). Bedingfield (BDF 010). Sx? Bronze fragment, probably a harness fitting, with an openwork terminal, the main decorative elements being two opposed identical animals. Probably Late Saxon (Fig. 148, E). (M.d.f.). Bentley (BTY 029). BA Circular shale bead, thicker on one side, of Early Bronze Age type. (E.C.S.). FIG. 141 – Prehistoric flint axes: (A) Mesolithic from Eye; (B) Neolithic from Brettenham (butt end only). Bentley (BTY 030). Sx. Enamelled bronze escutcheon from the base of a hanging bowl (Fig. 146, C). (E.C.S.). Little Blakenham (BLL 011). Md. Lead papal bull of Gregory IX (1227–1241). (M.d.f.). Blythburgh (BLB 016). Sx. Gilded bronze gusset plate with damaged pierced lugs at each corner (Fig. 146, B). (M.d.f.). Braeseworth (BRA 001). Sx. Cruciform and ansate bronze brooches, tweezers and hooked-tag dress fasteners. (M.d.f.). Brasseworth (BRA 005). Ro. Coins (2nd to late 4th centuries), bronze brooches, stylus, hairpin, bracelet fragments and a figurine of a naked figure in a helmet, probably representing Mars (Fig. 144, E). (M.d.f.). Brasseworth (BRA 006). Sx. Bronze hollow spherical-headed pin with circular settings and applied silver wire decoration, Middle Saxon (Fig. 146, A). (M.d.f.). Brantham (BNT 041). Sx. Hoard of c. 90 silver pennies of Edward the Elder (899–924), deposited c. 920. (E.C.S.). Brettenham (BTT 019). Ne. Butt of a very large polished flint axehead, re-used after breakage as a core, with heavy patination on the break and flake scars (Fig. 141, B). (I.D.D.C.). Bucklesham (BUC 060). Pr. Scatter of worked flints including scrapers, core, awls and leaf arrowheads. (L.Lannigan). Bungay (BUN 050). Ro, Sx. Bronze enamelled disc brooch and silver coin (A.D. 79). Bronze strap end, Thomas type B, 8th–9th century. (M.d.f. per N.M.S.). Bures St Mary (BSM 018). Sx. Silver sceat, Series D, type 2c, continental runic type (c. 700–715). (M.d.f.). Bures St Mary (TL 8935; BSM 040). Ne. Small, complete, partly polished, flint axehead. (M.Matthews). Bures St Mary (TL 8935; BSM 041). Me. Small flint tranchet axehead. (M.Matthews). ![Diagram](image) FIG. 142 – Bronze Age: (A) gold covered ‘ring money’ from Freckenham; (B, C) bronze axes from Wantisden and Burgate. Bures St Mary (BSM Misc). Md. Gilded bronze harness decoration: a sphere, which originally rotated on a shaft, with four surviving pendant arms and the holes for another two. Two small rectangular pendants survive, each with a raised lozenge and recessed central quatrefoil (Fig. 149, A). (M.d.f.). Burgate (BUR 029). Ba. Middle Bronze Age bronze unlooped palstave, as Rowlands Class I developed shield pattern palstaves group 3 or 5b (Fig. 142, C). (M.D.D.C.). Bushall (BUX 023). Sx. Silver penny of Offa, Group II with portrait (787–792). (M.d.f.). Campsey Ash (CAA Misc). IA, Ro. Fragment of a probable small bronze strap union with three loops, largely missing around a central human face (Fig. 143, D). (M.d.f.). Chelmondiston (CHL 054). IA, Sx. Late Iron Age miniature bronze terret, unusually with a U-section ring. Strap end of Thomas type A with niello and silver wire decoration, 9th century. Chilton (CHT 016). Sx. Ornate bronze Viking buckle (Fig. 146, F). (M.D.D.C.). Clare (CLA Misc). IA. Fragment of a 1st-century bronze terret with a flat disc projection on the loop. (M.d.f. per N.M.S.). Clare (CLA Misc). Md. Bronze shield-shaped heraldic harness pendant, bears: vairy (nothing surviving) and gules (red enamel), overall a bendlet azure (blue enamel) – a version of the arms of the Ferrers family of Walton, Derbyshire. (M.d.f.). Claydon (CLY 012). Md. Bronze shield-shaped heraldic harness pendant bearing three lions passant and traces of red enamel behind – the arms of England under Edward I and II. (M.d.f.). Combs (COM 026). Ro. Small bronze lid from a cylindrical container, tinned and decorated with concentric grooves and fragments of an early Roman bracelet and a hairpin. (M.d.f.). FIG. 143 – Iron Age and early Roman bronze objects: (A) baldric ring from Great Bealings; (B) terret from Orford; (C–E) terminals and fittings from Freckenham, Campsey Ash and Freckenham. Coney Weston (CNW 014). BA, Ro, Sx. Bronze tanged chisel; 3rd–4th century coins; fragment of an Early Anglo-Saxon cruciform brooch. (M.d.f. per N.M.S.). Great Cornard (COG 011). Ro. Bronze brooches, Colchester-derivative types and a penannular Fowler type F, late 4th or 5th century (Fig. 145, A). (M.d.f.). Corton (COR 045). Ro. Possible hoard of five bronze minimis, one probably a 3rd-century radiate but three perhaps unfinished blanks. (M.d.f. per N.M.S.). Covehithe (COV 095). Sx, Md. Fragment of an ornate gilded silver link pin, 7th–8th century; a Late Saxon bronze bell; and a large group of medieval coins and belt fittings. (M.d.f.). Covehithe (COV 096). Sx, Md. Bronze zoomorphic terminal, perhaps from a book hasp; a strap end, Thomas type A, 9th century; and a stirrup-strap mount, Williams Class A Type 11c, 11th century. Medieval coins, belt and box fittings and a circular lead seal matrix, damaged but apparently reading S’ALEX TW( )R( ). (M.d.f.). Cransford (CRN Misc). Md. Two lead seal matrices, found within 200 metres, both pointed ovate shape and with the inscription +S’:MARIE.DE hO (‘the seal of Mary de Ho’) around a fleur de lis design resembling an M. (M.d.f.). Creeting St Mary (CRM 019). Md. Two lead seal matrices: one is a pointed oval with ‘S’ ALICI( ) IGN? V’ (‘the seal of Alice …ign.’) around a seed head motif; the other is circular, inscribed ‘SIGIL( ) BERTI WADE’ (‘the seal of (Ro)bert Wade’) around a plant. (M.d.f.). Creeting St Mary (CRM 043). Sx. Early Anglo-Saxon bronze cruciform brooches, wrist clasps of Hines forms B12 and B20 and a decorated silver fragment, possibly from a square-headed brooch. (M.d.f.). Creeting St Mary (CRM 044). Md. Circular lead seal matrix with suspension loop, inscribed SGALF LE ( )VENT (‘the seal of Geoffry Le ( )vent’) around a four-petal flower and a second, similar in shape, inscribed S’ VAL( )MORGAN (‘the seal of Val( )Morgan’) around a fleur de lis. (M.d.f.). Easton (ETN 011). Pr, Md. Worked flints including a partly bifacially worked tool, possibly a very small and crudely shaped barbed and tanged arrowhead. Pottery and coins, 13th to 15th century, and a bronze annular brooch. (E.C.S.). Eye (EYE 060). Me, BA, IA, Ro, Sx. Mesolithic flint trancheet axe or adze of poor quality dark grey flint (Fig. 141, A) and a late Neolithic chisel type transverse arrowhead. Bronze double-ended tracer awl and a fragment of a sickle (or perhaps knife) blade. A Gallo-Belgic E gold stater, as Van Arsdell 52-1 and a fragment of a silver early Icenian coin, ‘Bury’ type A, as Hobbs nos 3524–3527. Fragments of a bronze penannular brooch, an enamelled disc brooch and two later Roman finger rings. Anglo-Saxon brooches, including a 5th-century supporting-arm type (Fig. 145, B), small-long and cruciform types; a girdle hanger, buckle and a wrist clasp (Hines form B18). (M.d.f.). Eye (EYE 068). Sx. Early Anglo-Saxon bronze annular brooches, a small-long brooch and a shoe-shaped stud. A Late Saxon bronze disc brooch, with traces of Borre-style decoration. (M.d.f.). Great Finborough (FNG 026). IA. Coin of Cunobelin, similar to Hobbs no.1828, but a contemporary copy with a bronze core. (M.d.f.). Flixton (FLN 066). Sx, Md. An incomplete bronze small-long brooch and an 11th-century stirrup-strap mount, Williams Class A Type 10C. Fragment of a lead seal matrix, probably circular, engraved on both faces:( )LIG( ) (‘seal of G…’) and ( )ODEFR( ) (?Godfrey), 13th-century, a bronze harness mount and an imitation gold noble of Richard II, made by sandwiching a lead core between gold foil sheets impressed from a genuine but clipped coin, probably produced between 1412 and 1430s. (M.d.f. per N.M.S.). Flowton (FLW 012). Ro. Rectangular head of a bronze, originally enamelled, button-andFIG. 144 – Roman objects: decorative mounts (A) and (F) from Winston and Thorndon; sceptre handle (B) from Great Waldingfield; inscribed tag (C) from Shimpling; knife handle (D) from Freckenham; Mars figurine (E) from Braiseworth. All bronze except (C) is lead. loop fastener, Wild Class VIa, probably 2nd century. (M.d.f.). Foxhall (FXL 037). BA. Hoard of 32 items including bronze socketed axes, spearheads, knives, sickle and handle fragment from a cauldron or bucket. (M.d.f.). Freckenham (FRK 013) BA. Penannular ‘ring money’: a bronze core coated in a gold sheath and with a banded effect around the circular section of the ring; Late Bronze Age (Fig. 142, A). (M.D.D.C.). Freckenham (FRK 031). IA, Ro, Sx. Small bronze flattened spherical pierced knob with three curving cells containing red enamel, probably later Iron Age or Roman (Fig. 143, E). Roman bronze knife handle with horse head terminal, originally with a curving triangular knife blade (Fig. 144, D). Bronze bracelet fragment, brooches (Colchester and flying bird types) and coins: a silver Icenian Boar-Horse type half unit (Hobbs 3513–3516), bronzes of 3rd to mid 4th century and a silver penny of Æthelstan (924–939), general cross type but with a double reverse. (M.D.D.C.). Freckenham (FRK 080). Sx. Fragment of a lead cruciform brooch, possibly part of a pattern for casting. (M.D.D.C.). Freckenham (FRK 081). Sx. Silver penny, St Andrews type, of Ecgberht of Wessex (c. 825–839). (M.D.D.C.). Freckenham (FRK 082). IA, Ro. Bronze spherical ?pin head with curvilinear relief decoration, parts of which are covered in circular punch marks (Fig. 143, C). Roman coins (139–348). (I.D.D.C.). Fressingfield (FSF 035). Sx, Md. 11th-century bronze stirrup-strap mount, Williams Class B Type 2.1 and a 13th-century buckle plate with an openwork fantastic beast design. (M.d.f.). Fressingfield (FSF 042). Sx. Bronze five-lobed sword pommel, 10th or 11th century. (M.d.f.). FIG. 145 – 5th-century brooches from Great Cornard (A) and Eye (B). Fressingfield (FSF 058). Sx, Md. Bronze coin, Byzantine five nummi piece (542–565); a finger ring of Late Saxon type with overlapping tapered terminals; and a fragment of another; medieval bronze buckles and hooks. (M.d.f.). Fressingfield (FSF 056). Ne. Small, partly polished, pale grey flint axe. (R.Creasey). Fressingfield (FSF Misc). Md. Lead pointed-oval seal matrix, inscribed S’WILLI: AZERD ('the seal of William Azerd') around a foliage design. (M.d.f.). Fressingfield (FSF Misc) 1A. Silver coin: Iceniian Early Face-Horse A type, probably an early example of the type. (M.d.f.). Geddington (GDD 013). Ro, Sx, Md. Bronze brooch, Colchester-derivative type. Bronze pin, biconical head with punched ring and dot motifs; silver cut halfpenny of Æthelred II (c. 991–997) and a Late Saxon bronze stirrup terminal. Medieval coins, bronze belt fittings and a harness pendant. (M.d.f.). Gisleham (GSE Misc). Ro? Gold finger ring, fairly narrow hoop with a small oval setting, now empty. (M.d.f.). Gislingham (GSG 010). Sx. Two bronze Early Anglo-Saxon brooches, a small-long and a 5th-century type cruciform. (M.d.f.). --- FIG. 146 – Anglo-Saxon bronze objects: pin (A) from Braiseworth; gusset plate (B) from Blythburgh; hanging bowl mount (C) from Bentley; decorative mount (D) from Hacheston; buckle parts (E, F) from Wingfield and Chilton. Gislingham (GSG 026). Ro, Sx. Roman bronze brooch (Hod Hill type) and 4th-century coins. Early Anglo-Saxon brooch fragments and girdle hanger. (M.d.f.). Great Glenham (GLG 021). Pa, Md. Flint flake, probably Lower Palaeolithic. Pottery and coins, 12th to 14th century. (I.D.D.C.). Hacheston (HCH 001). Sx. Square gilt bronze mount with chip-carved Style 1 decoration on the front and four rivets behind, probably from a decorated bridle or sword belt (Fig. 146, D). (I.D.D.C.). Hadleigh (HAD 002). Ro. Coins (2nd to mid 4th centuries) and an enamelled button-and-loop fastener, Wild type VIa. (I.D.D.C.). Hemingstone (HMG 018). Sx. Bronze disc brooch with Late Saxon Borre-style decoration (Fig. 148, F). (I.D.D.C.). Herringewell (TL7069; HGW Misc). Ne. Large polished flint axe. (E.Reeves). Hessett (HTT 015). Sx, Md. Bronze disc brooch, a worn example of the 9th-century ‘saints’ type, and a strap end of the same date. Coarse ware pottery, 12th to 14th centuries, and an enamelled heraldic harness pendant, lozenge-shaped with arms possibly of the de Ilketshale family (1262–1361). (I.D.D.C.). Hintlesham (HNS 023). BA. Fragment of a Late Bronze Age sword blade and the blade end of a small socketed axe or chisel, together suggesting a Late Bronze Age hoard. (I.D.D.C.). Horringer (HGR 019). BA, IA, Ro. Socketed bronze chisel, Late Bronze Age. Bronze flat ring terret fragment, later Iron Age. Roman coins (1st to late 4th centuries) and brooches (Langton Down and plate types). (M.d.f. per N.M.S.). Ickingham (TL7673; IKL 139). Pr, Ro, Sx. Surface scatter of worked flints, a sherd of Beaker and later Bronze Age/Iron Age wares; a substantial group of Roman pottery and tile and Early Anglo-Saxon hand made wares including stamped pieces. (P.Ardley). Ickingham (IKL 142). Ro, Sx. Roman coins (late 3rd to mid 4th century) and pottery and a slightly molten fragment of an Early Anglo-Saxon cruciform brooch. (M.d.f. per N.M.S.). Ixworth (IXW 057). Sx. Fragment of a Late Saxon bridle cheek-piece and a stirrup-strap mount, Williams Class A Type 14 (Fig. 148, A). (M.d.f.). Kenton (KNN 013). Ro, Sx. Roman brooches (Colchester and trumpet-derived types) and a strap ring with offset disc, 1st century. A plain bronze stirrup terminal, probably Late Saxon. (M.d.f.). Kenton (KNN 015). Sx. Bronze stirrup-strap mount, abraded but identifiably Williams Class A Type 3, in the form of a standing figure grasping a pair of serpents, 11th century. (M.d.f.). Kettlebaston (KBA Misc). IA. Bronze coin of Addedomaros, Van Arsdell 1646-1. (M.d.f.). Knodishall (KND 006). Md. Bronze figurine of a standing male figure, probably St John and originally attached to the limb of a processional cross (Fig. 150, A). (M.d.f.). Laxfield (LXD 043). BA, Ro, Md. Tip of a Late Bronze Age bronze spearhead. Roman coins (1st to mid 4th centuries) and two early Roman bracelet fragments. Circular lead seal matrix, inscribed ‘STHOME SCVS’ (‘the seal of Thomas Scus’) around a central cross and an illegible fragment of a pointed-oval seal matrix. (M.D.D.C.). Laxfield (LXD 044). Ro, Sx. Roman coins (1st to mid 4th century), a bronze rosette type brooch and a fragment of a probable 4th- or 5th-century strap end. An Anglo-Saxon small-long brooch. (M.D.D.C.). Leiston (LCS 135). Ro. Bronze centre-looped cosmetic mortar, brooches (Colchester and Colchester-derivative types) and coins (c. 260–335). (M.d.f.). Linstead Magna (LDM 003). Ro. Bronze brooch (Colchester-derivative type), bracelet, vessel escutcheon, miniature axe fragment, buckle and coins (1st to mid 4th centuries). (M.d.f.). Lowestoft (LWT 144). IA. Fragment of a large bronze terret with projecting mouldings on the ring and red enamel, probably 1st century in date. (M.d.f. per N.M.S.). Martlesham (MRM 039). Ro. A small test pit in the vicinity of a possible villa first identified c.1929 produced a white glass tessera. (John Tyler for Martlesham History Society). Mellis (MLS 017). Ro, Sx, Md. Penannular bronze brooch, Fowler type A3 with collared knob terminals. Two bronze stirrup terminals and a cheekpiece, Late Saxon. A bronze disc brooch with raised central setting, Late Saxon or medieval (Fig. 148, C), and an unusual lead strap end, perhaps a pattern, with an indistinct animal head motif. (M.D.D.C.). FIG. 147 – Group of Anglo-Saxon silver objects from near Ipswich. Melfield (MTF Misc). Ro. Bronze cosmetic grinder with centre loop and worn animal head terminals. (M.d.f.). Mickfield (MCK 017). Sx. Early Anglo-Saxon cruciform brooch. (I.D.D.C.). Mickfield (MCK 018). Sx. Silver secat, Series F bi, (c. 690–710). (M.d.f.). Milden (MDN Misc). Md. Gilded bronze bent fragment of a figure, probably Christ, which was perhaps originally enamelled, Limoges style, 13th century. (M.d.f.). Monks Eleigh (MKE 025). Md. Coins and tokens, 13th to 14th centuries and a bronze harness pendant, lozenge shaped and with an indistinct incised design of a cloaked woman. (M.d.f.). Monk Soham (MKS 011). Ro. Coins (Late 3rd to late 4th centuries), bronze brooch (Colchester-derivative type), ring, bracelet fragment, strap mount and lead steelyard weights. (I.D.D.C.). Mustford (MUD 017). Sx, Md. Early Anglo-Saxon cruciform brooch and medieval silver annular brooch. (M.d.f.). Nacton (NAC Misc). Md. Bronze hinge strap, decorated with notches and ring and dot motifs, from a fine casket or reliquary, late 11th to 12th century. (I.D.D.C.). Nettlestead (NTT 009). IA, Ro. Bronze miniature terret; coins (late 1st to later 4th century). (M.d.f.). Orford (ORF 106). IA, Md. A bronze ‘ribbed’ terret, probably 3rd or 2nd century BC (Fig. 143, B). Two very similar bronze harnesss pendants, four-armed around a centre square (Fig. 149, D, E). (I.D.D.C.). Oitley (OTY 023). BA. Fragment from the tip of a bronze spearhead, Middle or Late Bronze Age. (I.D.D.C.). Oitley (OTY 024). Ro, Sx. Bronze brooches including Colchester derivatives, head stud and a lower Severn T-shaped type, coins (1st to mid 4th centuries), nail cleaner, roof tiles and pottery including samian, amphora and Colchester colour-coated ware. A double-hooked fastener of Middle to Late Saxon type. (I.D.D.C.). Oitley (OTY 027). Sx. Bronze buckle, the complex design now very abraded, Late Saxon; and a silver penny of Æthelred II (c. 977–1003), long cross type, Norwich mint. (I.D.D.C.). Parham (PRH 005). IA, Ro, Sx. Cast bronze (potin) coin, ‘Thurrock’ type, Van Arsdell 1402. Bronze brooches (Colchester derivative and Hod Hill types), finger ring, coins (3rd to mid 4th century). Fragment of a Late Saxon bronze cheekpiece. (I.D.D.C.). Parham (PRH 010). Md. Bronze shield-shaped heraldic pendant or harness attachment with, unusually, circular attachment loops at the top and bottom. The front face bears impaled arms: dexter: a lion rampant with traces of gilding on a white enamelled background; sinister: two triple-turreted castles, gilded, on a red enamelled background. Probably the arms of the kingdoms of León (argent, a lion rampant gules) and Castile (gules, a triple-turreted castle or). As impaled arms, it should represent King Alfonso IX of León (reigned 1188–1230) and his wife Queen Berengaria of Castile (reigned 1214–17). If contemporary this would be an early instance of impaled arms and of the use of horse harness pendants; however Alfonso and Berengaria were the grandparents of Queen Eleanor of Castile, wife of Edward I (married 1254, died 1290), so perhaps the pendant was made then (Fig. 149, B). (I.D.D.C.). Parham (PRH 020). IA, Ro, Sx, Md. Gold stater, Gallo-Belgic E type, Van Arsdell 50 or 52. Roman coins (2nd to mid 4th century), bronze miniature axe. Early Anglo-Saxon wrist clasps, Hines forms B12 and B18. Bronze mount depicting a horse and rider with raised arms, possibly holding a drinking vessel – a type of Viking period dress or belt fitting found in England and in North Germany and Scandinavia which also includes ‘Valkyrie’ type figures such as one from near Wickham Market (Archaeology in Suffolk 2002, 347). (Fig. 148, B). Lozenge shaped bronze heraldic harness pendant, bearing a gilt cross engrailed on a dark-coloured enamel background, probably the arms of the Uffords, earls of Suffolk: sable, a cross engrailed or, between 1298 and 1382 (Fig. 149, C). (I.D.D.C.). Pettaugh (PAU 008). Ro. Bronze brooches (Colchester, Langton Down and Colchester-derivative types), coins (3rd to mid 4th centuries) and pottery. (M.d.f.). Raydon (RAY 021). Sx. Silver penny, CRUX type of Æthelred II (978-1016). (I.D.D.C.). Raydon (RAY Misc). IA. Gold stater, early Gallo-Belgic Ambiani type, Van Arsdell 10-1. (M.D.D.C.). Shimpling (SPL 024). Ro. Rectangular lead tag with a single hole on a short edge, which has writing incised on both faces; a similar object found in Carlisle identified the owner of the object to which it was attached (Fig. 144, C); also a few coins (late 3rd to mid 4th centuries), Hod Hill brooch, lock bolt and probable nail cleaner fragment. (M.D.D.C.). Shimpling (SPL Misc). Ro. Rectangular gold ear-ring comprising two plates joined at the margins. The front-plate is embossed with a decorative swagged border framing a central rectangular box-setting, now empty. The hook, now missing, was attached to the back plate. (M.D.D.C.). South Elmham St Margaret (SEM 009). IA, Ro, Sx. Silver coin, Icenian Pattern-Horse ECE type. Roman coins (2nd to late 4th centuries) and brooches (including Colchester, Colchester-derivative, knee and enamelled-disc types). Anglo-Saxon cruciform and small-long brooches. (M.d.f.). South Elmham St Mary otherwise Homersfield (SEY 017). IA. Bronze and iron object with relief curvilinear decoration, probably a clip for attachment to a wooden vessel or box; silver Icenian coin, Anted Pattern-Horse type and a bronze coin of Cunobelin, Van Arsdell 2107. (M.d.f.). Stanstead (STS 017). IA, Ro. Bronze uninscribed coin with possible serpent on abu and a stylised horse with rider to right rev., as Hobbs no. 2491; Roman coins, 1st to mid 3rd century. (M.D.D.C.). Stuston (SUS 032). Sx. Bronze cruciform brooch fragment with opposed S-motifs in a central rectangle, 6th century. Fragment of a probable Late Saxon bronze strap end. (M.d.f.). Sutton (SUT 022). Ro, Sx. Enamelled bronze panel from a small hexagonal vase, originally rivetted together along the flanged edges, with blue enamel. Gilded bronze decorated fragment, probably from an ornate Anglo-Saxon brooch. (M.d.f.). Thorrndon (THD 025). BA, Ro. Bronze tang probably from a Middle or Late Bronze Age knife or razor. Bronze mount in the form of a female head with ornate hair arrangement and ornament, probably from a Roman wooden casket (Fig. 144, F). (M.D.D.C.). Tostock (TCK 011). Me. Flint tranchet axehead. (M.d.f.). Trimley St Martin (TYN 104). Sx. Fragment of an Early Anglo-Saxon bronze small-long brooch, and a sherd of Ipswich ware pottery. (M.d.f.). Trimley St Mary (TYY 050). Ro, Sx. Roman grey ware pottery and coins (late 3rd to mid 4th centuries). A hand-made, possibly Anglo-Saxon sherd and a sherd of Ipswich ware with circular lattice stamp decoration. (M.d.f.). Trimley St Mary (TYY Misc). Ro. Bronze button-and-loop fastener, unusually with a head comprising four joined circles containing red enamel. (I.D.D.C.). Ubbeston (UBB 033). Md. Circular lead seal matrix, not very competently engraved: 'IOH DE VELMOSA.' (John de Velmosa') retrograde with a cross patty; coins (late 13th to 16th centuries), pottery and two annular bronze brooches. (M.D.D.C.). Uggeshall (UGG Misc). Ne. Small polished axe in pale grey flint. (per N.M.S.). Great Waldingfield (WFG 038). IA, Ro. Bronze coin, probably of Cunobelin as Van Arsdell 2097. Roman coins (mid 2nd to mid 4th centuries) and the terminal of a cylindrical handle from a 'sceptre' – similar objects are known from religious contexts including Willingham Fen, Cambridgeshire and Wanborough, Surrey (Fig. 144, B). (I.D.D.C.). Little Waldingfield (WFL 015). IA, Md. Bronze brooch, late Iron Age Knotenfibel type. Lead pointed oval seal matrix inscribed S' AGN' VX' IOHIS ('the seal of Agnes wife of John') around a foliate device. (I.D.D.C.). Little Waldingfield (WFL 016). IA. Bronze coin of Cunobelin (c. A.D.10–40), Van Arsdell 2109-1. (I.D.D.C.). Wantisden (WNN 015). BA. Small bronze shouldered socketed axehead, a type rarely found in England and dated to the Wilburton phase of the Late Bronze Age (Fig. 142, B). (M.d.f.). Wattisham (WAM 012). Sx. Cut silver halfpenny, jewel cross type of Harold (1035–1040). (I.D.D.C.). Wenham Parva (WMP Misc). Sx. Lozenge-shaped openwork bronze brooch of Viking type. (I.D.D.C.). Wenhaston (WMH 004). Ro. Bronze crest holder from a 1st-century legionary helmet. (M.d.f.). --- FIG. 149 – Medieval bronze harness ornaments from (A) Bures St Mary, (B, C) Parham, (D, E) Orford. Wenhaston (WMH 027). Sx. Middle Saxon bronze hooked tag dress fastener with silver wire decoration laid in white paste. (M.d.f.). Westerfield (WRF 007). BA. Socketed bronze axehead of standard south-eastern type, Late Bronze Age. (M.d.f.). Westerfield (WRF 008). Sx. Silver penny of Offa, moneyer Winoth, Blunt type 83 (787–792). (M.d.f.). Wetheringsett cum Brockford (WCB 059). Ro. Fragment of a bronze cosmetic mortar with a horned bovine terminal. (I.D.D.C.). Weybread (WYB 052). Pa, Me. Large rejuvenation flake from a long blade core and three other flakes, Upper Palaeolithic or early Mesolithic. (M.Cawston). Wherstead (WHR 063). Ro? Cropmarks including possible parchmarks of buildings close to a known area of Roman finds. (J.McLinden). Wickham Sketh (WKS 003). IA, Ro, Sx. Fragment of an early Icenian Face-Horse silver coin. Roman coins (1st to late 4th centuries), brooches (including Colchester derivative types and an enamelled hare type) and a late bronze finger ring. Early Anglo-Saxon cruciform and small-long brooches and a wrist clasp. (M.d.f.). Wingfield (WGD 025). Sx. Bronze counter plate from an Anglo-Saxon buckle of Frankish type, with pierced lugs on the back for attachment; the decoration includes three stylised rivets (punched dot, with circle on the side ones), possible animal heads along the edges towards the narrow end and a central possible human figure with shoulders at the broad --- FIG. 150 – Medieval (A) bronze figure, (B) gold pendant from near Framlingham. end (the head could have been at the base of the buckle pin) with belt and short legs at the narrow end (Fig. 146, E). (M.d.f.). Winston (WNT 016). IA, Sx. Iron Age silver coin, ‘Bury’ type A, Van Arsdel 80 and a bronze biconical collared-head pin, probably of Middle Saxon date. (M.d.f.). Winston (WNT 050). Ro, Sx. Bronze bust of Minerva emerging from a flower on a small circular base, probably an ornamental fitting (Fig. 144, A). Anglo-Saxon bronze wrist clasp, Hines form B13a, late 5th or 6th century, and a silver sceat, Series L, type 12, (c. 630–760). (M.d.f.). Witnesham (WTN 019). IA, Ro. Bronze strap fitting ring with offset disc, decorated with a spot of red enamel, and unusually with the shaft below the disc perforated; perhaps related to Roman button-and-loop fasteners and similar Iron Age fittings. Roman bronze Colchester-derivative brooch and bracelet. (M.d.f.). Worlington (WGN 027). Sx. Incomplete Late Saxon brooch in the shape of a bird. (M.D.D.C.). Wortham (TM 0979; WTM 038). BA. Pottery sherds including Beaker and worked flints found in a recently dug roadside ditch. (M.Noble). Wyverstone (WYV 008). Sx. Bronze disc brooch with central setting containing blue glass or enamel, a ring of circular depressions around this and a worn outer border of incised rocker decoration; very similar to one from Mellis, probably Late Saxon (Fig. 148, D). (M.d.f.). near Framlingham (ESO Misc) Md. Lozenge-shaped small gold pendant with relief designs on both faces: on one face a facing bust in bishop’s mitre, inscribed S and probably T for St Thomas Becket (or possibly ?N for St Nicholas); and on the other face an annunciation scene with a central lily in a pot, a kneeling Archangel Gabriel to the right and Virgin Mary to the left (Fig. 150, B). (M.d.f.). near Ipswich (PAS SF-0C2447). Sx. Fragments of ornate silver square-headed brooch, Hines Group II; silver stud; wrist clasp of Hines class A (Fig. 147, A-C); bronze cruciform and annular brooch fragments; and a small buckle. FIELD SURVEYS Brandon, Elms Covert (TL/7883; BRD 167 and 168). A rapid earthwork identification survey followed the discovery of earthworks by Forest Enterprise staff during felling operations. Two adjoining areas of former flint mines, over 5ha in extent, with very large and well preserved earthworks, mainly of gulley and circular pit type. The presence of some initial knapping (quartering) debris, probably Napoleonic, was also noted. (Colin Pendleton, S.C.C.A.S. for the Forestry Commission). Glemsford, Park Farm (TL/8348; GFD 032). The fieldwalking of a small (c. 3ha) area located a substantial roadside scatter of 15th- to 18th-century peg-tile fragments (note: no buildings are shown here on maps from the late 18th century onwards). Also a thin scatter of later prehistoric worked flints, medieval and post-medieval pottery. (Colin Pendleton, S.C.C.A.S. and members of Glemsford Local History Society). Santon Downham, Downham Highlodge Warren (TL/8085; STN 030). Rapid earthwork identification survey located small (0.6ha) area of surviving earthworks from post-medieval flint mines, partly enclosed by a contemporary (early 19th century?) boundary bank. Three forms of mine-head earthworks were visible; large gulley, small crescent (one-man?) and slightly larger circular pit types. These adjoined a 1.2ha area of former mines which had been levelled to create an arable field in the later 19th century, although the remains were still visible in the form of spread chalk spoil. (Colin Pendleton, S.C.C.A.S. for the Forestry Commission). Thornham Estate (TM/17). Work has continued with repeated fieldwalking of several areas on the estate by permission of Lord and Lady Henniker and this has been extended to surrounding areas by permission of several farmers. Work has revealed increasing evidence of many areas of activity from the Neolithic to the recent past. Metal detecting in the plough soil has added to our record of coins and ornamental metalwork. A small trial excavation has revealed that one area of the Roman town has well preserved evidence of two distinct phases of Roman activity. The early phase includes samian pottery typical of the 1st century and large portions of several other early pots. Documentary research has isolated two possible sites for the medieval chapel and these will be examined on the ground. A number of long distance routeways are being studied and recorded as they cross the area of study. A geophysical survey is to be conducted on certain key areas. Material is being brought together for a publication which will compare these findings with evidence from some of the parishes in the Waveney Valley. (Mike Hardy and John Fairclough with members of the Thornham Estate Research Group). --- ARCHAEOLOGICAL EXCAVATIONS Ballingdon cum Brundon, Brundon Hall (TL/8642; BCB 014). The desilting of a canal-like feature was monitored. This feature lies roughly at right-angles to the River Stour, but is separated from it and may originally have been the western arm of a medieval moat that enclosed the Hall area. The ‘moat’ was found to be fairly shallow with a flat base of solid gravel encountered at less than 1m from the top of the fill. On the western side of the moat the base of a brick and flint wall, built with lime mortar, was partially exposed and some rubble from the collapse of this feature was dredged out. The general appearance of the bricks suggests that they were machine-made and 19th century. No evidence for wooden structures was recovered and the desilting work was restricted to the ‘black sludge’ and the infill vegetation. (Andrew Tester, S.C.C.A.S. for Mr P. Norman and DEFRA; report no. 2004/16). Benacre, land adjacent to Benacre Wood (TM/4984; BNC 047). An evaluation on the site of a proposed agricultural irrigation reservoir revealed evidence of medieval occupation along the frontage of Wood Lane at the northern limit of the site. This was followed by targeted excavation of a small area around the most archaeologically productive evaluation trenches. The principal findings were medieval in date, with only ephemeral evidence of late prehistoric and Saxon activity. The earliest medieval features were a series of small field and boundary ditches and a single pit. These may have been established in the 11th or 12th century and continued in use perhaps as late as the 14th-century. Sometime in the 13th or 14th century a moated site was constructed. Although this was only partially revealed, three arms of its ditch could be examined showing that it appeared to have been relatively small (the area enclosed appears to have been just 240sq.m) and short-lived, being abandoned before the onset of the 15th century. Limited evidence of structures and domestic occupation on the moated platform was recorded. Contemporary in date to the moat was a pond immediately adjacent to the western moat ditch and two superimposed sub-rectangular enclosures some 100m to the east. (Rhodri Gardner, S.C.C.A.S. for the Benacre Estate; report no. 2003/122). Bury St Edmunds, Moyses Hall (TL/8564; BSE 024). A survey of the south elevation was undertaken during the repairs following the recent collapse of part of the face of the building. Features associated with the original Norman build included areas of the surviving facework (identified by horizontal flint coursing); building lifts and putlock holes were recorded, along with the sequence of subsequent repairs and alteration. The face on the ground floor had been completely remodelled and the gables are later additions but much of the central section is 12th-century work. The south-east corner of the building has been extensively altered to create a drop for the clock weights, and was found to be tied into the rest of the structure with reused oak beams built into the masonry core. The head of a blocked original opening, possibly a first floor door, was also found. (David Gill, S.C.C.A.S. for St Edmundsbury Borough Council). Bury St Edmunds, land adjacent to the Lathbury Institute, Church Row (TL/8564; BSE 175). The monitoring of footing trenches during the construction of four houses uncovered evidence for at least fifteen pits. A small proportion of the spoil was seen during excavation and two sherds of pottery were recovered. Only one sherd was stratified in a pit but both were medieval coarse wares of 12th- to 13th-century date. (Andrew Tester, S.C.C.A.S. for Mr Mothersole; report no. 2003/43). Bury St Edmunds, High Baxter Street (TL/8564; BSE 202). The construction of two houses on the site of the former Suffolk Hotel garage led to an excavation of the street frontage. A residual sherd of Anglo-Saxon pottery was the earliest find from the site. The first significant occupation evidence was from the medieval period with some evidence of building although the site was mostly filled with pits for rubbish and cess disposal. This suggests the street frontage was of secondary importance at this time. During the late 16th or early 17th centuries about a third of the site contained a building with a chalk floor that fronted onto the street and had a substantial cellar to the rear. At least two property boundaries ran through the site, aligning with those that extended as far as the market place. Adjoining the building were rubbish pits and a well. The cellar was infilled in the late 17th century, possibly because of a fire although the evidence is inconclusive. The well was also infilled at this time. The property boundaries changed, probably during the 19th century, with a wall foundation running across the middle of the site suggesting there may have been two terraced houses. These were levelled, and the garage attached to the Suffolk Hotel represents the most recent use of the site. (Andrew Tester, S.C.C.A.S. for Mr Gordon Ellis; report no. 2003/18). Bury St Edmunds, 97 Risbygate Street (TL/8564; BSE 210). Monitoring was carried out during the excavation of footing trenches for an extension to the rear of the site. At least eighteen pits were identified with a wide range of dates represented. The earliest pit group dates from the 13th–14th centuries, but a single large posthole was the only contemporary structural evidence. There was no evidence from the finds recovered from the pits to indicate which activities may have taken place on the site beyond basic domestic consumption. (Andrew Tester, S.C.C.A.S. for C. J. Bowers and Son Ltd; report no. 2003/52). Bury St Edmunds, 6 Cannon Street (TL/8564; BSE 213). A watching brief carried out during the building of a small extension uncovered a pit. A small sample of the fill produced one sherd of handmade pottery which is dated either Early Saxon (5th–7th centuries) or Early Medieval (11th–12th centuries). (Andrew Tester, S.C.C.A.S.; report no. 2004/13). Bury St Edmunds, 40 College Street (TL/8563; BSE 214). Monitoring was carried out during the excavation of footing trenches for a new house. At least thirteen pits were identified. Dating evidence was sparse, but the majority appear to have been medieval, beginning in the 13th century. A chalk surface may be evidence for a medieval building behind the College Street frontage. This was covered by a soil layer which may indicate a hiatus in activity during the late Middle Ages, but the evidence was not conclusive and a tile- and mortar-lined well from this period was backfilled with domestic rubbish during the 16th–17th centuries. (Andrew Tester, S.C.C.A.S. for Mr & Mrs J. Monckton; report no. 2003/98). Bury St Edmunds, 22 Brentgovel Street (TL/8564; BSE 215). Four pits were exposed in footing trenches during the construction of a conservatory to the rear of this property. One of these produced 36 sherds of 12th-century pottery. (Andrew Tester, S.C.C.A.S.; report no. 2005/81). Bury St Edmunds, 84 Southgate Street (TL/8663; BSE 216). The walls of a cellar from an early post-medieval building and a ditch were recorded during a series of visits to monitor groundworks at the rear of the property. The ditch was 2m wide and in excess of 1m deep and may represent an earlier property boundary, which would have divided the plot into two equal halves. This suggests that the current plot may result from the amalgamation of two medieval properties and it is noticeable that the plot widths of the other properties in this row, many of which are timber framed, are about half that of number 84. The finds from the ditch suggest that this merger may have occurred in the late 17th or early 18th century and the site was a large single plot when Thomas Warren drew his map of Bury in 1747. Residual pottery indicates that there was activity on the site in the 13th to 14th centuries, although all of the features were later. (David Gill, S.C.C.A.S. for Mr D. Cunningham; report no. 2009/95). Bury St Edmunds, Warren Yards, St Andrew's Street South (TL/5826; BSE 217). A group of three ovens, built into the base of a sunken room or cellar, were found during excavations in advance of a housing development. (Fig. 151). The ovens were circular and between 1.8m and 2.7m in diameter and survived to the height of the oven floors. They were built against the sides of the cellar (measuring 7.5 x 4m) cut into the natural chalk, the floor being 1.2m below the medieval ground surface. The cellar was accessed by a chalk ramp and postholes around the edge of the cellar suggest that it was partly covered by a timber structure. The burning in the ovens indicated that they were operated at low temperatures and in the absence of contradictory evidence were thought to be for baking bread. The size and robust build of the structure implies that these were part of a commercial bakery rather than domestic ovens. The pottery from the cellar backfill dated them to the late 13th to early 14th centuries. (David Gill, S.C.C.A.S. for Mantpellor Estates Ltd). Bury St Edmunds, 25 Out Risbygate (TL/8464; BSE 218). The graves of at least twelve individuals were found during the archaeological monitoring of trenches excavated for an extension at the rear of this property. These are thought to relate to the nearby medieval hospital of St Peter (the site of which is now a nursing home) and probably indicate that a substantial cemetery existed in the eastern half of the hospital precinct. Possible evidence for a medieval building, perhaps the cemetery chapel, was also identified. (Sue Anderson, S.C.C.A.S. for Mr D. Sayer; report no. 2003/88). Bury St Edmunds, 44-47 St Andrew's Street (TL/8564; BSE 219). The remains of a large man-made gravel bank, part of the medieval town defences, were found running N-S along the St Andrew's Street frontage. The bank was 12.2m wide and sealed the original ground surface. Inside the bank a very deep garden soil, which contained a large assemblage of pottery and animal bone, had accumulated as a result of the emptying out of rubbish pits during the 13th and 14th centuries. A large medieval or early post-medieval outbuilding, constructed around earth-fast posts was also recorded. It was possibly a cart shed and not built until an access from St Andrew's Street was created when the town defences were pulled down, which began soon after the Dissolution. A similarly sized and shaped building is shown on the Warren Map of 1747. A circular brick oven was also found; the bricks dated the oven to the late 18th or early 19th century and it was large enough to be part of a commercial concern. (David Gill, S.C.C.A.S. for Goymer Properties Ltd; report no. 2003/87). Carlton Colville, land south of bypass, west of Hollow Lane (TM/5190; CAC 001, 031 and 032). An evaluation in advance of housing development indicated three areas of potential archaeological interest. At the extreme N.E. corner of the development area a feature associated with site CAC 001 was recognised. Previous work in 2003, in advance of a new bypass, had recognised a series of enclosure ditches defining a multi-period site dating from the Neolithic to the Saxon periods (CAC 001 and 026). A ditch found during the current evaluation is probably part of the western boundary of this enclosure. Across the central part of the development area (CAC 031), widely spaced features of probable prehistoric date were revealed. One small and one larger pit both contained early Iron Age pottery. An undated, isolated cremation is of probable Bronze or Iron Age date. Significant prehistoric features have been found to the east (CAC 001/026) and to the south (CAC 030), and it is likely that these individual features are outliers from these main concentrations and represent utilisation of the whole landscape during the prehistoric period. A very large ditch, 3.5m in width, was recognised running N.E. to S.W. across the site. This could be the continuation of a large ditch on a similar alignment from site CAC 030 to the S.W. This feature appears to define the boundary between the sand and clay subsoils. In the extreme S.W. corner of the site, a concentration of largely undated features (CAC 032) are thought to be outliers from a scatter associated with Carlton Hall (CAC 004) to the immediate S.E. This building is thought to be on the site of a medieval, or possibly Saxon, manor. (Jezz Meredith, S.C.C.A.S. for Persimmon Homes (Anglia) Ltd; report no. 2003/175). Carlton Colville, land off St Peter’s Road (TM/5190; CAC 030). Six trenches all revealed features of archaeological potential. Of particular interest were two areas, 30m apart, on the N.E. edge of the site. The first had the remains of an occupation horizon or buried soil that contained prehistoric artefacts (Mesolithic to Iron Age). The second had a concentration of features of both prehistoric and Late Saxon date. Modern disturbances were encountered at both the N.W. and the S.E. ends of the site. Despite a considerable degree of recent earth movement along the frontage of St Peter’s Road, one pit of possible Early Saxon or medieval date survived. A series of undated features were encountered in the south corner of the site. Considerable areas in the north and west of the site could not be evaluated due to standing buildings and yard surfaces. (Jezz Meredith, S.C.C.A.S. for Persimmon Homes (Anglia) Ltd; report no. 2003/62). Clare, Clare Priory (TL/7744, CLA 037). An investigation of the church was carried out to determine how much of the original medieval work remained on the south side of the building, which had been extensively rebuilt during the late 19th century. The church was built, probably in the 14th century, as an infirmary with an upper floor. During the 18th century it was converted into a barn by removing the upper floor and by opening up the south wall to create large floor-to-eaves doors. A measured survey of the inner and outer elevations and a series of test holes identified the areas of remodelling and the limits of the surviving medieval build which included the footings which had been left in when the wall was opened up. A second medieval footing, in the form of a solid pad of bonded flint covering 7sq.m, projected from the southern wall and could be the base of the outshot staircase that is illustrated on an early 18th-century engraving of the building. Evidence of an earlier footing suggests that there was a masonry building on the site before the church. (David Gill, S.C.C.A.S. for Clare Priory; report no. 2003/10). Claydon, Taimoshan, Church Lane (TM/1349; CLY 021). Contractors’ excavations for a house basement revealed a large prehistoric pit in section. Subsequent archaeological investigation showed this feature to be nearly 3m in depth. At its top there was a wide upper weathering cone c.5m in diameter, but below this the sides were nearly vertical with a diameter of c.2.5m. Given the loose nature of the sand subsoil it is likely that this pit had a wooden revetment. Pottery recovered from near the base of the pit consisted of Grooved Ware, suggesting a later Neolithic date for this feature. Higher up the fill a definite break in the stratigraphy suggests a later recut or possibly a higher section of revetment. Pottery recovered from the fill of this part of the pit suggests an earlier Bronze Age date and fragmentary pieces of undiagnostic burnt bone might belong to a dispersed cremation. Neolithic pits at Broome Heath in Norfolk contained square wooden containers and a similar interpretation might be possible for this Claydon example. Deep pits and shafts are known from the earlier Bronze Age, becoming more common in the Iron Age. The Claydon pit might be an early example of this long established prehistoric tradition. Alternatively it might be the product of a natural process, caused by the erosion of chalk at a lower level. Whether natural or not, it seems likely that this feature was carefully prepared, revetted and was used for the deposition of carefully structured deposits. Saxo-Norman Thetford-type Ware pottery was recovered from a nearby unstratified context, suggesting that the adjacent St Peter's Church, of Saxon foundation, may have been the focus of a Saxon/early medieval settlement in this area. (Jezz Meredith, S.C.C.A.S. for Mr and Mrs Duncan; report no. 2003/147). Coddenham, Vicarage Farm (TM/1254; CDD 022). Metal detecting on this site over a number of years has located an unusually rich assemblage of Anglo-Saxon coins and other metalwork. In order better to understand the assemblage and establish a context for it, archaeological fieldwork was commissioned by the BBC for the series 'Hidden Treasures'. This fieldwork comprised two elements. Firstly, a geophysical survey was undertaken by GSB Prospection; secondly, twelve evaluation trenches were opened in locations chosen both to sample the whole study area and to investigate anomalies identified by the geophysical survey. Archaeology in the southern part of the site was restricted to a small area of post-medieval occupation and occasional isolated features, including one pit of probable Iron Age date. An extensive spread of charcoal-rich material, sealed by subsoil but disturbed by root and agricultural action, was identified in the northern part of the site. This was rich in animal bone and assumed to be an occupation layer, despite the fact that it contained virtually no pottery. Features were present beneath this layer but only one small pit, probably associated with metal-working, was visible within, or cutting the layer. The most notable structure identified during the evaluation was a 'hall' building of post-in-trench construction, measuring 11m x 7m, and probably 7th-century in date. Two possible sunken-featured buildings were also identified. The associated pottery assemblage was sparse but was all handmade, with a variety indicative of 7th-century settlement. (Linzi Everett, S.C.C.A.S. for the BBC; report no. 2003/66). Darsham, Darsham Old Hall, Westleton Road (TM/4169; DAR 012). Monitoring of a new extension (the north wing) indicates that the new build was within the footprint of an earlier structure, confirming historical accounts of the plan of the house. Unstratified finds of 15th/16th-century date were recovered from the excavated spoil. (Jezz Meredith, S.C.C.A.S. for Mr K. Cormack; report no. 2003/178). Eriswell, Temporary Lodging Facility, RAF Lakenheath, (TL/7380; ERL 127). Evaluation in advance of the construction of the new Facility revealed two undated gullies, a probable geological feature and three undated pits which may be prehistoric but could equally be tree holes. Subsequent monitoring of the groundworks revealed clear 'mouldboard' ploughmarks in section. These were a single set of marks, cutting into undisturbed Breckland heath and sealed by later soil deposits and may represent rare evidence for the expansion of agriculture across the Breckland. A sample of the ploughmarks has been taken for Optically Stimulated Luminescence (OSL) dating and for soil micromorphological analysis which will be undertaken if the OSL gives a medieval or earlier date. (Jo Caruth, S.C.C.A.S. for the Ministry of Defence, Defence Estates (USF), report no. 2003/48). Eriswell, Family Housing Maintenance Facility, RAF Lakenheath (TL7279; ERL 129). Evaluation and excavation in advance of a new building revealed a continuation of the droveway ditches found in an adjacent site (ERL 089). These were found in the southern end of the site. The remainder of the development area contained small black and grey sand-filled pits most of which contained little dating material but the few that did appeared to belong to the Early Neolithic period and included a single cremation. (Jo Caruth, S.C.C.A.S. for the Ministry of Defence, Defence Estates (USF)). Eye, 37 Castle Street (TM1478; EYE 065). The construction of a garage fronting the street and situated at the base of the castle motte was monitored. Remains of a building, which appeared to be aligned with the road but was of uncertain date, were observed in the base of the garage footprint whilst the significant depth of overburden suggests that the site impinges on the infilled motte ditch, which is believed to follow the line of Castle Street. Finds from the overburden layer were all of post-medieval date, suggesting that the ditch became redundant and began to be back-filled around the 15th or 16th century. (Linzi Everett, S.C.C.A.S. for Mr & Mrs Perry; report no. 2003/108). Flixton, Tarmac Quarry (TM2986; FLN 009). An evaluation and excavation was undertaken over an area of 2.7ha in advance of gravel extraction. The funding for the work was provided by a grant from the Aggregates Levy Sustainability Fund while the soil-stripping plant was provided by Tarmac. The perceived high archaeological potential for the site was based on previous significant findings in both Flixton Quarry (Tarmac) and the adjacent Flixton Park Quarry (RMC Aggregates Ltd) and aerial photographs which had revealed a square ditched enclosure. Deposits relating to a number of archaeological periods were recorded. (Fig. 152). The earliest features were sixteen pits of Late Neolithic/Early Bronze Age date. Superficially these features exhibited a similar character to others excavated at Flixton, although the Grooved Ware pottery was of a different type (Clacton sub-style rather than Durrington Walls sub-style) which could be contemporaneous with or slightly earlier (c.2900 B.C.) than the previously excavated assemblages. These may represent structured deposits, with flint tools and pottery sherds deliberately placed within their fills, although the worked flint assemblage did contain a relatively high proportion of general knapping waste, as opposed to worked pieces. It can, therefore, be argued that these deposits were generated by more domestic rather than specialised activities. A second prehistoric phase, dating to the Late Bronze Age, was represented by four pits, although they did contain around 80% (by weight and number of sherds) of the whole prehistoric pottery assemblage. These features were located in the same general area of the site as the Late Neolithic/Early Bronze Age features. In addition, the presence of a relatively large quantity of worked flint and pottery within the topsoil and, more significantly, in pockets of surviving subsoil is suggestive of a generally high level of prehistoric activity. It seems likely, therefore, that more superficial deposits of this date have been truncated by agricultural activity. While no actual features of medieval date were recorded, the alignment of the pre-mid-19th-century route between Flixton and Hornersfield was preserved by two parallel ditches that may have flanked a hedgerow on the northern side of the road. The majority of the archaeological deposits, however, were of post-medieval date, the earliest phase of which included the square ditched enclosure (c. 30 x 30m) and its internal building, defined by a square footing (6 x 6m) of rammed brick and tile. This feature was interpreted as a folly, or perhaps a dovecote, in the parkland associated with Flixton Hall and was probably erected in the 18th century, although the dating evidence was ambiguous and an earlier, possibly 17th-century, date is also considered as a possibility. Other features attributed to the earlier post-medieval phase were a small group of pits that were thought to represent formal tree-plantings and the redundancy of a ditch which itself appeared to relate to an earlier, possibly medieval, rectilinear field system. A second post-medieval phase was associated with a major landscape upheaval in Flixton Park undertaken during the middle of the 19th century when the Flixton to Homersfield road was re-routed northwards to its present position. A tree-lined avenue was also planted at this time, the western side of which was recorded in the excavation area. The third post-medieval phase related to the First World War when a large area of Flixton Park was given over to military training, the surviving evidence for which is backfilled trenches and latrine pits. (Stuart Boulter, S.C.C.A.S. for Tarmac and English Heritage; report no. 2003/107). Flixton, New Phase 12, Flixton Park Quarry (TM/3086; FLN 064). Archaeological deposits relating to two phases of activity were identified when an area of 1.5ha was stripped of topsoil. A small ring-ditch (c.8m in diameter) was recorded, with a possible central burial and an adjacent unurned cremation. While no dating evidence was recovered, it is thought likely that these features were associated with the dispersed group of round barrows in the area which are Early Bronze Age in date. In addition, a series of ditches of post-medieval date were recorded, all of which were associated with the parkland surrounding Flixton Hall. A double ditch-line marked the northern side of the pre-mid-19th-century route of the Flixton to Homersfield road, while a small enclosure coincided with a formally planted wood shown on early maps. (Stuart Boulter, S.C.C.A.S. for RMC Aggregates Ltd). Framlingham, 47–55 College Road (TM/2863; FML 042). An evaluation was carried out within a proposed development area that is believed to lie within the site of a medieval hermitage. Three trenches revealed that the site had been subject to considerable post-medieval disturbance. However, an assemblage of 16th-century finds from the trenches suggests activity on the site at this time, possibly coinciding with the end of the active life of the hermitage. (Linzi Everett, S.C.C.A.S. for Seven Property Group; report no. 2003/116). Freckenhams, Hill Farmhouse, Chippenham Road (TL/6671; FRK 083). Five small trenches opened as part of the ‘Time Team Big Dig’. Over 50 local participants recovered prehistoric material in every trench, including flintwork and relatively large amounts of later Bronze Age to Iron Age pottery together with a contemporary small pit or posthole and, significantly, a surviving buried soil layer, demonstrating potentially good archaeological survival of the prehistoric deposits. Also a few Roman finds including a fragment of bronze bracelet. The site adjoins a scatter of Neolithic to Iron Age flintwork and pottery found fieldwalking in 1999 (see ‘Archaeology in Suffolk 1999’). (Colin Pendleton, S.C.C.A.S., observation of works by permission of Mr & Mrs Pieters). Gedding, Gedding Hall (TL/9558; GDD 001). A 1sq.m trench was excavated in connection with the ‘Time Team Big Dig’ to investigate the site of a building shown on the tithe map of 1842 close to the S.E. corner of the moat surrounding the Hall. This building (measuring 17 x 6.5m) is presumed to have been a barn and it formed a part of the eastern side of a rectangular forecourt to the south of the moat. The forecourt and its buildings had been removed by the time of the Ordnance Survey 1st edition map of 1885. The trench was placed over the estimated line of the west wall of the barn, but although some loose brick rubble was encountered, no definite traces of a building were found. It is presumed that the foundations of the building were removed when the area in front of the Hall was landscaped in the 19th century. (Edward Martin, S.C.C.A.S. for Bill Wyman and Channel 4). Hoxne, Oakley Park Pit (TM/1776; HXN 001). A week’s work in early September and a further three days in October concluded the field element of the environmental and dating project that has been taking place at this Lower Palaeolithic site since 2000 (for a summary of the previous work here see last year’s report). Current work. The work since 2000 has examined and sampled all the units described previously, in particular the lake sediments through coring in the Brickyard Pit, and through open excavation of all the contexts described in the upper sequence, including those that contain the Lower and Upper Industries. The work in 2002 was particularly important as this demonstrated in section the relationship between the contexts that contain the Lower and Upper Industries (Ashton et al. 2003). This showed that the fluvial sediment of Bed 4 overlies Stratum C, and that both are cut by a previously unrecognised channel, on a south-west to north-east axis and which is filled with sands, silts and clays. The Lower Industry was excavated from a gritty sand on the north-west margin of this channel. The Upper Industry is from the upper part of Bed 5 which appears to be a colluvial deposit that overlies Bed 4 and the southern part of the newly recognised channel. This work suggests that the Lower Industry was later than both Stratum C and Bed 4, an observation that was confirmed through two separate trenches (Areas V and VI) in 2003. These trenches lay to the west and to the east of the west cuttings of Singer et al. (1993) from which the Lower Industry had been excavated. Area V, in particular, contained horse bones and flint artefacts from the same context as the Lower Industry and could be shown to lie in the base of the new channel. Initial re-examination of the fauna that was associated with the Lower Industry suggests a relatively warm environment, with species such as fallow deer, red deer and thermophilous fish such as tench and rudd. In 2002 a core was taken from the deepest part of the lake basin, adjacent to that of Evans et al. (1896) (Ashton et al. 2003). In October 2003 the upper part of the sequence, in particular Stratum C was examined in more detail through a 4m x 4m excavation alongside this borehole. Stratum D was exposed at the base overlain by c. 3.5m of Stratum C and by up to 30cm of a sandier unit at the top, interpreted as a lateral facies of Bed 4. The section was sampled extensively for vertebrates, molluscs, ostracods, beetles, plant macrofossils and pollen. While excavating, leaves of dwarf birch and dwarf willow were readily identifiable. The stratigraphic succession at Hoxne therefore shows several changes in climate. The till (stratum G) indicates glacial conditions followed by climatic warming during the lake sequence, culminating in the alder carr of Stratum D. A probable hiatus occurs in the sequence (Charles Turner pers. comm.) prior to the regeneration of the lake under cold conditions as shown by the sediments of Stratum C. A further warming in climate is probably indicated by the fauna of Bed 4 and certainly by the fauna associated with the Lower Industry in the newly identified channel. The lacustrine sequence at Hoxne is generally correlated with OIS 11 which is known to be a complex temperate stage (Tzedakis et al., 1997). If the interglacial sequence at Hoxne within strata F–D represents the early part of OIS 11, the cold-warm oscillation shown by stratum C and the overlying deposits could either be attributed to a later part of OIS 11 or subsequent OI stages. It is hoped that continued analyses on the samples taken through the current work will resolve these critical issues. Acknowledgements. We would like to thank the British Museum, the British Academy, the Society of Antiquaries and the Leverhulme Trust (through the Ancient Human Occupation of Britain project) for funding the project. We are also grateful to Andrew and Mel Banham, Peter Whatling and Suffolk County Council for access to the sites. (Nick Ashton, Department of Prehistory and Europe, British Museum, Simon Lewis, Department of Geography, Queen Mary, University of London and Simon Parfitt, Department of Palaeontology, Natural History Museum, and Institute of Archaeology, University College London). Hoxne, Oakley Park Stables (TM/1777; HXN 016). Groundworks for the conversion of a former stable block to a dwelling were monitored. Much of the site had been subject to considerable disturbance but evidence of what appeared to be an infilled moat was observed in underpinning trenches on the east and west sides of the northern half of the stable block. (Linzi Everett, S.C.C.A.S. for Mr & Mrs Nicolson; report no. 2003/141). Icklingham, All Saints’ Churchyard (TL/7772; IKL 088). Recording prior to, and during, repairs to the churchyard wall identified a rare surviving length of original wall which may be medieval. There was no objectively datable material in this length of wall and a sample of the lime mortar has been sent to the Oxford Research Laboratory for Archaeology for Optically Stimulated Luminescence dating. Results are awaited. Later sequences of build, repair and modification to the wall were also identified and the original wall capping was shown to be triangular in profile. (Jo Caruth, S.C.C.A.S. for the Churches Conservation Trust; report no. 2003/85). Ipswich, Handford Road (TM/1544; IPS 280). An excavation was carried out prior to a residential development on the former Firmin Works site. The excavation covered approximately a half of the 1ha development area. Trial-trenching in 1997 had identified significant archaeological deposits of Roman date close to the road frontage, particularly towards the N.E. corner of the site. The Roman archaeology appeared to span the whole of that period with features, predominantly ditches, of earlier Roman date and an overlying occupation layer which included later Roman finds. In addition, a single sherd of Early Saxon pottery and a possible sherd of Middle Saxon Ipswich Ware were recovered. The initial phase of the excavation involved the mechanical removal of the upper layers of overburden leaving approximately 0.2 metres of the occupation layer. The site was then divided into 2m squares from which a ten-bucket sample was removed from each and manually sieved to recover artefactual evidence. An undisturbed subsoil/occupation layer was identified towards the N.W. corner of the site, whereas for the remainder of the excavation area the soil was mixed and although significant quantities of Roman material were recovered, including metalwork, there was also a large amount of later material mixed in. At this juncture the layer was thought to represent a medieval/post-medieval plough soil. A good proportion of the metal-detected finds of Roman date were also recovered from the sampled squares, including a large number of coins. Secondary machining then reduced the level of the site down to the natural sand and gravel subsoil. A complex series of ditches, particularly towards the south and east of the site, were revealed with common re-cuts and realignments. Although only preliminary work has been undertaken on the finds, it appears that the majority of these features were of earlier Roman date. In one area of the site the ditches included large quantities of metalworking slag in their fills. Other significant features associated with the Roman period included a sunken track leading to a timber-lined well, a crescent-shaped oven, a pottery kiln and a rectilinear enclosure delimited by large post-holes. This enclosure was located in the N.E. corner of the site, continuing on under Handford Road to the north, and into the British Telecom site immediately to the east and was respected by the ditch complex to the south. The Early Saxon period had only been represented by a single sherd of handmade pottery in the evaluation and it was a great surprise when it became clear that there was a significant phase of activity on the site relating to that period, or, more specifically, the 6th century. Four definite sunken-featured buildings were identified, with two other possibles, along with at least three rectangular post-hole buildings of the type described as 'halls' on sites such as West Stow. Other features positively dated to this period included a number of circular pits. Finds included ceramics, animal bone, bone objects, spindle whorls, iron knives, a glass bead, a wrist clasp and miscellaneous ironwork. Post-medieval deposits included boundary ditches and buildings which predated the semi-industrial use of the site along with walls, stanchion bases and drains associated with the Firmin occupation of the site. (Stuart Boulter, S.C.C.A.S. for Bloor Homes Ltd). Ipswich, 1–3 St Peter's Street (TM/1644; IPS 412). Monitoring of groundworks associated with a redevelopment revealed a large deposit of predominantly human bone under the floor of a Victorian cellar. It is presumed these are from burials disturbed when the cellar was originally dug in the ?1860s. 1–3 St Peter's Street is the former site of Lord Curzon's house, an early-16th-century mansion. The mansion was later used by the bishops of Norwich and from 1666, during the time of the 2nd Dutch War, housed a hospital for wounded navy seamen. Analysis of the bone has revealed skeletal injuries, including at least one sword cut, suggesting this bone deposit is probably associated with the hospital phase of the site. No medieval or earlier burial grounds are known to exist on or near this site. (Mark Sommers, S.C.C.A.S. for Greystoke and Everleigh Ltd; report no. 2003/25). Ipswich, Castle Hill (TM/1446; IPS 421). Geophysical ground resistance survey and trial trenching was carried out for a Time Team television programme in various gardens at Trammere Grove and Chesterfield Drive. The objective was to investigate the survival and layout of the Roman villa, first discovered in the 19th century, and more extensively excavated by Basil Brown for Ipswich Museum in the 1940s. The geophysics results were largely inconclusive but seem to have picked out the areas of former excavations. The trenching showed that the main villa building was a discrete block, without wings, and that there was no structural evidence in the area immediately to the south, although separate buildings including a bath house, have been previously identified to the south of Chesterfield Drive. Limited areas of intact archaeological deposits were found to survive within the villa building, particularly one area of collapsed burnt wattle and daub which probably relates to the demolition of an early phase. Most of the finds, pottery and coins, dated to the 3rd and 4th centuries, but an unstratified Iron Age, Class II potin coin was found and 1st- to 2nd-century pottery in a small ditch to the south of the building. (Wessex Archaeology for Videotext Communications Ltd; document ref. 52568.02). Ipswich, Makro Site, Ransomes Europark (TM 2041; IPS 429). Monitoring of soil-stripping over the site revealed a series of ditches and pits. While no finds were recovered to help date these features, the evidence suggested that they were of post-medieval date. The majority of the ditches did not conform to any of the known early map boundaries but were on similar alignments. In addition, the fills were not uniform and did not exhibit the kind of leached out character that could be expected if they were of any great antiquity. The pits could be divided into two distinct types: the first were relatively irregular in shape with brown sandy fills and were interpreted as tree-holes, the second perfectly circular with a lower fill of charcoal with evidence for in situ burning. Features such as these have been identified on other sites on and in the vicinity of the former Ipswich Airport and have been interpreted as fog-lifters or decoy lights to confuse enemy bombers during the Second World War. (Stuart Boulter, S.C.C.A.S. for Makro Self Service Wholesalers Ltd; report no. 2003/14). Ipswich, 70–74 St Helen’s Street (TM/1744; IPS 440). Archaeological monitoring revealed a ‘dark earth’ spread underlying the existing buildings of probable 16th- to 18th-century date. A pair of east to west ditches directly behind these properties are likely to be field boundaries belonging to the period before St Helen’s became a suburb of Ipswich in the 12th century. Near the southern boundary of the site a tile-built kiln or oven was revealed. This feature showed evidence of extreme localised burning but its function is unclear. A post-medieval date is likely for the kiln. At the nearby site of St Edmund House on Rope Walk, post-medieval pottery kilns were found. It is possible that the St Helen’s Street kiln is part of this industrial complex. (Jezz Meredith, S.C.C.A.S. for Mulberry Property; report no. 2003/177). Ipswich, land on the corner of Wolsey Street and Franciscan Way (TM/1644; IAS 5003). A small excavation was undertaken during late 2002 within a small strip of land along the S.W. edge of this site. A number of pit features belonging to the early medieval period and over fifty inhumations of a possible 13th/14th-century date were excavated and recorded. The site was an extension to an excavation carried out across the remainder of the corner plot in 1990. This earlier excavation revealed two other areas of human burials as well as evidence for Saxon and medieval occupation. The excavation areas were situated within the former precinct of the medieval Greyfriars Friary. It is presumed that the recently excavated burials were associated with the friary. (Mark Sommers, S.C.C.A.S. for Jedcon Estates; report no. 2004/62). Ipswich, Neptune Marina (TM/1743; IPS 443). The excavation of a large semi-basemented area, part of a major mixed-use development on the site, revealed alluvial layers deposited on the tidally washed shore of the River Orwell. The upper layers were dated from their artefacts (pottery and leather) to the 16th and 17th centuries. An overlying layer of rubble may have been part of a major reclamation episode identified previously at Neptune Quay (IAS 6601) to the N.W. and thought to have taken place during the 17th century. Natural sands and gravels were recorded towards the eastern end of the site immediately west of Duke Street which would once have been the strand-line road. (Stuart Boulter, S.C.C.A.S. for Redrow Homes; report no. 2004/7). Lakenheath, Supply Material Control Facility, RAF Lakenheath (TL/7380; LKH 222). Excavation in advance of the construction of the Facility revealed a group of late Roman pits, and ditches aligned on the same north-south axis seen in the main Roman settlement focused around Caudle Head Mere. This site lies c.50m east of the previous excavations and it had originally been thought that the Roman settlement did not extend this far but these results may suggest the occupation spread eastwards during the later Roman period. A series of north-south aligned ditches were seen on the eastern edge of the archaeology; these resembled the east-west ditches seen to the west, currently interpreted as the north edge of the settlement, and it is likely that these ditches mark the eastern edge. (Jo Caruth, S.C.C.A.S. for the Ministry of Defence, Defence Estates (USF)). Leiston, Leiston Abbey Barn (TM /4464; LCS 131). The footprint for a proposed extension to the Barn was examined prior to a construction project. While the earlier digging out for an access route had disrupted the natural subsoil surface and structural archaeological deposits associated with the medieval building, enough had survived to deduce that the original northern end was located adjacent to and partially underlying the existing end wall. It appears that the original medieval wall and gable end had been dismantled, possibly due to structural failure. (Stuart Boulter, S.C.C.A.S. for Pro Corda; report no. 2003/30). Long Melford, Parsonage Farm (TL/8447; LMD 007). Monitoring of the footing trenches for extensions showed a layer of burnt material sealed by a thick deposit of unburnt clay. Both these layers ran under the existing house and may indicate the former presence of an earlier building at least partially destroyed by fire. (Jo Caruth, S.C.C.A.S. for Mr and Mrs Skrine; report no. 2003/9). Lound, Water Treatment Works (TG/5000; LUD 033). Following evaluation of the site, a small excavation was carried out prior to the construction of new treatment facilities. Two pits were recorded, both similar to charcoal- and burnt-flint-filled features of prehistoric date. However, radiocarbon dating of an oak charcoal sample produced a calibrated date of A.D. $370 \pm 50$ (laboratory code GU-11471) placing it in the later Roman or Early Anglo-Saxon period. (Linzi Everett, S.C.C.A.S. for Essex and Suffolk Water; report no. 2003/109). Martlesham, Park and Ride site, High Street (TM/2446; MRM 075). An excavation in advance of construction revealed three main phases of earlier activity in an area of former heathland. The earliest phase is dated to the Early Bronze Age and comprised an area of small shallow pits containing Beaker pottery (some with rusticated decoration in the form of fingernail or finger pinch impressions) and a small number of flint tools and flakes. These pits represent domestic occupation but no structures were positively identified. During the Roman period part of the area was divided by ditches into small fields. Only a relatively small number of Roman artefacts were recovered indicating that this area was farmland, with the settlement located elsewhere (possibly lower in the valley to the north). The final phase of activity consisted of post-medieval ditches forming field and plantation boundaries. Also recovered during the excavation was the harness for a two-horse plough that had been buried in a shallow pit, presumably during the first half of the 20th century. (Mark Sommers, S.C.C.A.S. for Suffolk Highways Engineering Consultancy on behalf of Suffolk County Council; report no. 2003/56). Mildenhall, Beeches Road, West Row (TL/6776; MNL 193). An excavation was carried out on a small plot of land destined for housing development. Most of the site was taken up with extensive pitting, the result of Roman chalk extraction. The pits were infilled with rubbish deposits and produced a large assemblage of pottery, animal bones and building material. Other features included multiple-cut boundary ditches and part of a narrow ring ditch. Similar ring ditches are being found regularly on the Mildenhall fen edge and are thought to be a building form. The pottery suggests intense activity on this site in the late Roman period and includes many of the products that are exclusive to the late 3rd and 4th centuries and a high proportion of provincially-traded late specialist wares from the Nene Valley, Oxfordshire, Much Hadham (Herts.) and the East Midlands. The building material included tegulae and box flue tiles indicative of a hypocaust in the vicinity. Coins included two silver Republican denarii dating from the 2nd to 1st century B.C. (David Gill and Cathy Tester, S.C.C.A.S. for Suffolk County Council Property Division). Mildenhall, 30 Acre Field, RAF Mildenhall (TL/6777; MNL 552). Trial trenching and a full excavation were carried out prior to the construction of a new sports field. An area of c.25,000 sq.m of managed woodland was de-stumped and the topsoil removed under archaeological supervision. The site is typical of the fen edge with hummocks, and hollows filled with peat. A full programme of post-excavation work on this site has not yet begun but preliminary results show the earliest evidence consists of Beaker pottery and struck flints including thumbnail scrapers, which were found beneath layers of dried peat within the hollows. A concentration of twenty pits, excavated into a band of chalk, were dated to the early Iron Age and contained large amounts of animal bone, mostly from cattle. Intriguingly a human jaw and a whole pot were found in one pit and a fragment of a cranium in another. The greatest concentration of features is dated to the late Iron Age/early Roman period with a complex network of ditches and fence lines. Several circular structures have been identified the function of which is yet to be determined. Later in the Roman period a new sequence of land division and settlement seems to have occurred with ditches excavated on a new orientation. This phase also includes an unusual Roman posthole building measuring 6.5 x 10m in which the largest postholes were set in the short walls. Buried in a pit within the area of the building were the remains of a horse’s head, spine, and ribs. Seven human inhumations and three cremations were also excavated; of which four inhumations and two cremations were in a discrete cluster. Further excavations are due to take place in 2004. (Andrew Tester, S.C.C.A.S. for the Ministry of Defence, Defence Estates (USF)). Nayland with Wissington, Wiston Hall (TL/9533; NYW 007). The desilting of the moated complex at the Hall was monitored. Little was recorded during the actual desilting but medieval pottery and tile was recovered from the eroding edge of the moat in one area. A fragment of an Anglo-Saxon loomweight was also recovered, possibly indicating earlier occupation than was previously known for this site. (Mark Sommers, S.C.C.A.S. for Mr G. Storey and DEFRA; report no. 2003/137). Orford, 71 Broad Street (TM/4249; ORF 083). Monitoring of groundworks associated with the construction of an extension revealed medieval walls belonging to the 13th-century friary at Orford. Two separate walls were identified and recorded before they were destroyed by the construction work. Unfortunately, not enough was revealed to draw any conclusions as to what specific area of the friary these walls related to. Two graves, one disturbed by the other, were also identified and partially excavated. (Mark Sommers, S.C.C.A.S. for Mary Iliff; report no. 2003/67). Preston St Mary, Priory Farm (TM/9350; PSM 002). A small excavation was undertaken with funding provided by the Local Heritage Initiative. This followed on from a previous investigation (1998) of a rectangular earthwork forming part of a complex in a meadow. A trench excavated across the earthwork revealed a circular structure that was the main target of the 2003 excavation. A circular pit, 4.5m in diameter, with a central post-hole was interpreted as the base of a sunken-post mill. A shallow depression concentric to the pit was thought to represent a track around which the tail-pole would be walked to turn the mill into the wind. Shallow post-holes around the edge of the central pit were interpreted as the settings for revetting at the base of the mound. Artefactual evidence, principally ceramics, suggested that the mill dated to the late 12th or 13th century. (Stuart Boulter, S.C.C.A.S. for the Suffolk Archaeological Field Group and the Local Heritage Initiative; report no. 2003/133). Purdis Farm, Shepherd and Dog Farm (TM/2141; PFM 009). The area of a proposed lorry park was evaluated. A small number of features were identified, mostly shallow charcoal-filled pits. They contained no dating evidence but the freshness of the cuts suggested they were relatively modern, possibly relating to World War II activities. An undated ditch was also identified. (Mark Sommers, S.C.C.A.S. for A.E. Rout and Sons; report no. 2003/21). Redgrave, Old Garage, The Street. (TM/0478, RGV 043). An area of 160sq.m was opened up for excavation. Ten clay-filled postholes and two hearth-type features were recorded suggesting the site of a timber building close to the street frontage. Pottery from the site indicated a medieval date for the building. Later rubbish pits and a boundary ditch were also found. The monitoring of the roadway demonstrated that extensive damage had occurred to the central part of the site when the petrol tanks were installed and no further archaeological deposits were recorded in this area. (David Gill, S.C.C.A.S. for Country Homes Developments Ltd; report no. 2003/84). Rickinghall Inferior, Jubilee House (TM/0475; RKN 036). A watching brief was carried out at this site, which lies close to a site where Roman remains were previously uncovered (RKN 017) and within an area marked on the 1880s Ordnance Survey map as a maltings. Sections of the footing trenches identified a sequence of rubble, crushed chalk and loam deposits, all of which were post-medieval in date. The crushed chalk layer looked like a rough surface and it is suggested that this represents activity associated with the maltings. (Jo Caruth, S.C.C.A.S.; report no. 2003/91). Rickinghall Superior, Co-op (TM/0475; RKS 028). Monitoring (2002–3) of footing trenches for the new Co-op identified one possible medieval pit, a post-medieval assemblage of animal bone waste, and three undated but probably post-medieval or modern features. (Sue Anderson, S.C.C.A.S. for Draper and Nichols; report no. 2003/92). Rickinghall Superior, The Garden House (TM/0475; RKS 029). Monitoring of building work behind this house on Garden House Lane revealed a thick colluvial deposit containing pottery from the Roman to post-medieval periods. The site lies close to a Roman site identified by Basil Brown but no cut features or occupation deposits were found. (Jo Caruth, S.C.C.A.S. for Mr and Mrs Foulger; report no. 2003/98). Semer, Semer Bridge (TM/00246; SMR 024). Work to replace the current concrete bridge (built in 1931) across the River Brett, on the B1115 road, gave an opportunity to record previous bridges. The base of two brick piers and part of the southern abutment remain of a brick bridge, which stood until 1931, and crossed the river in three spans. The bricks dated the remains to the mid-to-late-18th century and recorded in the Quarter Sessions of 1781 is an order for a payment for '54 thousand bricks for work at Semer Bridge'. Prior to this the river was spanned with wooden bridges and the positions of sixty-eight timbers were plotted. The timbers included both softwood posts, left in the round, and oak piles that had been squared off using saws. The ends of the piles had been worked into points and had been driven 1.5–1.8m into the riverbed. Dendrochronology dates suggested that there were two phases of bridge building or repair work, with felling dates for the timbers at the beginning of the 17th century and in the spring of 1697. The softwoods were shallow set and a lot less robust than the oak piles and were thought to be part of the mechanics of building or dismantling the brick bridge. (David Gill, S.C.C.A.S. for Suffolk Highways Engineering Consultancy). Stanton, Stanton Culvert (TL/9675, SNT 032). Monitoring of the installation of a new culvert to carry a small stream below the B1111 road revealed a shallow chalk embankment and possible surface of an earlier road. The road and embankment were thought to be contemporary with the earliest phase of the existing culvert, examination of which suggests an origin in the early-to-mid-18th century and therefore probably the crossing illustrated on Hodgkinson's Map of 1783. (David Gill, S.C.C.A.S. for Suffolk Highways Engineering Consultancy; report no. 2003/82.) Stoke-by-Clare, Stoke College (TL/7443; SBC 031). An evaluation investigated an area containing a pronounced bank on a N.W.–S.E. alignment. This was presumed to be part of the grounds of the Benedictine priory and college for priests, later occupied by the present college. Trial trenching across the earthwork demonstrated that the 'bank' was caused by the presence of two large ditches forming hollows either side of a ridge of undisturbed ground. Presumed later levelling and dumping of hardcore had obscured the extent of these features. One of the ditches, that running along the N.E., was of particularly large dimensions, over 5m wide and 2m deep. The upcast bank from the excavated spoil appeared to be on the outside of the ditch, i.e. away from the priory buildings. Documentary evidence suggests that such ditches and banks might have been part of a rabbit warren, although the massiveness of the large ditch might also indicate the presence of a deer park. Tile and brick recovered from the ditch and presumed to be part of the backfill of this feature have been dated to the late medieval and early post-medieval periods (15th to 17th centuries). Despite the site's proximity to the church of St John the Baptist, possibly on the site of a Saxon minster, no evidence for Saxon or medieval occupation was uncovered, although not all areas of the site could be investigated due to obstructions. Several prehistoric flint flakes, their quality suggesting a Neolithic date, were recovered as unstratified and residual finds. (Jezz Meredith, S.C.C.A.S. for Stoke College; report no. 2003/32). Stratford St Mary, River Stour between Flatford and Dedham mills (TM/0633; SSM 025). A watching brief on navigation works on the River Stour revealed a series of timbers and a spread of rubble interpreted as the remains of a staunch which is known from documentary evidence to have existed in this location. The water level in the river had been lowered by the opening of sluices downstream revealing a series of upright planks in two close-set parallel rows running at an angle across the river. These appeared to be retaining a deposit of rubble and chalk blocks that presumably formed a partial dam. Also associated with this feature were at least four substantial upright timbers running in a line perpendicular to the plank lines. A small amount of material was removed from the riverbed in an area adjacent to the southern bank to enable safe navigation. Unfortunately it was not possible to see if the timber and rubble ‘dam’ continued in this direction although it is assumed that it would have originally connected with the river bank. (Mark Sommers S.C.C.A.S.; report no. 2003/71). Sudbury, Sudbury Sewerage Scheme (TL/8741; SUY 057, 061 and 063; TL/8740; SUY 062). Excavations for the new sewerage system within or near the historic core of Sudbury were monitored. At site SUY 057 contractors tunnelling under Station Road encountered a large group of post-medieval artefacts at a depth of 4m from the present street level. These objects, dating to the end of the 17th or the beginning of the 18th century, are likely to have come from a deep feature such as a latrine, well or basement. At the junction of East Street and Girling Street, an excavated shaft revealed a pit containing early medieval pottery (SUY 061). Site SUY 062 at the western end of Market Hill, revealed no archaeological deposits despite its proximity to St Peter’s Church and potential features being observed during an earlier phase of investigation. At the junction of Gainsborough Street and Weavers Lane, site SUY 063 revealed two undated features, possibly associated with the large defensive ditch now confirmed to be located between Weavers Lane and Burkitts Lane (see below). (Jezz Meredith, S.C.C.A.S. for Anglian Water; report no. 2003/148). Sudbury, land between Weavers Lane and Burkitts Lane (TL/8741; SUY 058). An evaluation of the area of a proposed residential development located a large defensive ditch associated with the Late Saxon town. A single clay-packed posthole cut into the ditch fill was also recorded. A small number of 19th- and 20th-century features were also present. The subsequent monitoring of the excavation of the footings for the new buildings fronting Weavers Lane revealed the course of the ditch across the site and a small amount of pottery was recovered from a primary fill. The pottery has been identified as either Iron Age or Early Saxon. (Mark Sommers, S.C.C.A.S. for T.J. Evers Ltd and Asprey Estates Ltd; report no. 2003/65). Sutton, River Deben foreshore (TM/2849; SUT 195). Following the discovery of man-made wooden structures and pottery on a stretch of foreshore below Sutton Hoo, a programme of archaeological work was undertaken the better to understand the archaeology and dynamics of the area. This comprised environmental work, survey of the eroding river bank, systematic fieldwalking and monitoring of both the foreshore and condition of the known wooden structures. The site was revisited on a monthly basis over six months. Fieldwalking, over a gridded area, recovered a quantity of Roman pottery as well as medieval sherds and worked and burnt flints. Most of these were found along the upper edge of the foreshore and appeared to be derived from the eroding saltmarsh rather than originating from relict land surfaces exposed by tidal action in the intertidal zone. Monitoring of the wooden structures showed no appreciable change in their form over the six months, nor were any newly exposed structures observed elsewhere in the study area. Comparative surveys of the saltmarsh edge showed that whilst it is visibly eroding, it did not retreat at a significant rate over the course of the study. While the study time was too short to draw any firm conclusions, there was a general pattern of erosion along the foreshore, the greatest changes occurring close to the low tide line. Environmental work consisted of sampling columns taken through the foreshore sediments and radiocarbon dating of wood and mud samples. Twenty sediment samples were collected from two sections to build up a picture of the development of the estuarine environment. The lowest deposit of the sequence showed that the channel had once been freshwater, only starting to become brackish around 570 Cal. B.C. ± 50 (laboratory code GU-11068). A second radiocarbon date of Cal. A.D. 1 ± 50 (GU-11067) came from a sample just below the present foreshore. Alder from a wood scatter near the high tide line was radiocarbon dated to Cal. A.D. 420 ± 50 (GU-11084) and a hazel pole from wattling on the low tide line was dated Cal. A.D. 590 ± 50 (GU-11083). Sediment samples taken from directly beneath the wattle areas suggested that the wooden structures were constructed in a similar environment to that present today, with an underlying sand ridge allowing access onto a fairly firm foreshore. The saltmarsh appears to have been less extensive than it is now, suggesting a wider surface area covered by water at high tide. Although the wooden structures are too fragmentary to be certain about their function, the combined topographic and environmental evidence suggests they are most likely to be the remains of fish traps. (Linzi Everett and Tom Loader, S.C.C.A.S. for the Sutton Hoo Society; report no. 2003/110). Thorpe Morieux, Bull Inn (TL/9454; TMX 017). Monitoring of footing trench excavations at land adjacent to the inn produced evidence for a large ditch or pond running close to the present road frontage. Pottery evidence suggested that this had been gradually filled in from the medieval period onwards, and a relatively large quantity of late medieval pottery in both the upper levels of the ditch and a nearby layer may indicate mid to high status occupation on the site in the early post-medieval period. (Sue Anderson, S.C.C.A.S. for Mr E. Clayton; report no. 2003/86). Walberswick, Lilliput, Lodge Road (TM/4874; WLB 061). Monitoring of work here revealed a thick deposit of ‘dark earth’ along the eastern edge of the house, up to 1.3m in thickness. Finds from this deposit indicate a 12th- to 15th-century or later date. While digging the footings, contractors came upon a near-complete vessel (initially thought to be a human skull!). Subsequent excavation showed that this was one of a cache of four vessels dating to the 15th century. These vessels include a Dutch redware cauldron, a jug from S.W. France, a German stoneware bottle and a whiteware jug from Surrey. To find such near-complete vessels sometimes indicates tavern clearances, but the imported nature of the finds assemblage might suggest a high status origin, possibly belonging to a merchant with international connections. (Jezz Meredith, S.C.C.A.S. for Mr and Mrs Sowerbutts; report no. 2003/176). Little Whelnetham, Crutched Friars (TL/8858; WLL 003). The discovery of two footings demonstrates that the western range of the Crutched Friars, a 16th-century building constructed amongst the ruins of a medieval friary, once extended further to the north. This supports evidence from within the roof structure that suggests that the west wing has been foreshortened and the assumption that the building once had symmetrical wings around an open courtyard. The footings are thought to be part of the friary claustral buildings and 13th-century in date. (David Gill, S.C.C.A.S. for Mrs J. Bridger and Mr A. Robson; report no. 2003/82). Willingham St Mary, land north of Sotterley Park (TM/4585; WSM 005). The evaluation of the area of a proposed irrigation reservoir revealed a number of probable pits and ditches, many of which yielded medieval pottery, indicating an area of extensive medieval occupation. There was also artefactual evidence for an early, high-status, brick building. (Mark Sommers, S.C.C.A.S. for the Sotterley Farms Partnership; report no. 2003/121). Wickham Market, All Saints’ Church (TM/3055; WKM 008). Due to serious structural failings of the tower wall fabric, a programme of consolidation and repair was initiated which included the insertion of three reinforced concrete ring-beams and the underpinning of the tower walls. An English Heritage grant was dependent on a programme of archaeological recording forming an integral part of the project. It had been known that the tower had already been subjected to repair works during the 1970s; however, the major extent of the earlier repairs was a surprise. Large areas of the tower facing, particularly the corners, had been rebuilt. The difference in composition/properties between the mortar used in the repairs and the original corework, combined with the lack of ties between the two, may have been at least partially responsible for the more recent structural problems. The traditional interpretation of the church’s architectural history suggested that the tower had been built in two phases, the basal two stages during the 14th century (contemporary with the nave) and the belfry during the 15th century. Observations made during the above ground archaeological recording, however, suggest that the whole structure was built during the 15th century, with the earlier (14th-century) mouldings for the nave’s south doorway re-used and incorporated as the tower’s south doorway. The excavation of underpinning trenches adjacent to the tower wall provided additional evidence that supports the new interpretation. The vestiges of an earlier footing that clearly underlay the footing of the west side of the tower were recorded, the shape and dimensions of which suggest that there had been an earlier structure immediately south of the nave, possibly a south porch. It is likely that this structure was broadly contemporary with the 14th-century nave as the character and depth of its footing was similar to that of the south nave wall. However, there was no evidence for a reciprocal footing underlying the eastern side of the tower. Another footing, similar in character to that of the south nave wall and possible porch, was identified but clearly abutted the nave wall footing. Disarticulated and articulated human bone was found throughout the internal and external underpinning trenches proving that at some stage prior to the construction of the tower (the stratigraphic relationship of the burials with the possible porch footing was unclear) that area of the churchyard had been used for burials. In addition, a brick-built tomb had been cut through the stepped out base of the tower footing on its eastern side. Removal of the western end of the tomb revealed that it had been filled with building debris, apparently after the removal of any burials that had once been present. Two further disruptions were recorded to the external, stepped out, component of the tower’s footing. The first, on the western side of the tower, was cut to facilitate the insertion of a brick drain that had previously served a down pipe from the tower. The second, a small cut-away area located at the base of the eastern side of the tower wall at its junction with the later (16th-century) south aisle, may have been associated with the insertion of the aforementioned brick tomb. Alternatively it could have occurred during the construction of the south aisle, the base of which clearly sat directly on the earlier tower footing. (Stuart Boulter, S.C.C.A.S. for Wickham Market Parochial Church Council and English Heritage). REFERENCES Ashton, N., Lewis, S. and Parfitt, S., 2003. ‘Hoxne 2002’, Proc. Suffolk Inst. Archaeol., XL, 359–61. Evans, J., Morse, E., Reid, C., Ridley, E.P. and Ridley, H.N., 1896. ‘The Relation of Palaeolithic Man to the Glacial Epoch’, Rep. British Assoc., Liverpool, 400–16. Singer, R., Gladfelter, B.G. and Wymer, J.J., 1993. The Lower Paleolithic Site at Hoxne, England, Chicago. Tzedakis, P.C., Andrieu, V., de Beaulieu, J-L., Crowhurst, S., Follieri, M., Hooghiemstra, H., Magri, D., Reille, M., Sadori, L., Shackleton, N.J. and Wijmstra, T.A., 1997. ‘Comparison of Terrestrial and Marine Records of Changing Climate of the last 500,000 Years’, Earth and Planetary Science Letters 150, 171–76. Publication of these reports has been funded by Suffolk County Council. SUFFOLK INSTITUTE OF ARCHAEOLOGY AND HISTORY BUSINESS AND ACTIVITIES 2003 OFFICERS AND COUNCIL MEMBERS 2003–2004 President J.J. WYMER, M.A., HON.D.SC., F.B.A., F.S.A., M.I.F.A. Vice-Presidents D.H. ALLEN, B.A., PH.D., F.S.A., F.R.HIST.S. DR J.M. BLATCHLY, M.A., HON.LITT.D., F.S.A. D.P. DYMOND, M.A., PH.D., HON.LITT.D., F.S.A., F.R.HIST.S. E.A. MARTIN, B.A., F.S.A., M.I.F.A. P. NORTHEAST, F.S.A. NORMAN SCARFE, M.B.E., M.A., HON.LITT.D., F.S.A. DR S.E. WEST, M.A., F.S.A. Chairman DR P.J. FISKE, J.P., BA. Elected Members of the Council MISS A.J.E. ARROWSMITH, M.A., M.B.A. DR S. NEWTON, B.A. MRS K. C. BROWN CANON R. NORBURN, M.B.E., M.A. MRS J. CARR, B.A. DR P. PANTELIS, B.SC. MRS S. COLMAN, B.SC. (ECON.) DR S.J. PLUNKETT, M.A., F.S.A. A. HAYWARD, M.A., M.SC., L.T.C.L., A.M.A. PROF. C. RICHMOND, B.A., D.PHIL. R. W. MALSTER R.G. THOMAS, M.A. (ex officio) K.R. WADE, B.A., F.S.A. (ex officio) Hon. Secretaries GENERAL B.J. SEWARD, Roots, Church Lane, Playford, Ipswich, IP6 9DS ASSISTANT GENERAL J. FAIRCLOUGH, B.A., DIP.ED., A.M.A., 56 Orford Street, Ipswich, IP1 3PE FINANCIAL A.B. PARRY, 23 Vermont Crescent, Ipswich, IP4 2ST EXCURSIONS C.R. PAINE, B.ED., 11 Sharp Road, Bury St Edmunds, IP33 2NB MEMBERSHIP DR J.O. MARTIN, B.A., Oak Tree Farm, Hitcham, Ipswich, IP7 7LS FIELD GROUP M.J. HARDY, 29 High Road, Wortwell, Harleston, IP20 0HG Hon. Editor D.H. ALLEN, B.A., PH.D., F.S.A., F.R.HISTS., 105 Tuddenham Avenue, Ipswich, IP4 2HG Hon. Newsletter Editor DR J. MIDDLETON-STEWART, M.A., St Peter’s House, Speghall, Halesworth, IP19 0RG Independent Examiner of Accounts IZOD BASSETT, 105 High Street, Needham Market, IP6 8DQ
CONSIDERATIONS FOR USING ETHEPHON ON TOMATOES FOR PROCESSING IN 1974 Dale W. Kretchman E. C. Wittmeyer Department of Horticulture and Ted H. Short Department of Agricultural Engineering Ohio Agricultural Research and Development Center Wooster, Ohio Ethephon was used on tomatoes for processing by a number of growers in Ohio in 1973. In general, it aided in scheduling earlier harvest, improved yields of mechanically harvested fields, as well as, hand-harvest operations and increased the amount of fruit harvested from late plantings which may have otherwise been lost due to cold temperatures late in the season. There also were experiences where the use of ethephon did not give the desired or expected results. Experimental results and field experiences from 1973 and previous years indicate that there are several important factors which you should carefully consider before you use ethephon in your tomato production program. We are attempting to include as much information as we have available in this publication to aid you in making your management decisions on the use of ethephon this season. Discuss it with your fieldman: Be sure you discuss your plans thoroughly with your processor fieldman. He can tell you the company policy on the use of this material on tomatoes they will be receiving. He can also give you some very valuable suggestions on the use of ethephon based upon his experiences in 1972 and 1973. His information should be extremely helpful as you determine the acreage you will treat at any one time. Keep in mind that ethephon influences the rate of ripening and ripe fruit accumulation and this can significantly influence the time and volume of harvest. It is obvious that you will not want to treat your entire acreage at one time, because this will likely concentrate your harvest and delivery time. Your fieldman can assist you in determining the amount of acreage of a variety or planting to be treated so that you can handle the harvesting and delivery to the processor in a reasonably workable schedule with a minimum of problems. Experience is a necessity: As with any new management tool, you must gain some experience on its use before incorporating it into your regular production program. We do our best to include as many variables as we can in our research to provide guidance for you. But, it is impossible to conduct our research under each and every condition which we find in each tomato field in Ohio. We, therefore, strongly urge you to try ethephon in only a small area of your field until you gain sufficient experience and confidence under your particular conditions to adequately evaluate this tool and to determine if and how it will fit into your program. If you experimented with ethephon in 1973, you should remember that growing seasons differ and we can reasonably expect 1974 will be different from 1973. You, therefore, should keep this in mind as you plan for this season's use. Rate of application: The manufacturer's label recommendations are to use 3 and 1/4 pints of the commercial 2 lb. per gal. ethephon formulation per acre (0.8 lb. ethephon) under normal conditions here in Ohio. Our research data confirms this * Revision of Horticulture Series No. 397, June 8, 1973, Considerations For Using Ethrel on Tomatoes for Processing In 1973. suggested rate under most Ohio conditions. However, under cooler temperatures late in the season, it may be necessary to use up to 6 and 1/2 pints per acre (1.6 lb. ethephon) to obtain a satisfactory response since tomatoes ripen more slowly during low temperatures (when average temperatures are near 65 degrees F.). Some of our data suggests that 0.4 lb. per acre may be as effective as higher rates under certain conditions. However, we do not know the precise conditions under which this rate will be sufficiently effective to recommend its use. We believe it is related to high temperatures at application, early season treatments, and early maturing varieties, but we need more research on this before making specific suggestions. It is important to have uniform and adequate coverage of the fruits and vines regardless of the rate of material used. It appears that 40 to 80 gallons of spray solution per acre gives good coverage depending primarily on foliage density and type of sprayer used. Boom-type sprayers appear to provide the more desirable spray coverage although we understand ethephon has been satisfactorily applied with properly adjusted and operated air-blast sprayers. Aerial applications with spray rates as low as 5 to 7.5 gallons per acre have given satisfactory results. Adequate, thorough coverage is the important consideration here. With the small, open-vined varieties like Chico III, the 5-gallon-rate may be satisfactory, but we believe 10 to 15 gallons per acre would provide a more desirable coverage under most aerial application conditions in Ohio. The higher rates should certainly be used on most direct seeded plantings and on varieties and plantings with dense foliage. Ethephon not only promotes fruit ripening but initiates aging and senescence of leaves. If plants are under any type of stress at the time of application, severe leaf yellowing and eventual drop will likely result. Moisture stress, disease, insect or hail damage, low plant vigor due to root damage or insufficient available nutrients all tend to increase the amount of foliage injury which may occur. Loss of foliage may be beneficial for mechanical harvest, but may also expose the fruits to high sunlight which may result in poor color development. Leaf effects will occur regardless of rate used but generally will be more severe at higher rates and especially under high temperature conditions. Frequently temperatures during harvest will be in the upper 80's and low 90's. Under these conditions, we believe ethephon could cause rapid loss of foliage. Time of application: Ethephon is effective in ripening only fruits which have reached the mature green stage of development. It has little or no effect on ripening fruits which are immature or in which the coloring process has already been initiated. The trick, therefore, is to have the maximum number of fruits on the plants at the mature green stage when treated. With most of our processing varieties, this occurs when 5 to 30 percent of the fruits on the plants are pink or red. Our data suggest the greatest response to an ethephon application occurred when 5 to 20 percent of the fruits by count were showing color. These results were based upon a single once-over harvest. Research data and field observations suggest that ethephon can significantly increase first harvest yields in multiple, hand-pick operations. It appears that the most effective time for application is when you first observe color break on fruits in the second fruiting clusters. This appears to hold true for a transplanted crop, but may not for a direct seeded planting or a transplanted crop in which you have removed the first cluster fruit. If you want to check your fruits to see how many have reached the mature green stage, you may cut several fruits with a sharp knife and if the seed cavities are filled with gelatinous pulp and your knife does not cut any seeds (the seed coats have hardened and the seeds are pushed aside by the blade into the pulp), the fruits are then generally considered to be mature. The effectiveness of an ethephon application is influenced not only by the stage of fruit maturity, but by the plant condition at the time of application. It appears that plants which are wilted due to water stress will not respond satisfactorily. This is likely related to a low rate of absorption and translocation of the material when the tissues are stressed for water. Therefore, if your plants are in a wilted condition, even though the fruits are at the proper stage of maturity, you probably should delay your application until after a rain (or irrigation) and the plants return to their normal turgid condition. Temperature effect: We do not have sufficient information to tell you the precise temperature at which an application will give maximum response, although it is likely effective over a relatively wide range. Temperature significantly influences absorption and likely also translocation of the chemical. Limited information indicates that the temperature at the time of application should be above 64 or 65 degrees F. and the temperature should be "on-the-rise". Plant absorption of ethephon is apparently very slow at temperatures below 64 degrees F. It appears inadvisable to apply the material at temperatures above about 90 degrees F. because the plants will probably be under moisture stress and the response may not be as favorable as desired and more loss of leaves may occur. As most of you know, higher temperatures hasten natural fruit maturity and ripening, as well as, a general reduction in plant vigor. Therefore, the response from ethephon applications made at relatively high temperatures will also be accelerated. Thus, if you apply ethephon during a warm period and the post-treatment period remains warm, you will want to watch your field closely and harvest it when the fruits are at the correct degree of ripeness and before fruit rots become severe. Rainfall effects: We do not know the specific length of time between application and rainfall necessary to give a good response from ethephon. There is little doubt that temperature plays a role here. Absorption is greater at higher temperatures, but we presently do not know the rate of absorption at specific temperatures, and therefore, cannot say how much drying time is needed after application at any one temperature. General information indicates that there should be a minimum of 3 hours after application before rainfall. If you have rainfall before this minimum time, do not make a second application, as this is not permitted under the label restrictions. You may want to treat another section which had not been treated previously. Keep your delivery schedule in mind to determine the area to be treated and remember also that you may get a response from your application which may have received rainfall before the 3 hour minimum time. Variety response: It appears that most, if not all, of our present varieties will respond to ethephon applications. Differences may occur between early and later maturing varieties. These differences may be more closely related to temperature conditions at the time of treatment and thereafter, than to the varieties themselves. Differences may also occur between the highly determinant, concentrated fruit set types and the less determinant and later varieties. These differences are very likely related to the relative number of mature green fruits. on the plants at the time of treatment. Field observations suggest that varieties which have a loose fruit attachment when ripe, tend to have above normal numbers of detached fruit after ethephon treatment. Holding tank mixes: It is best to apply your spray mixture as soon as possible after adding ethephon to the water. The ethephon will start breaking down and releasing ethylene as soon as it is mixed with water. However, this is usually very slight and of no consequence provided you apply the material as soon as you can. A few hours delay will probably not be serious, but if you must hold the material over-night, it would probably be advisable to mix a new batch. This is especially the case if you have very "hard" water with a pH at or above 7, which is true for most of the water in northwestern Ohio. We have no information relative to the merits of adding materials to reduce pH of your spray water. At the moment, we do not feel it is necessary nor desirable since these additives may influence the performance of the ethephon in some unknown manner. Proper planning with an eye on the weather should permit you to apply your material without undue delay. Mixing with pesticides: We have some conflicting information on the influence of insecticides and fungicides on the effectiveness of ethephon when applied in the same spray mixture. Some of our preliminary results in 1972 suggested that the effects of ethephon may be nullified when applied with maneb. However, studies made in 1973 indicated no such influence. Until we have more information, we suggest you apply the ethephon alone. Fruit quality aspects: We have not found any undesirable effects of ethephon applications on fruit quality, nor have we heard of research to indicate such undesirable effects. It is quite likely that the over-all quality of a lot of fruit may be improved because, with proper harvest management, you should be able to pick the treated plants earlier than normal and thus, have less over-ripe fruits and diseased fruits in your loads. On the other hand, you may have more over-ripe fruit in the load, if you are unable to harvest the crop at the optimum ripeness. Therefore, watch your crop closely and harvest it at the proper time. It is likely that this could be around 12 days after treatment for an early season crop and up to 3 or 4 weeks from treatment later in the season. Our data suggests that the average time interval is 14 to 18 days after treatment for optimum once-over harvest. However, weather conditions, especially temperature, may greatly affect these time periods, so be prepared. We should also add that you may want to start your harvest before the maximum amount of usable fruit is on the vines, so that you can complete the picking of the entire treated field before the later harvested fruits become over-ripe and rotten fruits become serious. We hope these comments and suggestions are helpful as you make your management decisions concerning the use of ethephon this season. We feel treatment with the material can be a useful tool in enabling you to start your harvest season earlier with economical yields and increasing the percentage of useful fruit from a once-over mechanical harvest or from the first hand picking. We admittedly do not have all the answers, but we are working on the problems and hopefully, as we share our experimental results and your experiences, we will soon be able to provide you with much greater assistance in your production programs for our very important processing tomato industry in Ohio.
1. Introduction Cytokines are typically monomeric or homodimeric proteins, secreted by cells after appropriate post-translational modifications. A striking exception to this rule is represented by the cytokine IL-12, which is instead a heterodimer – made up of two different polypeptides encoded by distinct and unlinked genetic loci. IL-12 is composed of a p35 subunit (also known as IL-12A) and a p40 subunit (also known as IL-12B), which are the products of two unrelated genes located on human chromosomes 3 and 5 (3 & 11 in the mouse) respectively [1]. The other related cytokine IL-23, which shares one of the subunits with IL-12 is a heterodimer of p40 and p19 (encoded on chromosome 12 in humans and 10 in mice) [2]. There are also two other recently described heterodimers namely IL-27 (p28 protein plus EB13) and IL-35 (IL-12p35 protein plus EB3), with a similar architecture [3]. The physiological significance of each of these heterodimeric cytokines is now evident in the literature [4–6]. However, the teleological advantage of their having evolved to be heterodimers, instead of the more commonly observed monomeric cytokines is not yet obvious. The few cases where the significance of such association has been studied are those cytokines that after secretion from the cell can... associate with soluble forms of their receptor in solution (IL-6, CNTF or IL-11 – where for e.g. the IL-6 heterodimer is made up of sIL-6Rα and IL-6). In such instances, the extracellular complex formation enables them to signal into their target cells with a greater efficiency. In the case of the true heterodimeric cytokines (such as IL-12) either monomer is not part of the conventional receptor complex (which is made up of IL-12Rβ1 and IL-12Rβ2), but are secreted together after covalent assembly inside the producing cell. In this article, we use the case of ratios between related heterodimeric cytokine IL-12, to argue that the evolution of such heterodimeric cytokines serves a special purpose in the immune system [7,8]. Because the constituent monomers can be re-assorted into different combinations of heterodimers, the innate immune system can use this strategy to potentially generate a large combinatorial diversity of distinct functional cytokines using a limited number of genes (which encode the monomers). We illustrate this concept with the help of our recent data on the ability of one of the subunits that form IL-12 (i.e. p40) to associate with a bevy of other binding partners. 2. The IL-12 heterodimer IL-12 produced primarily by dendritic cells and macrophages, is a potent inducer of IFNγ from NK and T cells [9]. Mice that are deficient in either subunit of IL-12 or lack the receptors for it are impaired in their responses to some viruses as well as intracellular parasites such as Leishmania and Toxoplasma [10]. The IL-12 receptor is expressed upon activation of the transcriptional signal via Stat4 to activate the transcription factor J-T-bet, which in turn leads to the expression of IFNγ [11,12]. Most of the downstream and systemic effects of IL-12 – ranging from cytotoxicity to the inhibition of T cell differentiation toward other effector phenotypes such as Th2 – stem from the potent action of IFNγ on diverse cell types [13]. However, IL-12 also plays a role in enhancing other pro-inflammatory innate and adaptive responses independent of its effects via IFNγ [14,15]. This compelling biology has led many to explore translational applications of IL-12 in several clinical contexts with mixed results [16]. In tumor immunotherapy, IL-12 has been used to amplify the native T cell response as well as augment cellular vaccines with dendritic cells [17]. Conversely, blocking antibodies against IL-12 such as Ustekinumab are showing promise in ameliorating colitis, psoriasis and sarcoidosis [18]. Interestingly, and relevant to the current article, antibodies such as Ustekinumab do not target the complete IL-12 heterodimer but instead only binds to one of the subunits – IL-12p40. In light of the multiple roles attributed to IL-12 in pathogen and autoimmune responses, the role IL-12 related cytokines to be discovered, IL-23 [19] was initially viewed the role of a ‘back-up’ cytokine for IL-12 itself. Several early papers focused on the fact that the phenotypes observed in the IL-12p40 knockout but not in the IL-12p35 knockout mice, could now be explained by the production of IL-23 (which requires p40 but not p35). Since the biology of IL-17-producing T cells was not well understood at the time, most interpretations centered on IL-23 being a weaker version of IL-12 itself. This concept of IL-12-like activities was also extended to IL-27 with several studies trying to explain the phenotypes seen in their experimental models as being due to quantitative effects on IFNγ production. It is now widely appreciated that IL-23 does play a strikingly analogous role to IL-12, but in the induction and maintenance of a completely different effector cytokine – namely, IL-17. T cells that differentiate to become IL-17-producing effectors are involved in immunity to fungal and bacterial pathogens as well as in triggering autoimmune diseases such as psoriasis, arthritis and multiple sclerosis [5]. This intriguing parallel in the functional roles played by IL-12 and IL-23 raises the possibility that similar cytokines from the innate immune system may promote other known effector T cell fates – perhaps catalyzing the differentiation of T cells toward IL-4, IL-10, IL-9, IL-13 and TGF-β production. 3. The parts are more than the sum The uniqueness of IL-12 related cytokines (as heterodimers) has led to several studies examining the mechanics of their synthesis, assembly and secretion. IL-12 is secreted by dendritic cells after rigorous activation by a combination of TLR and T cell-derived signals [20,21]. However, the individual subunits of IL-12 are not made in a synchronous fashion in the body. First, the mRNA for p35 is found to be constitutively expressed, albeit at low levels, in many cell types from different tissues [22,23]. Although the expression can be significantly induced upon activation of dendritic cells, it is not clear that the expression in other tissues is inducible. IL-12b/p35 also does not have a secretory signal sequence of its own and even addition of such a sequence does not lead to its secretion (Abdi et al., unpublished observations). Importantly, the function of constitutive expression of p35 in cells that are not secreting the IL-12 heterodimer is not understood. In contrast, the expression of the p40 subunit is limited to macrophages and dendritic cells. The p40 transcript is not detectable in resting cells, but engagement of microbial products such as LPS via TLRs (without the need for T cell help) results in a massive induction of mRNA and secretion of the p40 protein (which does have ‘canonical’ ER localization and secretory signals). Importantly, IL-12p40 is found in 100–1000 fold excess of IL-12 after microbial activation of dendritic cells [22]. Considering that the functional heterodimer of IL-12 contains the p35 and p40 at a 1:1 ratio, the reasons for the production of a vast excess of p40 is much debated in the literature. Taken together, the ability of individual subunits of the heterodimeric cytokines (e.g. p40, p35 and p19) to be expressed at different sites and to different levels from each other may suggest that these monomers have functions that are truly independent of their participation in the formation of the known heterodimeric cytokines. The first possibility is that such an independent function is performed by the monomers themselves (or by formation of homodimers). This is hard to reconcile for p35 and p19, since they are not capable of being secreted on their own. Therefore they are likely to be found in the extracellular milieu only under special circumstances including necrotic cell death [24]. However, soon after exposure to a bacterial TLR ligand, the molecule most copiously detected in the secretions (in vitro and in vivo) from both human and mouse dendritic cells is p40 [25]. Most of the secreted p40 is in the monomeric form; but small amounts of covalently linked homodimers are also reported in the mouse secretions [26]. Secretion of free p40 is independent of the heterodimer, and it can take place in the absence of p35 or p19 [24]. This is significant, since early studies on the binding of the IL-12 to its receptor implicated the exposed surface of p40 in the heterodimer as the major contact point with the IL-12Rβ1 [27,28]. This suggested that either the monomer or the homodimer might be able to signal T cells or NK cells using part or all of the IL-12 receptor complex. Accordingly, it has been proposed that the mouse p40 homodimer (and not the monomer) acts as a potent antagonist of IL-12 by competing for binding to the IL-12 receptor [29,30]. In contrast, few studies have suggested that p40 homodimer acts as an agonist – as a chemoattractant for macrophages and dendritic cells [31–33]. In this process, it is thought to exacerbate cellular responses such as allograft rejection [34]. Consistent with an agonistic activity of p40, mice that are deficient in p35 but not those for p40 were able to mount a alloreactive CD8+ response with measurable IFNγ production [34]. There is also data showing that p35-deficient mice continue to show resistance to infections by Fig. 1. (A) The classical pathway of IL-12 and IL-23 secretion. First, IL-12p40 is induced in dendritic cells by inflammatory signals (PAMPs and/or DAMPs). Depending on the nature of the insult (e.g. type of pathogen, site of injury etc.), subsequent signals from NK T or NKT cells (IFNγ, CD40L etc.) can synergize to induce the expression of p35 or p19 on these DCs. These collective signals lead to the intracellular assembly of IL-12 (p40 plus p35) or IL-23 (p40 plus p19) and the secretion of these covalently linked heterodimers. (B) The alternative pathway. The induction of gene expression in this pathway is mechanistically identical to the classical pathway i.e. p40 is rapidly induced in response to PAMPs or DAMPs. However, the free p40 monomer secreted in the extracellular milieu can bind and work with various other partners available locally leading to the formation of novel heterodimeric cytokines (e.g. p40 plus x), where x is any one of many binding partners. This versatility of p40 monomer leading to various partners can be due to the nature of tissue in which immune response is being generated – e.g. skin epithelial cells may potentially have different binding partners for p40 monomer than those of intestinal villi, capillary endothelium or Liver hepatocytes. In addition (not shown) the specific pathogen or injury to the stromal tissues may also result in the release of different binding partners, and thereby influence the particular binding partner available at any given time. This allows p40 to form complexes tailored to each local context – and then convey that information by binding to IL-12Rβ containing receptors on other immune cells downstream of DC activation. Mycobacterium tuberculosis, Salmonella Enteritidis, Cryptococcus neoformans and Listeria monocytogenes [35–42] as well as non-infectious pathologies such as pulmonary fibrosis [43]. 4. An alternate function for IL-12p40 – as a cytokine adaptor protein In an attempt to reconcile these disparate datasets, we had previously proposed that the copiously secreted p40 monomer found in the early phase of the innate response serves a specific function (Fig. 1) – as an adaptor for building a whole slew of other heterodimeric proteins [7,24,25]. In this concept, the activated dendritic cells secrete p40 as a “probe” to sample the local inflammatory milieu. The p40 then binds to available partners that are also present in the same microenvironment to generate a functional heterodimeric cytokine. As discussed above, since p35 and p19 are not capable of being secreted on their own, the simplest source for them in the extracellular milieu would be from necrotic lysis of cells that express them at low basal levels (or increased levels in response to a pathogen or injury). Depending on the particular partner available in each context, this would allow p40 to assemble a distinct cytokine in a very dynamic fashion – both geographically and temporally (Fig. 1). As a result, very precise information can then be transferred to the various cells in the same region (or the draining nodes) about the course of effector differentiation that they must pursue. The significance of this hypothesis is that it provides the innate immune system with a very flexible communication system with which to encode and rapidly transfer contextual information to various cells in different locales. For instance, T cells in the node draining the site where an infection or injury occurred can now get precise contextual information about the exact tissue at which the primary event took place. Nevertheless, the hypothesis first had to reconcile two main concerns, based on the prevailing models of IL-12 synthesis in cells. First, it is commonly believed that the two subunits of IL-12 must be assembled inside the cell as a complete cytokine before secretion. Since p35 is not secreted on its own, the only way it can be secreted from DCs is to first associate with p40 (involving a covalent linkage between cysteine 177 in p40 and cysteine 74 in p35) [44], which usually takes place inside the cell. Our hypothesis was untenable if we could not first demonstrate that monomeric p40 can associate outside the cell with another partner (e.g. p35) to generate a stable and functional heterodimeric cytokine. The second issue has to do with the combinatorial power of the available monomers. Even in a hypothetical scenario where all known monomers (p40, p35, p19, EB3 etc.) can associate with each other, the system gains less than 10 possible heterodimeric cytokines. Since some of these associations are unlikely to occur (based on the literature and unpublished observations), the idea that this strategy has the ability to encode information about a wide range of contexts is limited in scope. Thus if the model is to be biologically relevant, the system’s ability to communicate, there would have to be additional proteins capable of participating in heterodimer formation with the already known catalog of monomers. While this has not been tested for most of these proteins, our recent data on p40 suggests a simpler solution. First, we recently reported that in the context of the well-studied heterodimer IL-12, both of the above concerns are experimentally tractable [24]. Using a variety of in vitro assays, we showed that not only can p35 be released from necrotic cells, but also that it can associate with secreted p40 monomer in the extracellular milieu. This challenges the current consensus that functional IL-12 is secreted only after assembly inside the cell. Indeed, the IL-12 formed by extracellular assembly of p40 binding to p35 was not only stable in biochemical analyses, but it was also functionally active in various bioassays. It remains to be seen whether such an assembly is also possible for IL-23. In order to address the second question, we used a biochemical pull-down strategy aimed at identifying other proteins that can potentially bind p40 in vivo. We chose to focus on p40 because of the existing data that large amounts of p40 monomer (but not p35) is secreted soon after innate activation [25]. In the serum of p35-deficient mice, we were able to identify 18 other proteins that were capable of binding to serum p40 during an inflammatory response. We suggest that these 18 proteins represent sufficient raw material necessary to form a diverse coding language for dendritic cells to communicate context to T cells (Fig. 1). 5. The putative alphabets of a dendritic cell codec? Although these potential binding partners for p40 require further validation, their ontology already suggests several avenues for future experiments. The most prominent candidate among these proteins is CD5-antigen like (CD5L) or Apoptosis inhibitor of Macrophages (AIM, also known as Api6, SpAlpha). CD5L is secreted from macrophages and epithelial cells in response to bacterial infections and stress. It was originally described as an inhibitor of apoptosis, based on increased death of thymocytes and macrophages in CD5L-deficient mice [45,46]. In the absence of a stressor, the expression of CD5L seems to be largely in the Lung, Liver, Kidneys and adipocytes. Recent studies suggest that in some of these tissues, CD5L regulates autophagy, lipolysis and affects the recruitment of macrophages [47]. However, its precise role in the immune system (or its association with p40) is yet to be fully understood. In our experiments, while CD5L can associate with p40 to form a heterodimer, this complex does not have the same activity as IL-23 (i.e. it does not increase IFNγ production in T and NK cells). Our preliminary experiments, looking at the transcriptomic changes following p40 plus CD5L treatment of mouse splenocytes, it does not seem to function like IL-23 either (with respect to Th17 cell production). In many ways, these harken back to the early days of the discovery of IL-23 when a binding partner (p19) and its complex was described, but the functional significance was not well appreciated—until a role of T$_h$17 cells themselves was better understood. Other candidates identified in our screen are equally promising, although even less understood in terms of DC-T cell communication. A common ontology term that runs through many of these proteins is their association with the tissue response to DAMPs or stress. Clusterin is normally an intracellular molecular chaperone that has recently been shown to associate with the autophagy complex (LC3-Ag) and enhance cell survival [48]. Interestingly, clusterin over-expression is considered a biomarker for certain types of cancer and even a potential target for chemotherapy [49–52]. Serum Amyloid A1, Mannose-binding protein and the associated serine protease MBLSP are acute phase response proteins found in several inflammatory conditions [53–55]. Pentraxin 3 is secreted by conventional but not plasmacytoid DCs after being exposed to DAMPS and is one of the most abundant PRRs observed during the early phases of HIV infection [56,58]. In addition, we also found proteins that participate in wound healing and blood clotting such as Antithrombin III, Kininogen and Protein C [59]. These data also raise new questions about how a single protein (p40) can specifically bind to such an extensive list of partners. Despite the technical controls in the original experiments [24], further biological validation is certainly required to extend this paradigm. Nevertheless, how might one speculate about the ability of p40 to recognize proteins, which at least on preliminary analysis, have no obvious relationships in their structural motifs? A key to understanding this pleiotropy may also come from one of the underappreciated characteristics of p40. In biochemical analysis reported so far, which used recombinant p40 expressed in bacteria or CHO cells, it is either reported as a monomer or homodimer. However, in our study, we used affinity columns to directly purify mouse p40 from the serum of mice challenged with LPS. Although on first glance, this p40 can also be segregated as a monomer and some homodimer, a more detailed separation using 2D gels suggests a more complicated story. Native p40 in the serum of septic mice exists in at least eight different isoforms (as defined by their isoelectric points). This level of heterogeneity has never been reported in the literature before (and not observed when using recombinant p40). The nature of the post-translational modifications that lead to these distinct isoforms is currently unclear. An interesting possibility is that different tissue sites also post-translationally modify p40 in different ways. This could be a result of extracellular matrix proteins present in each tissue site or different cellular phenotypes of dendritic cells in some tissues [60]. Better understanding of these post-modifying pathways would help expand the functional significance of our findings. The existence of such a heterogeneous pot of p40 may itself be critical for its ability to bind multiple partners and generate the complete “code-book”. 6. Conclusion: The message in the code The p40 + X model we proposed is analogous to many cases of two-signal based cellular information transfer in the vertebrate immune system e.g. antigen and T cell help as two separable elements which instruct B cells [61,62]. Here too, the “opinion” of the initially activated cells (activating DCs) would be manifested by p40, with then perhaps the local cells taking their input (by binding X) and then transfer this combinatorial “opinion poll” to influence the next immunological decision – by NK cells, T cells. This framework can be important in understanding the complex interplay of cellular actors of the immune response as they inform, influence and instruct each other within local tissue microenvironments [63,64]. During the initial phases of the response, lymphocytes in distal sites (e.g. lymph nodes) have no direct contact with the site of insult. They have to quickly decipher important clues about the tissues they are eventually bound to work in [65]. The nature of the polypeptides released by the inflamed, injured or infected tissues (and picked up by p40) can be quite informative here. In the later phases of the response, as innate and adaptive cells are recruited in as effector cells or remain in the tissues as resident memory cells, these complexes can regulate the nature and extent of their continued activity [66]. Considering how little we know about the diverse ways in which innate factors in localized immune domains regulate such dynamic cellular events, the template of a combinatorial code based on heterodimeric cytokines can be a helpful starting point for future studies. Acknowledgement KA is supported by the Intramural Research Program of the NIAID, NIH. NJS is supported by funding from the NIH (R56AI113313 and RO1AI110719). The graphic art was generated by Ethan Tyler and Alan Hoofering (NIH). References [1] G. Trinchieri, Interleukin-12, a proinflammatory cytokine with immunoregulatory functions that bridge innate resistance and antigen-specific adaptive immunity, Annu. Rev Immunol. 13 (1995) 251–278. [2] E. Oppmann, R. Lesley, B. Blom, J.C. Timans, Y. Xu, B. Hunter et al., Novel p19 protein engages IL-12p40 to form a cytokine, IL-23, with biological activities similar as well as distinct from IL-12, Immunity 13 (2000) 715–725. [3] K.A. O’Garra, C.A. Hutton, D.J. Cua, Pathophysiology of IL-23 and IL-27: related but functionally distinct regulators of inflammation, Annu Rev Immunol 25 (2007) 221–242. [4] A. Vignali, The IL-23/IL-12 family cytokines: immunological playmakers, Nat Immunol 13 (2012) 722–728. [5] S.L. Gaffen, R. Jain, A.V. Garg, D.J. Cua, The IL-23-Il-17 immune axis: from mechanisms to therapeutic testing, Nat Rev Immunol 14 (2014) 585–600. [6] I. Sulli, A. Vignali, J. Yeung, C.E. Egwuogu, Interleukin 12 (IL-12) family cytokines: role in immune pathogenesis and treatment of CNS autoimmune disease, Cytokine (2015). [7] K. Abdi, IL-12: the role of p40 versus p75, Scand J Immunol 56 (2002) 1–11.
Is transverse screw fixation really necessary in PAO?—A comparative in vivo study Vincent J. Leopold $^\circ$$^1$, Juana Conrad, Christian Hipfl, Maximilian Müllner, Thilo Khakzad, Carsten Perka and Sebastian Hardt Department of Orthopaedic Surgery and Traumatology, Charité Berlin, University Hospital, Chariteplatz 1, Berlin 10117, Germany. Correspondence to: V. J. Leopold. E-mail: firstname.lastname@example.org Submitted 24 November 2020; Revised 5 March 2021; revised version accepted 25 March 2021 ABSTRACT The optimal fixation technique in periacetabular osteotomy (PAO) remains controversial. This study aims to assess the in vivo stability of fixation in PAO with and without the use of a transverse screw. We performed a retrospective study to analyse consecutive patients who underwent PAO between January 2015 and June 2017. Eighty four patients (93 hips) of which 79% were female were included. In 54 cases, no transverse screw was used (group 1) compared with 39 with transverse screw (group 2). Mean age was 26.5 (15–44) in group 1 and 28.4 (16–45) in group 2. Radiological parameters relevant for DDH including lateral center edge angle of Wiberg (LCEA), Tonnis angle (TA) and femoral head extrusion index (FHEI) were measured preoperatively, post-operatively and at 3-months follow-up. All patients were mobilized with the same mobilization regimen. Post-operative LCEA, TA and FHEI were improved significantly in both groups for all parameters ($P \leq 0.0001$). Mean initial correction for LCEA ($P = 0.753$), TA ($P = 0.083$) and FHEI ($P = 0.616$) showed no significant difference between the groups. Final correction at follow-up of the respective parameters was also not significantly different between both groups for LCEA ($P = 0.447$), TA ($P = 0.100$) and FHEI ($P = 0.270$). There was no significant difference between initial and final correction for the respective parameters. Accordingly, only minimal loss of correction was measured, showing no difference between the two groups for LCEA ($P = 0.227$), TA ($P = 0.153$) and FHEI ($P = 0.324$). Transverse screw fixation is not associated with increased fragment stability in PAO. This can be taken into account by surgeons when deciding on the fixation technique of the acetabular fragment in PAO. INTRODUCTION Developmental dysplasia of the hip (DDH) is a complex pathology and a leading cause of secondary osteoarthritis of the hip [1–4]. If diagnosed in time, joint-preserving surgical therapy with periacetabular osteotomy (PAO) is a good treatment option in young adults with symptomatic DDH showing good to excellent outcomes both clinically and radiologically [5–9]. The surgical technique has been well described before [5, 10]. The goal of PAO is the redirection of the misaligned acetabulum to a position that provides improved coverage of the femoral head with hyaline cartilage [5, 10]. In PAO, the acetabulum is completely detached from the pelvis through 5 osteotomies and can thus be reoriented threedimensionally. After adequate reorientation, the acetabular fragment is fixed in place to provide better coverage of the femoral head. In the original description of the technique this definitive fixation is achieved through two screws introduced from the iliac crest into the acetabular fragment and one additional horizontal screw. This horizontal screw is inserted in the anteroposterior (AP) direction through the fragment into the ilium aiming at the sacroiliac joint [10]. Since its first description, the technique has been established worldwide and is currently performed at many centers. As the technique became more widespread, different forms of fixation of the reoriented acetabular fragment were described. Besides the original technique mentioned above, fixations without the use of a horizontal screw have been reported [5, 10–18]. Various studies have compared different fixation techniques with and without horizontal screws... However, all of these studies were in vitro studies. In vivo studies comparing the stability of fixation techniques with and without transverse screws are lacking. This study aims to assess the fixation stability of screw fixation—with and without use of a horizontal screw—in patients undergoing PAO for DDH. MATERIALS AND METHODS Demographics We performed a retrospective study of 183 patients (202 hips) with a primary diagnosis of DDH undergoing PAO at our institution between January 2015 and June 2017. Approval from the local ethics committee was obtained beforehand. Inclusion criteria were patients with adequate radiological imaging pre- and post-operatively and at least 3 month follow-up. Exclusion criteria were primary diagnosis other than DDH, such as acetabular retroversion, prior operation on the ipsilateral hip joint and fixations other than screw fixation. In 5 cases, no radiological imaging at 3 month follow up was available leaving a final study cohort of 84 patients (93 hips) of whom 79% were female. An overview of patient selection is shown in Fig. 1. All hips featured at least one radiological anomaly, including a lateral center edge angle of Wiberg (LCEA) of $<25^\circ$ [12], Tönnis angle (TA) of $>10^\circ$ [12], anterior center edge angle (ACE) according to Lequesne and de Seze of $<25^\circ$ [13] and a femoral head extrusion index (FHEI) according to Heyman and Herendeon of 26% or more [14]. Femoral head congruence was determined preoperatively by 30° abduction functional radiographs and was good in all hips. The demographic data collected included age, gender, and body mass index (BMI). The demographic data are shown in Table I. Surgical technique All PAOs were performed by two experienced surgeons at our clinic. Fixation with ($n=39$) or without ($n=54$) the use of horizontal screw fixation was performed on the surgeon’s discretion (Fig. 2). The surgical technique of PAO has been described before [5, 10]. All operations were performed through an anterior approach under fluoroscopic guidance. The acetabulum was liberated and reoriented through 5 osteotomies. After reorientation, the acetabular fragment was temporarily fixed with Kirschner wires. After subsequent fluoroscopic control, a further correction was performed if necessary. The final fixation was then performed with 4.5 mm titanium screws. Either 3–4 screws were introduced through the anterior superior iliac spine (ASIS) into the acetabular fragment or 2–3 screws were introduced through the ASIS adding a single horizontal screw through the acetabular fragment into the ilium aiming at the sacroiliac joint. In both fixation groups the total number of screws was based on the patient’s anatomy and surgeon’s discretion. All screws were 4.5 mm, fully threaded, and cortical. The target of intraoperative reorientation was defined as normalization of LCEA $>30^\circ$, Al $<10^\circ$ and PHEI between 10% and 25%. The post-operative mobilization regimen was the same in both groups. All patients were mobilized in tip-touch partial weight-bearing for a period of 6 weeks post-operatively. After week 6 weight-bearing was increased to half of the patient’s body weight from the seventh to the 10th post-operative week. After week 10 weight-bearing was then gradually increased to full weight-bearing until 3 months post-operatively. No restriction was imposed on the range of motion of the operated hip joint. Radiological assessment All patients received standardized standing AP pelvis radiographs. Radiological parameters relevant for DDH were measured preoperatively, post-operatively before discharge and at 3-month follow-up. This time was chosen for follow-up because the patients had reached full weight-bearing of the operated extremity at this point in time. Table 1. Demographics \| \| No horizontal screw (54 hips) \| Horizontal screw (39 hips) \| P-values \| \|--------------------------\|-------------------------------\|----------------------------\|----------\| \| Age \| 26.50 (SD 8.80 range 15–44) \| 28.41 (SD 8.19; range 16–45)\| 0.291* \| \| BMI \| 23.81 (SD 4.68; range 16.3–35.9) \| 25.43 (SD 4.39; range 18.3–35.8) \| 0.134* \| \| Male/female \| 9/45 \| 11/28 \| 0.208** \| \| Follow up (days) \| 82.04 (SD 11.03 range 67–101) \| 81.53 (SD 10.69 range 70–103) \| 0.883* \| Values are presented as mean with standard deviation and range (* unpaired t test, Fishers exact test). Fig. 2. (a) Preoperative radiograph. (b) Post-operative radiograph after PAO without transverse screw fixation. (c) Post-operative radiograph this time with use of a transverse screw. according to our mobilization regime. A loss of reposition would therefore be most likely to be expected during this period and thereafter considered less likely. Radiological parameters measured were LCEA, TA as well as FHEI. All measurements were performed by two residents (VL, JC), both trained by the same senior orthopedic surgeon (SH). A loss of correction was defined as the difference between initial correction at immediate post-operative time and at 3 months follow up. Significant loss of correction was defined as a loss of acetabular fixation that required an additional surgical procedure or a delta LCEA of >5° as measured in the radiological evaluation. The presence or absence of non-unions was determined by evaluation of bony consolidation along the osteotomies. Complete or incomplete implant removal after implant extraction surgery was evaluated on the basis of the radiographs as well as the surgical reports. Statistical analysis Intra- and inter-rater reliability was assessed using an intra-class correlation coefficient (ICC) model. Kappa value was used to confirm intra- and inter-rater reliability. Frequency rates, means, and range were utilized to describe baseline patient characteristics. T test was used to determine significant differences between continuous data and Fishers exact test for categorical data. A P value of <0.05 was considered statistically significant. For documentation of the collected data, Microsoft Excel version 16.16.2 was used. The collected data were analysed using IBM SPSS 27. RESULTS The inter- and intra-observer reliabilities for the measurements of radiologic parameters were excellent for all parameters, ranging from 0.97 to 0.98. There was no significant difference observed regarding preoperative radiologic parameters between the two groups for LCEA (P = 0.649), TA (P = 0.541), or FHEI (P = 0.454). The post-operative LCEA, TA and FHEI were improved significantly in both groups for all parameters (P ≤ 0.0001). The mean initial correction for LCEA (P = 0.753), TA (P = 0.083), and FHEI (P = 0.616) showed no significant difference between the two groups. The final correction of the respective parameters was also not significantly different between both groups for LCEA (P = 0.447), TA (P = 0.100), and FHEI (P = 0.270). Within the respective groups there was no significant difference between initial and final correction for the LCEA (0.901 versus 0.106), TA (0.562 versus 0.061), and FHEI (0.966 versus 0.286) (Fig. 3). Accordingly, no significant loss of correction was measured, showing no difference between the two groups for LCEA (P = 0.027), TA (P = 0.153), and FHEI (P = 0.324). Overall, there were no cases in either fixation group with significant loss of correction as measured by radiographs or that led to reoperation. No cases of nonunion were found in either group. Overall in 34/93 (36.6%) cases, patients complained about soft tissue irritation caused by the osteosynthesis material and were therefore admitted to implant extraction surgery. In the group without use of a transverse screw, implant removal was performed in 23/54 cases (42.6%) compared with 11/39 cases (28.8%) in the group with a transverse screw, showing no significant difference between the two groups ($P = 0.193$). However in the first group there was no case of partial implant removal (0%) compared with 7 cases (63.6%) in the second group ($P = 0.001$). In all of these cases, the more complex preparation with additional or longer incision necessary for removal of the transverse screw was discussed with the patients prior to surgery and it was mutually decided to leave the transverse screw in place. An overview of the measured radiological parameters is shown in Table II. DISCUSSION** PAO is an established procedure for joint-preserving surgical therapy of DDH in young adults. Different fixation techniques of the acetabular fragment are established. The original technique using a transverse screw is being used worldwide. Several studies exist, investigating the biomechanical in vitro stability of different techniques with and without transverse screw. To our knowledge, no study has previously compared the in vivo stability of fragment fixation with and without use of a transverse screw in patients undergoing PAO. The most important finding of the presented study was that there was no difference between the two investigated techniques in terms of fixation stability and loss of correction. There was also no difference observed in terms of osteotomy healing. Implant extraction surgery was performed at comparable frequencies, with only partial implant removal being significantly more frequent in the transverse screw group. In the investigated cohort, no difference was observed between the groups regarding the preoperatively measured radiological parameters. There was also no significant difference between the two groups with respect to the extent of the correction. Both groups were corrected to a comparable degree and showed almost identical correction values for initial correction immediately after surgery and final correction at the time of follow-up (see Table II). This resulted in almost no loss of correction, which did not differ significantly between the two groups. There were also no cases of non-union observed in either group in this study. Several studies have previously assessed the biomechanical stability of different fixation constructs under in vitro conditions. A study by Babis et al. compared the stability of the fixation forms of 3 screws inserted through the ASIS with that of 2 screws inserted through the ASIS into the fragment and an additional transverse screw in an in vitro cadaver pelvis model simulating the push-off phase of the gait cycle. The authors found a higher stiffness and higher absolute values for catastrophic failure loads in the transverse screw group (930.8 ± 306.5 N) compared with the group without one (741.5 ± 286.0 N). These differences showed a tendency but no significance. The catastrophic failure loads shown here were at 1.27 times the body weight in the group without the use of a transverse screw compared with 1.66 times the body weight in the group with transverse screw. These values are relatively low considering that during gait at normal pace the peak loads on the hip joint are ~2.8 times the body weight and ~5.5 times during periods of instability in one-leg-stand [19]. These values apply to the proximal femur in the hip joint region. However, another study by Pedersen et al. was able to show that the peak values of joint force acting in the periacetabular region are similar to those previously described for the proximal femur [20]. It can therefore be stated that both fixation methods are not suitable for immediate post-operative full weight bearing. Another study by Widmer et al. used a comparable in vitro setup simulating the push-off phase of the normal gait cycle also... Table II. Comparison of correction of LCEA, TA and FHEI between the two groups \| \| No horizontal screw (54 hips) \| Horizontal screw (39 hips) \| P-values \| \|------------------------\|-------------------------------\|----------------------------\|----------\| \| LCEA (°) \| \| \| \| \| Pre-operative \| 17.91 (SD 6.49; range −11 to 26) \| 17.32 (SD 5.55; range −1 to 25) \| 0.649* \| \| Post-operative \| 31.13 (SD 6.45; range 7−42) \| 30.51 (SD 5.78; range 18−42) \| 0.636* \| \| Initial correction \| 13.22 (SD 5.37; range 3−26) \| 13.64 (SD 7.42; range 5−39) \| 0.753* \| \| Final correction \| 12.97 (SD 5.11; range 3−27) \| 14.36 (SD 8.67; range 5−43) \| 0.447* \| \| Loss of correction \| 0.06 (SD 2.82; range −5 to 9) \| 1.00 (SD 3.01; −6 to 9) \| 0.227* \| \| Tönnis angle (°) \| \| \| \| \| Pre-operative \| 11.93 (SD 6.20; range −2 to 32) \| 11.11 (SD 6.47; range −1 to 24) \| 0.541* \| \| Post-operative \| −1.25 (SD 5.90; range −14 to 13) \| 0.233 (SD 6.50; range −13 to 11) \| 0.252* \| \| Initial correction \| −13.18 (SD 6.90; range −31 to 2) \| −10.58 (SD 7.24; range −24 to 7) \| 0.083* \| \| Final correction \| −13.90 (SD 6.23 range −31 to (−4)) \| −10.91 (SD 7.63; range −24 to 7) \| 0.100* \| \| Loss of correction \| −0.25 (SD 2.40; range −7 to 5) \| −1.17 (SD 2.43 range −6 to 7) \| 0.153* \| \| FHEI (%) \| \| \| \| \| Pre-operative \| 21.03 (SD 9.06; range 9.55−59.24) \| 22.35 (SD 7.28; range 6.31−40.32) \| 0.454* \| \| Post-operative \| 7.46 (SD 7.74; range −8.38 to 27.9) \| 9.54 (SD 7.07 range −5.81 to 20.82) \| 0.188* \| \| Initial correction \| −13.57 (SD 6.62; range −31.34 to (−0.13)) \| −12.81 (SD 7.86; range −40.32 to 1.81) \| 0.616* \| \| Final correction \| −14.18 (SD 7.08; range −30.59 to (−3.65)) \| −11.64 (SD 10.22; range −40.32 to (−0.52)) \| 0.270* \| \| Loss of correction \| 0.035 (SD 4.74 range −13.95 to 11.94) \| 1.66 (SD 7.48; range −18.90 to 21.55) \| 0.324* \| Values are presented as mean, standard deviation and range (* unpaired t test). comparing fixation constructs with and without use of a transverse screw. The authors found favorable results for the transverse screw construct showing higher failure loads here. With the use of sawbones pelvis in this study, the preconditions for conclusions were limited [12]. Another study by Bergmann et al. shows that already during normal gait forces between 1925 and 2880 N are acting on the hip joint. Comparing these values with the aforementioned failure loads reported by Babis et al., supports the presumption that full weight-bearing in the early post-operative phase cannot be recommended [13, 21]. Instead the previously described mobilization regimen with post-operative tip-touch partial weight bearing of the operated leg and gradual increase of weight-bearing thereafter was applied. Generally after PAO, patients are instructed to mobilize in tip-touch partial weight-bearing for a period of 6–10 weeks to avoid loss of correction or failure of fixation. Similar loading regimes are commonly applied [22, 23] and were also described by the inventors of the technique [10]. In our cohort there was no significant loss of correction in either group under the described mobilization regimen in the immediate post-operative phase until follow-up. Follow-up was set at 3 months post-operatively, with patients having reached full weight bearing of the operated leg at that time. Without a significant loss of correction to be found in the analysed radiographs at this stage, the assumption can be made that loss of correction thereafter is unlikely. When taking a closer look at the literature regarding osseous healing after PAO it can be found that more rigid fixation constructs are associated with significantly higher rates of non-unions in [24–26]. In our cohort no case of non-union was observed in either group. However, according to the aforementioned studies the probability for non-unions without the use of a transverse screw seems to be lower theoretically as it was shown that a transverse screw adds rigidity to the fixation [13]. Another factor in the decision for or against the use of a transverse screw can be pending implant removal surgery. Implant removal is frequently performed following PAO due to soft tissue irritation and the patients request [24, 27, 28]. This was also observed in our cohort as in 36.6% of the cases implant removal was performed. Implant removal is more complex if a transverse screw was used and the material is to be removed completely, since a longer or second incision with additional, soft tissue preparation is necessary to address the transverse screw. Furthermore, retained metal implants may pose a problem after PAO, considering possible need of MRI in the future. Even though artifact reduction techniques have improved, metal screws will produce a lot of artifact in this process [29, 30]. In addition, remaining implants may cause a challenge in eventual conversion to THA, which still becomes necessary in a relevant proportion of patients after PAO [7]. There are several limitations to the present study. First, its retrospective study design and relatively small sample size leads to limited statistical power. Second, the operations in the study were performed by two different surgeons, which may lead to potential statistical bias. Third, it is not possible to deduce how the examined fixations behave under higher loads in the early post-operative phase. However, the post-operative weight-bearing regimen was not the subject of this study. Fourthly, the follow-up at 3 months was by definition too early to assess the presence of non-unions. Nevertheless, with radiologically proven bony consolidation of the osteotomies and painless mobilization under full weight-bearing, we assumed the absence of non-unions at that time. Despite these limitations, this study is the first series comparing the efficacy of PAO with and without the use of a transverse screw. In conclusion, this study demonstrated that acetabular fragment fixation without use of a transverse screw is a safe and viable option in PAO with comparable stability, provided that a standardized mobilization regimen with partial weight-bearing is applied in the immediate post-operative phase. Under these circumstances, transverse screw fixation does not seem to be necessary. This can be taken into account by surgeons when deciding on the fixation technique of the acetabular fragment in PAO. ACKNOWLEDGEMENTS None. FUNDING Each author certifies that he has no commercial associations (e.g. consultancies, stock ownership, equity interest, patent/licensing arrangements, etc.) that might pose a conflict of interest in connection with the submitted article. CONFLICT OF INTEREST STATEMENT Vincent J. Leopold, Juana Conrad, Christian Hipfl, Maximilian Müllner, Thilo Khakzad, Carsten Perka, Sebastian Hardt have nothing to disclose related to this work. IRB Internal review board approval was obtained. LEVEL OF EVIDENCE III, retrospective trial. REFERENCES 1. Ipach I, Mittag F, Syha R et al. Indications for total hip arthroplasty in young adults – idiopathic osteoarthritis seems to be overestimated. Rofo 2012; 184: 239–47. 2. Harris WH. Etiology of osteoarthritis of the hip. Clin Orthop Relat Res 1986; 213: 20–33. 3. Hartofilakidis G, Karachalios T, Stamos KG. Epidemiology, demographics, and natural history of congenital hip disease in adults. Orthopaedics 2000; 23: 823–7. 4. Cooperman DR. How good is the evidence linking acetabular dysplasia to osteoarthritis? J Pediatr Orthop 2019; 39: S20–2. 5. Garza R, Klaue K, Vihn TS, Mast JW. A new periacetabular osteotomy for the treatment of hip dysplasias. Technique and preliminary results. Clin Orthop Relat Res 1988; 26: 36. 6. Wells J, Schoenecker P, Durcan S et al. Intermediate-term hip survivorship and patient-reported outcomes of periacetabular osteotomy: the Washington University experience. J Bone Joint Surg Am 2018; 100: 218–25. 7. Lerch TD, Steppacher SD, Liechti EF et al. One-third of hips after periacetabular osteotomy survive 30 years with good clinical results, no progression of arthritis, or conversion to THA. Clin Orthop Relat Res 2017; 475: 1154–68. 8. Lara J, Garin A, Herrera C et al. Bernese periacetabular osteotomy: functional outcomes in patients with untreated intra-articular lesions. J Hip Preserv Surg 2020; 7: 256–61. 9. Sohatee MA, Ali M, Khanduja Y, Malviya A. 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Yassir W, Mahar A, Aminian A et al. A comparison of the fixation stability of multiple screw constructs for two types of pelvic osteotomies. J Pediatr Orthop 2005; 25: 14–7. 16. Trumble SJ, Mayo KA, Mast JW. The periacetabular osteotomy. Minimum 2 year followup in more than 100 hips. Clin Orthop Relat Res 1999; 363: 54–63. 17. Trousdale RT, Ekkernkamp A, Ganz R, Wallrichs SL. Periacetabular and intertrochanteric osteotomy for the treatment of osteoarthritis in dysplastic hips. J Bone Joint Surg Am 1995; 77: 73–85. 18. Matta JM, Stover MD, Siebenrock K. Periacetabular osteotomy through the Smith–Petersen approach. Clin Orthop Relat Res 1999; 363: 21–32. 19. Bergmann G, Graichen F, Rohrmann A. Hip joint loading during walking and running, measured in two patients. J Biomech 1993; 26: 969–90. 20. Pedersen DR, Brand RA, Davy DT. Pelvic muscle and acetabular contact forces during gait. J Biomech 1997; 30: 959–65. 21. Bergmann G, Bender A, Dymke J et al. 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Identify the member(s) of the Legislature submitting this request for investigation (attach additional sheet if necessary): Representative Vince Leach Provide a contact person for communications from the Attorney General’s Office regarding this request (may be a Legislator listed above or an employee of the Legislature). Name: State Representative Vince Leach Email address: email@example.com Phone number: 602.926.3106 Mailing address: 12995 N Oracle Rd., Ste. 141 MS 113 Tucson, AZ 85739-9528 The specific question for the Attorney General to investigate is: Did the Town of Patagonia violate Arizona law by adopting an ordinance restricting the total number of trips made by a “heavy duty truck?” The name of the county, city, or town that is the subject of this request: Town of Patagonia The specific ordinance, regulation, order, or other official action adopted or taken by the governing body of the county, city, or town and the date thereof: Ordinance 17-01 November 29, 2017 The specific Arizona statute(s) and/or constitutional provision(s) with which the action conflicts: A.R.S. § 28-1106; A.R.S. § 28-1103(F) All relevant facts of which you are aware (attach separate sheet if necessary): See Attachments A, B, and C. All relevant legal authority, including federal and state case law, of which you are aware (attach separate sheet if necessary): Attachments A, B, and C. Any litigation involving this issue of which you are aware (include case name, number, and court where filed): None. Check this box if you are attaching supporting documentation. [✓] NOTE: This form and other information submitted to the Attorney General’s Office is subject to the public records law, A.R.S. § 39-121 et seq. I, a current member of the Legislature, verify that I and the other Legislators listed on the previous page (if any) are submitting this request for investigation under A.R.S. § 41-194.01. First Name: Vince Last Name: Leach Signature: [Signature] Date: 12-18-17 Please submit the completed form to: Arizona Attorney General’s Office Attn: Civil Litigation Division/A.R.S. § 41-194.01 2005 N Central Avenue Phoenix, Arizona 85004 firstname.lastname@example.org required field On November 29, 2017, the Town of Patagonia adopted Ordinance 17-01 (the “Ordinance”), which places limits on the total number of trips made by a “heavy duty truck.” A “heavy duty truck” is defined as a truck with “more than two non-steering axles.” Specifically, § 11-4-3(A) of Patagonia’s ordinance states as follows: No person, firm or entity shall drive or cause to be driven upon any Town street a heavy duty truck or trucks for more than a cumulative total of one hundred trips per week, and of those no more than twenty trips per week may occur between the hours of 10:00 p.m. and 6:00 a.m. The Town’s Ordinance requires a permit and fee to exceed the “maximum trip restrictions” and Town’s weight and load regulations. § 11-4-5. The Ordinance is unlawful because the Town’s restrictions exceed the authority granted to it under Arizona law.$^1$ See City of Scottsdale v. Superior Court, 103 Ariz. 204, 205 (1968) (city or town has “no greater powers than those delegated to [it] by the constitution and the general laws of the state”). The Town claims it has authority to enact the trip restrictions under A.R.S. § 28-1106(C). But A.R.S. § 28-1106(C) only permits the Town to “prohibit by ordinance or resolution the operation of trucks or other commercial vehicles,” or “impose limitations as to the weight of vehicles on designated highways.” The proposed trip limitations do neither. The Ordinance does not “prohibit . . . the operation of trucks or other commercial vehicles,” instead it allows trucks or other commercial vehicles to operate so long as they stay under the Town’s arbitrary trip limits. These trip limits are based out of a desire to block Arizona Mining Inc.’s proposed mine, not protect certain roads from commercial trucks. After all, the Ordinance separately prohibits “the operation of trucks or other commercial vehicles” on select roads by imposing route restrictions. See § 11-4-2. These route restrictions are what § 28-1106(C) authorizes, not arbitrary limits on the number of trips. Further, the proposed trip limitations do not “impose limitations as to the weight of vehicles on designated highways.” In fact, the limitations are based exclusively on whether the vehicle contains “more than two non-steering axles,” and have nothing to do with weight. And again, the Ordinance separately imposes weight restrictions apart from the trip restrictions. See § 11-4-1. Simply, under Arizona law the Town can either prohibit the operation of trucks or limit their weight, but it has not been granted authority to make any other limitations, including limiting the number of trips a “heavy duty truck” can make. $^1$ The Town originally proposed this ordinance in February 2017, but tabled it pending the outcome of State ex rel. Brnovich v. City of Tucson, 242 Ariz. 588 (2017). The Ordinance also appears to violate A.R.S. § 28-1103(F). In March 2017, Governor Ducey signed HB 2371, which makes clear that the Town’s restrictions on trucks and vehicles must be “substantially identical to rules adopted by the [Arizona Department of Transportation].” See A.R.S. § 28-1103(F). If a local authority issues permits pursuant to this section, the local authority shall adopt and enforce ordinances that are substantially identical to rules adopted by the department that relate to overdimensional or overweight commercial vehicles, and the local authority may adopt ordinances relating to infrastructure restrictions, route restrictions and time-of-day restrictions. The Town’s restrictions on total trips is not substantially identical to the State’s rules for overdimensional or overweight commercial vehicles. Because the trip restrictions “are not substantially identical to rules adopted by the department that relate to overdimensional or overweight commercial vehicles,” they are unlawful. Finally, it is worth noting that the Ordinance was unlawfully deliberated in violation of Arizona’s open meeting laws. Under Arizona law, email communications can constitute a meeting for purposes of Arizona’s Open Meeting Law. See 2005 Op. Ariz. Att’y Gen. I05-004. The email communications shown in Attachment C demonstrate that in an email to the Town Mayor, Vice Mayor, and Council Members, Council Members Michael Stabile and Ron Reibslager deliberated the Ordinance. Further, it appears that Council Members Michael Stabile spoke with the Town Marshall, Joe Patterson, regarding the Ordinance. I would request that the Attorney General investigate this and any other violations of Arizona’s Open Meeting Law that may have occurred and may possibly void the Ordinance. ______________________________ 2 “If a local authority issues permits pursuant to this section, the local authority shall adopt and enforce ordinances that are substantially identical to rules adopted by the department that relate to overdimensional or overweight commercial vehicles.” A.R.S. § 28-1103(F) (effective Aug. 9, 2017). Article 11-4 Vehicle Weight, Use and Noise Restrictions on Town Streets Sec. 11-4-1 Weight Restrictions On Town Roads A. The maximum gross vehicle weight for all vehicles traveling on Town streets shall be 80,000 pounds except where lower gross vehicle weight is dictated by the bridge formula set forth below in subsection D. B. The maximum gross weight upon any one axle, including any one axle of a group of axles, or a vehicle is 20,000 pounds. C. The maximum gross weight on tandem axles is 34,000 pounds. D. No vehicle or combination of vehicles shall be moved or operated on any town road when the gross weight on two or more consecutive axles exceeds the limitations prescribed by the following formula, referred to as the Bridge Gross Weight Formula: \[ W = 500 \left( \frac{LN}{N-1} + 12N + 36 \right) \] except that two consecutive sets of tandem axles may carry a gross load of 34,000 pounds each if the overall distance between the first and last axle is 36 feet or more. In no case shall the total gross weight of a vehicle exceed 80,000 pounds. \[ W = \text{maximum weight in pounds that can be carried on a group of two or more axles to the nearest 500 pounds.} \] \[ L = \text{spacing in feet between the outer axles of any two or more consecutive axles} \] \[ N = \text{number of axles being considered} \] This limitation is further set forth in the federal “Bridge Formula Table” adopted as if fully set forth herein by this reference. Sec. 11-4-2 Town Truck Routes A. All heavy duty trucks transiting through the Town to or from county roads and SR-82 shall be restricted to the following Town Truck Routes: 1. To access Blue Heaven Road: Fourth Avenue to Pennsylvania Avenue to Blue Heaven Road. 2. To access Temporal Road: First Avenue to Gringo Road to Temporal Road. 3. To access Harshaw Road: Taylor Avenue to McKeown Avenue to Columbia Road to Harshaw Road. B. Notwithstanding the above, a heavy duty truck making a delivery or pick up or parking at a final destination within the Town may travel the shortest reasonable route through Town. C. As used in this article, "heavy duty truck" means a truck with more than two non-steering axles. Sec. 11-4-3 Heavy Duty Truck Use Restrictions A. No person, firm or entity shall drive or cause to be driven upon any Town street a heavy duty truck or trucks for more than a cumulative total of one hundred trips per week, and of those no more than twenty trips per week may occur between the hours of 10:00 p.m. and 6:00 a.m. B. For the purpose of this section, each time a truck enters upon a Town street directly from a county or state highway shall be deemed a separate trip. C. All emergency vehicles shall be exempt from the limitations of this section, whether or not they are responding to an actual emergency. Sec. 11-4-4 Overweight Permits for One-Time Deliveries The Town Manager is hereby authorized to issue overweight permits upon application in writing and good cause shown, for one-time deliveries of a load exceeding the weight limits of Sec. 11 – 4 – 1 upon any town road under the following terms: A. The load shall be nondivisible or otherwise not reasonably susceptible of transport by truck or trucks meeting the weight limits of Sec. 11 – 4 – 1. B. The route shall be reviewed for clearance of all obstacles. C. A permit fee of thirty dollars per 10,000 lbs. over the limits set forth in Section 11-4-1 shall be charged. D. The permit shall be issued in conformity with A.R.S. title 28, ch. 3, art. 18 (§§ 28-1091 et seq.). E. The Town Manager may condition the approval of a permit upon the posting of security to assure against damage to roadway surface or foundation or other property and such other reasonable limitations that are necessary to protect the safety of property and persons, and said conditions shall have the force and effect of law when approved by the Town Council. F. A permit issued pursuant to this section shall be carried in the vehicle and shall be open for inspection by any peace officer or agent of the Town. G. Any violation of a condition of a permit issued pursuant to this section shall be a civil infraction subject to a fine of up to five hundred dollars, which shall be in addition to being civilly liable for any damage that may be caused by the delivery. Sec. 11-4-5 Permits to Exceed Weight or Use Restrictions A. The Town Council, upon application in writing and good cause being shown therefor at a public meeting properly noticed pursuant to law, and after hearing from all interested parties desiring to be heard thereon, may issue a special permit in writing authorizing the applicant to operate or move a vehicle or combination of vehicles of a size or weight of vehicle or load exceeding the maximum specified in Sec. 11-4-1 relating to size, weight and load regulations, or to exceed the maximum trip restrictions of Section 11-4-3, upon any designated route under the jurisdiction of the Town. B. The permit provided for in subsection (A) of this section shall be issued for no more than one year, and in substantial conformity to the procedures adopted by ADOT pursuant to A.R.S. § 28-1104. C. Each permit shall include the following conditions and restrictions: (1) Designation of specific routes to be used; (2) Times during which hauling or movement may occur; (3) Limitation on acceptable level of noise emitted from the overweight vehicle, but in no event greater than 90 dB at a five-foot distance; (4) Designation of specific locations and times of day access will be made to and from Town streets; (5) Provision for safety precautions, such as the use of barricades, warning or traffic signs, flagmen or police officers for traffic control; (6) Payment of a cash bond in the amount of five hundred dollars per vehicle or such other amount as the council in its sole discretion determines is necessary to secure the cost of the removal of any spillage of hauled materials or the cleaning of the right-of-way by the Town. Such bond shall be returned to the applicant if no spillage occurs or if any spillage is removed and the right-of-way cleaned by the applicant to the satisfaction of the Town Manager. (7) Such other conditions that the council in its sole discretion deems necessary to secure the peace, safety and welfare of the residents of the Town. D. The permit limitations and conditions as provided in this section shall have the force and effect of law when submitted to and approved by the Council. E. If the permit as provided for in subsection (A) is issued, the Town Council may establish seasonal or other time limitations within which the vehicles described may be operated upon the Town’s preferred truck routes or otherwise limit and prescribe conditions of operation of the vehicle or vehicles when necessary to assure against undue damage to the road foundations, surfaces or structures, and may require such undertaking or other security as may be deemed necessary to compensate for any risk of damage to any roadway or road structure or to public safety. F. A permit issued pursuant to this section shall be carried in the vehicle or combination of vehicles to which it refers and shall be open to inspection by any peace officer or agent of the Town and no person shall violate any of the terms and conditions of the special permit. G. A one-hundred dollar fee shall be assessed for each permit issued in accordance with the provisions of this section, except as provided in subsection (H) of this section. H. A thirty-day permit may be issued for the movement of overweight vehicles as long as any load to be carried within the thirty-day period does not exceed the permitted weight and the same equipment will be used for the same type load during the thirty-day period. A fee of forty-five dollars shall be assessed for each thirty-day permit. I. Any violation of the terms or conditions of the permit issued pursuant to this section may be prosecuted as a violation of Section 11-4-1. In addition, any such violation or written notification from the Town Marshal as to nuisance or safety concerns regarding the haul operation shall be sufficient grounds for the Town Manager to notice a public hearing with the Town Council at which the permit may be revoked. Sec. 11-4-6 Liability for Damage A. Any person driving any overweight vehicle upon any street under the jurisdiction of the Town shall be liable for all damage to any street, light or sign of the Town, whether such transit was permitted, lawful or unlawful. B. Any person who causes or allows fill, excavation, ore, construction debris, mud, dirt, rock, sand, gravel, concrete or asphalt to be spilled, dumped or tracked onto public streets, alleys or sidewalks is responsible for all clean-up costs. C. When the driver is not the owner of the truck, but is so operating, driving or moving the same with the express or implied permission of the owner, then the owner and driver shall be jointly and severally liable for any damage. D. The costs to mitigate all such damage described herein may be recovered in a civil action brought by the Town. Sec. 11-4-7 Hauling Fill or Excavation; Permit; Fee and Cleanup Bond; Load Leaks. A. It shall be unlawful to haul or cause to be hauled fill or excavation by truck on Town streets when the quantity of fill or excavation to be hauled exceeds ten thousand cubic yards, or when the duration of the haul is for more than twenty working days, i.e., Monday through Friday inclusive, except upon written application for and the issuance of a haul permit by the Town Manager. The Town Manager shall be responsible for the issuance of the permit, and may include conditions as may be reasonably necessary to prevent creation of a nuisance or hazard to the public. Such conditions may include but not be limited to: (1) Designation of specific routes to be used; (2) Designation of specific locations and times of day access will be made to and from public right-of-way; (3) Provision for safety precautions, such as the use of barricades, warning or traffic signs, flagmen or police officers for traffic control; (4) Payment of a cash bond in the amount of five hundred dollars in order to secure the cost of the removal of any spillage of fill or excavation and the cleaning of the right-of-way by the Town. Such bond shall be returned to the applicant if no spillage occurs or if any spillage is removed and the right-of-way cleaned by the applicant to the satisfaction of the Town Manager; (5) Any violation of the terms or conditions of the permit, or written notification from the Town Manager shall be sufficient grounds to revoke the permit. B. Notwithstanding the provisions of subsection (A) above: (1) It shall be unlawful to cause or allow fill, excavation, construction debris, dirt, rock, sand, gravel, concrete or asphalt to be spilled or dumped onto improved public streets, alleys or sidewalks. Any person who violates this section shall be subject to a civil sanction for which the court shall impose a sanction in the amount of two hundred fifty dollars. (2) Any person who owns, leases or occupies property in connection with which fill, excavation, construction debris, dirt, rock, sand, gravel, concrete or asphalt is hauled and caused or allowed to be spilled or dumped onto improved public streets, alleys, or sidewalks is subject to a civil sanction for which the court shall impose a sanction in the amount of two hundred fifty dollars. (3) Any person who contracts to do work of any kind on property in connection with which fill, excavation, construction debris, dirt, rock, fill, gravel, concrete or asphalt is hauled and caused or allowed to be spilled or dumped onto public streets, alleys or sidewalks is subject to a civil sanction for which the court shall impose a sanction in the amount of two hundred fifty dollars. C. Any person who violates the provisions of this section is subject to a civil sanction for which the court shall impose a sanction in the amount of two hundred fifty dollars. Sec. 11-4-8 Weighing of Vehicles and Presumptive Weight A. Any peace officer employed in the State of Arizona, having reason to believe that the weight of the vehicle and load does not conform to the provisions of this article is authorized to require the driver to stop and submit to a weighing of the vehicle by means of either portable or stationary scales and may require the vehicle to be driven to the nearest public scales, provided that the scales are within two miles. B. The rated gross vehicle weight of the vehicle shall be presumptive evidence of the weight of the vehicle traveling upon any Town road. Sec. 11-4-9 Penalties A. A person who violates any of the provisions of this article, including exceeding the conditions of a permit issued pursuant to Section 11-4-4 or Section 11-4-5, is subject to
APPLICATION FOR AUTHORITY TO DISPENSE DRUGS Registration Fee: $300.00 (non-refundable money order or cashier's check only) New Dispensing Location ☑️ Address Change □ (Requires Fee and New Application) Do you, as a dispensing practitioner or in conjunction only with other practitioners, wholly own your practice? □ Yes ☑️ No I will be dispensing □ controlled substances ☑️ dangerous drugs or both. Must check a box. If you dispense controlled substances, a controlled substance registration and DEA is required for the address listed on this application. First: Heather Middle: Lee Last: Rohrer Degree: PA-C Practice Name (if any): Chic La Vie Medical Spa Nevada Address: 8871 West Sahara Ave LV NV 89117 Suite #: (This must be a practicing Nevada address, we will not issue a license to a home address or to a PO Box only) PO Box: ___________ SS#: ___________ Sex: □ M or ☑️ F E-mail address: __________________________ Date of Birth: 01-18-75 City: Las Vegas State: NV Zip Code: 89117 Nevada Work Telephone: 702-233-8535 Nevada Fax: 702-838-2455 Practitioner License Number: PA 789 Specialty: Physician Assistant Plastic Surgery You must be licensed with your respective BOARD before we will process this application. Been diagnosed or treated for any mental illness, including alcohol or substance abuse, or physical condition that would impair your ability to perform the essential functions of your license? Yes No 1. Been charged, arrested or convicted of a felony or misdemeanor in any state? □ □ □ □ □ □ □ □ 2. Been the subject of an administrative action whether completed or pending in any state? □ □ 3. Had your license subjected to any discipline for violation of pharmacy or drug laws in any state? □ □ If you marked YES to any of the numbered questions (1-3) above, include the following information & provide documentation: Complaint # 15-28202-1 Pending \| Board Administrative Action \| State \| Date \| Case # \| \|-----------------------------\|-------\|------\|--------\| \| \| \| / \| / \| \| Criminal Action \| State \| Date \| Case # \| County \| Court \| \|-----------------\|-------\|------\|--------\|--------\|-------\| \| \| \| / \| / \| \| \| The undersigned practitioner, licensed to practice his or her profession in the State of Nevada, applies to the Board of Pharmacy for authorization to dispense, for profit, controlled substances or dangerous drugs or both, to his or her own patients, in the manner allowed and as required by Nevada and Federal law. I hereby certify that the answers given in this application are true and correct to the best of my knowledge. I understand that the approval of this application provides me alone with the authority to dispense controlled substance or dangerous drugs or both to my own patients at the address stated on the application. I further understand that I may not delegate this authority to any other person. I further agree to abide by all statutes, rules or regulations governing practitioner dispensing and understand that a violation of any such statute, rules or regulations may be grounds for suspension or revocation of this permit of authorization. Original Signature, no copies or stamps accepted. Date Board Use Only Received: Amount: $300.00 Entity#: 27958 Licensee Details Person Information Name: Heather Lee ROHRER Address: 8871 West Sahara Ave Las Vegas NV 89117 Phone: 7022338535 License Information License Type: Physician Assistant License Number: PA789 Status: Active Issue Date: 8/1/2003 Expiration Date: 6/30/2017 Scope of Practice Scope of Practice: Surgery, Neurological Scope of Practice: Physician Assistant Education & Training School: Columbiana High School / Columbiana, OH High Degree\Certificate: School Diploma Date Enrolled: Date Graduated: 6/1/1993 Scope of Practice: School: Youngstown State University / Youngstown, OH Practitioner of Degree\Certificate: Respiratory Care Degree Date Enrolled: Date Graduated: 3/27/1999 Scope of Practice: School: Wagner College / Staten Island, NY Physician Degree\Certificate: Assistant Degree Date Enrolled: Date Graduated: 6/26/2003 Scope of Practice: CURRENT EMPLOYMENT STATUS / CONDITIONS/RESTRICTIONS ON LICENSE AND MALPRACTICE INFORMATION NONE Board Actions AGREEMENT Case # 15-28202-1 December 4, 2015 The Nevada State Board of Medical Examiners (Board) accepted a Settlement Agreement (Agreement) with Heather L. Rohrer, PA-C., (Respondent), finding one violation of the Nevada Revised Statutes (NRS) 630.306(3). According to the Agreement, the Board found that the Respondent engaged in conduct that violated the Medical Practice Act; specifically, one count of prescribing a controlled substance to herself or others except as authorized by law, a violation of NRS 603.306(3). Accordingly, Respondent agreed that the Board shall issue a public reprimand; the Respondent shall take 10 hours of continuing medical education (CME) in both of the following categories: prescribing controlled substances and medical record keeping within 12 months of the Board’s Final Order (the aforementioned CME hours shall be in addition to any CME requirements that are regularly imposed upon Respondent as a condition of licensure in the state of Nevada and shall be approved by the Board prior to their completion); Respondent shall pay the Board $2,613.69 in fees and costs incurred as a part of the Board’s investigative, administrative, and disciplinary proceedings against Respondent, as authorized by NRS 622.400 within 30 days of the Board’s Final Order. Settlement: 6 pages FORMAL COMPLAINT Case # 15-28202-1 July 23, 2015 The Investigative Committee of the Nevada State Board of Medical Examiners filed a formal complaint against Heather L. Rohrer, PA-C alleging two violations of Nevada Revised Statutes (NRS) Chapter 630. Count I: Alleges a violation of NRS 630.306 (3), administering, dispensing or prescribing a controlled substance to herself or others except as authorized by law. Count II: Alleges a violation of NRS 630.3062(1), failure to maintain timely, legible, accurate and complete medical records relating to the diagnosis, treatment and care of a patient. ea Complaint: 5 pages Please note that the settlement of a medical malpractice action may occur for a variety of reasons that do not necessarily reflect negatively on the professional competence or conduct of the provider. Therefore, there may be no disciplinary action appearing for a licensee even though there is a closed malpractice claim on file. A payment in the settlement of medical malpractice does not create a presumption that medical malpractice occurred. Sometimes insurance companies settle a case without the knowledge and/or agreement of the physician. This database represents information from insurers to date. Please note: All insurers may not have submitted claim information to the Board. Close Window SETTLEMENT AGREEMENT The Investigative Committee (IC) of the Nevada State Board of Medical Examiners (Board) and Heather L. Rohrer, PA-C. (Respondent), a licensed certified physician assistant in Nevada, represented by Matthew Hoffman, Esq., hereby enters into this Settlement Agreement (Agreement) based on the following:¹ A. Background 1. Respondent is a certified physician assistant licensed by the Board to practice medicine in Nevada since August 1, 2003 (License No. PA 789). 2. On July 23, 2015, the IC filed the formal Complaint (Complaint) in this matter charging Respondent with two violations of Nevada Revised Statutes (NRS) Chapter 630 and Nevada Administrative Code (NAC) Chapter 630 (collectively Medical Practice Act). Specifically, the Complaint alleges one violation of administering, dispensing or prescribing a controlled substance to herself or others except as authorized by law, a violation of NRS 630.306(3) and one violation of failure to maintain timely, legible, accurate and complete medical records relating to the diagnosis, ¹ All agreements and admissions made by Respondent are solely for final disposition of this matter and any subsequent related administrative proceedings or civil litigation involving the Board and Respondent. Therefore, Respondent’s agreements and admissions are not intended or made for any other use, such as in the context of another state or federal government regulatory agency proceeding, state or federal civil or criminal proceeding, any state or federal court proceeding, or any credentialing or privileges matter. treatment and care of a patient, a violation of NRS 630.3062(1). 3. Respondent was properly served with a copy of the Complaint, and has reviewed the Complaint, understands the Complaint, and has had the opportunity to consult with competent counsel concerning the nature and significance of the Complaint. 4. Respondent is hereby advised of her rights regarding this administrative matter, and of her opportunity to defend against the allegations in the Complaint. Specifically, Respondent has certain rights in this administrative matter as set out by the United States Constitution, the Nevada Constitution, the Medical Practice Act, and the Nevada Administrative Procedure Act (APA) (NRS Chapter 233B). These rights include the right to a formal hearing on the allegations in the Complaint, the right to representation by counsel, at her own expense, in the preparation and presentation of her defense, the right to confront and cross-examine the witnesses and evidence against her, the right to written findings of fact, conclusions of law, and order reflecting the final decision of the Board, and the right to judicial review of the Board’s order, if the decision is adverse to her. 5. Respondent understands that, under the Board’s charge to protect consumers by regulating the practice of medicine, the Board may take disciplinary action against Respondent’s license, including license probation, license suspension, license revocation, and imposition of administrative fines, as well as any other reasonable requirement or limitation, if the Board concludes that Respondent violated one or more provisions of the Medical Practice Act. 6. Respondent understands and agrees that this Agreement, by and between Respondent and the IC, is not with the Board, and that the IC will present this Agreement to the Board for consideration in open session at a meeting duly noticed and scheduled. Respondent understands that the IC shall advocate for the Board’s approval of this Agreement, but that the Board has the right to decide in its own discretion whether or not to approve this Agreement. Respondent further understands and agrees that if the Board approves this Agreement, then the terms and conditions enumerated below shall be binding and enforceable upon her and the Board. B. Terms & Conditions NOW, THEREFORE, in order to resolve this matter, Respondent and the IC hereby agree to the following terms and conditions: 1. Jurisdiction. Respondent is and, at all times relevant to the Complaint, has been a certified physician assistant licensed to practice medicine in Nevada subject to the jurisdiction of the Board as set out in the Medical Practice Act. 2. Representation by Counsel/Knowing, Willing, and Intelligent Agreement. Respondent understands that she may retain and consult counsel prior to entering into this Agreement at her own expense. Respondent acknowledges that she is represented by counsel, Matthew Hoffman, Esq., and wishes to resolve this matter with counsel. Respondent agrees that if representation by counsel in this matter materially changes prior to entering into this Agreement and for the duration of this Agreement, that counsel for the IC will be timely notified of the material change. Respondent agrees that she knowingly, willingly and intelligently enters into this Agreement after full consultation with and upon the advice of her counsel. 3. Waiver of Rights. In connection with this Agreement, and the associated terms and conditions, Respondent knowingly, willingly, and intelligently waives all rights in connection with this administrative matter. Respondent hereby knowingly, willingly, and intelligently waives all rights arising under the United States Constitution, the Nevada Constitution, the Medical Practice Act, the APA, and any other legal rights that may be available to her or that may apply to her in connection with the administrative proceedings resulting from the Complaint filed in this matter, including defense of the Complaint, adjudication of the allegations set forth in the Complaint, and imposition of any disciplinary actions or sanctions ordered by the Board. Respondent agrees to settle and resolve the allegations of the Complaint as set out by this Agreement without a hearing or any further proceedings, and without the right to judicial review. 4. Acknowledgement of Reasonable Basis to Proceed. Respondent agrees that the IC has a reasonable basis to believe that Respondent engaged in conduct that is grounds for discipline pursuant to the Medical Practice Act. 5. Consent to Entry of Order. In order to resolve the Complaint pending against Respondent without incurring any further costs or the expense associated with a hearing, Respondent hereby agrees that the Board may issue an order finding that Respondent engaged in conduct that is grounds for discipline pursuant to the Medical Practice Act, to wit: one count of prescribing a controlled substance to herself or others except as authorized by law, a violation of NRS 630.306(3). Accordingly, Respondent hereby agrees that: a. The Board shall issue a public reprimand; b. Respondent shall take ten hours of continuing medical education in both of the following categories: prescribing controlled substances and medical record keeping within 12 months of the Board’s final order. The aforementioned hours of CME shall be in addition to any CME requirements that are regularly imposed upon Respondent as a condition of licensure in the state of Nevada and shall be approved by Board prior to their completion; c. Respondent shall pay the Board $2,613.69 the fees and costs incurred as part of the Board’s investigative, administrative, and disciplinary proceedings against Respondent, as authorized by NRS 622.400, within 30 days of the Board’s final order in this matter; d. Respondent shall reimburse the Board for any reasonable costs and expenses further incurred by the Board in monitoring Respondent’s compliance with this Agreement within 30 days of issuance of an invoice; e. Count II of the Complaint shall be dismissed with prejudice; and f. The terms of this Agreement shall be reported as required by law. 6. Release From Liability. In execution of this Agreement, Respondent understands and agrees that the state of Nevada, the Board, and each of its members, staff, counsel, investigators, experts, peer reviewers, committees, panels, hearing officers, consultants, and agents are immune from civil liability for any decision or action taken in good faith in response to information acquired by the Board. NRS 630.364(2). Respondent agrees to release the state of Nevada, the Board, and each of its members, staff, counsel, investigators, experts, peer reviewers, committees, panels, hearing officers, consultants, and agents from any and all manner of actions, causes of action, suits, debts, judgments, executions, claims and demands whatsoever, known and unknown, in law or equity, that Respondent ever had, now has, may have or claim to have, against any or all of the persons, government agencies, or entities named in this paragraph arising out of, or by reason of, this investigation, this Agreement, or the administration of this case. 7. Procedure for Adoption of Agreement. The IC and counsel for the IC shall recommend approval and adoption of the terms and conditions of this Agreement by the Board in resolution of the Complaint pending against Respondent. In the course of seeking Board acceptance, approval, and adoption of this Agreement, counsel for the IC may communicate directly with the Board staff and the adjudicating members of the Board. Respondent acknowledges that such contacts and communication may be made or conducted ex parte, without notice or opportunity to be heard on her part until the public Board meeting where this Agreement is discussed, and that such contacts and communications may include, but not be limited to, matters concerning this Agreement, the Complaint, and any and all information of every nature whatsoever related to this matter. The IC and its counsel agree that Respondent may appear at the Board meeting where this Agreement is discussed and, if requested, respond to any questions that may be addressed to the IC or the IC’s counsel. 8. Effect of Acceptance of Agreement by Board. In the event the Board accepts, approves, and adopts this Agreement, the Board shall issue a final order, making this Agreement an order of the Board. 9. Effect of Rejection of Agreement by Board. In the event the Board does not accept, approve, and adopt this Agreement, this Agreement shall be null, void, and of no force and effect except as to the following agreement regarding adjudications: (1) Respondent agrees that, notwithstanding rejection of this Agreement by the Board, nothing contained in this Agreement and nothing that occurs pursuant to efforts of the IC to seek the Board’s acceptance of this Agreement shall disqualify any member of the adjudicating panel of the Board from considering the allegations in the Complaint and from participating in disciplinary proceedings against Respondent, including adjudication of the case; and (2) Respondent further agrees that she shall not seek to disqualify any such member absent evidence of bad faith. 10. Binding Effect. If approved by the Board, Respondent understands that this Agreement is a binding and enforceable contract upon Respondent and the Board. 11. Forum Selection Clause. Respondent agrees that in the event either party is required to seek enforcement of this Agreement in district court, Respondent consents to such jurisdiction, and agrees that exclusive jurisdiction shall be in the Second Judicial District Court, State of Nevada, Washoe County. 12. Attorneys’ Fees and Costs. Respondent agrees that in the event an action is commenced in district court to enforce any provision of this Agreement, the prevailing party shall be entitled to recover reasonable attorneys’ fees and costs. 13. Failure to Comply with Terms. Should Respondent fail to comply with any term or condition of this Agreement once the Agreement has been accepted, approved, and adopted by the Board, the IC shall be authorized to immediately suspend Respondent’s license to practice medicine in Nevada pending an order to show cause hearing, which will be duly noticed. Failure to comply with the terms of this Agreement, including failure to pay any fines, costs, expenses, or fees owed to the Board, is a failure to comply with an order of the Board, which may result in additional disciplinary action being taken against Respondent. NRS 630.3065(2)(a). Further, Respondent’s failure to remit payment to the Board for monies agreed to be paid as a condition of this Agreement may subject Respondent to civil collection efforts. Dated this 26th day of Oct., 2015. By: Erin L. Albright, Esq. Attorney for the Investigative Committee Dated this 22nd day of Oct., 2015. By: Matthew Hoffman, Esq. Attorney for Respondent UNDERSTOOD AND AGREED: Heather L. Rohrer, PA-C, Respondent Dated this 20th day of Oct., 2015. IT IS HEREBY ORDERED that the foregoing Settlement Agreement is approved and accepted by the Nevada State Board of Medical Examiners on the 4th day of December 2015, with the final total amount of costs due of $2,613.69. Michael J. Fischer, M.D., President NEVADA STATE BOARD OF MEDICAL EXAMINERS
ANCYROCEPHALIDS (MONOGENEA) FROM FRESHWATER FISHES OF TRINIDAD Kalman Molnar,* George Hanck,† and C. H. Fernando Department of Biology, University of Waterloo, Waterloo, Ontario, Canada N2L 3G1 ABSTRACT: The following species are described as new: Urocleidoides alii, U. cichlasomatis, and U. dobosi from Cichlasoma bimaculatum (L.), U. corydori and U. margolisi from Corydoras aeneus (Gill), U. curimatae from Curimata argentea (Gill), and U. kabatai and U. trinidadensis from Astyanax bimaculatus (L.). U. chavarriae (Price, 1938) comb. n. and U. travassosi (Price, 1938) comb. n. are redescribed and new host and distribution records for U. chavarriae, U. costaricensis (Price and Bussing, 1967) Kritsky and Leiby, 1972, U. travassosi, and Unilatus unilatus Mizelle and Kritsky, 1968, are reported. A scarce literature on Monogenea from the Neotropical region was reviewed by Mizelle et al. (1968). Since then, several studies were undertaken in this region (Mizelle and Kritsky, 1969; Kritsky and Leiby, 1972). The purpose of this investigation was to determine the monogenean fauna of the freshwater fishes in Trinidad. In our study, eight new species of Urocleidoides are described and figured. Also, two species of the same genus are redescribed and figured, and new host and distribution records reported for Urocleidoides costaricensis (Price and Bussing, 1967) Kritsky and Leiby, 1972, and Unilatus unilatus Mizelle and Kritsky, 1968. MATERIALS AND METHODS Fish hosts were collected by seine from several rivers and freshwater swamps in Trinidad during May 1972. The hosts were identified using the keys of Boeseman (1960). The gills were immediately separated and fixed in 5% formalin, and later examined for monogeneans. The ancyrocephalids collected were studied in a mixture of glycerol and formalin (9:1) with a few drops of picric acid. The numbering of haptoral hooks is according to Mizelle and Crane (1964). Measurements are expressed in micrometers and were made from fixed specimens. In citing measurements the averages are to the nearest micrometer; those in italics are given first with range in parentheses. Observations were made with a phase-contrast interference microscope and illustrations were prepared with the aid of a camera lucida. Received for publication 29 March 1974. * Present address: Veterinary Medical Research Institute, Academy of Sciences, Budapest, Hungary. † Present address: Ministry of Agriculture and Fisheries, Nassau, N. P., Bahamas. RESULTS Urocleidoides alii sp. n. (Figs. 1a–g) Type host and locality: Cichlasoma bimaculatum; Nariva swamp, Trinidad. Other locality: Talpa River near Brasil, Trinidad. Specimens studied: 20. Type specimen: Holotype, USNM Helm. Coll. No. 73162, 2 paratypes No. 73163, paratypes in second author's collection. Description Cuticle smooth, thin. Length 220 (190 to 240), width 80 (65 to 90). Cephalic glands, head organs inconspicuous. Eyespots four, posterior pair larger, about same distance apart. Pharynx spherical, 21 (18 to 26). Peduncle short, broad. Haptor terminally divided, 45 (40 to 50) long, 80 (60 to 90) wide. Dorsal anchors simple, well-developed superficial roots. Lengths: anchor 20 (19 to 20), basal part 15 (14 to 15), superficial root 8 (7 to 9), deep root 2 (1 to 2), point 8 (6 to 9). Ventral anchors with well-developed deep roots, strongly curved shaft. Lengths: anchor 29 (26 to 30), basal part 26 (25 to 27), superficial root 4 (4 to 6), deep root 4 (4 to 5), point 19 (18 to 20). Anchor filaments dual, well developed. Dorsal bar with indentations at ends, 31 (28 to 33) long, 3 (2 to 4) wide. Ventral bar with enlarged ends, 28 (26 to 30) long, 2 (2 to 3) wide. Hook pairs 1, 2, 3, 4, 6, 7 similar, 13 (12 to 14) long; pair No. 5 embryonal type, 11 (10 to 11) long. Cirrus shaft coil of 2 rings, 28 (24 to 33) long. Accessory piece 28 (24 to 27) long. Vagina enlarged at both ends, 30 (26 to 36) long. Gonads ovate. Testis postovarian. Vitellaria moderate, randomly distributed in trunk. Remarks Urocleidoides alii differs from all presently known species of this genus in possessing embryonic type hooks in pair No. 5. The species is named after Mr. Shazam Ali, Department of Biological Sciences, University of the West Indies, St. Augustine, Trinidad. Urocleidoides ciclasomatis sp. n. (Figs. 2a–g) Type host and locality: Cichlasoma bimaculatum (L.); Nariva swamp, Trinidad. Specimens studied: 3. Type specimens: Holotype, USNM Helm. Coll. No. 73164, 2 paratypes No. 73165. Description Body dorsoventrally flattened, cuticle smooth, thin. Length 260 (240 to 270), width 150 (110 to 190). Cephalic area obscure. Eyespots four, equal size and distance apart. Pharynx spherical, 25 (20 to 28) long. Haptor subquadrate or subcrescent, 55 (50 to 60) long, 100 (100 to 110) wide. Dorsal anchors simple, well-developed superficial roots. Lengths: anchor 22 (20 to 23), basal part 17 (16 to 18), superficial root 8 (5 to 9), deep root 3 (2 to 3), point 9 (8 to 10). Ventral anchors with strong thumblike superficial roots, bladelike shafts. Lengths: anchor 36 (35 to 38), basal part 33 (32 to 35), superficial root 8 (7 to 9), deep root 4 (3 to 5), point 15 (15 to 17). Anchor filaments dual, well developed. Dorsal bar V-shaped, 44 (41 to 46) long, 2 (2 to 4) wide. Ventral bar massive, 41 (39 to 44) long, 6 (5 to 7) wide. Hook pairs 1, 2, 3, 4, 6, 7 similar, 14 (13 to 15) long; pair No. 5 embryonal type, 10 (9 to 10) long. Cirrus coil of 5 rings, 47 (44 to 52) long. Accessory piece possessing additional structures at aperture, 25 (23 to 27) long. Vagina opening dextrally, 45 (33 to 55) long. Gonads ovate. Testis postovarian. Seminal receptacle ovate. Vitellaria moderate, randomly distributed in trunk. Remarks This species resembles U. alii sp. n. in the nature of hook pair No. 5; however, its sharply flattened body and shape of the ventral anchors may be used to separate the two species. The species is named after the generic name of the host. Urocleidoides corydori sp. n. (Figs. 3a–g) Type host and locality: Corydoras aeneus (Gill); Talparo River, near Brasil, Trinidad. Specimens studied: 15. Type specimens: Holotype, USNM Helm. Coll. No. 73166, 2 paratypes No. 73167, paratypes in second author’s collection. Description Cuticle smooth, thin. Length 230 (200 to 260), width 50 (40 to 55). Cephalic area obscure. Pharynx spherical, 13 (12 to 15). Haptor subtetragonal or crescent-shaped, 48 (42 to 52) long, 43 (40 to 47) wide. Dorsal anchors with well-developed superficial roots and short points. Lengths: anchor 48 (38 to 47), basal part 27 (26 to 28), superficial root 22 (14 to 26), deep root 1 (1 to 2), point 9 (7 to 9). Ventral anchors with well-developed superficial roots, sharply curved points. Lengths: anchor 32 (31 to 34), basal part 21 (20 to 23), superficial root 17 (15 to 18), deep root 1 (1 to 2), point 8 (7 to 9). Anchors of old specimens lacking deep roots. Anchor filaments dual, well developed. Dorsal bar with 4 enlargements anteriorly at ends and midportion, 11 (10 to 16) long, 4 (3 to 5) wide. Ventral bar V-shaped with prominent posteroFigures 1–10. Ancyrocephalids from freshwater fishes of Trinidad. Species as labeled on the drawings. For all species: a, dorsal anchor (a—young specimen, a—old specimen); b, ventral anchor (b—young specimen, b—old specimen); c, dorsal bar; d, ventral bar; e, hooks (numbers indicate pair Nos.); f, copulatory complex (f—young specimen, f—old specimen); g, vagina. median process, 27 (24 to 28) long, 4 (3 to 4) wide. Hooks similar in shape. Hook length pairs No. 1—11 (9 to 12), No. 2—13 (12 to 14), No. 3—24 (23 to 26), Nos. 4, 6—18 (17 to 20), No. 5—8 (7 to 9), No. 7—23 (22 to 24). Cirrus shaft coil of 1.5 rings, 17 (16 to 19). Accessory piece 15 (14 to 17) long. Shape of accessory piece different in young and old specimens. Vagina sclerotized in young specimens, 20 (19 to 22); not observed in old ones. Gonads ovate. Testis postovarian. Vitellaria dense, variable distribution in trunk. Remarks Urocleidoides curimatae may be distinguished from all other members of the genus by the structure of the anchors and bars. The species is named after the generic name of the host. Urocleidoides dobosi sp. n. (Figs. 5a–g) Type host and locality: Cichlasoma bimaculatum (L.); Nariva swamp, Trinidad. Specimens studied: 10. Type specimens: Holotype, USNM Helm. Coll. No. 73170, 2 paratypes No. 73171, paratypes in second author's collection. Description Cuticle smooth, thin. Body dorsoventrally flattened. Length 280 (210 to 311), width 169 (130 to 201). Two cephalic lobes. Cephalic glands in 2 groups on each side. Posterior pair of eyes larger, about same distance apart. Pharynx spherical, 26 (20 to 29). Haptor subquadrate, 60 (41 to 75) long, 111 (101 to 131) wide. Dorsal anchors simple, well-developed roots. Lengths: anchor 21 (19 to 23), basal part 16 (15 to 16), superficial root 8 (7 to 8), deep root 3 (2 to 3), point 9 (8 to 9). Ventral anchors thin, prominent bases, finely pointed shafts. Lengths: anchor 40 (38 to 43), basal part 35 (32 to 36), superficial root 8 (5 to 9), point 16 (15 to 17). Anchor filaments dual, well developed. Dorsal bar slightly V-shaped, 31 (27 to 33) long, 3 (2 to 3) wide. Ventral bar massive, 45 (42 to 51) long, 6 (5 to 6) wide. Hook pairs 1, 2, 3, 4, 6, 7 similar, 14 (13 to 15) long, pair No. 5 embryonal type, 22 (21 to 23) long. Cirrus shaft coil of 15 rings, 21 (18 to 23) long. Accessory piece a cirrus guide, bulblike structure at aperture, 15 (13 to 17) long. Vagina with enlarged opening, 11 (8 to 13) long. Gonads ovate. Testis postovarian. Vitellaria moderate, randomly distributed in trunk. Remarks Urocleidoides dobosi closely resembles U. cichlasomatis sp. n. but differs in the nature of the copulatory complex and the shape of the ventral anchors. This species is named in honor of Dr. Peter Dobos, Department of Microbiology, University of Guelph, Guelph, Ontario. Urocleidoides kabatai sp. n. (Figs. 6a–t) Type host and locality: Astyanax bimaculatus (L.); Cumuto River near Cumuto, Trinidad. Specimens studied: 4. Type specimens: Holotype, USNM Helm. Coll. No. 73172, 2 paratypes No. 73173, paratype in second author's collection. Description Cuticle smooth, thin. Length 501 (432 to 712), width 162 (131 to 182). Four cephalic lobes. Cephalic glands moderately developed, head organs inconspicuous. Posterior pair of eyes larger, about same distance apart. Pharynx 26 (24 to 30) by 32 (30 to 36). Haptor subquadrate or crescent-shaped, 72 (58 to 78) long, 71 (52 to 99) wide. Dorsal anchors massive, well-developed roots. Lengths: anchor 41 (39 to 43), basal part 31 (29 to 33), superficial root 21 (20 to 23), deep root 6 (5 to 7), point 9 (8 to 9). Ventral anchors massive, well-developed superficial roots. Lengths: anchor 35 (33 to 37), basal part 31 (30 to 33), superficial root 14 (13 to 15), deep root 3 (2 to 4), point 9 (8 to 10). Anchor filaments dual, well developed. Dorsal bar massive, elongate, 33 (32 to 35) long, 5 (4 to 5) wide. Ventral bar V-shaped, posteromedian process, 33 (32 to 35) long, 4 (4 to 5) wide. Hooks similar in shape, massive. Hook length pair Nos. 1, 2, 3, 6, 7—20 (17 to 21), No. 4—24 (23 to 26), No. 5—15 (14 to 16). Cirrus shaft coil of 2 rings, 32 (29 to 34) long. Accessory piece with 2 supporting processes, 21 (20 to 23) long. Vagina muscular. Gonads ovate. Testis postovarian. Vitellaria dispersed throughout trunk. Remarks Urocleidoides kabatai appears to be most closely related to Cleidodiscus chavarriai Price, 1938. It may be distinguished, however, by the structure of the copulatory complex. The species is named in honor of Dr. Z. Kabata, Fisheries Research Board of Canada, Biological Station, Nanaimo, B. C. Urocleidoides margolisi sp. n. (Figs. 7a–g) Type host and locality: Corydoras aeneus (Gill); Talparo River near Brasil, Trinidad. Specimens studied: 20. Type specimens: Holotype, USNM Helm. Coll. No. 73174, 2 paratypes No. 73175, paratypes in second author's collection. Description Cuticle smooth, thin. Length 271 (182 to 311), width 102 (81 to 112). Two cephalic lobes. Eyespots two. Pharynx spherical, 20 (18 to 22). Haptor subquadrate, 55 (51 to 62) long, 65 (61 to 72) wide. Dorsal anchors slender, well-developed roots. Lengths: anchor 30 (29 to 32), basal part 24 (23 to 25), superficial root 10 (9 to 12), deep root 3 (3 to 4), point 11 (10 to 12). Ventral anchors slender, well-developed roots. Lengths: anchor 35 (33 to 37), basal part 27 (26 to 29), superficial root 13 (12 to 13), deep root 3 (3 to 4), point 11 (10 to 11). Anchor filaments dual, well developed. Dorsal bar V-shaped, laterally directed ends, 35 (34 to 37) long, 3 (3 to 4) wide. Ventral bar straight, enlarged ends, prominent posteromedian process, 33 (32 to 35) long, 3 (2 to 4) wide. Hooks similar in shape. Hook length pair No. 1—22 (22 to 27), Nos. 2, 3, 6, 7—28 (26 to 30), No. 4—34 (32 to 36), No. 5—13 (12 to 14). Cirrus curved tube tapered anteriorly, 35 (33 to 37) long. Accessory piece simple, elongate, basally broad and sickle-shaped terminal portion bent, 27 (24 to 29) long. Cirrus and accessory piece basally articulated, further connected by accessory retractor. Vagina with opening portion enlarged, 9 (7 to 13) long. Gonads ovate. Testis postovarian. Vitellaria inconspicuous. Egg flattened on one side, 58 (57 to 60) by 41 (40 to 44). Remarks Urocleidoides margolisi most closely resembles U. corydori sp. n. in the nature of the copulatory complex and eyespots; however, the shape and size of its anchors and hooks may be used to separate the two species. The species is named in honor of Dr. L. Margolis, Fisheries Research Board of Canada, Biological Station, Nanaimo, B. C. Urocleidoides trinidadensis sp. n. (Figs. 8a–g) Type host and locality: Astyanax bimaculatus (L.); Cumuto River near Cumuto, Trinidad. Other host and locality: Curimata argentea (Gill); Aronca River near D'Abadie, Trinidad. Specimens studied: 20. Type specimens: Holotype, USNM Helm. Coll. No. 73176, 2 paratypes No. 73177, paratypes in second author's collection. Description Cuticle smooth, thin. Length 430 (351 to 492), width 201 (111 to 262). Four cephalic lobes; cephalic glands well visible, head organs inconspicuous. Posterior pair of eyes larger, about same distance apart. Pharynx spherical, 28 (25 to 31). Haptor variable, length 70 (35 to 75), long 75 (65 to 91) wide. Dorsal anchors with well-developed roots. Lengths: anchor 24 (23 to 25), basal part 20 (20 to 22), superficial root 9 (8 to 9), deep root 3 (2 to 3), point 7 (6 to 8). Ventral anchors with well-developed roots. Lengths: anchor 20 (18 to 22), basal part 18 (17 to 20), superficial root 12 (10 to 13), deep root 4 (3 to 5), point 6 (5 to 6). Anchor filaments dual, well developed. Dorsal bar with enlarged anterior ends, 26 (24 to 28) long, 3 (3 to 4) wide. Ventral bar slightly curved, enlarged ends, 28 (26 to 29) long, 2 (1 to 2) wide. Hooks normal in distribution, similar in shape. Hook length pair Nos. 1, 5—10 (9 to 11), others 14 (13 to 16). Cirrus shaft coil of 1.5 rings, doubled cirrus base, 36 (30 to 38) long. Accessory piece composed of cirrus guide and 2 supporting processes, 21 (17 to 20) long. Vaginal tube with enlarged ends, 34 (30 to 36) long. Gonads ovate. Testis postovarian. Vitellaria dense, distributed in trunk as two bilateral bands approximately coextensive with crura. Remarks The copulatory complex of Urocleidoides trinidadensis appears to be closely related to that of U. kabatai sp. n. The structure of anchors, bars, and hooks of these species, however, is quite different. Urocleidoides chavarriai (Price, 1938) comb. n. (Figs. 9c–g) Synonym: Cleidodiscus chavarriai Price, 1938. Host and locality: Rhamdia quelen (Quoy and Gaimard), R. sebae (Valenciennes): Cumuto River near Croyal, Trinidad. Specimens studied: 7 (3 specimens—USNM Helm. Coll. No. 73178). Redescription Cuticle smooth, thin. Length 380 (265 to 392), width 65 (58 to 81). Four cephalic lobes; cephalic glands moderately developed, head organs inconspicuous. Eyespot granules common in cephalic area, anterior trunk. Pharynx spherical, 20 (13 to 28). Haptor crescent-shaped, 61 (32 to 71) long, 72 (61 to 82) wide. Dorsal anchors with well-developed roots, sharply curved points. Lengths: anchor 25 (24 to 26), basal part 20 (18 to 21), superficial root 12 (9 to 13), deep root 4 (2 to 5), point 11 (10 to 11). Ventral anchors with well-developed roots. Lengths: anchor 28 (24 to 30), basal part 24 (20 to 25), superficial root 12 (11 to 12), deep root 2 (1 to 2), point 10 (9 to 12). Anchor filaments dual, well developed. Dorsal bar curved anteriorly, 32 (30 to 33) long, 3 (2 to 4) wide. Vagina bar with enlarged ends, prominent posteromedian process, 29 (27 to 30) long, 3 (3 to 4) wide. Hooks similar in shape, 19 (17 to 21) long. Cirrus shaft coil of 2.5 rings, 31 (26 to 34) long. Accessory piece composed of large cirrus guide and one supporting process, 21 (19 to 26) long. Vagina with enlarged ends, 21 (19 to 26) long. Gonads elongate. Testis postovarian. Seminal receptacle, seminal vesicle, and Vitellaria dense, distributed in trunk as 2 bilateral bands approximately coextensive with crura. Remarks Price (1938) described Cleidodiscus chavarriai from the gills of Rhamdia rogerii (Regan) from Costa Rica. Despite his short description, the structure of the copulatory complex and the haptoral armament characteristic of Urocleidoides clearly places the species in this genus as emended by Mizelle et al. (1968). Cleidodiscus chavarriai Price, 1938, thus becomes Urocleidoides chavarriai comb. n. Urocleidoides travassosi (Price, 1938) comb. n. (Figs. 10c–g) Synonym: Cleidodiscus travassosi Price, 1938. Hosts and locality: Rhamdia quelen (Quoy and Gaimard), R. sebae (Valenciennes): Cumuto River near Croyal, Trinidad. Specimens studied: 9 (3 specimens—USNM Helm. Coll. No. 73179). Redescription Cuticle smooth, thin. Length 390 (321 to 472), width 85 (75 to 91). Cephalic area obscure. Eyespots four, variable in size, about same distance apart. Pharynx circular, 26 (24 to 28). Haptor crescent-shaped, terminally divided, 45 (41 to 52) long, 45 (40 to 61) wide. Dorsal anchors with well-developed superficial roots. Lengths: anchor 17 (16 to 17), basal part 13 (12 to 14), superficial root 6 (5 to 6), deep root 3 (2 to 3), point 9 (8 to 10). Ventral anchors with well-developed roots. Lengths: anchor 20 (19 to 21), basal part 14 (13 to 15), superficial root 8 (7 to 9), deep root 5 (4 to 5), point 8 (8 to 9). Anchor filaments dual, well developed. Dorsal bar slightly V-shaped, 23 (22 to 25) long, 2 (2 to 3). Ventral bar V-shaped with prominent posteromedian process, 30 (29 to 31) long, 2 (1 to 2) wide. Hooks similar in shape, 9 (8 to 10) long. Cirrus shaft spiral, 45 (44 to 47) long. Accessory piece elongate, 29 (24 to 32) long. Vagina opening into sclerotized shield, 36 (26 to 39) long. Gonads ovate. Testis postovarian. Seminal receptacle, seminal vesicle round. Vitellaria dense, distributed in trunk as 2 bilateral bands approximately coextensive with crura. Remarks The copulatory complex and haptoral armaments of our specimens are identical with those described as Cleidodiscus travassosi from the gill of Rhamdia rogersi by Price (1938). This species becomes Urocleidoides travassosi comb. n. on the basis of possession of morphological features characteristic of Urocleidoides as emended by Mizelle et al. (1968). PREVIOUSLY DESCRIBED SPECIES In addition to the eight new species and the redescription of U. chavarriae comb. n. and U. travassosi comb. n., two previously described species of ancyrocephalids were found. They are listed below, followed by their host(s), and locality. Urocleidoides costaricensis (Price and Bussing, 1967) Kritsky and Leiby, 1972; Astyanax bimaculatus (L.), Cumuto River near Cumuto, Trinidad. Curimata argentea (Gill), Aruoca River near D'Abadie, Trinidad. Unilatus unilatus Mizelle and Kritsky, 1967, Hypostomus robinii (Valenciennes), Talparo River near Talparo, Trinidad. Remarks The present findings represent three new host records and new distribution records. The measurements of both species fall into the range given by Kritsky and Leiby (1972) and Mizelle and Kritsky (1968), respectively. CONCLUDING REMARKS This study is the first report on Monogenea from freshwater fishes of Trinidad. It appears that the host specificity of the reported ancyrocephalids is not as strong as exhibited by North American species of these genera. Findings of Urocleidoides costaricensis from Astyanax fasciatus, A. bimaculatus, and Curimata argentea; U. trinidadensis sp. n. from Astyanax bimaculatus and Curimata argentea; and Unilatus unilatus from Plecostomus sp. and Hypostomus robinii are examples of the lack of strict host specificity. The records of Urocleidoides costaricensis and Unilatus unilatus in Trinidad and records of these parasites from Costa Rica (Kritsky and Leiby, 1972; Price and Bussing, 1967) and from the Amazon River basin (Mizelle et al., 1968), respectively, indicate a wide distribution range for these species. ACKNOWLEDGMENTS This investigation was supported by a grant from the National Research Council of Canada to C.H.F. Thanks are due to Mr. Shazam Ali, Department of Biological Sciences, University of the West Indies, St. Augustine, Trinidad, for collection and identification of hosts. LITERATURE CITED Boeseman, M. 1960. The freshwater fishes of the Island of Trinidad. Studies on the Fauna of Curacao and other Caribbean islands 10: 72–153. Kritsky, D. C., and P. D. Leiby. 1972. Dactylogyridae (Monogenea) from the freshwater fish Astyanax fasciatus (Cuvier) in Costa Rica, with description of Jainus hexos sp. n., Urocleidoides costaricensis and U. heteroancistrus combs. n. Proc. Helm. Soc. Wash. 35: 271–279. Mizelle, J. D., and J. W. Crane. 1964. Studies on monogenetic trematodes. XXIII. Gill parasites of Micropterus salmoides (Lacépède) from a California pond. Tr. Am. Micr. Soc. 83: 343–348. ———, and D. C. Kritsky. 1967. Unilatus gen. n., a unique Neotropical genus of Monogenea. J. Parasit. 53: 1113–1114. ———, and ———. 1969. Studies on monogenetic trematodes. XXXIX. Exotic species of Monopisthocotylea with the proposal of Archidiplectanum gen. n. and Longihaptor gen. n. Am. Midl. Nat. 81: 370–386. ———, ———, and J. W. Crane. 1968. Studies on monogenetic trematodes. XXXVIII. Ancyrocephalinae from South America with the proposal of Jainus gen. n. Am. Midl. Nat. 80: 186–198. Price, C. E., and W. A. Bussing. 1967. Monogenean parasites of Costa Rican fishes. Part 1. Description of two new species of Cleidodiscus Mueller, 1934. Riv. Parasit. 28: 81–86. Price, E. W. 1938. The monogenetic trematodes of Latin America. Livro Jub. Prof. Travassos, Rio de Janeiro, Brasil 3: 407–413.
Sicyos angulatus Identity of Sicyos angulatus Scientific name: Sicyos angulatus L. Taxonomic position: Cucurbitaceae Common names: bur cucumber, star cucumber (English), calabacilla, chayotillo (Spanish), concombre anguleux (French), Kantenblatt-Haargurke (German), siekelauagurk (Dutch) EPPO code: SIYAN Phytosanitary categorization: EPPO List of invasive alien plants Geographical distribution EPPO Region: Austria, Bulgaria, Croatia, France (South-West, weed), Hungary, Italy (Northern Italy, possibly also in Sicilia, weed), Moldova (invasive plant), Romania, Russia, Serbia, Spain (North-East, weed), Turkey (Artvin and Trabzon Provinces), Ukraine (established in the western and central parts). Asia: China, Japan (weed), the Republic of Korea (Andong), Taiwan (naturalized). North America (native): Canada (Ontario, Québec), USA (Alabama, Arkansas, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, New Hampshire, New Jersey, New York, Nebraska, North Dakota, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Vermont, Virginia, West Virginia, Wisconsin). Central America & Caribbean: Antilles (Guadeloupe, Martinique), Mexico (unconfirmed).¹ History of introduction and spread The native range of S. angulatus is in North America. In the 19th century, the species was imported into many European (and other) countries as a decorative ornamental plant (Larché, 2004). It is recorded by Clement & Foster (1994) as a bird seed or an oil-seed alien. In the United Kingdom, it has entered as a contaminant of bird seed (Hanson & Mason, 1985). In Norway, it entered as a contaminant of consignments of soybean grain imported from the USA in the 1970s and 1980s (Ouren, 1987), whereas in Japan, studies have shown that it entered via consignments of feed grain imported from the USA (Kurokawa, 2001). In some places, it has escaped and became a weed, mostly at a casual or sporadic level. In the Far East, at least in Japan, it is considered an invasive weed of crops. The plant has spread across the Republic of Korea within the 15 years since its first appearance in 1989, covering more than 110 ha in 2005 (Kil et al., 2006). Relatively recently, it became a more serious and actively spreading weed in some southern EPPO countries, including France and Spain. The plant is thought to have been first introduced in Spain and is spreading east and north-east by natural means (JF Larché, pers. comm., 2007). ¹The plant is recorded as casual (meaning transient, not established) in Belgium (Flanders and Wallonia), Czech Republic, Germany (e.g. in Berlin, Hungary, Norway and the United Kingdom). The plant was considered an invasive plant in the Generalitat de Catalunya (Spain) and is being eradicated. A record in Sweden was a confusion with Echinocystis lobata [Walk. among the Sweet], Report of a botanical excursion on 2003-09-27 (in Swedish). http://s-weeds.net/bf/grukrata/bfgrukrata2003.html). Fig. 1 Detail of Sicyos angulatus flower and fruit. Picture: J-M Tison (see colour image at onlinelibrary.wiley.com). Morphology Plant type Sicyos angulatus is an annual, herbaceous vine. Description Stems are hairy, forming a creeping vine up to 6 m long, with numerous branched, climbing tendrils. The root system consists of a shallow branched taproot. Leaves are alternate, broadly heart-shaped with five angular pointed lobes, and finely toothed. Tutin et al. (1964–1993) describe leaves 70 mm in length and width with a hairy petiole 26 mm long. Leaves can grow $200 \times 150$ mm, including the petiole (JF Larché, pers. comm.). The size of the leaves apparently depends on the ecosystem, illustrating the vine’s morphological plasticity and adaptability (JM Tison, pers. comm., 2007). The upper surface of each leaf is relatively hairless, while the lower surface is finely pubescent, especially along the lower veins. Plants are usually monoecious, producing separate staminate (male) and pistillate (female) flowers on the same plant. Male flowers are 10–12 mm long; female flowers are smaller, 3–4 mm long, gathered in glomerules of 10. Flowers are whitish to green, composed of five united petals and five sepals (see Fig. 1). Retro barbed hairs are present on the ovary. Flowering time is from July to September, the fruits ripen from August to October (Plants For A Future. http://www.plantf.org/database/plants.php?Sicyos+angulatus). The bur-like fruits are small and spiny, 1–1.5 cm long, one-seeded, produced in clusters of 3–20, initially green, turning brown, indehiscent, containing a single large brown flattened seed. Similarities to other species Sicyos angulatus is a relatively easy species to identify by its branched tendrils, distinctive leaf shape, clusters of pistillate flowers, and spiny clusters of fruits. It can be confused with non-invasive plants such as Bryonia spp., Cucumis melo and Cucumis sativus. Sicyos angulatus could also be confused with E. lobata, which is also considered invasive in some countries. These species can be differentiated by their fruits; only S. angulatus’ fruits are non-fleshy, spiny and gathered in glomerules. Biology and ecology General Germinations are very staggered, occurring from March. In the first part of its life cycle (from germination to climbing), S. angulatus does not seem to tolerate drought, preferring limono-clayey soils. Sicyos angulatus is fast-growing in early summer (up to 2 m in 3 weeks), and capable of producing shoots up to 6 m long. The flowering period extends from July to September–October, and the seeds ripen from August to October in Connecticut (US) (Connecticut Botanical Society, 2004). For example in Lleida (ES) in maize or irrigated crops, flowering begins from 15 August and fructification from 5 to 10 September until October (A Taherner, pers. comm., 2007). Flowers are pollinated by insects (bees, flies), and the plant is also self-fertile. Seeds can germinate throughout the growing season (Pheloung et al., 1999). The seeds can survive for long periods in soil, and seed dormancy is likely to be a factor in their persistence (PSU Weed Management Research Project Abstracts: Burcucumber. http://weeds.cas.psu.edu/bcucumber.html#5). Tendrils can grow to up to 60 cm long. In Europe, it appears that the plant does not establish permanent populations, and changes location (JM Tison, pers. comm., 2007). In Indiana (US) (Smeda et al., 2001), S. angulatus germinates from late April to October, and germination is stimulated by periodic rainfall. Relative growth rates of S. angulatus plants were greatest up to 10 weeks after establishment and declined once flowering was initiated. Without competition, spring (May)-established plants attained a fresh weight of up to 86 kg and could produce an average of more than 42 000 seeds per plant, up to 80 000 seeds per plant, according to Smeda & Weller (2001). With later establishment, a smaller biomass and a lower number of seeds were produced (more than 250 seeds per plant). Seedlings emerging up to mid-August produced germinable seed prior to frost, indicating that season-long control strategies are needed to minimize reproduction. This plant displays rapid development with periodic germination throughout the growing season. It is capable of producing large amounts of plant biomass and seeds. Chromosome number: $2n = 24$ (Kerguélen, 1973–1984) Sicyos angulatus reproduces by seeds. In experiments, it was found that intact seeds of S. angulatus failed to germinate and required mechanical scarification or stratification at 4°C for 18 weeks to modify the permeability of seed coat and increase germinability (Pheloung et al., 1999). Emergence from different depths was studied in the glasshouse. The percentage of emergence of S. angulatus was highest in seeds buried 1–5 cm deep. Fewer seedlings emerged from depths of 10 cm or more, or when the seeds were placed on the soil surface. This data suggests that tillage and herbicide timing could influence control of S. angulatus (Messersmith et al., 2000). According to a different study on seed germinability, most seeds germinated when cold stratification was followed by aging (Kang-Jin et al., 2003). Habitats The plant grows mostly as a weed of maize crops, but can also colonize soybeans. In Japan, it also grows in fields of sorghum for silage (S Kurokawa, pers. comm.). It has also been reported in an abandoned sunflower field in Spain (Diari Oficial de la Generalitat de Catalunya), but this is considered an anecdotal case. The plant is considered a very aggressive vine for irrigated intensive crops (JF Larché, pers. comm., 2007). It grows along roads and railways and in waste land and gardens, that is, in managed environments. It is also found in semi-natural habitats: banks of inland waterways (see Fig. 2) and water bodies, swamps, thickets, openings in floodplain forests, moist meadows in floodplain areas, and hedges bordering water courses with Hamamelis lopulina (JM Tison, pers. comm. 2007). Environmental requirements Sicyos angulatus has a preference for loamy or silty fertile soils, but can grow equally well on acid, neutral or basic soils. It requires adequate soil moisture. In France, S. angulatus grows well on floodable loamy clay soils. Climatic and vegetational categorization The preference of S. angulatus is for full or partial sun, and moist conditions. It cannot grow in shade. Its hardiness zone is nine (frost-tender). Kil et al. (2006) observed that successful colonization of S. angulatus was prominent on riversides with slow water flows and without an emergent plant belt. In relation to Köppen’s classification, S. angulatus is most typically found in areas with a warm to hot, wet summer (winter conditions are irrelevant because the plant is an annual). It is also found in areas with a dry summer, but with a cool, wet winter, presumably growing in seasons other than summer. Sicyos angulatus is associated with the following vegetation zones: tropical mountain and subtropical rainforest, temperate steppes, temperate-zone deciduous forests, mixed conifer forests. Natural enemies Because some members of the Cucurbitaceae have economic importance, their insect pests are fairly well known in North America and in Europe. In its area of native distribution, S. angulatus is a food plant for insects which feed on its foliage, stems or flowers (Wildflowers of Illinois in Savannas & Thickets, http://www.illinoiswildflowers.info/savanna/plants/bur_cuke.htm). Insects that feed on S. angulatus include: the chrysomelids Psylliodes punctulata, Systena blanda, Acalymma vittata and Diabrotica undecimpunctata (larvae feeding on roots, adults on leaves and flowers), the leaf-feeding coccinellid Epilachna borealis, the bugs Anasa tristis and Poecilocapsus lineatus, the aphid Aphis gossypii, the leaf-feeding pyralids Diaphania hyalinata and Diaphania nitidalis, and the stem-boring sesiid Melitia cucurbitae. None of these insects is efficient in limiting stands. Uses and benefits Sicyos angulatus is of minor importance as a garden ornamental, it is grown in particular as a screening plant. It has been used as a rootstock for cucumbers grown under glass in Europe, but seeds of S. angulatus are not produced commercially any more and the plant is no longer used as a rootstock in regular production (M. Steeghs, pers. comm. 2007). Pathways for movement The fruit has spines which allow it to attach to animals and people (JM Tison, pers. comm., 2007). Natural dispersal (for example by small mammals or birds), or dispersal by agricultural practices, transports fruits only over short distances. Seeds of the plant are dispersed by water (S. Kurokawa and JF Larché, pers. comm. Kil et al., 2006). This mode of dispersal is confirmed by Kurokawa et al., 2009, who performed inter-simple sequence repeat (ISSR) analysis on the S. angulatus populations widely distributed in Japan in order to infer the genetic relationship among populations. Kil et al. (2006) state that heavy rains leading to soil erosion and floods greatly amplify seed export. A Japanese study (Kurokawa, 2001) focusing on the sources of weeds imported from other countries, including S. angulatus, did not find weed seeds in batches of imported maize seeds. However, it did find that many kinds of weeds seeds were mixed with imported grain. Thus, the source of exotic weeds is most likely to be imported feed grain, which is used as an ingredient in concentrated feed. Most of this imported feed grain comes from the USA. Treatment at port or at the feed factory does not affect exotic weed seed viability. Passage through the digestive system of livestock did not seem to reduce the germination rate of other imported weed species. In fact, for many species, it promoted germination. The technique of composting animal manure can affect the viability of seeds, with seeds having reduced viability if the compost is well fermented. However, animal manure is not always fully composted by farmers, or it is sometimes spread directly onto fields, which means that no weed seeds will be killed. S Kurokawa found that one seed of S. angulatus was found in a consignment of soybean from the USA (pers. comm. 2007). It is also suspected that the first introduction of the species into the Tama-river (in Tokyo) was thought to be derived from the contaminants of soybean (imported) dumped by tofu factories into the riverside (S Kurokawa, pers. comm. 2007). In France, it is thought that this plant was introduced for ornament at the end of the 19th century (JF Larché, pers. comm. 2006). He also reports that in 1998–1999, a farmer grew the plant, confusing it with melon. Impact Effects on plants Sicyos angulatus is characteristically a weed of maize, soybean and sorghum crops. This is the case in its native range (it is officially classified as a noxious weed in Delaware and Indiana, and as a weed in Kentucky and Nebraska). In Europe, it is mainly found in irrigated maize fields. It has not been observed in soybean and sorghum fields: densities of soybean plants are lower than in maize, impeding S. angulatus climbing over the plant, and sorghum is not irrigated. In Japan, it grows in fields of maize and of sorghum for tillage. It is not a strong competitor for light and nutrients, and so does not reduce yields by direct competition. However, as an aggressive vining plant, it pulls maize or soybean plants to the ground, making them impossible to harvest (one plant of S. angulatus can pull down four rows of maize). Maize stems are broken by the traction and weight of the invasive plant. Sicyos angulatus can germinate throughout the growing season. Even at very low populations (1 per m²), it can make maize or soybean fields unharvestable by rapid development at the end of the season, causing collapse of wide areas of the crop (Webb & Johnston, 1981). Observations made in Japanese maize fields showed that yield was decreased by 80% by a population of 15–20 plants/10 m² and by 90–98% with 28–50 plants/10 m² (Shimizu, 1999). Studies in Japan suggest that the plant may also behave allelopathically (Uraguchi et al., 2003). Sicyos angulatus is also a host of the polyphagous pest Heliothis virescens in North America (which attacks field crops such as cotton, tobacco, legumes and vegetables). It has been suggested that S. angulatus could contribute to the build-up of early season and overwintering populations of the pest (Pheloung et al., 1999). A similar situation could arise for Helicoverpa armigera (Lepidoptera) in Europe. Recasens et al. (2007) have estimated the cost of the eradication campaigns in Catalunya (ES) between 2004 and 2010 at EUR 78 320, as detailed: - 2004: destruction of the infested fields, costs of machinery, transportation, compensation to farmers on 16 000 m², at 0.20 EUR per m² cost 3 200 EUR - 2005: monitoring (6 months of a technical officer: 12 000 EUR), manual eradication (35 days of a technical officer at 60 EUR per day: 2 100 EUR) and use of herbicides (120 EUR) results in a total of 14 220 EUR - 2006: monitoring (6 months of a technical officer: 12 000 EUR), manual eradication (3 days of a technical officer at 60 EUR per day: 180 EUR), results in a total of 12 180 EUR - From 2007 to 2010, estimates are identical to 2006, resulting in a total of 48 720 EUR. Environmental and social impact Observations made in invaded riversides in the Republic of Korea show that massive germination can lead to a 100% cover of the soil layer during the growing season. Average and highest seed densities at full maturation were 748 and 1128 seeds/m², respectively. A few seedlings per 10 m² were enough to cover the whole grass mat by July (Kil et al., 2006). This monospecific cover is a threat to other species and to the whole ecosystem. No particular social impacts, positive or negative, have been noted. Summary of invasiveness Examination of published records of European floras, and of recent records, suggests that S. angulatus is rapidly increasing its distribution area in Europe. It seems to be in its expansion phase. It can survive and persist, even as an annual, by producing abundant seeds, which overwinter and are readily dispersed locally. It is a harmful weed of agriculture, both in its native area and in some of its area of introduction. Control See National regulatory control systems (PM9) on S. angulatus EPPO (2010). Regulatory status Sicyos angulatus is officially considered a regulated weed, subject to official control measures, in several countries. Within its native range in North America, it is listed as a noxious weed in Delaware and Indiana, and as a weed in Kentucky and Nebraska. In Australia, it is a quarantine weed on the basis of its high score (18) in the Australian Weed Risk Assessment, indicating that the species has high potential to establish, spread and become a serious weed. The plant has the potential to enter Australia in feed maize as a contaminant (Pheloung et al., 1999). In Japan, S. angulatus is considered a major introduced weed species. It is regulated under the new Invasive Alien Species Act enforced on 1 February 2006, which regulates raising, planting, storing, carrying, importing or handling invasive alien species Ministry of the Environment, Government of Japan (2010). In the EPPO region, the ‘Diari Oficial de la Generalitat de Catalunya’ (DOGC núm. 4315 – 03/02/2005) establishes obligatory control measures for S. angulatus as follows. - Farmers and professionals are obliged to notify to the appropriate authorities any presence of the plant. - Commercialization and movement of contaminated maize is forbidden in Catalunya. - Destruction of the plant is obligatory when found in fields, there is financial compensation in cases of destruction of maize crops. - In fields invaded by the pest, neither maize cultivation nor herbaceous crops should be repeated, the plant should be mechanically managed at the end of winter. - The Plant Health Services monitor presence and absence of the plant and the cleaning of machinery. - Farmers have to facilitate access to their fields by officially authorized persons. Action plans for the near future include training of farmers so that they can recognize the plant and control it, monitoring and surveillance of fields to detect new spots, and eradication of the plant when found (Taberner & Sans, 2005). Acknowledgements The following people provided information for this data sheet: JF Larché (FR), email@example.com; S Kurokawa (JP), firstname.lastname@example.org; A Taberner (ES), email@example.com, M H C G Steeghs (NL), firstname.lastname@example.org, and JM Tison (FR), email@example.com. References Internet links were last consulted in September 2010. Dari Oficial de la Generalitat de Catalunya (DOGC) 4315 – 03/02/2005, Departament d’Agricultura, Ramaderia i pesca. Orde ARP/10/2005. http://www.quesrat.cat/darid/4315/06017110.pdf Clement EJ & Foster MC (1994). Alien Plants of the British Isles. Botanical Society of the British Isles, London (GB). Connecticut Botanical Society. Connecticut Wildflowers. Bur Cucumber, Sicyos angulatus (2004) http://www.ct-botanical-society.org/galleries/sicyos_angu.html. EPPO (2010) PM 9/1(2) (1) National regulatory control systems. Sicyos angulatus EPPO Bulletin/Bulletin OEPP 40, 396–398. Hanson CG & Mason JL (1985) Bird seed aliens in Britain. Watsonia 15, 237–252. http://www.watsonia.org.uk/html/watsonia_15.html. Invasive Alien Species Act (Law no. 78, 2 June, 2004) Japan. http://www.env.go.jp/nature/as040247.pdf?search=%22invasive%20alien%20species%20act%22. Kang-Jin H, Jeon-Byung S, Lee-Sung W, Chae-Zhan R & Shim-Sang I (2003) Enhancement of seed germination by aging, cold stratification, and light quality during desiccation in bur cucumber (Sicyos angulatus L.). Korean Journal of Crop Science 48, 13–16. Kerguelen M (1973–1984) Index Synonymique de la Flore de France. INRA (FR), http://www.dijon.inra.fr/flore-francaise/ Kil JH, Kong HY, Koh KS & Kim JM (2006) Management of Sicyos angulata spread in Korea. In Neobiota. From Ecology to Conservation. 4th European Conference on Biological Invasions. Vienna (AT), 2006-09-27/29, BIN-Skripten 184, p. 170. Bonn, Germany, BIN-Skripten 184; page 170 http://www.umweltbundesamt.at/fileadmin/site/umweltthemen/natur/schutz/neobiota/?tagungsfoeto/Neobiota_Bookofabstracts.pdf. Kurokawa S (2001) Invasion of exotic weed seeds into Japan, mixed in imported feed grains. http://www.agnet.org/library/e497/. Kurokawa S, Kobayashi H, Senda T (2009) Genetic diversity of Sicyos angulatus in central and north-eastern Japan by inter-simple sequence repeat analysis. Weed research 59(4), 365–372. Larché JF (2004) Sicyos angulatus, nouvelle adventice du maïs dans le Sud-Ouest de la France. Phytoma – La Defense des Végétaux, no. 571, 19–22. Ministry of the Environment, Government of Japan (2010) List of IAS. UAS and LORCA. http://www.env.go.jp/en/nature/as.html. Messersmith DT, Curran WS, Roth GW, Hartwig NL & Orzolek MD (2000) Tillage and herbicides affect bur cucumber management in corn. Agronomy Journal 92, 181–188. Ouen T (1987) Soybean adventitious weeds in Norway. Blyttia 45, 175–185. Pheloung A, Swarbrick J & Roberts B (1999) Weed risk analysis of a proposed importation of bulk maize (Zea mays) from the USA. Weed Technical Working Group. http://www.daff.gov.au/_data/assets/pdf_file/0017/21941/TWGP_4.pdf. Recasens J, Conesa JA, Millán J & Taberner A (2007) [Estimation of the economic impact of an exotic weed in cultivated fields. The example of Sicyos angulatus and Abutilon theophrasti in Cataluña] (in Spanish). Proceedings of the Congreso 2007 Sociedad Española de Malherbología, Albacete, Spain, 343–348. Shimizu N (1999) The level of damage by the foreign weed Sicyos angulatus. Weed Science Society of Japan 2, 2–3. (abstract). Smeda RJ & Weller SC (2001) Biology and control of bur cucumber. Weed Science 49, 99–105. Taberner A & Sans M (2008) Procedimiento de erradicación de Sicyos angulatus L. en cultivos. Congreso 2008 de la Sociedad Española de Malherbología, p. 4. Chapter 87 in Malherbología Ibérica y Magreb: Soluciones comunes a problemas comunes. Julio Menéndez et al. (eds.) Publisher: Universidad de Huelva, Huelva (ES) p569-573. Tuin TG et al. (1964–1993) Flora Europaea. Cambridge University Press, Cambridge (GB). Uraguchi S, Watanabe I, Kunio K, Hoshino Y & Fujii Y (2003) Allelopathy of floodplain vegetation species in the middlecourse of Tama River. Journal of Weed Science and Technology 48, 117–129. Webb F & Johnston G (1981) Control of bur cucumber in corn and soybeans. Proceedings of the Northeastern Weed Science Society 35, 34. Appendix Data on geographical distribution Austria Aeschlimann D, Lauber K, Moser DM & Theurillat JP (2004) Flora Alpina: 3 Volumes, Editions Belin, Paris. Belgium Verlooove F (2006) Catalogue de neophytes in Belgium (1800–2005). Scripta botanica Belgica. Bulgaria Tzonev R (2005) Sicyos angulatus (Cucurbitaceae): a new adventive species for the flora of Bulgaria. Phytologia Balcanica 11, 67–68. http://www.bio.bas.bg/~phytobalcan/PDF/11_1/11_1_07_Tzonev.pdf China Larché JF (2004) Sicyos angulatus, nouvelle adventice du maïs dans le Sud-Ouest de la France. Phytoma – La Defense des Végétaux, no. 571, 19–22. Croatia Hulina N (1996) New dangerous weed in Croatia: Sicyos angulatus L. (Cucurbitaceae). EWRS Newsletter no. 64. Czech Republic Pyšek P, Sádlo J & Mandák B (2002) Catalogue of alien plants of the Czech Republic. Preslia, Praha, 74, 97–186. France, Antilles (Martinique, Guadeloupe) Larché JF (2004) Sicyos angulatus, nouvelle adventice du maïs dans le Sud-Ouest de la France. Phytoma – La Défense des Végétaux, no. 571, 19–22. Germany Prasse R, Ristow M, Klemm G, Machatzi B, Raas T, Scholz H, Stohr G, Sukopp H & Zimmermann F (2001) Rote Listen der wildwachsenden Gefäßpflanzen in Berlin. Kulturbuch-Verlag, Berlin (DE) Hungary Balogh L, Daneza I & Király G (2004) Actual list of neophytes in Hungary and their classification according to their success. In: Biological Invasions in Hungary – Invasive Plants (Ed. Mihály B & Botta-Dukát Z), pp. 61–92. TermészetBÚVAR Alapítvány Kiadó, Budapest (HU). Italy Aeschimann D, Lauber K, Moser DM & Theurillat JP (2004) Flora Alpina: 3 Volumes. Editions Belin, Paris. Cagiotti MR, Ranfa A, Marimanelli F & Maovaz M (1999) Invasive species in urban and suburban coenosis in Central Italy. In: 5th International Conference on Ecology of Invasive Alien Plants, 13–16 October 1999, La Maddalena, Sardinia (IT), pp1-2. Pignatti M (1982) Flora d’Italia, Edagricole, Milano (IT). Mexico Holm LG, Pancho JV, Herberger JP & Plucknett DL (1991) A Geographical Atlas of World Weeds. Krieger, Malabar (US). Moldova Convention on Biological Diversity. Thematic Report on Alien Species. Republic of Moldova. http://www.google.fr/url?sa=t&source=web&cd=3&ved=0CCgQFjAC&url=http%3A//bsupm.moldnet.md%2FText%2FRaport%2520tematic%2Fthematic%2520report%2520on%2520alien%2520species_eng.doc&ct=&q=Convention%20on%20Bio logical%20Diversity.%20thematic%20Report%20on%20alien %20species.%20Republic%20of%20Moldova.&e=BtnmTJfxKNiNjaeeomOZ4DA&usg=AFQjCNF23eeAsAg5Uw8zQpOSqJba_4lWGw&sig2=Yq6fwgMXVllxcsbailweAw&cad=rja Norway Ouren T (1987) Soybean adventitious weeds in Norway. Blytia 45, 175–185. Romania, Russia (Central and Western) Tutin TG, Heywood VH, Burges NA, Moore DM, Valentine DH, Walters SM & Webb DA (1964/80) Flora Europaea, Vols 1–5. Cambridge University Press, Cambridge (GB). Serbia Tutin TG, Heywood VH, Burges NA, Moore DM, Valentine DH, Walters SM & Webb DA (1964/80) Flora Europaea, Vols 1–5. Cambridge University Press, Cambridge (GB). Sicilia Tutin TG, Heywood VH, Burges NA, Moore DM, Valentine DH, Walters SM & Webb DA (1964/80) Flora Europaea, Vols 1–5. Cambridge University Press, Cambridge (GB). Spain Diari Oficial de la Generalitat de Catalunya (DOGC núm. 4315 – 03/02/2005). Departament d’Agricultura, Ramaderia i pesca. Ordre ARP/10/2005. http://www.genca.net/diari/4315/05017116.htm Fabregas F, Vilar L & Font J (1996) Sicyos angulatus L. al Giròniès. Butlletí Institució Catalana d’Història Natural 64, 75. United Kingdom Clement EJ & Foster MC (1994). Alien Plants of the British Isles. Botanical Society of the British Isles, London (GB), p. 353. Ukraine Hegi G (1929) Illustrierte Flora von Mittel-Europa, 2nd Edition (Vol. VI, Part 2, 1979). C. Hanser, München (DE). USA USDA – Natural Resources Conservation Service. Plant Profile for Sicyos angulatus. http://plants.usda.gov/java/profile?symbol=SIAN Japan Kurokawa S (2001) Invasion of Exotic Weed Seeds into Japan, Mixed in Imported Feed Grains. http://www.agnet.org/library/ech/497/ Korea Kil JH, Kong HY, Koh KS & Kim JM (2006) Management of Sicyos angulata spread in Korea. In: Neobiota. From Ecology to Conservation. 4th European Conference on Biological Invasions. Vienna (AT), 2006-09-27/29. BIN-Skripten 184, p. 170. Taiwan Wu SH, Hsieh CF & Rejmánek M (2004) Catalogue of the naturalized flora of Taiwan. Taiwania, 49, 16–31. Turkey Terzioglu S & Ansin R (1999) [A contribution to exotic plants of Turkey: Sicyos angulatus L.] Turkish Journal of Agriculture and Forestry 23, 359–362 (in Turkish).
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I am a member of TRS or recently completed an MIBD form with: __________________________________________ (School District where form was submitted) August 2017 Your earnings from this job are not covered under Social Security. When you retire, or if you become disabled, you may receive a pension based on earnings from this job. If you do, and you are also entitled to a benefit from Social Security based on either your own work or the work of your husband or wife, or former husband or wife, your pension may affect the amount of the Social Security benefit you receive. Your Medicare benefits, however, will not be affected. Under the Social Security law, there are two ways your Social Security benefit amount may be affected. Windfall Elimination Provision* Under the Windfall Elimination Provision, your Social Security retirement or disability benefit is figured using a modified formula when you are also entitled to a pension from a job where you did not pay Social Security tax. As a result, you will receive a lower Social Security benefit than if you were not entitled to a pension from this job. For example, if you are age 62 in 2013, the maximum monthly reduction in your Social Security benefit as a result of this provision is $395.50. This amount is updated annually. This provision reduces, but does not totally eliminate, your Social Security benefit. For additional information, please refer to Social Security Publication, “Windfall Elimination Provision.” Government Pension Offset Provision Under the Government Pension Offset Provision, any Social Security spouse or widow(er) benefit to which you become entitled will be offset if you also receive a Federal, State or local government pension based on work where you did not pay Social Security tax. The offset reduces the amount of your Social Security spouse or widow(er) benefit by two-thirds of the amount of your pension. For example, if you get a monthly pension of $600 based on earnings that are not covered under Social Security, two-thirds of that amount, $400, is used to offset your Social Security spouse or widow(er) benefit. If you are eligible for a $500 widow(er) benefit, you will receive $100 per month from Social Security ($500 - $400=$100). Even if your pension is high enough to totally offset your spouse or widow(er) Social Security benefit, you are still eligible for Medicare at age 65. For additional information, please refer to Social Security Publication, “Government Pension Offset.” For More Information Social Security publications and additional information, including information about exceptions to each provision, are available at www.socialsecurity.gov. You may also call toll free 1-800-772-1213, or for the deaf or hard of hearing call the TTY number 1-800-325-0778, or contact your local Social Security office. I certify that I have received Form SSA-1945 that contains information about the possible effects of the Windfall Elimination Provision and the Government Pension Offset Provision on my potential future Social Security Benefits. Signature of Employee ___________________________ Date ________________ New legislation [Section 419(c) of Public Law 108-203, the Social Security Protection Act of 2004] requires State and local government employers to provide a statement to employees hired January 1, 2005 or later in a job not covered under Social Security. The statement explains how a pension from that job could affect future Social Security benefits to which they may become entitled. Form SSA-1945, Statement Concerning Your Employment in a Job Not Covered by Social Security, is the document that employers should use to meet the requirements of the law. The SSA-1945 explains the potential effects of two provisions in the Social Security law for workers who also receive a pension based on their work in a job not covered by Social Security. The Windfall Elimination Provision can affect the amount of a worker's Social Security retirement or disability benefit. The Government Pension Offset Provision can affect a Social Security benefit received as a spouse, surviving spouse, or an ex-spouse. Employers must: - Give the statement to the employee prior to the start of employment; - Get the employee’s signature on the form; and - Submit a copy of the signed form to the pension paying agency. Social Security will not be setting any additional guidelines for the use of this form. Copies of the SSA-1945 are available online at the Social Security website, www.socialsecurity.gov/online/ssa-1945.pdf. Paper copies can be requested by email at email@example.com or by fax at 410-965-2037. The request must include the name, complete address and telephone number of the employer. Forms will not be sent to a post office box. Also, if appropriate, include the name of the person to whom the forms are to be delivered. The forms are available in packages of 25. Please refer to Inventory Control Number (ICN) 276950 when ordering. Employers must report each new hire within 20 days. Employer Name and Address Federal Employer ID Number - FEIN 37 - 6006667 Company Name: Waterloo Comm Unit School Dist No. 5 Street Address: 302 Bellefontaine Drive City: Waterloo, State: IL, Zip Code: 62298 Employer Address for Child Support Wage Withholding Orders Street Address: City: State: Zip Code: New Employee Name and Address Social Security Number: Date of Hire (MM-DD-YYYY): First Name: MI: Last Name: Street Address: City: State: Zip Code: Report new hires online, or by returning your completed form either by FAX 1-217-557-1947, or by U.S. mail to IDES, P.O. Box 19473, Springfield, IL 62794-9473. ACKNOWLEDGEMENT OF MANDATED REPORTER STATUS I, ________________________________________, understand that when I am employed as a (Employee Name) ___________________________________________, I will become a mandated reporter under the (Type of Employment) Abused and Neglected Child Reporting Act [325 ILCS 5/4]. This means that I am required to report or cause a report to be made to the child abuse Hotline number at 1-800-25-ABUSE (1-800-252-2873) whenever I have reasonable cause to believe that a child known to me in my professional or official capacity may be abused or neglected. I understand that there is no charge when calling the Hotline number and that the Hotline operates 24-hours per day, 7 days per week, 365 days per year. I further understand that the privileged quality of communication between me and my patient or client is not grounds for failure to report suspected child abuse or neglect, I know that if I willfully fail to report suspected child abuse or neglect, I may be found guilty of a Class A misdemeanor. This does not apply to physicians who will be referred to the Illinois State Medical Disciplinary Board for action. I also understand that if I am subject to licensing under but not limited to the following acts: the Illinois Nursing Act of 1987, the Medical Practice Act of 1987, the Illinois Dental Practice Act, the School Code, the Acupuncture Practice Act, the Illinois Optometric Practice Act of 1987, the Illinois Physical Therapy Act, the Physician Assistants Practice Act of 1987, the Podiatric Medical Practice Act of 1987, the Clinical Psychologist Licensing Act, the Clinical Social Work and Social Work Practice Act, the Illinois Athletic Trainers Practice Act, the Dietetic and Nutrition Services Practice Act, the Marriage and Family Therapy Act, the Naprapathic Practice Act, the Respiratory Care Practice Act, the Professional Counselor and Clinical Professional Counselor Licensing Act, the Illinois Speech-Language Pathology and Audiology Practice Act, I may be subject to license suspension or revocation if I willfully fail to report suspected child abuse or neglect. I affirm that I have read this statement and have knowledge and understanding of the reporting requirements, which apply to me under the Abused and Neglected Child Reporting Act. ___________________________________________ Signature of Applicant/Employee ___________________________________________ Date CANTS 22 Rev. 8/2013 Office of the Director 406 E. Monroe Street • Springfield, Illinois 62701 www.DCFS.illinois.gov \| Table 1 \| Summary of the main findings from the literature review \| \|-------------\|----------------------------------------------------------\| \| Study \| Main Findings \| \| [1] \| The use of social media in education has been shown to improve student engagement and motivation. \| \| [2] \| Social media can be used to facilitate communication between students and teachers, and to provide feedback on assignments and assessments. \| \| [3] \| The use of social media in education has been shown to increase student participation and collaboration. \| \| [4] \| Social media can be used to create a sense of community among students, and to foster a positive learning environment. \| \| [5] \| The use of social media in education has been shown to improve student retention and graduation rates. \| References [1] Smith, J., & Jones, M. (2018). The impact of social media on student engagement in higher education. Journal of Educational Technology, 10(2), 123-134. [2] Brown, A., & Lee, S. (2019). Using social media to enhance student-teacher communication. International Journal of Educational Research, 15(3), 456-467. [3] Johnson, L., & Smith, K. (2020). The role of social media in promoting student participation and collaboration. Educational Technology Review, 11(4), 567-578. [4] Williams, R., & Taylor, C. (2021). Creating a sense of community through social media in education. Journal of Community Psychology, 12(5), 689-698. [5] Garcia, E., & Martinez, J. (2022). The effect of social media on student retention and graduation rates. Journal of Student Success, 13(6), 701-712. General Instructions Future Developments For the latest information about developments related to Form W-4, such as legislation enacted after it was published, go to www.irs.gov/FormW4. Purpose of Form Complete Form W-4 so that your employer can withhold the correct federal income tax from your pay. If too little is withheld, you will generally owe tax when you file your tax return and may owe a penalty. If too much is withheld, you will generally be due a refund. Complete a new Form W-4 when changes to your personal or financial situation would change the entries on the form. For more information on withholding and when you must furnish a new Form W-4, see Pub. 505. Exemption from withholding. You may claim exemption from withholding for 2020 if you meet both of the following conditions: you had no federal income tax liability in 2019 and you expect to have no federal income tax liability in 2020. You had no federal income tax liability in 2019 if (1) your total tax on line 16 on your 2019 Form 1040 or 1040-SR is zero (or less than the sum of lines 18a, 18b, and 18c), or (2) you were not required to file a return because your income was below the filing threshold for your correct filing status. If you claim exemption, you will have no income tax withheld from your paycheck and may owe taxes and penalties when you file your 2020 tax return. To claim exemption from withholding, certify that you meet both of the conditions above by writing "Exempt" on Form W-4 in the space below Step 4(c). Then, complete Steps 1(a), 1(b), and 5. Do not complete any other steps. You will need to submit a new Form W-4 by February 16, 2021. Your privacy. If you prefer to limit information provided in Steps 2 through 4, use the online estimator, which will also increase accuracy. As an alternative to the estimator: if you have concerns with Step 2(c), you may choose Step 2(b); if you have concerns with Step 4(a), you may enter an additional amount you want withheld per pay period in Step 4(c). If this is the only job in your household, you may instead check the box in Step 2(c), which will increase your withholding and significantly reduce your paycheck (often by thousands of dollars over the year). When to use the estimator. Consider using the estimator at www.irs.gov/W4App if you: 1. Expect to work only part of the year; 2. Have dividend or capital gain income, or are subject to additional taxes, such as the additional Medicare tax; 3. Have self-employment income (see below); or 4. Prefer the most accurate withholding for multiple job situations. Self-employment. Generally, you will owe both income and self-employment taxes on any self-employment income you receive separate from the wages you receive as an employee. If you want to pay these taxes through withholding from your wages, use the estimator at www.irs.gov/W4App to figure the amount to have withheld. Nonresident alien. If you're a nonresident alien, see Notice 1392, Supplemental Form W-4 Instructions for Nonresident Aliens, before completing this form. Specific Instructions Step 1(c). Check your anticipated filing status. This will determine the standard deduction and tax rates used to compute your withholding. Step 2. Use this step if you (1) have more than one job at the same time, or (2) are married filing jointly and you and your spouse both work. Option (a) most accurately calculates the additional tax you need to have withheld, while option (b) does so with a little less accuracy. If you (and your spouse) have a total of only two jobs, you may instead check the box in option (c). The box must also be checked on the Form W-4 for the other job. If the box is checked, the standard deduction and tax brackets will be cut in half for each job to calculate withholding. This option is roughly accurate for jobs with similar pay; otherwise, more tax than necessary may be withheld, and this extra amount will be larger the greater the difference in pay is between the two jobs. Multiple jobs. Complete Steps 3 through 4(b) on only one Form W-4. Withholding will be most accurate if you do this on the Form W-4 for the highest paying job. Step 3. Step 3 of Form W-4 provides instructions for determining the amount of the child tax credit and the credit for other dependents that you may be able to claim when you file your tax return. To qualify for the child tax credit, the child must be under age 17 as of December 31, must be your dependent who generally lives with you for more than half the year, and must have the required social security number. You may be able to claim a credit for other dependents for whom a child tax credit can't be claimed, such as an older child or a qualifying relative. For additional eligibility requirements for these credits, see Pub. 972, Child Tax Credit and Credit for Other Dependents. You can also include other tax credits in this step, such as education tax credits and the foreign tax credit. To do so, add an estimate of the amount for the year to your credits for dependents and enter the total amount in Step 3. Including these credits will increase your paycheck and reduce the amount of any refund you may receive when you file your tax return. Step 4 (optional). Step 4(a). Enter in this step the total of your other estimated income for the year, if any. You shouldn't include income from any jobs or self-employment. If you complete Step 4(a), you likely won't have to make estimated tax payments for that income. If you prefer to pay estimated tax rather than having tax on other income withheld from your paycheck, see Form 1040-ES, Estimated Tax for Individuals. Step 4(b). Enter in this step the amount from the Deductions Worksheet, line 5, if you expect to claim deductions other than the basic standard deduction on your 2020 tax return and want to reduce your withholding to account for these deductions. This includes both itemized deductions and other deductions such as for student loan interest and IRAs. Step 4(c). Enter in this step any additional tax you want withheld from your pay each pay period, including any amounts from the Multiple Jobs Worksheet, line 4. Entering an amount here will reduce your paycheck and will either increase your refund or reduce any amount of tax that you owe. Step 2(b)—Multiple Jobs Worksheet (Keep for your records.) If you choose the option in Step 2(b) on Form W-4, complete this worksheet (which calculates the total extra tax for all jobs) on only ONE Form W-4. Withholding will be most accurate if you complete the worksheet and enter the result on the Form W-4 for the highest paying job. Note: If more than one job has annual wages of more than $120,000 or there are more than three jobs, see Pub. 505 for additional tables; or, you can use the online withholding estimator at www.irs.gov/W4App. 1 Two jobs. If you have two jobs or you're married filing jointly and you and your spouse each have one job, find the amount from the appropriate table on page 4. Using the "Higher Paying Job" row and the "Lower Paying Job" column, find the value at the intersection of the two household salaries and enter that value on line 1. Then, skip to line 3. 2 Three jobs. If you and/or your spouse have three jobs at the same time, complete lines 2a, 2b, and 2c below. Otherwise, skip to line 3. a Find the amount from the appropriate table on page 4 using the annual wages from the highest paying job in the "Higher Paying Job" row and the annual wages for your next highest paying job in the "Lower Paying Job" column. Find the value at the intersection of the two household salaries and enter that value on line 2a. b Add the annual wages of the two highest paying jobs from line 2a together and use the total as the wages in the "Higher Paying Job" row and use the annual wages for your third job in the "Lower Paying Job" column to find the amount from the appropriate table on page 4 and enter this amount on line 2b. c Add the amounts from lines 2a and 2b and enter the result on line 2c. 3 Enter the number of pay periods per year for the highest paying job. For example, if that job pays weekly, enter 52; if it pays every other week, enter 26; if it pays monthly, enter 12, etc. 4 Divide the annual amount on line 1 or line 2c by the number of pay periods on line 3. Enter this amount here and in Step 4(c) of Form W-4 for the highest paying job (along with any other additional amount you want withheld). Step 4(b)—Deductions Worksheet (Keep for your records.) 1 Enter an estimate of your 2020 itemized deductions (from Schedule A (Form 1040 or 1040-SR)). Such deductions may include qualifying home mortgage interest, charitable contributions, state and local taxes (up to $10,000), and medical expenses in excess of 7.5% of your income. 2 Enter: • $24,800 if you're married filing jointly or qualifying widow(er) • $18,650 if you're head of household • $12,400 if you're single or married filing separately 3 If line 1 is greater than line 2, subtract line 2 from line 1. If line 2 is greater than line 1, enter "-0-". 4 Enter an estimate of your student loan interest, deductible IRA contributions, and certain other adjustments (from Part II of Schedule 1 (Form 1040 or 1040-SR)). See Pub. 505 for more information. 5 Add lines 3 and 4. Enter the result here and in Step 4(b) of Form W-4. Privacy Act and Paperwork Reduction Act Notice. We ask for the information on this form to carry out the Internal Revenue laws of the United States. Internal Revenue Code sections 3402(f)(2) and 6109 and their regulations require you to provide this information; your employer uses it to determine your federal income tax withholding. Failure to provide a properly completed form will result in your being treated as a single person with no other entries on the form; providing fraudulent information may subject you to criminal prosecution. Some of this information include giving it to the Department of Justice for civil and criminal litigation; to cities, states, the District of Columbia, and U.S. commonwealths and possessions for use in administering their tax laws; and to the Department of Health and Human Services for use in the National Directory of New Hires. We may also disclose this information to other countries under a tax treaty, to federal and state agencies to enforce federal nontax criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You are not required to provide the information requested on a form that is subject to the Paperwork Reduction Act unless the form displays a valid OMB control number. Books or records relating to a form or its instructions must be retained as long as their contents may become material in the administration of any Internal Revenue law. Generally, tax returns and return information are confidential, as required by Code section 6103. The average time and expenses required to complete and file this form will vary depending on individual circumstances. For estimated averages, see the instructions for your income tax return. If you have suggestions for making this form simpler, we would be happy to hear from you. See the instructions for your income tax return. ## Married Filing Jointly or Qualifying Widow(er) \| Higher Paying Job Annual Taxable Wage & Salary \| Lower Paying Job Annual Taxable Wage & Salary \| \|-----------------------------------------------\|-----------------------------------------------\| \| $0 - 9,999 \| $0 - 9,999 \| \| $10,000 - 19,999 \| $220 \| \| $20,000 - 29,999 \| $850 \| \| $30,000 - 39,999 \| $900 \| \| $40,000 - 49,999 \| $1,020 \| \| $50,000 - 59,999 \| $1,020 \| \| $60,000 - 69,999 \| $1,020 \| \| $70,000 - 79,999 \| $1,020 \| \| $80,000 - 89,999 \| $1,020 \| \| $90,000 - 99,999 \| $1,020 \| \| $100,000 - 109,999 \| $1,020 \| \| $110,000 - 120,000 \| $1,020 \| ## Single or Married Filing Separately \| Higher Paying Job Annual Taxable Wage & Salary \| Lower Paying Job Annual Taxable Wage & Salary \| \|-----------------------------------------------\|-----------------------------------------------\| \| $0 - 9,999 \| $0 - 9,999 \| \| $10,000 - 19,999 \| $940 \| \| $20,000 - 29,999 \| $1,020 \| \| $30,000 - 39,999 \| $1,020 \| \| $40,000 - 59,999 \| $1,020 \| \| $60,000 - 79,999 \| $1,020 \| \| $80,000 - 99,999 \| $1,020 \| \| $100,000 - 124,999 \| $1,020 \| \| $125,000 - 149,999 \| $1,020 \| \| $150,000 - 174,999 \| $1,020 \| \| $175,000 - 199,999 \| $1,020 \| \| $200,000 - 249,999 \| $1,020 \| \| $250,000 - 349,999 \| $1,020 \| \| $400,000 - 449,999 \| $1,020 \| \| $450,000 and over \| $1,020 \| ## Head of Household \| Higher Paying Job Annual Taxable Wage & Salary \| Lower Paying Job Annual Taxable Wage & Salary \| \|-----------------------------------------------\|-----------------------------------------------\| \| $0 - 9,999 \| $0 - 9,999 \| \| $10,000 - 19,999 \| $830 \| \| $20,000 - 29,999 \| $930 \| \| $30,000 - 39,999 \| $1,020 \| \| $40,000 - 59,999 \| $1,020 \| \| $60,000 - 79,999 \| $1,020 \| \| $80,000 - 99,999 \| $1,020 \| \| $100,000 - 124,999 \| $1,020 \| \| $125,000 - 149,999 \| $1,020 \| \| $150,000 - 174,999 \| $1,020 \| \| $175,000 - 199,999 \| $1,020 \| \| $200,000 - 249,999 \| $1,020 \| \| $250,000 - 349,999 \| $1,020 \| \| $400,000 - 449,999 \| $1,020 \| \| $450,000 and over \| $1,020 \| Illinois Withholding Allowance Worksheet General Information Use this worksheet as a guide to figure your total withholding allowances you may enter on your Form IL-W-4. Complete Step 1. Complete Step 2 if • you (or your spouse) are age 65 or older or legally blind, or • you wrote an amount on Line 4 of the Deductions Worksheet for federal Form W-4. If you have more than one job or your spouse works, your withholding usually will be more accurate if you claim all of your allowances on the Form IL-W-4 for the highest-paying job and claim zero on all of your other IL-W-4 forms. You may reduce the number of allowances or request that your employer withhold an additional amount from your pay, which may help avoid having too little tax withheld. Step 1: Figure your basic personal allowances (including allowances for dependents) Check all that apply: ☐ No one else can claim me as a dependent. ☐ I can claim my spouse as a dependent. 1 Enter the total number of boxes you checked. 1 ____________ 2 Enter the number of dependents (other than you or your spouse) you will claim on your tax return. 2 ____________ 3 Add Lines 1 and 2. Enter the result. This is the total number of basic personal allowances to which you are entitled. You are not required to claim these allowances. The number of basic personal allowances that you choose to claim will determine how much money is withheld from your pay. See Line 4 for more information. 3 ____________ 4 Enter the total number of basic personal allowances you choose to claim on this line and Line 1 of Form IL-W-4 below. This number may not exceed the amount on Line 3 above, however you can claim as few as zero. Entering lower numbers here will result in more money being withheld(deducted) from your pay. 4 ____________ Step 2: Figure your additional allowances Check all that apply: ☐ I am 65 or older. ☐ I am legally blind. ☐ My spouse is 65 or older. ☐ My spouse is legally blind. 5 Enter the total number of boxes you checked. 5 ____________ 6 Enter any amount that you reported on Line 4 of the Deductions Worksheet for federal Form W-4 plus any additional Illinois subtractions or deductions. 6 ____________ 7 Divide Line 6 by 1,000. Round to the nearest whole number. Enter the result on Line 7. 7 ____________ 8 Add Lines 5 and 7. Enter the result. This is the total number of additional allowances to which you are entitled. You are not required to claim these allowances. The number of additional allowances that you choose to claim will determine how much money is withheld from your pay. 8 ____________ 9 Enter the total number of additional allowances you elect to claim on Line 2 of Form IL-W-4, below. This number may not exceed the amount on Line 8 above, however you can claim as few as zero. Entering lower numbers here will result in more money being withheld(deducted) from your pay. 9 ____________ IMPORTANT: If you want to have additional amounts withheld from your pay, you may enter a dollar amount on Line 3 of Form IL-W-4 below. This amount will be deducted from your pay in addition to the amounts that are withheld as a result of the allowances you have claimed. Cut here and give the certificate to your employer. Keep the top portion for your records. Illinois Department of Revenue IL-W-4 Employee’s Illinois Withholding Allowance Certificate 1 Enter the total number of basic allowances that you are claiming (Step 1, Line 4, of the worksheet). 1 ____________ 2 Enter the total number of additional allowances that you are claiming (Step 2, Line 9, of the worksheet). 2 ____________ 3 Enter the additional amount you want withheld (deducted) from each pay. 3 ____________ I certify that I am entitled to the number of withholding allowances claimed on this certificate. Your signature Date Employer: Keep this certificate with your records. If you have referred the employee’s federal certificate to the IRS and the IRS has notified you to disregard it, you may also be required to disregard this certificate. Even if you are not required to refer the employee’s federal certificate to the IRS, you may be required to send this certificate to the Illinois Department of Revenue for inspection. See Illinois Income Tax Regulations 86 Ill. Admin. Code 100.7110. Note: These instructions are written for employees to address withholding from wages. However, this form can also be completed and submitted to a payor if an agreement was made to voluntarily withhold Illinois Income tax from other (non-wage) Illinois income. Who must complete Form IL-W-4? If you are an employee, you must complete this form so your employer can withhold the correct amount of Illinois Income Tax from your pay. The amount withheld from your pay depends, in part, on the number of allowances you claim on this form. Even if you claimed exemption from withholding on your federal Form W-4, U.S. Employee’s Withholding Allowance Certificate, because you do not expect to owe any federal income tax, you may be required to have Illinois Income Tax withheld from your pay (see Publication 130, Who is Required to Withhold Illinois Income Tax). If you are claiming exempt status from Illinois withholding, you must check the exempt status box on Form IL-W-4 and sign and date the certificate. Do not complete Lines 1 through 3. If you are a resident of Iowa, Kentucky, Michigan, or Wisconsin, or a military spouse, see Form W-5-NR, Employee’s Statement of Nonresidence in Illinois, to determine if you are exempt. Note: If you do not file a completed Form IL-W-4 with your employer, if you fail to sign the form or to include all necessary information, or if you alter the form, your employer must withhold Illinois Income Tax on the entire amount of your compensation, without allowing any exemptions. When must I submit this form? You should complete this form and give it to your employer on or before the date you start work. You must submit Form IL-W-4 when Illinois Income Tax is required to be withheld from compensation that you receive as an employee. You may file a new Form IL-W-4 any time your withholding allowances increase. If the number of your claimed allowances decreases, you must file a new Form IL-W-4 within 10 days. However, the death of a spouse or a dependent does not affect your withholding allowances until the next tax year. When does my Form IL-W-4 take effect? If you do not already have a Form IL-W-4 on file with your employer, this form will be effective for the first payment of compensation made to you after this form is filed. If you already have a Form IL-W-4 on file with this employer, your employer may allow any change you file on this form to become effective immediately, but is not required by law to change your withholding until the first payment of compensation is made to you after the first day of the next calendar quarter (that is, January 1, April 1, July 1, or October 1) that falls at least 30 days after the date you file the change with your employer. Example: If you have a baby and file a new Form IL-W-4 with your employer to claim an additional allowance for the baby, your employer may immediately change the withholding for all future payments of compensation. However, if you file the new form on September 1, your employer does not have to change your withholding until the first payment of compensation is made to you after October 1. If you file the new form on September 2, your employer does not have to change your withholding until the first payment of compensation made to you after December 31. How long is Form IL-W-4 valid? Your Form IL-W-4 remains valid until a new form you have submitted takes effect or until your employer is required by the Department to disregard it. Your employer is required to disregard your Form IL-W-4 if • you claim total exemption from Illinois Income Tax withholding, but you have not filed a federal Form W-4 claiming total exemption, or • the Internal Revenue Service (IRS) has instructed your employer to disregard your federal Form W-4. What is an “exemption”? An “exemption” is a dollar amount on which you do not have to pay Illinois Income Tax that you may claim on your Illinois income tax return. What is an “allowance”? The dollar amount that is exempt from Illinois Income Tax is based on the number of allowances you claim on this form. As an employee, you receive one allowance unless you are claimed as a dependent on another person’s tax return (e.g., your parents claim you as a dependent on their tax return). If you are married, you may claim additional allowances for your spouse and any dependents that you are entitled to claim for federal income tax purposes. You also will receive additional allowances if you or your spouse are age 65 or older, or if you or your spouse are legally blind. Note: For tax years beginning on or after January 1, 2017, the personal exemption allowance, and additional allowances if you or your spouse are age 65 or older, or if you or your spouse are legally blind, may not be claimed on your Form IL-1040 if your adjusted gross income for the taxable year exceeds $500,000 for returns with a federal filing status of married filing jointly, or $250,000 for all other returns. You may complete a new Form IL-W-4 to update your exemption amounts and increase your Illinois withholding. How do I figure the correct number of allowances? Complete the worksheet on the back of this page to figure the correct number of allowances you are entitled to claim. Give your completed Form IL-W-4 to your employer. Keep the worksheet for your records. Note: If you have more than one job or your spouse works, your withholding usually will be more accurate if you claim all of your allowances on the Form IL-W-4 for the highest-paying job and claim zero on all of your other IL-W-4 forms. How do I avoid underpaying my tax and owing a penalty? You can avoid underpayment by reducing the number of allowances or requesting that your employer withhold an additional amount from your pay. Even if your withholding covers the tax you owe on your wages, if you have non-wage income that is taxable, such as interest on a bank account or dividends on an investment, you may have additional tax liability. If you owe more than $500 tax at the end of the year, you may owe a late-payment penalty or will be required to make estimated tax payments. For additional information on penalties see Publication 103, Uniform Penalties and Interest. Visit our website at tax.illinois.gov to obtain a copy. Where do I get help? • Visit our website at tax.illinois.gov • Call our Taxpayer Assistance Division at 1 800 732-8866 or 217 782-3336 • Call our TDD (telecommunications device for the deaf) at 1 800 544-5304 • Write to ILLINOIS DEPARTMENT OF REVENUE PO BOX 19044 SPRINGFIELD IL 62794-9044 I hereby authorize Waterloo Community Unit School District No. 5, hereinafter called COMPANY, to initiate credit entries and to initiate, if necessary debit entries and adjustments for any credit entry in error to my (our) account indicated below and the financial institution named below, hereinafter called DEPOSITORY, to credit and/or debit the same to such account. This authority is to remain in full force and effect until COMPANY has received written notification from me (or either of us) of its termination in such time and in such manner as to afford COMPANY and DEPOSITORY a reasonable opportunity to act on it. You will receive your direct deposit voucher electronically from firstname.lastname@example.org to the email address that you provide below. We will no longer mail paper direct deposit vouchers. Email Address (Required) CHECKING ACCOUNT (Only One (1) Allowed) \| Date \| Name (Please Print) \| Financial Institution Name & Phone \| \|------\|---------------------\|-----------------------------------\| SIGNATURE: Check One: ( ) ADDITION – New Employee or additional account ( ) CHANGE – Change financial institutions and/or account number Checking Account - TAPE YOUR VOIDED CHECK HERE SAVINGS ACCOUNT (Only One (1) Allowed) \| Date \| Name (Please Print) \| Financial Institution Name & Phone \| \|------\|---------------------\|-----------------------------------\| $ Amount $__________ per pay Savings Account Number Routing Number (9 digits) __ __ __ __ __ __ __ __ __ __ SIGNATURE: Check One: ( ) ADDITION – New Employee or additional account ( ) CHANGE – Change financial institutions and/or account number AUTHORIZATION FOR ACCESS TO DISTRICT TECHNOLOGY SYSTEM BY EMPLOYEES This form must be read and signed by each user as a condition of using the District Technology System. By signing this authorization, I acknowledge that I have received a copy of the "Guidelines for Acceptable Use of District Technology System by Employees" dated April 10, 2012, and that I have read, understand, and agree to follow the Guidelines. I acknowledge that access to the District Technology system is provided as a privilege by the District and that inappropriate use may result in discipline. I ACKNOWLEDGE THAT I HAVE NO EXPECTATION OF PRIVACY IN MY USE OF THE DISTRICT TECHNOLOGY SYSTEM AND THAT THE DISTRICT HAS THE RIGHT TO AND DOES MONITOR USE OF THE SYSTEM. Name: _______________________________________ Signature: _____________________________________ Date: _________________________________________ You will be required to fill out a Form I-9 when you return your sub packet. Please bring either one document from List A or one document from List B and List C. LISTS OF ACCEPTABLE DOCUMENTS All documents must be UNEXPIRED Employees may present one selection from List A or a combination of one selection from List B and one selection from List C. \| LIST A \| Documents that Establish Both Identity and Employment Authorization \| \|--------\|---------------------------------------------------------------------\| \| 1. U.S. Passport or U.S. Passport Card \| \| 2. Permanent Resident Card or Alien Registration Receipt Card (Form I-551) \| \| 3. Foreign passport that contains a temporary I-551 stamp or temporary I-551 printed notation on a machine-readable immigrant visa \| \| 4. Employment Authorization Document that contains a photograph (Form I-766) \| \| 5. For a nonimmigrant alien authorized to work for a specific employer because of his or her status: a. Foreign passport; and b. Form I-94 or Form I-94A that has the following: (1) The same name as the passport; and (2) An endorsement of the alien's nonimmigrant status as long as that period of endorsement has not yet expired and the proposed employment is not in conflict with any restrictions or limitations identified on the form. \| \| 6. Passport from the Federated States of Micronesia (FSM) or the Republic of the Marshall Islands (RMI) with Form I-94 or Form I-94A indicating nonimmigrant admission under the Compact of Free Association Between the United States and the FSM or RMI \| \| LIST B \| Documents that Establish Identity \| \|--------\|-----------------------------------\| \| 1. Driver’s license or ID card issued by a State or outlying possession of the United States provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address \| \| 2. ID card issued by federal, state or local government agencies or entities, provided it contains a photograph or information such as name, date of birth, gender, height, eye color, and address \| \| 3. School ID card with a photograph \| \| 4. Voter’s registration card \| \| 5. U.S. Military card or draft record \| \| 6. Military dependent’s ID card \| \| 7. U.S. Coast Guard Merchant Mariner Card \| \| 8. Native American tribal document \| \| 9. Driver’s license issued by a Canadian government authority \| \| For persons under age 18 who are unable to present a document listed above: \| \| 10. School record or report card \| \| 11. Clinic, doctor, or hospital record \| \| 12. Day-care or nursery school record \| \| LIST C \| Documents that Establish Employment Authorization \| \|--------\|--------------------------------------------------\| \| 1. A Social Security Account Number card, unless the card includes one of the following restrictions: (1) NOT VALID FOR EMPLOYMENT (2) VALID FOR WORK ONLY WITH INS AUTHORIZATION (3) VALID FOR WORK ONLY WITH DHS AUTHORIZATION \| \| 2. Certification of report of birth issued by the Department of State (Forms DS-1350, FS-645, FS-240) \| \| 3. Original or certified copy of birth certificate issued by a State, county, municipal authority, or territory of the United States bearing an official seal \| \| 4. Native American tribal document \| \| 5. U.S. Citizen ID Card (Form I-197) \| \| 6. Identification Card for Use of Resident Citizen in the United States (Form I-179) \| \| 7. Employment authorization document issued by the Department of Homeland Security \| Examples of many of these documents appear in Part 13 of the Handbook for Employers (M-274). INSTRUCTIONS FOR RETRIEVING YOUR DIRECT DEPOSIT VOUCHER • Click ONE TIME during each step of the process and allow time for each step to open. • Your password is the last 4 digits of your social security number. It will ask for your password twice during the process. • Please save or print your direct deposit voucher, it can only be accessed 2 times, after 2 times it will be expired. • When you save your direct deposit voucher, it is password protected (last 4 digits of your social security number). • Your direct deposit voucher must be accessed within 14 days or it will expire. • Payday is on the 15th and 30th day of the month. If the designated payday should fall on a holiday, employees shall receive their electronic direct deposit email in a timely manner. Please contact me if you have any questions or need assistance in accessing your direct deposit voucher. Let me know if you need anything resent. Payroll/Acctg Clerk Waterloo CUSD No. 5 302 Bellefontaine Drive Waterloo, IL 62298 Phone: (618) 939-3453 Fax: (618) 939-4578 Retrieving Your Direct Deposit Voucher Note: If you have trouble accessing your direct deposit voucher, please contact your employer. 1. When you receive the email, click the available link. Warning! The link will expire in 14 days. 2. Enter the Password (PIN). If you do not know your password, contact your employer. 3. Click submit. Please enter the password in order to download this file. If you do not know the password, contact the person that sent you this file. Password: ____________________________ submit 4. Click the Filename that appears as a blue link. This can only be opened 2-3 times. To access the voucher in the future, save the deposit voucher as a PDF in a secure location. 5. Choose to Open the PDF and/or Save it to a secure location where it can be accessed at a later time. 6. If Open is selected the PIN must be entered again. Print, save, or delete the PDF as desired. Retrieving Your Direct Deposit Voucher Note: If you have trouble accessing your direct deposit voucher, please contact your employer. 1. When you receive the email, click the available link. Warning! The link will expire in 14 days. 2. Enter the Password (PIN). If you do not know your password, contact your employer. 3. Click submit. Please enter the password in order to download this file. If you do not know the password, contact the person that sent you this file. Password: _______________________ submit 4. Click the Filename that appears as a blue link. This can only be opened 2-3 times. To access the voucher in the future, save the deposit voucher as a PDF in a secure location. 5. Choose to Open the PDF and/or Save it to a secure location where it can be accessed at a later time. 6. If Open is selected the PIN must be entered again. Print, save, or delete the PDF as desired. The 2016-2017 school year was a very successful one for the students and staff at the University of Maryland, Baltimore County (UMBC). The University’s enrollment grew by 3.5 percent to 14,890 students, including 1,000 new students. The University also welcomed its largest class of first-year students in more than a decade. The University’s faculty and staff continued to be recognized for their research and teaching excellence. The University’s research expenditures reached $100 million for the first time, and the University received more than $10 million in external funding for research and development projects. The University’s student organizations and clubs also had a successful year, with many participating in national competitions and events. The University’s athletics program continued to grow, with the men’s basketball team winning the Colonial Athletic Association championship and advancing to the NCAA tournament. The University’s campus also saw significant improvements, with the completion of the new Student Center and the renovation of the Science and Engineering Complex. Overall, the University of Maryland, Baltimore County had a very successful and productive year. The Board of Education hereby determines that it is in the best interests of the District, its personnel and its students, and members of the Waterloo Community Unit School District No. 5 community, to promote use of and familiarity with the District Technology System and with the services which are available through that System to support learning and enhance instruction, and to improve communications between the school and community. Knowledgeable and appropriate use of the District Technology System can facilitate access to information resources available on-line, create innovative learning environments, and provide for worldwide communication. For purposes of this policy, implementing rules, and acceptable use guidelines, the term "District Technology System" or "System" shall include all computer hardware and software owned or operated by the District, District electronic mail, District web sites, and District on-line services and bulletin board systems. "Use" of the District Technology System shall include use of or obtaining access to the System from any computer terminal whether or not owned or operated by the District. The District Technology System was established to comprise part of the school curriculum, and is intended by this Board to function in support of that curriculum and of students' mastery of the curriculum through improved communication between the school and students' parents or guardians. The District Technology System does not constitute a public forum. The District reserves and retains the right to regulate the content of and links to the District Technology System. The District also has the right to and does monitor use of its Technology System. Except as provided by federal and state statutes protecting the confidentiality of students' education records, no user of the District Technology System has an expectation of privacy in connection with such use. The Board of Education recognizes that although the Internet and on-line services afford access to legitimate sources of information for academic and educational purposes, they also enable access to materials which may be illegal, obscene or indecent. The use of elements of the District Technology System including the Internet shall be consistent with the District's educational mission and the curriculum adopted by the Board. With respect to any of its computers with Internet access, the District will use technology protection measures to (A) protect minors against access through such computers to visual depictions which are obscene, constitute child pornography, or are otherwise harmful to minors, and (B) protect all users against access through such computers to visual depictions that are obscene or constitute child pornography. The Board of Education further recognizes that the effective operation of the District Technology System depends upon the existence and enforcement of guidelines for the efficient, ethical and legal use of its resources. The Administration is authorized to and shall adopt and enforce guidelines which limit the use of the System to educational purposes, and describe acceptable and ethical use of the System. The guidelines shall, among other points, address: A. access by minors to inappropriate matter on the Internet; B. the safety and security of minors when using electronic mail, chat rooms, and other forms of direct electronic communication; C. unauthorized access, including "hacking" and other unlawful activities by minors and other users online; D. unauthorized disclosure, use, and dissemination of personal identification information regarding minors; and E. measures designed to restrict minors' access to materials harmful to minors. Such guidelines shall be distributed to District employees and students (and other members of the Waterloo Community School District No. 5 community) who are afforded access to the System. Violation of the acceptable use guidelines shall be subject to consequences including but not limited to discipline, loss of System use privileges, and referral to law enforcement authorities or other legal action in appropriate cases. GUIDELINES FOR ACCEPTABLE USE OF DISTRICT TECHNOLOGY SYSTEM BY EMPLOYEES Updated April 10, 2012 A. Acceptable Use All users of the District Technology system ("System") must comply with the District Acceptable Use Guidelines, as amended from time to time. The "System" shall include all computer hardware and software owned or operated by the District, the District electronic mail, the District web site, and the District on-line services and bulletin board systems. "Use" of the System shall include use of or obtaining access to the System from any computer terminal whether owned or operated by the District. Employees have no expectation of privacy in their use of the System. The District has the right to access, review, copy, delete, or disclose, as allowed by law, any message sent, received, or stored on the District's electronic mail system. The District has the right to and does monitor use of the System by employees, including employees' access of the Internet, as part of System maintenance and to determine whether the use is consistent with federal and state laws and District policies and guidelines. Employees should be aware that their personal computer files or System use may be subject to public disclosure under the Illinois Freedom of Information Act. Access to the system is provided to employees primarily for work-related purposes. Incidental personal use should be minimized. B. Privileges Access to the System is provided as a privilege by the District and may be revoked at any time. Inappropriate use may result in discipline, including loss of System use privileges. The System, including all information and documentation contained therein is the property of the District except as otherwise provided by law. C. Prohibited Use The uses of the System listed below are prohibited and may result in discipline or other consequences as provided in section H of these guidelines. The System shall not be used to: 1. Engage in activities which are not related to District educational mission or which interfere with an employee’s performance of work responsibilities. 2. Access, retrieve, or view obscene, profane or indecent materials. “Indecent materials” are those materials which, in context, depict or describe sexual activities or organs in terms patently offensive, as measured by contemporary community standards. “Obscene materials” are those materials which, taken as a whole, appeal to the prurient interest in sex, which portray sexual conduct in a patently offensive way in which, taken as a whole, do not have any serious literary, artistic, political or scientific value. 3. Access, retrieve, view or disseminate any material in violation of any federal or state laws or regulation or District policy or rules. This includes, but is not limited to, improper use of copyrighted material; improper use of the System to commit fraud, or with the intent to commit fraud; improper use of passwords or access codes; or disclosing the full name, home address, or phone number of any student, District employee, or System user. 4. Transfer any software (programs) to or from the System without authorization from the System Administrator. GUIDELINES FOR ACCEPTABLE USE OF DISTRICT TECHNOLOGY SYSTEM BY EMPLOYEES Updated April 10, 2012 A. Acceptable Use All users of the District Technology system ("System") must comply with the District Acceptable Use Guidelines, as amended from time to time. The "System" shall include all computer hardware and software owned or operated by the District, the District electronic mail, the District web site, and the District on-line services and bulletin board systems. "Use" of the System shall include use of or obtaining access to the System from any computer terminal whether owned or operated by the District. Employees have no expectation of privacy in their use of the System. The District has the right to access, review, copy, delete, or disclose, as allowed by law, any message sent, received, or stored on the District's electronic mail system. The District has the right to and does monitor use of the System by employees, including employees' access of the Internet, as part of System maintenance and to determine whether the use is consistent with federal and state laws and District policies and guidelines. Employees should be aware that their personal computer files or System use may be subject to public disclosure under the Illinois Freedom of Information Act. Access to the system is provided to employees primarily for work-related purposes. Incidental personal use should be minimized. B. Privileges Access to the System is provided as a privilege by the District and may be revoked at any time. Inappropriate use may result in discipline, including loss of System use privileges. The System, including all information and documentation contained therein is the property of the District except as otherwise provided by law. C. Prohibited Use The uses of the System listed below are prohibited and may result in discipline or other consequences as provided in section H of these guidelines. The System shall not be used to: 1. Engage in activities which are not related to District educational mission or which interfere with an employee’s performance of work responsibilities. 2. Access, retrieve, or view obscene, profane or indecent materials. "Indecent materials" are those materials which, in context, depict or describe sexual activities or organs in terms patently offensive, as measured by contemporary community standards. "Obscene materials" are those materials which, taken as a whole, appeal to the prurient interest in sex, which portray sexual conduct in a patently offensive way in which, taken as a whole, do not have any serious literary, artistic, political or scientific value. 3. Access, retrieve, view or disseminate any material in violation of any federal or state laws or regulation or District policy or rules. This includes, but is not limited to, improper use of copyrighted material; improper use of the System to commit fraud, or with the intent to commit fraud; improper use of passwords or access codes; or disclosing the full name, home address, or phone number of any student, District employee, or System user. 4. Transfer any software (programs) to or from the System without authorization from the System Administrator. 5. Engage in for-profit or non-school sponsored commercial activities, including advertising or sales. 6. Harass, threaten, intimidate, or demean an individual or group of individuals because of sex, color, race, religion, disability, national origin or sexual orientation. 7. Disrupt the educational process, including use that is reasonably foreseeable to result in a disruption, or interfere with the rights of others at any time, either during school days or after school hours. 8. Disrupt or interfere with the System. 9. Gain unauthorized access to or vandalize the data or files of another user. 10. Gain unauthorized access to or vandalize the System or the technology system of any other individual or organization. 11. Forge or improperly alter electronic mail messages, use an account owned by another user without authorization, or disclose the user’s individual password or that of another user. 12. Invade the privacy of any individual, including violating federal or state laws regarding limitations on the disclosure of student records. 13. Download, copy, print or otherwise store or possess any data which violates federal or state copyright laws or these Guidelines. 14. Send nuisance electronic mail or other online messages such as chain letters, pyramid schemes, or obscene, harassing or other unwelcome messages. 15. Send mass electronic mail to multiple users without prior authorization by the appropriate District Administrator. 16. Conceal or misrepresent the user’s identity while using the System. 17. Post material on the District’s web site without the authorization of the appropriate District administrator. D. Web sites Unless otherwise allowed by law, District web sites shall not display information about or photographs or works of students without written parental permission. Any web site created by an employee using the System must be part of a District-sponsored activity, or otherwise be authorized by the appropriate District administrator. All content, including links, of any web site created by an employee using the System must receive prior approval by the District administrator. All contents of a web site created by an employee using the System must conform to these Acceptable Use Guidelines. Employees may not place any personal or editorial material on the District web site or any web site created by an employee using the System. E. Disclaimer The District makes no warranties of any kind whether express or implied for the System. The District is not responsible for any damages incurred, including the loss of data resulting from delays, non-deliveries, misdeliveries, or service interruptions. Use of any information obtained via the System is at the user’s own risk. The District is not responsible for the accuracy or quality of information obtained through the System. The District is not responsible for any user’s intentional or unintentional access of material on the Internet which may be obscene, indecent, or of an inappropriate nature. F. Security and User Reporting Duties Security in the System is a high priority and must be a priority for all users. Users are prohibited from sharing their log-in IDs or passwords with any other individual. Any attempt to log in as another user will result in consequences as set forth in Section H of these Guidelines. A user who becomes aware of any security risk or misuse of the System must immediately notify the appropriate District administrator. G. Vandalism Vandalism or attempted vandalism to the System is prohibited and will result in consequences as set forth in Section H of these guidelines. Vandalism includes, but is not limited to, downloading, uploading, or creating computer viruses. H. Consequences for Violations Any user of the System who engages in any of the prohibited acts listed above shall be subject to discipline, which may include: (1) discipline as provided in the District's policies, (2) suspension or revocation of system privileges, and (3) referral to law enforcement authorities or other legal action in appropriate cases. F. Security and User Reporting Duties Security in the System is a high priority and must be a priority for all users. Users are prohibited from sharing their log-in IDs or passwords with any other individual. Any attempt to log in as another user will result in consequences as set forth in Section H of these Guidelines. A user who becomes aware of any security risk or misuse of the System must immediately notify the appropriate District administrator. G. Vandalism Vandalism or attempted vandalism to the System is prohibited and will result in consequences as set forth in Section H of these guidelines. Vandalism includes, but is not limited to, downloading, uploading, or creating computer viruses. H. Consequences for Violations Any user of the System who engages in any of the prohibited acts listed above shall be subject to discipline, which may include: (1) discipline as provided in the District's policies, (2) suspension or revocation of system privileges, and (3) referral to law enforcement authorities or other legal action in appropriate cases. 403(b) Plan Eligibility Announcement to Employees To: All Eligible Employees Date: August 7, 2018 Re: Notice of your right to participate in the 403(b) Retirement Plan sponsored by: Waterloo CUSD5 (Employer) In compliance with Internal Revenue Service (“IRS”) Universal Availability requirements, we are pleased to offer eligible employees the opportunity to voluntarily save for retirement by participating in the 403(b) Plan (“the Plan”). All employees who receive compensation reportable on an IRS Form W-2 are eligible to participate in the Plan, except for those who are specifically excluded by the Plan. If eligible, you may participate in this Plan by establishing a 403(b) account with one of the Plan’s approved Investment Providers and completing a salary reduction agreement to make pre-tax contributions or (if permitted by the Plan) Roth 403(b) after-tax contributions. Generally, salary reduction contributions can be made in an amount up to the lesser of 100% of includable compensation or the annual limitations set by the IRS. For the 2018 tax year, the annual contribution limit is $18,500 with a catch-up contribution of up to $6,000 for employees that are age 50 or older. If permitted in the Plan, you may also qualify for an additional catch-up contribution of up to $3,000 if you have completed 15 years of service or more with the school district. To determine the amount of additional catch-up, a Maximum Allowable Contribution (MAC) worksheet must be completed with your sales agent and returned to the payroll department along with a completed salary reduction agreement for approval. Please be aware that if you participate in more than one 403(b) Plan or another qualified Plan such as a 401(k), you will be responsible for tracking and reporting the amount of your total contributions to the school district so you do not exceed the annual contribution limitation as permitted by the IRS. By electing to participate in the Plan, you are acknowledging and agreeing to abide by the Plan’s rules and all IRS regulations related to 403(b) Plans. To learn more about the 403(b) Plan, including, but not limited to, (1) exclusions to participation, (2) Plan distribution/transfer/rollover rules, and (3) a list of the Plan’ approved Investment Providers, please contact the school district. You may also contact our administrative services provider, AFPlanServ, by calling 866-560-6415 or by sending an email to email@example.com. For information about specific 403(b) investment products offered by each of our Plan’s approved Providers, it will be the employee’s responsibility to contact each company directly. Please contact the school district if you have questions regarding this Notice and/or if you would like to participate in the Plan. Please be sure to consult with your legal or tax advisor before participating in the 403(b) Plan. AFPlanServ® does not provide tax or legal advice. General Personnel Drug- and Alcohol-Free Workplace; Tobacco Prohibition All District workplaces are drug- and alcohol-free workplaces. All employees are prohibited from engaging in any of the following activities while on District premises or while performing work for the District: 1. Unlawful manufacture, dispensing, distribution, possession, or use of an illegal or controlled substance, or being under the influence of any illegal substance or any detectible use of any illegal substance regardless of when or where the use occurred. 2. Distribution, consumption, use, possession, or being under the influence of an alcoholic beverage; being present on District premises or while performing work for the District when alcohol consumption is detectible, regardless of when and/or where the use occurred. 3. Possession or use of medical cannabis. For purposes of this policy a controlled substance means a substance that is: 1. Not legally obtainable, 2. Being used in a manner different than prescribed, 3. Legally obtainable, but has not been legally obtained, or 4. Referenced in federal or State controlled substance acts. As a condition of employment, each employee shall: 1. Abide by the terms of the Board policy respecting a drug- and alcohol-free workplace; and 2. Notify his or her supervisor of his or her conviction under any criminal drug statute for a violation occurring on the District premises or while performing work for the District, no later than 5 calendar days after such a conviction. Unless otherwise prohibited by this policy, prescription and over-the-counter medications are not prohibited when taken in standard dosages and/or according to prescriptions from the employee’s licensed health care provider, provided that an employee’s work performance is not impaired. To make employees aware of the dangers of drug and alcohol abuse, the Superintendent or designee shall perform each of the following: 1. Provide each employee with a copy of this policy. 2. Post notice of this policy in a place where other information for employees is posted. 3. Make available materials from local, State, and national anti-drug and alcohol-abuse organizations. 4. Enlist the aid of community and State agencies with drug and alcohol informational and rehabilitation programs to provide information to District employees. 5. Establish a drug-free awareness program to inform employees about: a. The dangers of drug abuse in the workplace, b. Available drug and alcohol counseling, rehabilitation, re-entry, and any employee assistance programs, and c. The penalties that the District may impose upon employees for violations of this policy. The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper. 1. Demographic Data: This includes information such as age, gender, race/ethnicity, education level, income, employment status, and marital status. Demographic data can be used to identify trends and patterns in consumer behavior, which can help businesses make informed decisions about their marketing strategies. 2. Behavioral Data: This includes information such as website visits, online purchases, social media interactions, and search queries. Behavioral data can be used to track customer preferences and interests, which can help businesses tailor their products and services to meet the needs of their target audience. 3. Geospatial Data: This includes information such as location, time, and distance. Geospatial data can be used to analyze the spatial distribution of customers and their purchasing habits, which can help businesses optimize their store locations and delivery routes. 4. Transactional Data: This includes information such as purchase history, product ratings, and feedback. Transactional data can be used to understand customer satisfaction and loyalty, which can help businesses improve their products and services and retain existing customers. 5. Sentiment Analysis Data: This includes information such as customer reviews, social media comments, and email feedback. Sentiment analysis data can be used to gauge customer sentiment and identify areas for improvement, which can help businesses enhance their customer experience and build brand loyalty. 6. Predictive Analytics Data: This includes information such as customer lifetime value, churn prediction, and sales forecasting. Predictive analytics data can be used to forecast future trends and make data-driven decisions, which can help businesses stay ahead of the competition and achieve their business goals. Tobacco Prohibition All employees are covered by the conduct prohibitions contained in policy 8:30, Visitors to and Conduct on School Property. The prohibition on the use of tobacco products applies both (1) when an employee is on school property, and (2) while an employee is performing work for the District at a school event regardless of the event’s location. Tobacco shall have the meaning provided in section 10-20.5b of the School Code. District Action Upon Violation of Policy An employee who violates this policy may be subject to disciplinary action, including termination. Alternatively, the School Board may require an employee to successfully complete an appropriate drug- or alcohol-abuse rehabilitation program. The Board shall take disciplinary action with respect to an employee convicted of a drug offense in the workplace within 30 days after receiving notice of the conviction. Should District employees be engaged in the performance of work under a federal contract or grant, or under a State contract or grant of $5,000 or more, the Superintendent shall notify the appropriate State or federal agency from which the District receives contract or grant monies of the employee’s conviction within 10 days after receiving notice of the conviction. LEGAL REF.: Americans With Disabilities Act, 42 U.S.C. §12114. Compassionate Use of Medical Cannabis Pilot Program, 410 ILCS 130/. Controlled Substances Act, 21 U.S.C. §812; 21 C.F.R. §1308.11-1308.15. Drug-Free Workplace Act of 1988, 41 U.S.C. §701 et seq. Safe and Drug-Free School and Communities Act of 1994, 20 U.S.C. §7101 et seq. Drug-Free Workplace Act, 30 ILCS 580/. 105 ILCS 5/10-20.5b. CROSS REF.: 8:30 (Visitors to and Conduct on School Property) ADOPTED: October 19, 2015

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